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Fit Pregnancy: Can You Lose Fat and Gain Muscle While Pregnant? | livestrong
The right exercises and nutrition can help you avoid excess weight gain and safely build strong muscles while pregnant. Here, experts offer their best tips.
By Amanda Capritto, CPT, CF-L1
Updated Mar 16, 2020
Medically Reviewed by Mayoni Ranasinghe, MBBS, MPH
Our Editorial Process
While losing fat and gaining muscle while pregnant shouldn't be your goal, there are plenty of benefits to keeping up a healthy exercise and diet regimen.
Image Credit:
RichLegg/E+/GettyImages
Pregnancy: It's miraculous, beautiful and inevitably full of change. Some of those changes are glorious — like glowy skin, comfy maternity clothes
and baby kicks. And some are, well, not so glorious — like nausea, fatigue and weight gain.
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As your body changes, so too will your exercise regimen. And that's OK — the single most important thing is to keep both yourself and baby safe during pregnancy. The overarching goal is to gain a
healthy amount of weight
that supports baby and the additional physiological toll on your body — not to cut calories, lean out or tone up.
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However, it is 100 percent possible to maintain an exercise routine that helps you maintain your
body composition
, get stronger and prepare your body for postpartum physical activity. Here, two personal trainers and a registered dietitian explain how.
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Tip
Always check in with your physician, ob-gyn, midwife or someone else on your care team before starting a new exercise regimen while pregnant.
Keep Weight Gain in Check With a Healthy Pregnancy Diet
First things first: Pregnancy is not the time to cut back on calories, dietitian
Carol Aguirre, RD, LDN
, tells LIVESTRONG.com. In fact, you'll need to gradually increase your caloric intake as your pregnancy progresses.
"Women who were at a healthy BMI (18.5 to 24.9) before becoming pregnant need a gradual increase in calories as the baby develops," Aguirre says. "It is suggested that the first trimester does not require any extra calories. During the second trimester, an additional 340 calories a day are recommended, and for the third trimester, the recommendation is an extra 450 calories."
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These additional calories should come from nutrient-dense foods, Aguirre explains, including lean protein, whole grains, low-fat or fat-free dairy, vegetables and fruit. Mamas-to-be should avoid unhealthy extra calories by limiting foods high in saturated fat
and added sugars such as soda, sweets and fried foods.
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Fitness The Best Exercises to Get Rid of Baby Fat By Andra Picincu Expertly Reviewed
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By all means, indulge in pregnancy cravings when they're pulling at you — but in order to get the nutrients you need to support your own body and your growing baby, experts suggest eating a variety of healthy foods, with an emphasis on a few nutrients that are critical during pregnancy.
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Folic acid, calcium, vitamin D
, quality protein and iron are especially important during pregnancy, according to the
European Journal of Pediatric Medicine
.
Learn how to fill your plate with healthy, nutrient-dense foods by logging your meals on the
MyPlate app
. Download now to fine-tune your diet
today!
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Again, don't get too focused on cutting out foods — and definitely not on cutting weight. You can eat plenty to support pregnancy while maintaining a
healthy body fat percentage
. There's no getting around the fact that you'll gain some weight, and you shouldn't fight it, Aguirre says.
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According to the American Pregnancy Association
, pregnant people should gain the following amounts of weight based on their pre-pregnancy BMI
:
Less than 18.5 (underweight): 28 to 40 pounds
18.5 to 24.9 (healthy): 25 to 35 pounds
25 to 29.9 (overweight): 15 to 25 pounds
30 or higher (obesity): 11 to 20 pounds
You can better support your fitness goals during pregnancy by eating the same foods typically recommended for people who are trying to lose fat
or build muscle
, Aguirre says, which means focusing on complex carbohydrates, protein and whole foods.
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"Eating the right diet will complement an exercise regimen," she explains. "Protein contains amino acids, which are essential for muscle growth, and it is suggested that pregnant women with a healthy pre-pregnancy BMI consume roughly 80 grams of protein a day."
Complex carbohydrates can also help you build muscle and keep up your energy for workouts, because carbs are your body's main source of fuel and convert more quickly to energy than the other two macronutrients, according to the
U.S. National Library of Medicine
.
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Healthy fats can help with sustained energy and satiety, as well as provide nutrients necessary during pregnancy.
All three macronutrients — carbs, fats and protein — are important for supporting a consistent and effective exercise regimen.
Related Reading
Ready to Track Your Macros? Here's Everything You Need to Know
Continue Doing Cardio to Stay Healthy
Again, remember that pregnancy is a time to embrace weight gain. Try to avoid getting caught up in a mission to lose fat, and instead focus on keeping your body as healthy as possible during pregnancy.
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Holly Roser, CPT
, certified pre- and postnatal fitness trainer and owner of the Holly Roser Fitness studio, tells LIVESTRONG.com she wouldn't suggest fat loss as a goal during pregnancy. "In general, pregnancy isn't the time to recomp your body," she says, "but you can absolutely maintain the body composition you have before pregnancy."
Cardio exercise
— both aerobic and anaerobic
— are great for maintaining cardiovascular health and body composition during pregnancy, Roser says. She recommends walking, biking, cycling on a stationary bike, swimming and doing aqua-aerobics. You can do steady-state cardio (aerobic) or implement moderate intervals (anaerobic) for a challenge.
Moderate weight training
with high-volume rep schemes and lower weights can also help you maintain your body composition while pregnant, Roser says.
Yoga is a gentle exercise to maintain muscle when you're expecting.
Image Credit:
kali9/E+/GettyImages
Lauren "LoLo" Wilson, lead instructor at CycleBar Midtown in Charlotte, North Carolina, has firsthand experience both training pregnant clients and exercising while pregnant herself. For Wilson, cardio came in the form of cycling
and strength training came in the form of yoga. These exercises helped her maintain her body composition throughout pregnancy — but more importantly, it made the postpartum bounce-back easier on her body, she says.
"I knew that overall, my body mass would change, but continuing with my exercise regimen helped me prepare for the demands of labor and what would come after," Wilson says.
The key word there is "continuing." If you had a regular exercise routine prior to pregnancy, it's generally safe to continue with whatever you were doing, with modifications to specific movements if necessary. But if you did not exercise before pregnancy, it's imperative to check with your doctor before starting any type of exercise, Wilson says.
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Related Reading
5 Ways to Tone Up and Stay Fit During Pregnancy
Maintain Muscle While Pregnant With Safe Strength-Training
Any resistance training can help you maintain your muscle mass while pregnant, Roser says. But just like you shouldn't focus on losing fat while pregnant, your main goal shouldn't be to put on extra muscle — but you can certainly aim to keep your body strong and stable during pregnancy.
"Strength training while pregnant should be about training your body to carry the extra weight," Roser says. "You're suddenly going to have a lot more extra weight out in the front of your body, so you need to strengthen your posterior chain [glutes, hamstrings and lower back] to deal with that."
For someone who already had an intense, heavy-lifting routine going into pregnancy, Roser says the goal should no longer be maxing out on lifts all the time. Instead, comfortably challenging weights are the move, she says.
"Moderate weights and high reps are going to allow you to keep the muscle you currently have, without the intention of actually growing more muscle while pregnant," Roser says.
Roser offers a sample week of pregnancy workouts for anyone trying to maintain their body composition:
Monday: 30 minutes of lower-body strength training
Tuesday: 30 to 60 minutes of low-impact cardio
Wednesday: Rest
Thursday: 30 minutes of upper-body strength training
Friday: 30 to 60 minutes of low-impact cardio
Saturday: Low-impact circuit training or rest
Sunday: Rest
Exercises to Avoid While Pregnant
Exercise restrictions vary depending on the trimester, Roser says. "In general, you don't want to lie on your back or your stomach, hold your breath for too long, do isometric moves [like planks] or exercise in very hot environments [like Bikram yoga]," she says.
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You should also avoid very bouncy activities and activities where falling is likely, as well as activities that put a lot of strain on your joints — your joints are more lax during pregnancy, so you have a higher risk of sprains, Roser says.
The American Pregnancy Association provides
science-backed pregnancy exercise guidelines
, but Wilson reminds pregnant people to check in with their care team.
"Talk to your primary care doctor, your ob-gyn or your team of midwives," she says, "and, every time you want to make a change to your exercise routine, ask if it's safe for your particular pregnancy."
Also, Wilson urges moms-to-be to listen to their bodies. "Be very mindful that your body is already under additional stress, and exercise can add to that," she says. "Moving your body is a good thing to do, but know that it's also OK to rest."
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references
U.S. Department of Health and Human Services: "Physical Activity Guidelines for Americans. 2nd ed." Clinics in Sports Medicine: "Pregnancy and Exercise." American College of Obstetricians and Gynecologists Committee on Obstetric Practice: "Committee Opinion No. 650: Physical activity and exercise during pregnancy and the postpartum period." American Pregnancy Association: "Pregnancy Exercise Guidelines." The Mayo Clinic: "Pregnancy and exercise: Baby, let's move!" American Pregnancy Association: "Exercise During Pregnancy." European Journal of Pediatric Medicine: "Diet in Pregnancy—More than Food." American Pregnancy Association: "Pregnancy Weight Gain." U.S. National Library of Medicine: "Nutrition and athletic performance." Journal of the Academy of Dietetics and Nutrition: "Position of the Academy of Nutrition and Dietetics, Dietitians of Canada, and the American College of Sports Medicine: Nutrition and Athletic Performance" Centers for Disease Control and Prevention: "Weight Gain During Pregnancy"
Is this an emergency?
If you are experiencing serious medical symptoms, please see the
National Library of Medicine’s list
of signs you need emergency medical attention or call 911.
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Chap. 0291 An Act to restrict the sale, use, and the keeping or offering for sale of fireworks.
Be it enacted, etc., as follows:
Section 1. Chapter one hundred and for;ty-eight of the General Laws is hereby amended by striking out section thirty-nine, as appearing in the Tercentenary Edition, and inserting in place thereof the following section: - Section 39. No person shall sell, or keep or offer for sale, or use, explode, or cause to explode, any combustible or explosive composition or substance, or any combination of such compositions or substances, or any other article, which was prepared for the purpose of producing a visible or audible effect by combustion, explosion, deflagration or detonation, including in the above terms blank cartridges or toy cannons in which explosives are used, the type of balloon which requires fire underneath to propel the same, firecrackers, torpedoes, sky-rockets, Roman candles, bombs, sparklers, rockets, wheels, colored fires, fountains, mines, serpents, or other fireworks of like construction or any fireworks containing any explosive or flammable compound, or any tablets or other device containing any explosive substance; provided, that the term "fireworks" as used herein shall not include toy pistols, toy canes, toy guns, or other devices in which paper caps containing twenty-five hundredths grains or less of explosive compound are used, if they are so constructed that the hand cannot come in contact with the cap when in place for the explosion, or toy pistol paper caps which contain less than twenty hundredths grains of explosive mixture, the sale and use of which shall be permitted at all times; and provided, further, that this section shall not apply (1) to the sale of any article herein named to be shipped directly out of the commonwealth, or (2) to the sale of any such article for the use of, and its use by, persons having obtained a permit for a supervised display of fireworks from the marshal or some officer designated by him therefor, under any provision of section thirty-nine A, or (3) to the sale of flares, lanterns or fireworks for the use of, and their use by, railroads, railways, boats, motor vehicles or other transportation agencies, or other activity, lawfully permitted or required to use any or all of such articles for signal purposes, illumination or otherwise, or (4) to the sale or use of blank cartridges for a duly licensed show or theatre or for signal or ceremonial purposes in athletics or sports, or (5) to experiments at a factory for
explosives, or (6) to the sale of blank cartridges for the use of, or their use by, the militia or any organization of war veterans or other organizations authorized by law to parade in public a color guard armed with firearms, or (7) in teaching the use of firearms by experts, or (8) to the sale of shells for firearms, cartridges, gunpowder and explosives for the purpose of using, and their use, in or in connection with the hunting of game or in target practice with firearms.
Section 2. Said chapter one hundred and forty-eight is hereby further amended by inserting after section thirty-nine, as amended, the following section: - Section 89A. The marshal shall make rules and regulations for the granting of permits for supervised displays of fireworks by municipalities, fair associations, amusement parks and other organizations or groups of individuals. Such rules and regulations shall provide in part that (a) every such display shall be handled by a competent operator to be approved by the chiefs of the police and fire departments, or officer or officers having similar powers and duties, of the municipality in which the display is to be held and shall be of such a character, and so located, discharged or fired as, in the opinion of the chief of the fire department or the officer or officers having similar powers and duties, after proper inspection, not to be hazardous to property or to endanger any person or persons, (6) application for permits shall be made in writing at least fifteen days in advance of the date of the display, and (c) no permit so granted shall be transferable.
Section 3. Section fifty of said chapter one hundred and forty-eight, as so appearing, is hereby amended by inserting after the word "fluids" in the fifth line the words: - , or any of the articles named in section thirty-nine, - so as to read as follows: - Section 50. Upon complaint made to a court or justice authorized to issue warrants in criminal cases that the complainant has probable cause to suspect and does suspect that gunpowder, dynamite or any other explosives, crude petroleum or any of its products, or explosive or inflammable fluids," or any of the articles named in section thirty-nine, are kept or are to be found in any place contrary to this chapter or regulations made hereunder, such court or justice may issue a search warrant in conformity with chapter two hundred and seventy-six, so far as applicable, commanding the officer to whom the warrant is directed to enter any shop, building, manufactory, vehicle or vessel specified in the warrant, and there make diligent search for the articles specified in the warrant, and make return of his doings forthwith to the court or justice having jurisdiction thereof. Such warrants may be directed to an inspector or to the head of the fire department.
Section 4. Said chapter one hundred and forty-eight is hereby further amended by striking out section fifty-three, as so appearing. Approved May 18, 191+8. | https://archives.lib.state.ma.us/bitstream/handle/2452/59091/1943acts0291.txt?isAllowed=y&sequence=1 |
Machine Learning for Jet Physics (14-November 16, 2018) · Indico
Machine Learning for Jet Physics
Nov 14, 2018, 8:00 AM → Nov 16, 2018, 6:00 PM America/Chicago
One West (WH1W) (Fermilab) One West (WH1W) Fermilab
Ben Nachman ( University of California Berkeley (US) ) , Kyle Stuart Cranmer ( New York University (US) ) , Pushpalatha Bhat ( Fermi National Accelerator Lab. (US) ) , Sergei Gleyzer ( University of Florida (US) ) , Tilman Plehn ( Heidelberg University )
Description
Machine learning has become a hot topic in particle physics over the past several years. In particular, there has been a lot of progress in the area of particle and event identification, reconstruction, fast simulation and others. One significant area of research and development has focused on jet physics. In this workshop, we will discuss current progress in this area, focusing on new breakthrough ideas and existing challenges. The ML4Jets workshop will be open to the full community and will include LHC experiments as well as theorists and phenomenologists interested in this topic.
Chairs:Sergei Gleyzer (U Florida)Ben Nachman (LBNL)
Organizing Committee:Pushpa Bhat (Fermilab)Kyle Cranmer (NYU)Sergei Gleyzer (U Florida)Ben Nachman (LBNL)Tilman Plehn (Heidelberg)Local Organizing Committee:Gabriele Benelli (Brown U),Javier Duarte (Fermilab)Benjamin Kreis (Fermilab)Nhan Tran (Fermilab)Justin Pilot (UC Davis)LPC Event Committee Chairs:Gabriele Benelli (Brown U)Benjamin Kreis (Fermilab)LPC Coordinators:Cecilia Gerber (UIC)Sergo Jindariani (Fermilab)
Maps.pdf
ML4Jets2018Poster.pdf
ML4Jets2018PosterPreview.jpg
Participants
Abhijith Gandrakota
Abhishek Das
Alejandro Gomez Espinosa
Alexx Perloff
Anastasia Karavdina
Anders Andreassen
Annapaola De Cosa
Aran Garcia-Bellido
Arjun Chhetri
Aviv Ruben Cukierman
Ben Kreis
Ben Nachman
Benjamin Tannenwald
Bryan Ostdiek
Caleb James Smith
Cilicia Uzziel Perez
Colin Fallon
Cristina Ana Mantilla Suarez
Daniel Arthur Faia
Daniel Marley
David Miller
David Shih
David Yu
Dipsikha Debnath
Dorival Gonçalves
Douglas Berry
Elliot Parrish
Emanuele Usai
Emil Sorensen Bols
Emily Ann Smith
Enrico Bothmann
Eric Metodiev
Florian Bury
Gabriel Perdue
Gabriele Benelli
Giorgia Rauco
Grace Haza
1
Registration ¶
Introduction (Chairs: Sergei Gleyzer and Benjamin Nachman) ¶
2
Welcome Remarks ¶
Speaker : Dr Joseph Lykken ( Deputy Director, Fermilab )
3
Logistics ¶
4
Jets and ML in Theory (30'+15') ¶
Speaker : Jesse Thaler ( MIT )
jthaler_ML4Jets_Fermilab.pdf
5
Jets and ML in ATLAS (30'+15') ¶
Speaker : Walter Hopkins ( Argonne National Laboratory (US) )
ML4JetsATLAS.pdf
6
Jets and ML in CMS (30'+15') ¶
Speaker : Mauro Verzetti ( CERN )
ML4Jets2018.pdf
11:30 AM
Lunch
Jet Tagging (Chairs: Gregor Kasieczka and Matt Dolan) ¶
7
Introduction and overview (20'+10') ¶
Speaker : Gregor Kasieczka ( Hamburg University (DE) )
JetTagging_Overview.pdf
8
top and W tagging with ATLAS (20’+5’) ¶
Speaker : Samuel Ross Meehan ( University of Washington (US) )
meehan_WTopTaggingAtATLAS_20181114.pdf
9
top and W tagging with CMS (20’+5’) ¶
Speaker : Justin Pilot ( University of California Davis (US) )
JPilot_ML4Jets2018.pdf
2:00 PM
Short Break
10
b-tagging in ATLAS (25’+5’) ¶
Speaker : Matthew Feickert ( Southern Methodist University (US) )
Feickert_2018-11-14.pdf
11
ML Techniques for heavy flavour identification in CMS (25'+5') ¶
Jet flavour identification is a fundamental component for the physics program of the LHC-based experiments. The presence of multiple flavours to be identified leads to a multiclass classification problem. In this presentation we will present the performance on both simulated and real data of our latest resolved heavy flavour taggers, DeepCSV and DeepFlavour as well as the future prospects for the evolution of these techniques and the technical strategies adopted to deploy them in the harsh computing environment of a large-scale HEP computing software stack.
Speaker : Emil Sorensen Bols ( Vrije Universiteit Brussel (BE) )
ml4jets_final.pdf
12
Deep Learning Strange Jets (20’+5’) ¶
By applying deep learning techniques, we explore the possibility of strange-quark tagging, which is the last missing piece among quark and gluon identifications in jets. The main difficulty here is of distinguishing strange-quark jets from down-quark jets. However, strange-quark jets are likely to contain more Kaons carrying large fractions of the jet $p_T$ than down-quark jets. A strategy for strange-quark tagging is then to concentrate on neutral Kaons, $K_L$ and $K_S$, which are expected to be discriminated from other hadrons as the $K_L$ and long-lived $K_S$ drop their energies only to the Hadron Calorimeter while other hadrons leave some trace in the tracker or the Electromagnetic Calorimeter. We create the pixel images of strange and down-quark jets with colors of the track $p_T$, hadronic energy and electromagnetic energy. The images are fed into Convolutional Neural Networks (CNNs). We find that the CNN tagger outperforms the best cut-based tagger we define.
Speaker : Yuichiro Nakai ( Rutgers University )
StrangeTagV5.pdf
3:45 PM
Pre-Colloquium Coffee Break
13
Fermilab Colloquium (Graph Networks and Physics Applications) ¶
Speaker : Risi Condor ( University of Chicago )
Thursday, November 15 ¶
8:30 AM
Coffee
Representing Jets (Chairs: Mauro Verzetti and David Shih) ¶
14
Introduction and overview (20’+10’) ¶
Speaker : David Shih ( Rutgers University )
FNAL ML meeting 2018.pdf
15
Energy Flow Networks: Deep Sets for Particle Jets (20’+5’) ¶
Collider events are naturally described as sets of particles which have variable size and are inherently permutation symmetric. Machine learning architectures operating on collider events should ideally be able to handle variably sized inputs and be manifestly symmetric with respect to particle ordering. Building off of the recently developed Deep Sets paradigm, which is designed for learning from point clouds, I will introduce Energy Flow Networks (EFNs) and their more general counterparts Particle Flow Networks (PFNs), which explicitly have these desired properties. Using the task of discriminating different kinds of jets as an example, I will demonstrate how the EFNs and PFNs have excellent classification performance and allow for fascinating visual interpretations of what the model is learning.
Speaker : Patrick Komiske ( Massachusetts Institute of Technology )
PTK_ML4Jets_Fermilab_compressed.pdf
16
Jet as a particle cloud (20’+5’) ¶
How to represent a jet is one of the key aspects of machine learning algorithms for jet physics. Motivated by recent progress in machine learning community on point cloud recognition, we propose a new approach that represents a jet as an unordered set of particles with their measured properties, effectively a "particle" cloud. Specialized algorithms for point cloud recognition, e.g., Dynamic Graph CNN, are explored, and the performance on jet classification is compared to alternative approaches using state-of-the-art 2D CNN models on jet images and 1D CNN models on jet constituent particles.
Speaker : Huilin Qu ( Univ. of California Santa Barbara (US) )
jet_as_particle_cloud_ml4jets_20181115_hqu.pdf
17
Spectral Analysis of Color Charge in Two-Prong Jets with Neural Networks (20’+5’) ¶
We discuss signatures in the two-point correlation spectrum $S_{2}(R)$ on the angular scale $R$ for identifying color charge in two-prong jets. In a two-prong jet, the radiation pattern is correlated with the color charge of originating partons and the decay topology of the jet so that we need a strategy considering those effects simultaneously. The spectral analyses with $S_{2}(R)$ and neural network provide us with a visual framework for studying two-prong substructure as well as color superstructure in terms of the angular scale $R$. Furthermore, we can design neural networks with interpretable weights in this framework. The interpretable weights help us understand how the prediction from the neural network came out. We show our results in the context of classification among Higgs, Sgluon, and QCD jets.
Speaker : Sung Hak Lim ( KEK )
Talk_JetSubstructureSpectroscopy.pdf
18
ML@QCD efforts in Sherpa: shower variations and phase-space sampling (20’+5’) ¶
QCD calculations that resum soft-collinear logarithms by a parton-shower algorithm can not currently be used in PDF fits. This is due to the high computational cost of generating Monte-Carlo events for each variation of the PDFs, and reduces the number of data points available for the fits. We propose an approximation based on training a NN to predict the effect of varying the shower input parameters and present proof-of-principle results for strong-coupling variations.
Another challenge in QCD Monte-Carlo simulations is effective phase-space sampling. The efficiency of generating unweighted events can easily drop to $10^{-4}$ and less for some state-of-the-art calculations. We present results for using ML to improve the generation of phase-space points both globally and in the local Markov-Chain steps of the $(\text{MC})^3$ method.
Speaker : Enrico Bothmann ( University of Edinburgh )
Bothmann.pdf
Lunch
Representing Jets (Chairs: Mauro Verzetti and David Shih) ¶
Quarks vs. Gluons for Higgs->invisible searches (20'+5') ¶
Quark-gluon discrimination could greatly improve the sensitivity of anumber of analyses at the LHC, and as such has received a significantamount of investigation. Because the differences between quark andgluon jets are largely contained in the jet substructure and are oftenvery subtle, this problem lends itself to machine learning techniques.We explore this question in the LoLa framework, and demonstrate thatwe see good discrimination for pure quark and gluon jets, both atparticle level and after including a fast detector simulation. Next,we apply our network to a physics problem, a monojet Higgs -> invisiblesignal (gluon dominated) with a Z+monojet background (quark dominated).We investigate how this differs from the pure quark-gluon case and howthe jet transverse momentum affects the network performance.
Speaker : Jennifer Thompson ( ITP Heidelberg )
quark_gluon_applications.pdf
Top tagging with Lorentz Boost Networks and simulation of electromagnetic showers with a Wasserstein GAN (20'+5') ¶
In this talk, we present two applications of deep learning in the areas of top quark identification and electromagnetic shower generation.As deep learning methods are adopted for high energy physics, increasing attention is given to the development of dedicated architectures incorporating physical knowledge. We introduce a model that utilizes our knowledge of particle combinations and directly integrates Lorentz boosting, and apply this model to separate hadronic top-quark decays from light quark and gluon jets. We also investigate the trained combinations and boosts to gain insights into what the network is learning.Generative models have recently been applied to physics simulations, in particular for calorimeter showers. They promise a speed-up of several orders of magnitude compared to full simulations. We present results on the generation of electromagnetic showers in a multi-layer calorimeter using a Wasserstein Generative Adversarial Network (WGAN), emphasizing on the comparison to a traditional simulation using GEANT4. Initial conditions of the simulation are incorporated through a dedicated architecture based on constrainer networks.
[M. Rieger, D. Schmidt, Winners presentation at the IML Machine LearningWorking Group: sequential models, CERN, Geneva, Jun. 2018, https://indico.cern.ch/event/722319/contributions/ ][M. Erdmann, J. Glombitza, T. Quast, arXiv:1807.01954]
Speaker : Yannik Alexander Rath ( RWTH Aachen University (DE) )
yrath_LBN_WGAN.pdf
Experimental/Practical aspects of learning with jets (Chairs: Ben Hooberman and Daniel Elvira) ¶
Introduction and overview (20'+10') ¶
MLJetsOverview_v2.pdf
Machine Learning for Jet Calibration in ATLAS (20'+5') ¶
Speaker : Aviv Ruben Cukierman ( SLAC National Accelerator Laboratory (US) )
GenNI_11.8.18.pdf
23
End-to-end jet identification for quark/gluon discrimination using CMS Open Data (20'+5') ¶
Jet identification is a very active area of applied machine learning research in particle physics, benefitting from a wide array of ideas and algorithms. Among these is the idea of building jet “images". However, many image-based implementations have struggled to compete with the current state-of-the-art classifiers that are dominated by specialized networks that rely on higher-level inputs. In this talk, we describe the application of the end-to-end approach (https://arxiv.org/abs/1807.11916) developed for particle and event identification at CMS to the challenge of identifying jets.
We describe end-to-end jet reconstruction using the full granularity of the CMS detector. CMS Open Data samples are used that take advantage of the full Geant4-based detector simulation. Using quark vs. gluon classification as a reference, we demonstrate competitive performance with existing state-of-the-art jet identification algorithms. Furthermore, we offer insights into the role of various sub-detectors for jet identification, and describe how end-to-end techniques can be useful for event-level classification for events containing jets.
Speaker : Michael Andrews ( Carnegie-Mellon University (US) )
ML4Jets_2018NOV15_v1.pdf
Coffee break an group photo
Pulling Out All the Tops with Computer Vision and Deep Learning (20'+5') ¶
We apply computer vision with deep learning -- in the form of a convolutional neural network (CNN) -- to build a highly effective boosted top tagger. Previous work (the ``DeepTop" tagger of Kasieczka et al) has shown that a CNN-based top tagger can achieve comparable performance to state-of-the-art conventional top taggers based on high-level inputs. Here, we introduce a number of improvements to the DeepTop tagger, including architecture, training, image preprocessing, sample size and color pixels. Our final CNN top tagger outperforms BDTs based on high-level inputs by a factor of $\sim 2$--3 or more in background rejection, over a wide range of tagging efficiencies and fiducial jet selections.As reference points, we achieve a QCD background rejection factor of 500 (60) at 50% top tagging efficiency for fully-merged (non-merged) top jets with $p_T$ in the 800--900 GeV (350--450 GeV) range.Our CNN can also be straightforwardly extended to the classification of other types of jets, and the lessons learned here may be useful to others designing their own deep NNs for LHC applications.
Speaker : Sebastian Macaluso
ML4Jets_2018_Macaluso.pdf
Fast inference of jet substructure classifiers with FPGAs (20'+5') ¶
Recent results at the Large Hadron Collider (LHC) have pointed to enhanced physics capabilities through the improvement of the real-time event processing techniques. Machine learning methods are ubiquitous and have proven to be very powerful in LHC physics, and particle physics as a whole. However, exploration of the use of such techniques in low-latency, low-power FPGA hardware has only just begun. FPGA-based trigger and data acquisition (DAQ) systems have extremely low, sub-microsecond latency requirements that are unique to particle physics. We present a case study for neural network inference in FPGAs focusing on a classifier for jet substructure which would enable, among many other physics scenarios, searches for new dark sector particles and novel measurements of the Higgs boson. While we focus on a specific example, the lessons are far-reaching. We develop a package based on High-Level Synthesis (HLS) called hls4ml to build machine learning models in FPGAs. The use of HLS increases accessibility across a broad user community and allows for a drastic decrease in firmware development time. We map out FPGA resource usage and latency versus neural network hyperparameters to identify the problems in particle physics that would benefit from performing neural network inference with FPGAs. For our example jet substructure model, we fit well within the available resources of modern FPGAs with a latency on the scale of 100 ns.
Speaker : Zhenbin Wu ( University of Illinois at Chicago (US) )
Zhenbin_ML4Jets_HLS4ML.pdf
Modern jet machine-learning classification in real time (20'+5') ¶
We demonstrate the ability to create drone from a wide range of classifiers, with a particular emphasis on the application to modern jet classification. Machine learning is increasingly dominating the preferred tool for the classification of jets. However, as experiment data rates increase by orders of magnitude, such technologies become expensive in terms of time and performance. In light of this, we present a method and toolkit for creating a drone classifier from any machine learning classifier, preserving the accuracy, precision, and specificity, but greatly improving on algorithm execution performance.
Speaker : Konstantin Gizdov ( The University of Edinburgh (GB) )
Heavy flavour identification for boosted resonances and large cone jets in CMS (20'+5') ¶
Physics with boosted objects has been an increasingly interesting topic in the last years. Modern machine learning techniques, and Deep Learning in particular, have changed the landscape providing new taggers with significant performance boost. The presentation will focus on the taggers for the boosted regime, DeepAK8, DeepDoubleB, and DeepDoubleC and the strategies to measure their performance in real data.
Speaker : Javier Mauricio Duarte ( Fermi National Accelerator Lab. (US) )
ML4Jets_HeavyFlavourBoostedResonances_15Nov2018.pdf
Dinner (Masala) ¶
MasalaDirections.pdf
Friday, November 16 ¶
History of Machine Learning for High Energy Physics (20'+10') ¶
Speaker : Pushpalatha Bhat ( Fermi National Accelerator Lab. (US) )
PB_ML4Jets_v2.pdf
PB_ML4Jets_v2.pptx
Coffee break
Simulation Independent Methods (Chairs: Tommaso Dorigo and Bryan Ostdiek) ¶
Introduction and overview (20'+10') ¶
Speaker : Bryan Ostdiek ( University of Oregon )
SimulationIndependent.pdf
Disentangling Jet Categories at Colliders (20'+5') ¶
The “jet topics” framework identifies (or defines) underlying classes of jets directly from data with little to no input from simulation or theory. Due to a mathematical connection between mixed samples of jets and emergent themes in documents, methods from topic modeling and blind source separation can be used to extract jet topics from data. Any machine-learned jet tagger, treated as a likelihood-ratio approximator, can be directly applied as a jet topic extractor. I apply the jet topics method to extract quark and gluon distributions and fractions from simulated Z+jet and dijet samples, and I discuss the potential for fully data-driven training and calibration of jet taggers.
Speaker : Eric Metodiev ( Massachusetts Institute of Technology )
MLforJets2018_Topics_EMM.pdf
JUNIPR: a Framework for Unsupervised Machine Learning in Particle Physics (20'+5') ¶
In applications of machine learning to particle physics, a persistent challenge is how to go beyond discrimination to learn about the underlying physics.In this talk, we will present a new framework: JUNIPR, Jets from UNsupervised Interpretable PRobabilistic models, which uses unsupervised learning to learn the intricate high-dimensional contours of the data upon which it is trained, without reference to pre-established labels.In order to approach such a complex task, JUNIPR is structured intelligently around a leading-order model of the physics underlying the data.In addition to making unsupervised learning tractable, this design actually alleviates existing tensions between performance and interpretability.Applications to discrimination, data-driven Monte Carlo generation and reweighting of events will be discussed.
Speaker : Anders Andreassen ( UC Berkeley )
Fermilab_JUNIPR_Andreassen_updated.pdf
Lunch
Simulation Independent Methods (Chairs: Tommaso Dorigo and Bryan Ostdiek) ¶
CWoLa Hunting: Enhancing the Bump Hunt with Machine Learning (20'+5') ¶
Machine learning (ML) has rapidly become a core tool for LHC physics, due to the great volume and complexity of the data that this machine collects. Given that it is not a-priori known what form new physics (if any) might take, there has been a surge of interest in the past year in approaches that would enable an ML algorithm to look for new physics directly in the LHC data without reference to any simulated signal sample. This talk will focus on a concrete example called 'CWoLa Hunting' (Classification Without Labels), in which it assumed that the signal is localized in some window in one variable (e.g. a resonance in an invariant mass) in which the background is smooth, but no additional assumptions are made about the morphology of the signal in some orthogonal set of 'auxiliary' variables. The ML algorithm searches for an unusual population of events in the signal window using these auxiliary variables. I will use as a case study a dijet resonance search in which a resonant signal might form a bump in the dijet invariant mass distribution, while the ML algorithm searches for a localized population of events with unusual jet substructure.
Speaker : Jack Collins ( University of Maryland and Johns Hopkins University )
ML4Jets_CWoLa_Hunting.pdf
QCD or What: Deep autoencoder based searches for new physics (20'+5') ¶
In the current era of high energy particle collider experiments, we are faced with an overwhelming amount of data and the limiting uncertainty in new physics searches can often come from theory and not experiment. In our efforts to develop new approaches to extract complex signals from large backgrounds, BDTs, neural networks and other machine learning techniques are becoming increasingly significant. These tools allow us to find patterns in data that would be impossible to identify with a simple cut-and-count approach. In this work we show how unsupervised learning approaches based on deep autoencoders can be directly trained on data and used for model-independent searches for new physics. Beyond autoencoder we will discuss progress in applying and understanding the four-vector based Lorentz-layer approach to new challenges.
Speaker : Gregor Kasieczka ( Hamburg University (DE) )
Autoencoder_ML4Jets.pdf
Searching for New Physics with Autoencoders (20'+5') ¶
Autoencoders as tools for new physics discovery. The key idea of the autoencoder is that it learns to map background events back to themselves, but fails to reconstruct anomalous events that it has never encountered before. The reconstruction error can then be used as an anomaly threshold. An illustrative example of background QCD jets versus tops will be discussed.
Speaker : Marco Farina ( Rutgers University )
Novelty Detection Meets Collider Physics (20'+5') ¶
Novelty detection is the machine learning task to recognize data belonging to an unknown pattern. Complementary to supervised learning, it allows to analyze data without a priori knowledge on signal or model-independently. In this talk, we would demonstrate the potential role of novelty detection in collider physics, using autoencoder-based deep neural network. Explicitly, we develop a set of density-based novelty evaluators, which are sensitive to the clustering of unknown-pattern data/signal events, for optimizing detection algorithms. We also study the generic influence of the known-pattern data fluctuations on detection sensitivity which arise from non-signal regions in the feature space (Look Elsewhere Effect). Strategies to address it are proposed. For proof of concept, the algorithms are applied to detecting signal/novel events which are defined by fermionic di-top partner and resonant di-top productions at LHC, and by exotic Higgs decays of two specific modes at future e+e- collider, respectively. With parton-level analysis, we show that the signal of new-physics benchmarks could be recognized with high efficiency.
Speaker : Tao Liu ( The Hong Kong University of Science and Technology (HK) )
| https://indico.cern.ch/event/745718/timetable/?view=standard_numbered_inline_minutes |
S. Choi's research works | Samsung Medical Center, Seoul and other places
S. Choi's 31 research works with 145 citations and 480 reads, including: An Interpretable Radiomics Model to Select Patients for Radiotherapy after Surgery for WHO Grade 2 Meningiomas
S. Choi's research while affiliated with South Florida Radiation Oncology and other places
What is this page?
Publications (31)
An Interpretable Radiomics Model to Select Patients for Radiotherapy after Surgery for WHO Grade 2 Meningiomas
Article
Nov 2022
S. Choi
C.J. Park
J. Eom
[...]
H.I. Yoon
Purpose/Objective(s)
This study investigated whether radiomic features can improve the prediction accuracy for tumor recurrence over clinicopathological features and if these features can be used to identify high-risk patients requiring adjuvant radiotherapy (ART) in WHO grade 2 meningiomas.
Materials/Methods
Preoperative magnetic resonance imagin...
Abstract No. 207 Feasibility study on Sirolimus-coated microneedle to reduce juxta-anastomotic stenosis in a rat arteriovenous fistula model
Article
Jun 2022
Kyung Koo Han
J. Kwon
S. Moon
[...]
J. Park
Abstract No. 521 Robot-assisted transarterial chemoembolization using “operation bed mounted master-slave robot system” for the treatment of hepatocellular carcinoma: pilot study to evaluate the safety and efficiency
Article
Jun 2022
J. Won
S. Choi
S. Chun
H. Kim
Clinical Features and Treatment Outcome of Resectable Pulmonary Large Cell Neuroendocrine Carcinoma
Article
Nov 2020
J.Y. Moon
H.K. Byun
J.J.B. Lee
[...]
S. Choi
Combining Radiotherapy with PI3K Isoform-Selectivity Inhibitor Increases Radiosensitivity And Suppresses Tumor Growth In Glioblastoma Cells
Nov 2020
M. Seol
S. Choi
H.I. Yoon
NRG Oncology/RTOG 1119: PHASE II Randomized Study of Whole Brain Radiotherapy/Stereotactic Radiosurgery with Concurrent Lapatinib in Patients with Brain Metastases from HER2-Positive Breast Cancer — A Collaborative Study of NRG and KROG (NCT01622868)
Nov 2020
I.A. Kim
J. Moughan
P.W. Sperduto
[...]
J.R. White
Cite
Request full-text
0779 Circadian Entrainment in 12h Night Shift Workers: The Environmental Lights Matter?
Article
May 2020
S Choi
H Park
E Joo
Introduction
Shift workers frequently suffer sleep disturbance in relation with the atypical work schedules. In particular, night shift workers are exposed to inevitable sunlight or bright indoor lights during the morning hours that may disturb their daytime sleep. We aimed to find out the optimal environmental lights to facilitate circadian entrai...
Early Epidemiological and Clinical Characteristics of 28 Cases of Coronavirus Disease in South Korea
Article
Full-text available
Feb 2020
I. Kong
Yoenyong Park
Y. Woo
National Emergency Response Center, Epidemiology and Case Management Team, Korea Centers for Disease Control and Prevention
Objectives:
The first confirmed case of coronavirus disease 2019 (COVID-19) in South Korea was reported in January 2020, with 28 confirmed cases reported as of February 14th, 2020. The epidemiological and clinical characteristics of all 28 cases were analyzed in response to this disease.
Methods:
The epidemiological characteristics and early cli...
Decreased functional connectivity in the default mode network in nightmare disorder patients compared to healthy controls
Article
Dec 2019
S. Park
J. Kim
S. Choi
[...]
Aly Suh
317PNovel fusion genes identified from matched primary and recurrent breast cancers by RNA-sequencing
Oct 2019
S Choi
J Kim
Il Yong Chung
[...]
S H Ahn
Background
Breast cancers display substantial inter/intra-tumor heterogeneity. While numerous fusion genes have been identified, most are found to be subclonal, passenger alterations. To discover fusion genes which drive tumor progression and metastasis, we performed RNA-sequencing of matched primary and metastatic breast cancer samples.
Methods
R...
Radiation Practice Patterns and the Impact of Radiotherapy on Complications after Breast Reconstruction: A Multicenter Study (KROG 18-04)
Jee Suk Chang
S. Choi
Kyung Hwan Shin
[...]
Y.B. Kim
Radiotherapy for Initial Clinically Positive Internal Mammary Nodes in Breast Cancer
Sep 2019
J. Kim
Jee Suk Chang
S. Choi
[...]
Ikjae Lee
ALLOGENEIC HEMATOPOIETIC CELL TRANSPLANTATION CAN ABROGATE INCREASING RISK OF RELAPSE FROM PERSISTENT MUTATIONS MEASURED BY TARGETED SEQUENCING AT REMISSION IN NORMAL KARYOTYPE ACUTE MYELOID LEUKEMIA: S1613
Jun 2019
T. Kim
Jai Sang Ahn
S.-H. Jung
[...]
D. D.H. Kim
Clinical Outcome after Multimodality Approach Including Radiation Therapy in Rhabdomyosarcoma: Single-Institution Experience
Nov 2018
J.J.B. Lee
S. Choi
C.O. Suh
Hong In Yoon
Management of Clinical Stage T1N0M0 Esophageal Cancer
Nov 2018
A.J. Yang
S. Choi
H.K. Byun
[...]
Chang Geol Lee
MA26.09 Lazertinib, a Third Generation EGFR-TKI, in Patients with EGFR-TKI-Resistant NSCLC: Updated Results of a Phase I/II Study
Oct 2018
B.C. Cho
Jongbin Han
Saman Kim
[...]
Minhyuk Ahn
0646 Fatigue, Sleep And Shift Satisfaction In Rotating Shift Nurses: 12h-shifts Versus 8h-shifts
Apr 2018
S Choi
E Joo
Introduction
Typical schedule of nurses who work for hospital in-patients is usually fast rotating 8 hour three-shifts in Korea. For the easy adaptation of shift work, flexible work schedules such as fixed night-shift or 12 hour two-shifts are available. We hypothesized that 12-hour two-shift schedule was more satisfactory and adaptable for nurses...
0349 Reliability Of Actigraphy Of Long-term Sleep-wake Recording In Patients With Chronic Insomnia Disorder: Comparison Of Polysomnography
H Jo
A Jung
S Choi
E Joo
Introduction
Wrist actigraphy (ACT) is useful to monitor sleep and is well-correlated with simultaneous recorded data from polysomnography (PSG) in patients with chronic insomnia disorder (CID). However, few works investigated whether long-term data from ACT were similar with PSG in CID patients. We investigated the reliability of ACT in the estima...
0942 Treatment Effects Of Imagery Rehearsal Therapy In Female Nightmare Disorder Patients With Trauma History: Data driven Analyses Using Resting State Functional Connectivity Study
Aly Suh
J Kim
S Han
[...]
E Joo
Introduction
Imagery Rehearsal Therapy(IRT) is relatively a new evidence-based treatment for nightmare disorder patients. This is the first time investigating the treatment effects of IRT using fMRI. Based on past studies by Shen et al.(2016), nightmare disorder patients show increased regional homogeneity in both the anterior cingulate and inferio...
Low Density Lipoprotein Cholesterol (LDL-C) Target Goal Achievement Rate According to Physicians’ Compliance to Established Clinical Guidelines from National Cholesterol Education Program-Adult Treatment Panel (NCEP-ATP) and American College of Cardiology/American Heart Association (ACC/AHA): Results from Korea Cristar Study
I Chae
Bk Kim
J Lee
[...]
Yoolree Kim
Locoregional Treatment of the Primary Tumor Shows Survival Benefit in De Novo Stage IV Breast Cancer
Oct 2017
S. Choi
Woo Joong Rhee
Tae Hun Kim
[...]
Ikjae Lee
Clinical Usefulness of Double Biomarkers 18F-Flurodeoxyglucose-Positron Emission Tomography and Carbohydrate Antigen 19-9 for Survival Prediction in Locally Advanced Pancreatic Cancer Patients Treated with Chemoradiation Therapy
Oct 2017
S. Choi
Jee Suk Chang
Woo Joong Rhee
Jinsil Seong
Role of Salvage Radiotherapy for Recurrent Thymoma
A.J. Yang
Younghee Cho
S. Choi
[...]
J.H. Cho
Reduced Pelvic Field Sparing Anastomosis for Postoperative Radiation Therapy in Selected Patients With Mid-Upper Rectal Cancer
Oct 2016
S Choi
Jee Suk Chang
Y.B. Kim
W.S. Koom
Are circadian preferences and sleep quality different according to epilepsy classification?
Dec 2015
S. Choi
E. Joo
S. Hong
Sleep disturbances in patients with idiopathic restless leg syndrome: Clinical, mood, and polysomnographic comparisons with other sleep disorders
H. Jang
E. Joo
S. Yun
[...]
S. Hong
Is sleep disturbances in men with obstructive sleep apnea syndrome related to libido?
Dec 2015
Jun Kyu Mun
E. Joo
S. Yun
[...]
S. Hong
Cite
Request full-text
Prognostic Significance of Tumor Metabolism in Early Uterine Cervical Cancer Patients Treated With Radical Surgery and Postoperative Radiation Therapy
Poster
Nov 2015
Hyun Ju Kim
S. Choi
Woo Joong Rhee
[...]
Y.B. Kim
Inclusion of Peritumoral Edema in the Delineation of Radiation Therapy Target Volume Reduces Marginal Failures in Glioblastoma Patients Undergoing Standard Temozolomide Based Chemoradiation
Article
Nov 2015
S. Choi
J.W. Kim
J.H. Cho
[...]
C.O. Suh
FDG-PET as a Predictor of Outcome Following Radiation Therapy for Bone Metastasis in Patients With Hepatocellular Carcinoma
Article
Oct 2013
Jee Suk Chang
S. Choi
Y. Jeong
[...]
Jinsil Seong
Species of wooden buddhist statues of the late joseon dynasty in jeollado, south korea
Article
W.K. Park
J.A. Oh
Y. Kim
[...]
S. Choi
Citations
... [18][19][20][21][22][23][24] The combination of lapatinib and radiotherapy administered concurrently has been evaluated in phase I studies and phase II RTOG 1119 study. 25,
26
A promising result was seen in a small cohort of 40 patients, where patients who received SRS with lapatinib had better PFS compared with those who did not receive lapatinib. 27 Trastuzumab has poor ability to cross BBB before the development of brain metastasis but attains a higher CSF concentration after the disruption of BBB either due to brain No. risk metastasis itself or localized intervention. ...
Reference: Clinical Profile and Outcome of Patients With Human Epidermal Growth Factor Receptor 2-Positive Breast Cancer With Brain Metastases: Real-World Experience
NRG Oncology/RTOG 1119: PHASE II Randomized Study of Whole Brain Radiotherapy/Stereotactic Radiosurgery with Concurrent Lapatinib in Patients with Brain Metastases from HER2-Positive Breast Cancer — A Collaborative Study of NRG and KROG (NCT01622868)
Citing article
Nov 2020
I.A. Kim
Jennifer Moughan
P.W. Sperduto
J.F. De Los Santos
J.R. White
... An epidemiological study of 3,711 people who had quarantine period on board the Diamond Princess cruise ship after the SARS-CoV-2 detection in one of the passengers demonstrated that 17.9% of all infected people had non-symptomatic disease [3]. Another group of researchers found that the ratio of the number of people with clinical symptoms of the disease to the number of non-symptomatic individuals after a median incubation period of 14 days was 101:10000
[4]
. According to the European Center for Disease Prevention and Control (ECDC), in the period from December 31, 2019 to December 18, 2022, 657.677.046 ...
Reference: COVID-19: Mechanisms, risk factors, genetics, non-coding RNAs and neurologic impairments
Early Epidemiological and Clinical Characteristics of 28 Cases of Coronavirus Disease in South Korea
Citing article
Feb 2020
I. Kong
Y. Park
Y. Woo
J. Lee
National Emergency Response Center, Epidemiology and Case Management Team, Korea Centers for Disease Control and Prevention
... Last,
Park et al. (2019)
compared the functional connectivity of Nightmare Disorder participants (n = 12) with that of an age-and sex-matched control group. Compared to controls, nightmare participants exhibited decreased connectivity between the posterior cingulate cortex and the left superior frontal gyrus. ...
Reference: Local Neuronal Synchronization in Frequent Nightmare Recallers and Healthy Controls: A Resting-State Functional Magnetic Resonance Imaging Study
Decreased functional connectivity in the default mode network in nightmare disorder patients compared to healthy controls
Citing article
Dec 2019
S. Park
J. Kim
S. Choi
E Joo
Sooyeon Suh
... 7 Recently, intensity-modulated radiotherapy (IMRT) and volumetric modulated arc therapy (VMAT) have been implemented clinically as treatment options to improve dose homogeneity and decrease normal tissue irradiation for complex treatment volumes, as in the case of SBBC. [7][8][9][10]
[11]
Nicolini et al. reported a planning study for VMAT and fixed-field IMRT of 10 SBBC patients. 8 They found that the VMAT technique, with simultaneous integrated boost, improved dosimetry and shortened treatment time compared to IMRT. ...
Reference: Evaluation of the dosimetric and radiobiological parameters in four radiotherapy regimens for synchronous bilateral breast cancer
Radiotherapy for Initial Clinically Positive Internal Mammary Nodes in Breast Cancer
Citing article
Sep 2019
J. Kim
Jee Suk Chang
S. Choi
Y.B. Kim
Ik Jae Lee
View
... Although randomized trials are lacking, there is evidence that allogeneic hematopoietic stem cell transplantation (HSCT) may improve outcomes in patients who remain MRD positive after intensive chemotherapies [3,
9]
, with the caveat of inferior outcomes for MRD-positive compared to MRD-negative patients after HSCT [8,10,11]. Two studies impressively pointed out that the detection of persisting gene mutations at HSCT associates with adverse clinical outcomes [8,10]. ...
Reference: Measurable residual disease of canonical versus non-canonical DNMT3A, TET2, or ASXL1 mutations in AML at stem cell transplantation
ALLOGENEIC HEMATOPOIETIC CELL TRANSPLANTATION CAN ABROGATE INCREASING RISK OF RELAPSE FROM PERSISTENT MUTATIONS MEASURED BY TARGETED SEQUENCING AT REMISSION IN NORMAL KARYOTYPE ACUTE MYELOID LEUKEMIA: S1613
Citing article
Jun 2019
T. Kim
Jin Seok Ahn
S H Jung
S.-Y. Ahn
D. D. H. Kim
... Lazertinib is an oral, highly potent, third-generation EGFR TKI that inhibits both primary activating Exon 19del or Exon 21 L858R substitution EGFR mutations and the EGFR T790M+ resistance mutation while sparing the wild-type EGFR
[28]
. Preclinical studies suggest that lazertinib has in vitro potency, selectivity and high blood-brain barrier penetration comparable to osimertinib [29]. ...
Reference: MARIPOSA: phase 3 study of first-line amivantamab + lazertinib versus osimertinib in EGFR-mutant non-small cell lung cancer
MA26.09 Lazertinib, a Third Generation EGFR-TKI, in Patients with EGFR-TKI-Resistant NSCLC: Updated Results of a Phase I/II Study
Citing article
Oct 2018
B.C. Cho
J. Han
S. Kim
K. Lee
M. Ahn
... Compared to controls, nightmare participants had decreased functional connectivity in the right middle cingulate cortex and the medial frontal gyrus, and increased connectivity in the inferior frontal gyrus and parts of the cerebellum. A second
Suh et al. (2018)
investigated functional connectivity in 12 female Nightmare Disorder participants before and after 5 weekly sessions of Imagery Rehearsal Therapy, with the anterior cingulate cortex used as seed. Post-therapy, participants exhibited decreased connectivity between the anterior cingulate cortex and medial/orbitofrontal cortex and some parietal areas. ...
Reference: Local Neuronal Synchronization in Frequent Nightmare Recallers and Healthy Controls: A Resting-State Functional Magnetic Resonance Imaging Study
0942 Treatment Effects Of Imagery Rehearsal Therapy In Female Nightmare Disorder Patients With Trauma History: Data driven Analyses Using Resting State Functional Connectivity Study
Citing article
Apr 2018
Sooyeon Suh
J. Kim
S. Han
N Cho
E Joo
... To this end, archaeological woods containing various tree species need to be found in archaeological relics, buildings, and artifacts, which cover long time range without any interruption. According to past studies [17][18]
[19]
[20], tree species used for buildings, Buddhist statues, furniture and charcoals were different in some cases with respect to time and region in the Republic of Korea. Due to a lack of long local master chronologies for various tree species, most studies on dating archaeological woods rely on the radiocarbon dating method [21][22][23]. ...
Reference: Synchronizations of tree-ring δ18O time series within and between tree species and provinces in Korea: a case study using dominant tree species in high elevations
Species of wooden buddhist statues of the late joseon dynasty in jeollado, south korea
Citing article
Jan 1970
W.K. Park
Jung-Ae Oh
Y. Kim
S.K. Kim
S. Choi
Top co-authors (50)
Jee Suk Chang
Yonsei University Hospital
Woo Joong Rhee
Yonsei University
Ikjae Lee
Yonsei University
Y.B. Kim
Chang Ok Suh
S. Hong
J.W. Kim
Top journals
International Journal of Radiation Oncology, Biology, Physics (15)
Sleep Medicine (4)
Sleep (4)
Journal of vascular and interventional radiology: JVIR (2)
Value in Health (1)
Affiliations
Samsung Medical Center
Department
Department of Neurology
South Florida Radiation Oncology
Department
Department of Radiation Oncology
Yonsei University Hospital
University of Ulsan
Sungkyunkwan University
Disciplines
| https://www.researchgate.net/scientific-contributions/S-Choi-2228737234 |
(PDF) Future export markets of industrial wood construction – A qualitative backcasting study
PDF | The forest sector can play a major role in the transformation to a sustainable bioeconomy, driven by climate change, population growth, and... | Find, read and cite all the research you need on ResearchGate
Future export markets of industrial wood construction – A qualitative backcasting study
July 2021
Forest Policy and Economics 128(2002):102480
DOI: 10.1016/j.forpol.2021.102480
License
CC BY-NC-ND 4.0
Authors:
Adjunct professor, research coordinator on bio-economy, forest economics and marketing, University of Helsinki
Government
University of Helsinki
Abstract and Figures
The forest sector can play a major role in the transformation to a sustainable bioeconomy, driven by climate change, population growth, and accelerated urbanization. However, in most contexts, the industrial wood construction markets, as a promising field for sustainable bioeconomy, are still at a niche level. The analysis in this study concerns the preferred future export markets for industrial wood construction for the Finnish wood construction industry, as viewed by a panel of industrial, policy and academic experts. The aim is to identify promising export markets for Finland, and to identify required pathways by 2030. A qualitative participatory backcasting method was applied to explore the future visions of the industrial wood construction (IWC) sector and its export markets, as well as the pathways from the current towards the envisioned future. Thirty-five experts formed a panel which produced five visions of the development of industrial wood construction sector exports from Finland, covering the period 2020–2030. All the visions foresaw that the domestic market needs to develop first, to build up the competencies needed to fuel the growth in the exports. Asia, particularly China with its rapidly growing markets, and Europe, with its growing sustainability awareness, commonly appeared as the most promising areas for export growth. The resulting visions differed in terms of export portfolios, varying from more traditional wood materials and products to product-service-solutions. The policy measures identified to accelerate the envisioned growth included harmonization of product and building standards and regulations in the Nordic region and beyond, developing the educational base, and using of digital solutions in building new networks and communication in the IWC sector.
Participatory backcasting process of the study. …
Key features of the visions created by five teams of the industrial wood construction sector in Finland, and its exports in 2030. …
Figures - uploaded by
Heini Vihemäki
Forest Policy and Economics 128 (2021) 102480
Available online 17 April 2021
1389-9341/© 2021 The Author(s). Published by Elsevier B.V. This is an open access article under the CC BY-NC-ND license
( http://creativecommons.org/licenses/by-nc-nd/4.0/ ).
Future export markets of industrial wood construction – A qualitative
backcasting study
Ritva Toivonen , Anna Lilja , Heini Vihem ¨
aki , Anne Toppinen
University of Helsinki, Department of Forest Sciences and Helsinki Institute of Sustainability Science, 00014, Finland
ARTICLE INFO
Keywords:
Wooden multi-storey construction
Exports
Futures studies
International market selection
Sustainability
Policy
ABSTRACT
The forest sector can play a major role in the transformation to a sustainable bioeconomy, driven by climate
change, population growth, and accelerated urbanization. However, in most contexts, the industrial wood
construction markets, as a promising eld for sustainable bioeconomy, are still at a niche level. The analysis in
this study concerns the preferred future export markets for industrial wood construction for the Finnish wood
construction industry, as viewed by a panel of industrial, policy and academic experts. The aim is to identify
promising export markets for Finland, and to identify required pathways by 2030. A qualitative participatory
backcasting method was applied to explore the future visions of the industrial wood construction (IWC) sector
and its export markets, as well as the pathways from the current towards the envisioned future. Thirty-ve
experts formed a panel which produced ve visions of the development of industrial wood construction sector
exports from Finland, covering the period 2020 – 2030. All the visions foresaw that the domestic market needs to
develop rst, to build up the competencies needed to fuel the growth in the exports. Asia, particularly China with
its rapidly growing markets, and Europe, with its growing sustainability awareness, commonly appeared as the
most promising areas for export growth. The resulting visions differed in terms of export portfolios, varying from
more traditional wood materials and products to product-service-solutions. The policy measures identied to
accelerate the envisioned growth included harmonization of product and building standards and regulations in
the Nordic region and beyond, developing the educational base, and using of digital solutions in building new
networks and communication in the IWC sector.
1. Introduction
The construction sector faces a pressing need to shift towards envi-
ronmentally sustainable and climate smart, low-carbon solutions. This is
because buildings are responsible for 39% of global carbon emissions
( World GBC , 2019 ), combined with the common estimations of strong
future population growth and urbanization. Wood-based urban building
solutions are one of the options for addressing these challenges and the
carbon storage capacity of harvested wood products is a sustainability
benet . The use of wood in construction reduces environmental and
climatic impacts of construction, such as carbon emissions, energy and
non-renewable material consumption, when compared with concrete or
steel construction ( Upton et al., 2008 ; Sathre and Gustavsson, 2009 ).
Due to its climatic and other sustainability benets, wood con-
struction has been assessed as having a growing market potential
( Kibert, 2016 ; Kuzman and Sandberg, 2017 ), particularly in the urban
contexts. In Europe, there are signs of actual growth in industrial wood
construction: new wood-based products suitable on an industrial scale in
an urban context have been introduced within the past few decades
These include cross-laminated timber (CLT) which is also suitable for
residential wooden multi-storey construction (WMC) (e.g., Brege et al.,
2014 ) . These new products and technologies have been the subject of
growing attention in Europe, but also in countries such as Canada,
Australia and the United States (e.g., Moriarty, 2018 ; Evison et al.,
2018 ). There is signicant potential for sustainable wood-based solu-
tions on the construction sector. However, realizing this potential will
call for new technologies and products suitable for urban construction
and large scale industrial production, and major overall development in
the wood industry and construction sector.
Future development of WMC markets, as a key sector of industrial
wood construction (IWC), has been addressed in several studies, but at a
rather general level (e.g., Riala and Ilola, 2014 ; Hurmekoski et al., 2015 ;
Rebane and Reihan, 2016 ; Toppinen et al., 2018 ; Markstr ¨
om et al.,
2019 ) or by focusing more on the external market and policy
* Corresponding author.
E-mail address: anne.toppinen@helsinki. (A. Toppinen).
Contents lists available at ScienceDirect
Forest Policy and Economics
journal homepage: www.elsevier.com/locate/forpol
https://doi.org/10.1016/j.forpol.2021.102480
Received 12 March 2020; Received in revised form 29 March 2021; Accepted 10 April 2021
Forest Policy and Economics 128 (2021) 102480
2
environment ( Hurmekoski et al., 2015 ; Packalen et al., 2017 ). Regarding
the demand drivers of residential side of WMC, Hurmekoski et al. (2015)
highlighted that economic growth, urbanization and demographic
development are the key inuencing factors. The importance of con-
sumer perceptions, industry attitudes and regulatory frameworks with
regard to use of wood in construction have been emphasized in previous
studies (e.g., Jonsson, 2009 ; Wang et al., 2014 ; Markstr ¨
om et al., 2019 ).
However, the expected effects of such factors on future WMC markets, or
more largely IWC markets, have not been systematically analysed.
Overall, the role of international trade or marketing aspects for the
future development of IWC have scarcely been studied so far, consti-
tuting a knowledge gap.
Despite many factors creating the potential for growth, and the
emergence of new wood products and technologies suitable for urban
markets, industrial wood construction solutions are still a niche in Eu-
ropean and global construction markets. Finland is no exception in this
regard: exports of wooden housing comprises mainly single houses
( H ¨
anninen et al., 2007 ). The domestic market is the largest market area
for Finnish wooden (construction) products. However, the volume of the
domestic markets has decreased during the period 2008 – 2014 due to a
lengthy economic recession and the concentration of building activity in
the urban areas, dominated by multi-storey building. The market share
of residential WMC remains at around 5 – 6% of all residential multi-
storey buildings ( Franzini et al., 2018 ). Based on informal forest in-
dustry statistics, wooden houses account for only a couple of percent and
building joineries less than one-tenth of the total export value of wood
products in Finland. Investments in value-added engineered wood
products (EWPs) have increased in the country, including new green-
eld CLT plants, albeit slowly.
One cause of the persistently low market share of WMC in the con-
struction business is the conservativeness of the building industry and
the strong path dependency favouring concrete as a raw material
( Hurmekoski et al., 2015 , Matinaro and Liu, 2017 , Hemstr ¨
om et al.,
2017 ). In addition, while end-users may associate wood as a construc-
tion material in a positive way, “ soft factors ” like eco-friendliness, aes-
thetics or renewability of material are not sufciently strong to trigger
higher demand for WMC ( Gold and Rubik, 2009 ; Viholainen et al.,
2020 ). Additionally, end-users also have their prejudices about wood,
related to perceived poor re safety and higher maintenance costs of
wooden materials (see for example H ø ib ø et al., 2018 ; Larasatie et al.,
2018 ).
WMC projects typically involve several partners with different
expertise and interests ( Hemstr ¨
om et al., 2011 ; Toppinen et al., 2019 ).
This creates challenges, because traditional business ecosystems need to
adapt to changes in markets and customer needs in order to function
efciently. Lack of knowledge about WMC technology among the con-
struction sector experts, and absence of common standards for WMC
construction also slow down the adoption of wood in urban and indus-
trial scale construction ( Franzini et al., 2018 ). If international markets
are targeted, the knowledge base includes understanding of customer
needs in export markets. In addition, marketing and international
business skills are important for success ( Hietala et al., 2019 ).
Modern industrial wood construction may be still considered to be
innovative solutions which so far have had only a niche market segment.
Hence, forecasting such complicated and multi-dimensional develop-
ment like export markets of industrial wood construction is difcult due
to lack of any historical empirical data, such as export statistics.
Therefore, qualitative foresight approaches are needed.
In this paper we attempted 1) to build visions for the future pathways
of the presently immature wood-construction-related export markets,
and 2) to identify promising future target markets in the case of Finnish
industrial wood construction sector. A qualitative, participatory back-
casting approach with a comprehensive expert panel data has been used
to produce alternative visions of the export market development,
including the composition of a preferable export portfolio in most
appealing market areas. We utilized an international market selection
(IMS) approach (e.g. Andersen and Buvik, 2002 ) in designing key ele-
ments to inform experts of critical aspects to be considered in assessing
attractive export markets. Hence, our interest in the backcasting process
was also to build experiences from applicability of this approach in the
case of both new innovative products and immature niche markets.
2. Background for building development pathways and
identifying export markets
Amara (1991) classied the approaches of futures research into three
categories: identifying the possible, the probable and the preferable
futures. We follow the latter approach through which futures research is
characterised by understanding the future as something that can be
inuenced, rather than something that only needs to be predicted and
accommodated in the form of various potential scenarios ( H ¨
ojer et al.,
2011 ). With this approach, we used the backcasting methodology,
which is particularly applied in creating future visions of complex and
immature phenomena, such as our research case. It differs from regular
forecasting which predicts the future from the present using explorative
scenarios (e.g. Vergragt and Quist, 2011 ). In the forest sector, quanti-
tative scenario studies have been more predominant than applications of
participatory backcasting. However, e.g., Hurmekoski and Sj ø lie (2018)
and Sj ø lie et al. (2016) provide insight on the complementarity of the
scenario and backcasting methods in the eld of forest sector studies.
According to Dreborg (1996) , backcasting methods are suited for
long-term issues in comparison to the traditional forecasting approaches
strengthening ongoing trends, which prevents observing alternative
pathways or breaks in trends. Backcasting is particularly suitable for
determining long-term future visions, and for analysing potential
alternative developments of complex issues, e.g., such as technological
changes ( Phdungsilp, 2011 ; Doyle and Davies, 2013 ; Dreborg, 1996 ;
Mont et al., 2014 ), and in creating visions of preferable future devel-
opment, and in nding ways to adapt to or inuence changes in the
future ( Quist and Vergragt, 2006 ). According to Bibri (2018) , it is
viewed as a natural step in operationalizing sustainable development
within different societal spheres due to its normative, goal-oriented, and
problem-solving character. In line with Wangel (2011) , we thus benet
from applying backcasting as a participation-oriented workshop tech-
nique, but also having results-oriented view for identifying the future
pathways.
In the context of depicting the ideal future, the backcasting process
begins with dening a vision(s) of the future from normative perspec-
tive, and then identifying pathways to reach it (e.g., H ¨
ojer and Mattson,
2000 ). This is a clear difference compared with e.g. econometric fore-
casting models that use historical data to create a prognosis of the future
based on a model of historic interlinkages between the underlying fac-
tors. In our study, we seeked to create preferable future visions of the
Finnish IWC sector and its export potential by applying a participatory
backcasting approach. This approach helps to recognize future oppor-
tunities (e.g. Phdungsilp, 2011 ; Quist and Vergragt, 2006 ). In practice,
the methodology used in this study comprises a systematic foresight
visioning exercise of potential export development pathways by 2030 in
the context of the Finnish IWC sector. This also enables systematically
identifying measures to reach such preferable futures.
International market selection (IMS) approach (e.g., Andersen and
Buvik, 2002 ; Brewer, 2001 ; Sakarya et al., 2007 ) has been employed to
identify key elements and criteria for assessing potentially attractive
export markets. IMS literature comprises of a variety of approaches (e.g.
Papadopoulos and Martin, 2011 ). However, IMS research commonly
draws attention to several important key issues for assessment, such as
political, cultural, demographic, social and economic environments,
geographic location and reachability, industrial structure and
advancement of technology, religion and education ( Baorakis et al.,
2017 ; Brewer, 2001 ; Wood and Robertsons, 2000 ). The IMS approach
may also include identication of potentially attractive customer seg-
ments ( Papadopoulos and Martin, 2011 ). This is a relevant consideration
R. Toivonen et al.
Forest Policy and Economics 128 (2021) 102480
3
also in this study, focusing on new products which do not yet have well-
established markets. The IWC business is rather fragmented and the
rms tend to be small and medium sized, but small rms can also benet
from the systematic selection procedures of international markets
( Brouthers and Nakos, 2005 ).
In this study, we applied the IMS approach, and used the key ele-
ments introduced by Brewer ’ s (2001) process model. In practice, the key
elements presented by Brewer (2001) were used as guidelines in framing
the questions in the expert panel surveys and instructions and infor-
mation given to the participants in the participatory workshop. The
background information provided for the experts included statistics on
exports of wood products from Finland. These key elements were
tailored and made to t the case of IWC/WMC markets with the help of
the literature (see e.g. Nordin et al., 2010 ; Riala and Ilola, 2014 ; Hur-
mekoski et al., 2015 ; Toppinen et al., 2019 ), and three thematic Finnish
IWC sector expert interviews.
3. Data and methods
In the study, our focus was on the exports of industrial wood con-
struction products, technologies and services, and visions of the pref-
erable future development of such markets. These products and
technologies are not yet well-established in any market, including
Finland. Statistical data to assess the future market potential were
therefore limited regarding our research object. We chose to use back-
casting as one of the normative approaches in futures research. The
backcasting approach in this study relied on a panel of Finnish experts
from wood industry and wood construction sector. The aim of the
analysis was 1) to determine preferred future visions of exports of in-
dustrial wood construction products and services from Finland by year
2030, and 2) to capture an understanding of potential development
pathways, including policy measures needed, for reaching the visions
( Fig. 1 ).
The foresight visioning procedure is based on a backcasting exercise
conducted with the panel of Finnish IWC sector experts (explained in
more detail below). By relying on the IMS and the WMC literature cited
above, the following factors were identied as important aspects to
consider in assessing potential future exports and export markets for
industrial wood products: 1) Acceptance of wood; including building
regulations and consumer attitudes, and 2) Demographics; including
market volume growth, urbanization, and population development.
To design the backcasting process in more detail, the current state of
the Finnish industrial wood construction sector and its exports had to be
assessed rst. Background data for this included statistics and other
secondary material (see Appendix 1). In addition, three thematic in-
terviews with wood construction sector experts provided background
data for the authors about the Finnish IWC sector. These results were
used as a background in wording the IMS key elements more tangibly
and relevant in the case of the Finnish wood industry for the backcasting
panel exercise guidelines, and the pre- and post-workshop survey
questionnaires. The backcasting workshop, and the pre- and post-
workshop surveys constituted the core elements of the data-collection
(see Fig. 1 ).
For the foresight backcasting workshop, 72 Finnish experts were
invited via a personal email invitation in January 2019. The wide target
group included experts employed in the public and private organizations
related to the wood industry and wood construction including the whole
value chain, which made the process participatory and open. In the end,
35 experts accepted the invitation and attended the backcasting work-
shop organized in Helsinki on 13 February 2019. Among the 35 work-
shop participants, 14 had industry background, 14 were academic
experts from either wood based value chains or educational sciences, 6
represented either national or local policy makers and 1 was from
media. As far as it was possible to assess, there was little difference in
terms of the professional backgrounds and levels of experience between
those who were invited and those who participated. The nal
composition of participants was representative in terms of the rather
specic area of expertise targeted, focusing on industrial wood con-
struction markets and exports.
In addition to the backcasting workshop, the panel of experts
received a survey questionnaire both before and after the workshop.
These pre- and post-workshop survey questionnaires (thematic, semi-
structured) were shared with the panel members through an electronic
survey tool. The survey results served to introduce the panel members to
the theme of the workshop, and supported the design of the themes to be
addressed in the actual workshop (pre-workshop survey), and in deep-
ening the visions created at the workshop (post-workshop survey),
particularly regarding future export products and markets. The panel-
lists answered the pre-workshop survey when they registered for the
event (27 responses). The survey themes are shown in Appendix 2.
The backcasting workshop for the expert panel started with eight
presentations providing various insights into wood construction exports
and products in Finland and globally. The actual foresight envisioning
activity started by dividing the panellists into ve teams based on their
various backgrounds. Each team had similar instructions and tasks: to
envision the future of the exports of Finnish industrial wood construc-
tion in 2030 (including key products/services, and key export regions,
and factors driving the changes) with the help of the pre-prepared
guiding questions provided by facilitators.
1
The questions followed the
international market selection model (IMS), which was built around our
study context with the preliminary expert interviews (see composition in
Appendix 1) and the pre-workshop survey results.
After coming up with the future vision, the teams concentrated on
analysis of the current markets. Next, the teams identied the resources
and measures necessary in 2020 in order to achieve the future vision by
2030.
2
Lastly, the teams drew up a development path leading from 2020
to the optimal vision in 2030, including the policy instruments and other
actions needed to support the envisioned development. As part of this,
an ideal mid-term condition of the Finnish wood construction industry
and its exports in 2025, was also formulated. These time points were to
help to address the themes being assessed or envisioned at different
phases.
The facilitators assisted in documenting the outcomes, including the
team ’ s actions and comments, and kept track of the time. In the last hour
of the backcasting workshop, two of the ve teams presented and
grounded their visions, including the development pathways and the
identied the necessary actions to follow to this pathway from the
current situation. Other teams commented on the foresight visions
presented according to their own team ’ s outcomes.
After the workshop, a follow-up questionnaire was sent to the experts
who had attended the workshop to collect more detailed data about the
key export countries and export volume development (11 responses)
(Appendix 2). The backcasting process thus included collecting data
from 1) the pre-workshop survey responses of 27 panel experts (indi-
vidual responses), 2) the workshop data (ve teams, in total 35 panel-
lists), 3) the post-workshop survey responses of 11 panel experts
(individual responses).
1
A researcher/student familiar with the topic.
2
The year 2030 is decided for the future assessment because many European
wood industry ’ s promotional organizations position papers and political
enhancement strategies have been drawn up for 2030. This includes Manufu-
ture Vision 2030: Competitive, Sustainable and Resilient European
Manufacturing by Manufuture High-Level Group (2018), Revised vision 2030
for the European forest-based sector by the European Forest Technology Plat-
form (2012), and Government report on the National Energy and Climate
Strategy for 2030 by Finnish Ministry of Employment and the Economy (2017).
R. Toivonen et al.
Forest Policy and Economics 128 (2021) 102480
4
4. Results
4.1. Expert visions on industrial wood construction sector and exports by
2030
The future visions about the Finnish industrial wood construction
sector, exports and the development pathways towards 2030 are
presented in this section as projected by the experts participating in the
backcasting workshop. The data from the expert panel pre- and post-
workshop surveys were used to create a more nuanced and in-depth
understanding about the variations in the visions and the related path-
ways. These insights are authenticated by using citations from the
participants.
Five visions resulted from the backcasting workshop to foresee
Fig. 1. Participatory backcasting process of the study.
Table 1
Key features of the visions created by ve teams of the industrial wood construction sector in Finland, and its exports in 2030.
Team 1 Team 2 Team 3 Team 4 Team 5
Key characteristics of
the Vision 2030,
including type of
exports, target
regions (T) , drivers of
change (D)
Export of expertise and
services
T: Cities in Europe, seismic
activity regions, Japan, China
and Australia
D: Existing networks and
strong co-operation with the
key players in the sector, high
levels of knowledge on
concepts of wood
construction
Export of concepts and
projects, specialty service
buildings (e.g. kindergartens,
luxury multi-story buildings)
T: The Nordic countries, Russia
and China
D. High quality and speed of
wood construction projects,
in-depth understanding of
the customers
Export of value-added
materials, know-how,
integrated projects
T: China, Africa, Germany,
France, the UK and the Nordic
countries
D: Well-established
ecosystems among the
industry and the sector, and
Smooth communication,
information on wood
construction is well
available
Export of materials,
(service) concepts and
projects (e.g. combining
building and education),
know-how, wooden
multi-storey buildings
Value-added materials
have a higher proportion
of exports than projects
T: Increased exports to
China and Africa
Export of value-added
materials and projects
T: China
D: Customers and society
are familiar with wood
construction, IWC
industry is well-
developed
Milestones reached
and additional
measures needed (A)
at Mid-term (2025)
Consumer demand has
increased for wooden
apartment buildings
Finnish companies invest in
specialization such as hybrid
construction solutions,
retrots with wood, and
providing wood-based
solutions to cities
A: Co-operation with
neighbouring countries, open
digital platform for connecting
wood construction operators
Building regulations are
increasingly harmonized
between the Nordic
countries, ideally also
between the EU countries
A: Activation of international
students for branding Finnish
wood construction for export
markets
Export (volumes) have
increased, growth continues
Finnish WMC companies
operating internationally
Companies provide also
concept-type solutions to the
markets, not only materials
Finland exports more value-
added materials to Asia than
in 2020
Global increase in carbon
emissions provides a boost
for the IWC growth
Pilot projects have been
successfully exported,
export of concept-type
projects has increased
Architectural
competence has
widened, international
students have been
involved in the business
and export
More suitable funding
instruments have been
developed that provide
opportunities to the IWC
sector
Wood construction
projects have increased
in the domestic markets,
export of value-added
materials has increased
Increased exports
especially to Asia
The competence of
international students in
marketing and branding
of wood construction
internationally has been
tapped into
Key measures needed
presently (2020)
Co-operation between
relevant operators and
stakeholders to be
accelerated, particularly
ministries (the Ministry of
Education and Culture and the
Ministry of Environment),
construction industry
companies, education sector
and investors
Development of new business
concepts, expertise and
capacity in the IWC sector to
be accelerated
Domestic market activation,
more wood construction
projects to be initiated
nationally
Building regulations (and
implementation) to be
harmonized, at least in the
domestic market and
between municipalities,
including land use planning
Co-operation between the
Nordic countries to be
increased, e.g. in the eld of
regulation harmonizing
Co-operation between the
key players in the IWC sector
to be extended
Specic education
programmes to be launched
for building capacity
Business networks for open
communication and peer
learning to be created
Level of education in
wood construction to be
increased and widened,
including knowledge on
raw materials
Co-operation and trust
between the players in
the wood construction
sector in Finland to be
increased
Understanding of market
specic standards in
WMC to be increased
R. Toivonen et al.
Forest Policy and Economics 128 (2021) 102480
5
growth and exports of the IWC sector, by 2030 and Table 1 describes the
key elements of each of the ve visions produced at the workshop. The
pathways from the current (2020) to 2025 and nally to 2030 have also
been described in each case. However, assessing the pace of growth, i.e.,
the volume or value growth of exports in numeric terms was challenging
and remained open. This challenge was also demonstrated in the post-
workshop responses, which included a wide range in the prospected
growth ranging between 30% and 500%, and a quote from a participant:
“ It is difcult to imagine the numbers. However, I assume that the in-
crease will be considerable, if we are able to add production capacity, which
at the moment is quite small. “ [Panellist, Research 1].
The preferred future visions created by the expert teams varied, e.g.
in terms of export products – particularly the degree of emphasis on
value-added products and projects. There were also variations regarding
the type of projects or end-uses of buildings to be provided to export
markets. While the wood construction literature tends to focus on the
residential segment, the resulting visions commonly indicated various
kinds of specialty or service-related buildings as potential areas of export
growth, such as schools, kindergartens, or senior care homes.
The most attractive markets for future exports, as foreseen in the ve
visions, included the developed markets in Europe. For instance, the
Nordic countries, France, the UK and Germany were identied as
particularly interesting regions within Europe. Asia, and particularly
China, was highlighted almost unanimously. Africa was also mentioned,
but only in some of the visions.
The envisioned growth of the Finnish IWC sector, both on domestic
and export markets, was seen to incorporate building up new partner-
ships and business ecosystems, also with the construction industry in
neighbouring countries. The lack of specic industrial wood-
construction-related education was commonly noted as one of the key
challenges for accelerating growth in domestic markets, and of the
sector generally (with a similar nding emerging recently from Korho-
nen et al., 2021 ). The need for harmonizing product and building reg-
ulations, foremost between the Nordic countries, but also more broadly,
was clearly underlined. These changes are assessed as being necessary in
promoting growth of service-based solutions, which are designed to
meet customer needs. An example of new service-based solutions was
the concept of combing early childhood education (kindergarten care or
pre-school education services) with building solutions. The preferred
vision (largely shared by the all teams) was that wood products might
play an increasingly facilitative role in providing more intangible and
broader benets (such as sustainability) than mere buildings or renew-
able building materials (see also H ¨
ayrinen et al., 2020 ).
The workshop visions also highlighted that it would be necessary to
create growth in the domestic market rst, which already requires
several of the development actions identied necessary for export
growth. The results also underlined how it is critical for the partners in
the Finnish IWC industry to nd new non-wood construction industry
partners to build competitive and capable business ecosystems (e.g.,
industrial operators from other sectors, builders, designers and others in
Table 2
Summary of the visioned future (2030) of IWC exports from Finland, and the actions needed to reach the envisioned state from current towards 2030, as viewed by the
expert panel.
Key characteristics of the markets, industry
and exports at different phases
Approaches and activities needed to reach
development from one phase to the next
Examples
Current
2020
Co-operation and building of business
networks for growth and the development
of new business concepts
Carbon storage or emission reduction
options of WMC identied
Consumer and public interest in WMC at
initial level (climate and well-being
background)
Domestic market activation and network building
to scale up operations
Development of standards and regulations
(domestic)
Attracting both large and small companies to
WMC business
Harmonizing domestic (municipal) land-use
planning and city-planning regarding WMC
Activation of ministries, the education sector
Creating entirely novel business networks to support the
development of service-solutions based on wood materials
Encourage large Finnish cities to take up wood building
Education programmes to increase the expertise in the WMC
sector
Mid-term
2025
Clear growth of volume occurring in the
domestic market
Industry has shifted from pilot phase to
operating at an industrial scale
Increased consumer demand for WMC/IWC
products domestically and in the export
markets
A system for assessing Carbon
sequestration/storage of WMC solutions in
place
New models for co-operation with neighbouring
countries
Open digital platforms
Methods for calculating Carbon storage/
sequestration in wood buildings
Harmonized building regulations, at least between
the Nordic countries, and ideally within the EU
Open, harmonized standards for products
(systems) of WMC
Value-added materials exported in larger volumes to Asia
Branding of WMC, especially to the Asian markets
Building well-functioning WMC ecosystems, several of these
active and operational
Making use of international students to support brand and
concept building suitable for export markets
Vision
2030
Clearly more developed industry and
higher exports value c.f. previous stage
Value-added products further developed
Export of:
Know-how and services (solutions)
Projects integrating materials or modules
Wooden buildings as solutions to city
development
Customer insights well incorporated in the design
of buildings and in the projects
Flexibility in the design of buildings based on
customer preferences
Speed of the construction has increased
considerably (WMC) and reached competitive
BAU level in the general construction sector
Export of service projects: Schools and kindergartens
combined with pedagogical or educational systems, care
buildings, e.g. elderly people ’ s homes and hospitals
Multi-story residential buildings as an export concept
Value-added products, modules and materials
Future export
countries/
areas:
Asia/China - large growth market and growth-economy, growing environmental emphasis
The Nordic countries - well-known markets with a wood building culture, similar cultures to Finland, geographical closeness, well-developed economies
Germany / the EU countries - culture to build with wood in some regions / overall emphasis on environment, well-developed economies
Japan – environmental awareness, exports of value-added materials from Finland exists, ageing population and need for service buildings
Russia – export of log houses from Finland, possible interest in other wood construction concepts
R. Toivonen et al.
Forest Policy and Economics 128 (2021) 102480
6
service business, such as education experts). Overall, shifting towards
new business ecosystems and inclusion of new actors characterizes the
future vision for the wood products and related solutions for wood
construction industries.
Increasing the competitiveness of industrial wood products and the
business was underlined as a necessary step for future export market
growth. This is based on improving cost efciency and the ability to
respond to industrial clients but also to consumer needs. This presumes
shifting to industrial-scale operations in production. The results indi-
cated an overall need to broaden the education and expertise needed in
the wood products industry, echoing the results by Korhonen et al.
(2021) . Table 2 combines the ve future visions and pathways described
in Table 1 , followed by a more nuanced description of the actions
needed for market development, as well as points out the identied key
challenges.
All the visions considered that Finnish wood products and the wood
construction industry has potential and should target international
market growth. Climate benets, particularly the ability of wood to
provide carbon storage, and overall environmental and health issues
were identied as important drivers for growth of the use of wood in
construction, particularly in the urban contexts. The challenges slowing
down growth were identied similarly in the visions: the lack of an
educational base and thus skilled people in the sector currently, the
absence of harmonized standards, and impetus for competition rather
than partnerships by the Finnish actors.
How about the discussed measures to reach the envisioned devel-
opment paths? Domestic market uptake of IWC was clearly presented as
the rst and necessary stage for export growth in the visions, and it was
also considered possible during the next ve years. However, strong
development of educational capacities was considered as a necessary
step regarding the growth of exports. Building stronger networks and co-
operation between countries, particularly Finland, the other Nordic and
Central European countries, were considered to be a promising way to
achieve a broader scope of know-how and international market access
(also, e.g., Hietala et al., 2019 ).
Digital communication and networking platforms were considered to
be important to facilitate a new kind of business collaboration, for
instance between industrial and service business actors. For example,
establishing open digital platforms were considered important for
sharing knowledge on themes such as building systems, and for the
development of common building standards, or to avoid multiplying
mistakes in trial and pilot phases. Some of the workshop teams
mentioned that harmonizing standards within the Nordic countries
would be benecial for the business and export growth. This harmoni-
zation will need to have advanced considerably by 2025 in order to
reach the future visions in 2030.
Regarding the policy measures to accelerate the pathways leading to
the 2030 visions, the view that government bodies, particularly relevant
ministries needed co-ordination in enhancement policy, was unani-
mously shared by the ve teams. Developing the education system was
also considered crucial in each vision: gaining fresh expertise covering
themes relevant to IWC were seen necessary for enhancing the innova-
tiveness of the sector and to fuel the growth of the exports. Launching
additional policy programmes to enhance wood construction were also
indicated, e.g. through developing common standards and facilitating
changes in the building regulations in Finland. Furthermore, harmoni-
zation of the practices of the zoning in the Finnish municipalities was
suggested as one option to enhance the growth of domestic wood con-
struction market, in line with L ¨
ahtinen et al. (2019) . As examples of
other tangible activities, several visions included the idea of integration
of international students and the use of their potential in developing
understanding of export markets and to activate marketing would be a
new opportunity to explore.
All the visions included improved communication to be a pre-
requisite for more efcient co-operation within the IWC sector. On the
other hand, improved cultural and country-specic know-how of the
potential export countries, knowledge of the housing and planning
concepts, and better understanding of the customer segments were
identied as immediate targets for accelerating WMC-related exports.
4.2. Potential export products and markets for the Finnish IWC sector
The future visions resulting from the backcasting workshop varied
regarding which products and services were foreseen to dominate ex-
ports in 2030, and in which specic markets. Thus, the identication of
interesting markets was combined with identifying both the promising
(new) products and services and the underlying varying demand factors.
However, all the visions included the idea of shifting towards more
value-added and knowledge-incorporating products and services. This
implies that the degree of processing within the Finnish IWC sector
should increase by 2030, which would then be reected in export value.
At its extreme form, the envisioned future exports mainly incorpo-
rated wood construction projects that facilitate the provision of services.
For instance, these services could include (early) childhood education
services, other education services or senior care. The envisioned service
concepts could thus incorporate both building facilities and the core
services accommodated by the buildings. Construction projects could
incorporate design or other know-how in combination with wood-based
materials, and even the actual construction service of the buildings.
Some teams drew a growth vision for 2030 in which wood products and
materials would be a major proportion of the exports. The following
comments were collected from the pre-workshop questionnaire and
demonstrate variations in the expert views.
“ [Exports will be] Know-how and materials. Construction is local. ” [-
Panellist, Producer of Wood Modules].
“ It is not sustainable to achieve the export of construction projects,
because the quality of construction is so low in Finland. ” [Panellist, Ofcer,
public sector].
“ The development of the export of know-how, solutions and innovation
activity. Increase of degree of processing in the products: prefabricated ele-
ments and modules for export. ” Panellist, Wood Construction/Product
Company 2].
When identifying potential export growth products, schools and
kindergartens were frequently mentioned throughout the process. Res-
idential multi-storey wood construction was also mentioned by several
expert panel teams as one of the promising applications. The data used
in this study could unfortunately not address the applications in more
detail, e.g. the type of structural systems or choice of wood-based (or
hybrid) materials.
Interestingly, the ageing population was not considered to be a
hindrance for IWC market development in Europe, but in some teams,
this was even seen as establishing a positive demand factor. This was
reasoned on the one hand through the anticipated need for new specialty
service buildings and elderly homes, and their positive environmental/
climate mitigation impacts, and on the other hand by consumers ’
increasing awareness of environmental and climate issues. The potential
for future export growth was also considered within solutions to special
situations or regions, such as housing solutions for seismically active
regions. The following comments are examples from the pre-
questionnaire responses
“ Care buildings, the population is ageing in all developed countries. ” [-
Panellist, Promotional Organization 2].
“ Construction after catastrophes, permanent, transferable, cosy and
adjustable solutions. ” [Panellist, Architecture Sector 1].
The most interesting future export regions for IWC sector products,
as identied in the backcasting workshop, varied to some degree.
However, China was mentioned by all teams as an attractive market.
Reasoning for considering the Chinese markets included the large size of
the market, urbanization and the growing middle-class with assumed
growing environmental awareness. The other Nordic countries, with a
similar culture, traditions of building with wood (in most countries), and
geographical proximity, were considered to have the potential to grow
R. Toivonen et al.
Forest Policy and Economics 128 (2021) 102480
7
as export markets for the Finnish IWC sector. Europe in general and
particularly Central Europe (e.g. Germany, France), and the UK by some
teams, were assessed as potential market areas for growing exports. The
reasons included growing environmental and climate concerns, on-
going urbanization, and in some countries, a strong tradition of build-
ing with wood.
Some markets were assessed as having potential only in one of the
visions. Geographical proximity, and the tradition of building with
wood, were mentioned as characteristics making Russia a potentially
attractive export region. In addition to China, some other Asian counties
were identied as interesting, such as Japan, or India. The reasons were
the high-volume growth potential of the markets, and in some areas,
increasing environmental awareness, or tradition in wood building.
However, varying construction standards, regulations and building
culture were identied as being likely to remain challenges for export
market growth generally, as elaborated by some panellists in the post-
workshop survey:
“ China is a huge market from which a tiny small block can be signicant.
Furthermore, the green politics in control. ” [Panellist, Ofcial, Public
sector 1].
“ Growing a wood construction culture and environmental awareness in
Europe (for instance Germany and France) ” [Panellist, Wood Con-
struction/Product Company 2].
“ The need for apartments in an ecological way, speed is an advantage due
to the shortage of labour – Eastern Europe and developing countries globally. ”
[Panellist, Wood Construction/Product Company 3].
5. Discussion
The aim of this backcasting study was to explore preferred visions on
the development of the industrial wood construction sector and partic-
ularly its exports by 2030 in the case of Finland. However, the authors
recognize that it would have been possible to combine backcasting
approach with other foresight methodologies (e.g. Mont et al., 2014 ),
such as using Delphi panels or exploratory scenarios (see e.g. Zimmer-
mann et al., 2012 ). From the methodological perspective, e.g. B ¨
orjeson
et al. (2006) and Burt and van der Heijden (2003) state that futures
studies are mainly based on a qualitative approach with a focus on
complex or novel topics lacking explicit data, whereas in the forest
sector, the quantitative scenario studies have been more predominant
(see e.g. Sj ø lie et al., 2016 ). The openness of a participatory backcasting
approach chosen should sufciently safeguard reliability and validity of
the data, particularly when the panellists had solid expertise in the
sector, its markets and the terminology used. The nal composition of
participants was representative in terms of the required, specic area of
expertise focusing on WMC exports.
More precisely, this backcasting study drew insights from a panel of
35 Finnish IWC sector experts. In the backcasting process, future visions
of wood industry exports and the development paths from 2020 to 2030
were produced through the foresight workshop and complemented with
participant responses before and after the workshop. The international
market selection (IMS) approach, and more precisely, the IMS process
model presented by Brewer (2001) , was employed to guide the selection
of key elements to be assessed. In our opinion, there is indication that the
data collected were likely to cover the phenomena related with the
research themes adequately, since no new issues were brought up during
the third round of data collection (the post backcasting workshop sur-
vey). The results are also logically based on earlier research (e.g. Top-
pinen et al., 2019 ) and aligned with the conceptual background of IMS.
It should be noted that although a single-country qualitative back-
casting study cannot be directly transferred to other countries, we may
assume that similar demand-side characteristics could show up if a
similar approach was implemented in other countries especially those in
the Nordic area. The results may also provide interesting implications
way), regarding lucrative export market areas and segments, even
though the results should not be generalized as such. However, in
Sweden the focus may be even more strongly on the domestic market
due to its general growth trend.
Based on the resulting visions of the Finnish IWC sector exports in
2030, the expert views could foresee growth in the Finnish industrial
wood construction sector and its exports by 2030. However, there was
variation in the envisioned composition of export portfolios by 2030, as
well as the potentially attractive market areas. In other words, identi-
fying and assessing potential future export markets includes not only
geographical markets as in the case of traditional IMS approach, but also
identifying potential user/client segments for new products/services. In
summary, the envisioned future was geared towards increasing value-
added products and materials, and accordingly towards increasing ex-
ports of know-how and services in addition to materials and products. A
shared assessment was that the domestic market needs to develop and
grow rst, importantly serving as a test bed for the new products and
services. The domestic market is also an important platform for devel-
oping necessary new business models and partnerships for new product
and service concepts.
In terms of geographic regions for future exports, Asia, the Nordic
countries (especially Sweden and Norway), Central European countries
Asia, China was particularly considered to be an interesting potential
export market by the backcasting expert teams. The reasons include the
large volume and the continuing growth trends of the market, rising
environmental awareness, an increasingly-wealthy middle class, and
rising urbanization.
On the other hand, construction and the overall culture are similar in
Finland and in the other Nordic countries, along with the benet of
being geographically closer. Even though the Nordic countries are
relative low in population and small regarding the volume of the con-
struction market, the backcasting panel experts shared the assessment
that the culture of industrial wood construction, and high acceptance of
wood construction in society, were important characteristics of an
interesting export market area. This is in accordance with the literature
on wood products and construction markets ( Hurmekoski et al., 2015 ;
Rebane and Reihan, 2016 ; Markstr ¨
om et al., 2019 ). This is also the case
when the panel results identied highly-populated and wealthy coun-
tries as interesting ( Hurmekoski et al., 2015 ). Rising (or already high)
environmental awareness was considered to be a particularly important
characteristic for an interesting export area, which supports the
assumption of sustainable bioeconomy being a key driver for industrial
wood construction and WMC (e.g., Toppinen et al., 2018 ). For this
for export growth despite the stagnating population growth and ageing
population.
Interestingly, the results from the backcasting process indicated
more opportunities than threats connected with countries having an
ageing population. Most likely such a result might not have been
received if the study had been based on analysis of statistics or struc-
tured surveys. Generally, the backcasting procedure resulted in identi-
fying a number of lucrative future export regions, such as countries
where cultural, political and economic characteristics are signicant
and there are growth expectations in the market volume due to
geographic location, industrial structure or other factors like de-
mographics or level of education. Lack of resources in marketing and
brand-building were also identied as a challenge for the growth of the
sector, in line with the results by Hietala et al. (2019) .
The policy measures identied as being required to reach the envi-
sioned future exports include harmonizing domestic land-use and con-
struction regulations rst, and then international, at least at the Nordic
or EU levels. Harmonizing standards were also underlined, even though
it is not necessary an issue for public policies. A third important measure
identied by the experts was developing the education base, which is
R. Toivonen et al.
expected to lead towards an increase of competence and know-how in
the sector. The consensus was that the domestic market needed to grow
and develop rst, and only based on this experience and new partner-
ships would exports grow.
Several of the measures identied have been considered to be
important for the growth of the WMC sector and wood industry in
previous research focusing on Finland (e.g., Hurmekoski et al., 2018 ;
Toppinen et al., 2019 ). Limited availability of well-educated experts and
professionals has been highlighted in previous research as one of the
more important factors inuencing the development of the wood con-
struction sector ( Hurmekoski et al., 2018 ; Toppinen et al., 2019 ).
Interestingly, the potential for utilizing international students to open up
an understanding of export markets or building the capacity base
quickly was highlighted by several expert teams.
The international market selection (IMS) approach, and the process
model presented by Brewer (2001) were utilized to create a set of key
elements for systematically assessing the attractiveness of export mar-
kets for guiding the backcasting data collection. The IMS approach was
developed to capture rm-level decision making, while our study was
based on an industry sector level and focused on new or innovative
products with immature markets. However, the IMS approach supported
the backcasting data-collection and procedure design appropriately,
while we utilized the IMS process model as a guideline on a sector-level
export market potential assessment. The IMS approach has been
designed into well-established products while in the case of assessing
potential future export market development of newly designed products
having the status of immature niche markets, the approach of viewing
market segments in combination with market areas seems more relevant
(e.g., Papadopoulos and Martin, 2011 ). Firm-level market investigation
in the case of new innovative products with a niche market position
remains an interesting area for future research. For example, in con-
struction industries, company-level path dependencies can slow down
the possibility to adopt new industrial building technologies ( Stehn
et al., 2020 ). In addition, our results indicate emerging markets
deserving growing attention in future IMS research, as suggested by
Sakarya et al. (2007) more than a decade ago.
Overall, several specialty service buildings were identied as inter-
esting exports opportunities, along with WMC residential buildings, or
materials or modules needed in construction. Issues that may not have
been brought up previously regarding the development agenda of the
wood industry include completely new business concepts for exports,
such as combining early education services or care services and tailor-
made buildings. In this respect, the method of backcasting may have
opened up new and non-traditional solutions to facilitate a positive
market development for the wood industry. It is important to note that
such new (export) concepts will require new business partnerships and
ecosystems that cross sectoral boundaries. Overall, new business net-
works, partnerships and digital communication were strongly under-
lined in this study, compared with earlier research.
Considering the complexity of the research topic and limited
knowledge on some issues, the results of this study need to be treated
with caution, as in any qualitative study. A key challenge for this study
was the focus on identifying and assessing potential future development
pathways for products and services that are still in a niche in the con-
struction sector. The opportunity for context-related bias has been
diminished by focusing the data collection on Finnish experts with a
solid background in the wood construction sector. However, this selec-
tion criterion also means that the views do not necessarily represent
those of the construction industry as a whole, and the representatives of
wood industry and academic community dominated the sample. Similar
challenges have been documented in an expert workshop based study by
Korhonen et al. (2021) , focusing on wood construction, packaging and
biorenery value networks. It also seemed easier for the experts to
create an understanding of future visions than specify the pathways to
get there and by what measures, a similar nding to that of Sandstr ¨
om
et al. (2020) . Finally, the allocated time for building visions was a single
foresight workshop, and therefore time limitations could be a limiting
measures needed to facilitate the development path-way.
6. Conclusions
The results of this study suggest that the backcasting method and
combining it with the IMS approach may be appropriate for foresight
analysis in such a multi-dimensional and complex case as future market
development of industrial wood construction products. The resulting
visions by ve expert teams differed from one another in terms of export
portfolios, varying from emphasis on more traditional value-added
wood products to service-based solutions. Overall, the resulting vi-
sions from the backcasting process anticipated IWC growth. However,
the envisioned growth presumes major changes within the domestic IWC
sector, and a shift towards more value-added products and combining
products with service elements. This more intense collaboration calls for
developing not only products but also business ecosystems. Domestic
market support in building up competencies and experience is crucially
needed to fuel the exports.
Still, using richer data (e.g. more comprehensive range of building
experts) and applying the IMS approach in the context of more product-
specic cases would be important in the future research. In the future, a
systematic analysis of the future export market selection in the case of
more specied new products/services and rm-level approach would be
interesting, complementing the sector-level foresight focus highlighted
in this study. More comprehensive research on potential buyer segments
would be also an avenue for future research, especially since the results
of this study indicated variations in terms of underlying demand drivers
in the various potential market areas.
Declaration of Competing Interest
We declare no conict of interest.
Acknowledgement
This paper was produced under the WoodVision 2025 (2017-2019)
research project implemented at the Department of Forest Sciences,
University of Helsinki. The authors are grateful for the funding provided
by Mets ¨
amiesten S ¨
a ¨
ati ¨
o Foundation, Ministry of Agriculture and
Forestry (Finland), and Central Union of Agricultural Producers and
Forest Owners (MTK). We would also like to thank all the informants for
their valuable contributions, and Editor and the two anonymous re-
viewers of the journal for their valuable and constructive comments for
the development of this paper.
Appendix 1: Table of background expert interviews
Organization type Method Duration (min) Title/ position
Construction Group Face to face 59 Manager
Wood Manufacturing Company Phone 32 Director
Real Estate Developer Face to face 45 CEO
R. Toivonen et al.
Forest Policy and Economics 128 (2021) 102480
9
Appendix 2: Questionnaire themes
Questionnaire for thematic interviews:
1. What challenges have you faced in the industrial wood construction markets in Finland?
2. Which matters lead to competitiveness in the planning of wood construction buildings?
3. How do you see that industrial wood construction markets have developed in the last ten years in Finland?
4. How do you see that the WMC markets will change in the next ten years?
5. What came to mind concerning the export of wood construction??
6. What will be exported from Finland (wood products, know-how, value-added materials) in 2025 or 2030?
7. What is needed for Finland to become an exporter of WMC in 2025/2030?
8. Where will the growth opportunities for Finnish industrial wood construction be in 2025 or 2030?
9. Who are the buyers of WMC in export markets now, and who will be in the future (2030)?
10. Which actors or networks are needed to export WMC?
11. What exports of WMC are we likely to see from Finland in 2030?
The Backcasting Panel Questionnaires:
1. Pre-backcasting workshop panel survey
* WMC = Wooden Multi-storey Construction, meaning two oors or more, with either wood frames or hybrid wood elements and materials
(1) What should Finland try to achieve in industrial wood construction exports in 2030, in the export of materials (like CLT), in know-how or
construction projects?
(2) Which are the more promising export countries for industrial wood construction products/projects/know-how from Finland in 2030?
(3) In which entities do you see the greatest potential for wood construction exports in 2030?
2. Post Backcasting Workshop - Panel Survey
(1) Which three countries will be the most signicant export countries for export of industrial wood construction and its value chain in 2030?
(2) Why do these countries have the greatest market potential? Analyse this by country. How much would the export value of value-added ma-
terials (CLT and LVL etc.) increase by percent between 2020 and 2030 in ideal conditions?
(3) How much will the percentage export value of projects increase between 2020 and 2030 in ideal conditions? Which questions/themes should
arise or be studied related to wood construction exports in the future?
(4) In your opinion, which questions/themes should be brought up in future research on industrial construction of wooden houses and on the
favourable development of their exports?
The Backcasting Panel - Thematic questions for directing the backcasting panel workshop process.
1. 2030 - Creating the vision
The group created the vision of desired prospects of industrial wood construction exports in 2030, describing the desired stage by following
questions:
1. Which of the following entities are exported most by value?
■ Value added materials (CLT, LVL etc.)
■ Entire industrial wood buildings (projects)
■ Half-nished solutions (for instance, modules, large panels)
■ Know-how/service of industrial wood construction?
2. Which of these values will have increased the most between 2020 and 2030? Why these?
3. What are three main entities for exporting industrial wood construction? And why these?
■ Service buildings (school, kindergartens, hospitals)
■ multi-storey buildings (for residents and companies)
■ one-family houses
■ culture/sports etc.
■ other, like like catastrophe objects
4. Which countries will be the ve most signicant export countries for export of industrial wood construction in 2030? And why these (briey)
Crystallize the vision in one sentence or motto.
2. Starting point
R. Toivonen et al.
Forest Policy and Economics 128 (2021) 102480
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Create the picture of actions needed in the starting point (2019/2020) to reach the 2030 vision.
○ Which are the most important actions and changes in methods, which is needed to reach the 2030 vision?
■ for instance, new co-operation models
■ actions in private and public sectors
○ How are the main actors related to these? List the actors and the actions.
○ Which are the competitive factors for the companies at the starting point?
3. Status in 2025 (intermediate stopping point)
The group created a picture of the status of exports in industrial wood construction in 2025
1. Which of the following entities will be exported the most by value?
■ Value added materials (CLT, LVL etc.)
■ Entire industrial wood buildings (projects)
■ Half-nished solutions (for instance, modules, large panels)
■ Know-how/service of industrial wood construction?
2. Which three entities for export of industrial wood construction will be the most noteable? And why these?
■ Service buildings (school, kindergartens, hospitals)
■ Multi-story buildings (for residents and companies)
■ one-family houses
■ culture/sports etc.
■ other, like catastrophe objects
3. Which are the ve most signicant export countries for export of industrial wood construction in 2030? And why these (briey)
The group creates the picture of actions needed in the intermediate stopping point to reach the ideal prospect in 2030
○ Which actions and changes in methods will be the most important, which will be needed to reach the 2030 vision?
■ for instance, new co-operation models
■ actions in the private and public sectors
○ How are the main actors related to these? List the actors and the actions.
What are the competitive factors for the companies at the starting point?
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R. Toivonen et al.
... New solutions have also developed, such as wood multi-storey constructions [5][6][7], and the focus on digitalization of the supply chain has increased [8,9]. Still, wood-based construction is a niche in the European and global construction market [10,
11]
. The literature highlights two main barriers to the increasing use of wood in construction: (1) the lack of material expertise [5,12,13], and (2) the lack of coordination and collaboration across the construction supply chain [10,14,15]. ...
... In addition, there has been an increased focus on digitalization of the supply chain [8]. Even though wood-based construction is gaining momentum [35], it is still a niche in the European and global construction markets and so there is a potential for expansion beyond the niche [10,
11]
. ...
... [12][13][14][15][16][17]. The prefabrication of wood-based building construction materials, including laminated veneer lumber, GLT, and cross laminated timber, allowed the increased use of timber in the construction sector [18][19][20][21]
[22]
[23]. The use of engineered wood products in construction enables the sector to build multi-storey public and commercial buildings, industrial and agricultural halls, bridges, sport centres etc. [12,18,21]. ...
The European Commission adopted a long-term strategic vision aiming for climate neutrality by 2050. Lithuania ratified the Paris agreement, making a binding commitment to cut its 1990 baseline GHG emissions by 40% in all sectors of its economy by 2030. In Lithuania, the main construction material is cement, even though Lithuania has a strong wood-based industry and abundant timber resources. Despite this, approximately twenty percent of the annual roundwood production from Lithuanian forests is exported, as well as other final wood products that could be used in the local construction sector. To highlight the potential that timber frame construction holds for carbon sequestration efforts, timber and concrete buildings were directly compared and quantified in terms of sustainability across their production value chains. Here the concept of “exemplary buildings” was avoided, instead a “traditional building” design was opted for, and two- and five-floor public buildings were selected. In this study, eleven indicators were selected to compare the sustainability impacts of wood-based and concrete-based construction materials, using a decision support tool ToSIA (a tool for sustainability impact assessment). Findings revealed the potential of glue-laminated timber (GLT) frames as a more sustainable alternative to precast reinforced concrete (PRC) in the construction of public low-rise buildings in Lithuania, and they showed great promise in reducing emissions and increasing the sequestration of CO2. An analysis of environmental and social indicators shows that the replacement of PRC frames with GLT frames in the construction of low-rise public buildings would lead to reduced environmental impacts, alongside a range of positive social impacts.
... Regional differences in the appreciation of wood as a building material do exist, however, and are influenced by traditions and capacities in resource, industrial production and construction [51]. In most contexts, the industrial wood construction markets are still at a niche level
[52]
. Therefore, factors enabling the further uptake of CLT include supportive regulation and increasing consumer awareness. ...
Wood-Based Products in the Circular Bioeconomy: Status and Opportunities towards Environmental Sustainability
The circular bioeconomy offers solutions to curb the effects of climate change by focusing on the use of renewable, biological resources to produce food, energy, materials, and services. The substitution of fossil products by wood-based products can help avoid or reduce greenhouse gas emissions over the life cycle of products. However, it is important to understand the potential impacts of large-scale material substitution at the market level. This study aimed to assess the role of selected wood-based products in the circular bioeconomy, the possible changes in their markets, and investigate which elements could ensure the environmental sustainability of these products. The demand for graphic paper has declined over the last 15 years, while the demand for packaging has increased. Cross-laminated timber and man-made cellulosic fibres have seen their global consumption increase over the last decade. While there are benefits associated with the substitution of non-renewable materials by wood-based products, there is still limited understanding of the substitution effects at market-, country- and global level. Some factors enabling the further uptake of wood-based products include initiatives that stimulate technological change, incentives to produce or consume less fossil-based and more bio-based alternatives, and the promotion and marketing of wood-based products as viable alternatives to non-renewable materials.
... In turn, the risk of higher cost led to (re)selection of incumbent multistory construction technologies (i.e., concrete multistory construction). Several studies have corroborated and commented extensively on similar sets of barriers discussed by the key informants (see e.g., Aaltonen et al., 2021;Ruuska and Häkkinen, 2016;Hurmekoski et al., 2015Hurmekoski et al., , 2018Lazarevic et al., 2020;Toppinen et al., 2018aToppinen et al., , 2018bToppinen et al., , 2019aToppinen et al., , 2019b
Toivonen et al., 2021a;
Vihemaki et al., 2019). Because this dissertation research is concerned with municipalities, I will not comment on these aforementioned barriers further. ...
Wooden multistory construction as perceived by Finland’s municipal civil servants overseeing land use planning
| https://www.researchgate.net/publication/350975664_Future_export_markets_of_industrial_wood_construction_-_A_qualitative_backcasting_study?_iepl%5Bcontexts%5D%5B0%5D=lab_detail&_iepl%5BtargetEntityId%5D=PB%3A350975664&_iepl%5BinteractionType%5D=publicationView |
(PDF) Physical Simulation of Hot Rolling of Ultra-fine Grained Pure Titanium
PDF | Complex thermo-mechanical processing routes are often developed for fabrication of ultra-fine grained (UFG) metallic materials with superior... | Find, read and cite all the research you need on ResearchGate
Physical Simulation of Hot Rolling of Ultra-fine Grained Pure Titanium
July 2014
Metallurgical and Materials Transactions B 45:2315-2326
DOI: 10.1007/s11663-014-0133-9
Authors:
Abstract and Figures
Complex thermo-mechanical processing routes are often developed for fabrication of ultra-fine grained (UFG) metallic materials with superior mechanical properties. The processed UFG metallic materials often have to undergo additional metalforming operations for fabrication of complex shape parts or tools that can significantly affect their microstructure and crystallographic texture, thus further changing their mechanical properties. The development of novel thermo-mechanical processing routes for fabrication of UFG metallic materials or for further metalforming operations is very time-consuming and expensive due to much higher cost of the UFG metallic materials. The objective of this work is to perform physical simulation of hot rolling of UFG pure Ti obtained via severe plastic deformation and to analyze the effect of hot rolling on the microstructure, crystallographic texture, and hardness of the material. It is demonstrated that physical simulation of metalforming processes for UFG metallic materials can significantly reduce the amount of material required for development of processing routes as well as to increase the efficiency of experimental work.
a) Schematic representation of ECAP-C technique and orientation of planes in the processed samples. Hereafter, the plane XZ will be referenced to as 1, XY as 2, and YZ as 3; (b) schematic presentation of plane strain compression test; (c) schematic presentation of a sample after plane strain compression test. …
True stress-true strain curves from plane strain compression testing of UFG CP Ti (1st reduction). …
Bright field TEM images (in three planes) and corresponding SAED patterns for CP Ti subjected to ECAP-C processing at 673 K (400 °C) for: (a) 2 passes, (b) 10 passes. …
Bright field TEM images (in three planes) of CP Ti after ECAP-C processing for 10 passes followed by plane strain compression testing with total reduction ratio of: (a) 20 pct, (b) 40 pct, (c) 60 pct. …
+3
Pole figures for the ECAP-C-processed CP TI: (a) after 2 ECAP-C passes, (b) after 10 ECAP-C passes. The basal A {0001}h10À10i, B pyramidal {01À13}h10À10i, C {10À12}hÀ2À131i, and prismatic D {01À10}h10À10i components are marked on (a). …
Ilchat Sabirov
Physical Simulation of Hot Rolling of Ultra-fine Grained
Pure Titanium
ALEXANDER POLYAKOV, DMITRY GUNDEROV, VIL’ SITDIKOV,
RUSLAN VALIEV, IRINA SEMENOVA, and ILCHAT SABIR OV
Complex thermo-mechanical processing routes are often developed for fabricati on of ultra-fine
grained (UFG) metallic materials with superior mechanical properties. The processed UFG
metallic materials often have to undergo additional metalfor ming operations for fabrication of
complex shape parts or tools that can significantly affect their microstr ucture and crystallo-
graphic texture, thus further changing their mechanical properties. The development of novel
thermo-mechanical processing routes for fabrication of UFG metallic material s or for further
metalforming operations is very time-consuming and expensive due to much higher cost of the
UFG metallic materials. The objective of this work is to perform physical simulation of hot
rolling of UFG pure Ti obtained via severe plastic deformation and to analyze the effect of hot
rolling on the microstructure, crystallographic texture, and hardness of the material. It is
demonstrated that physical simulation of metalforming processes for UFG metallic materials
can significantly reduce the amount of material required for development of processing routes as
well as to increase the efficiency of experimental work.
DOI: 10.1007/s11663-014-0133-9
The Minerals, Metals & Materials Society and ASM International 2014
I. INTRODUCTION
C OMMERCIALLY pure (CP) Ti plays an important
role in modern engineering since it has been widely used
in aerospace, construction, and biomedical engineering
due to good corrosion resistance, superior mechanical
properties along with good machinability, weldability,
and relatively low cost.
The progress in practical
application has been determined by intensive research
and development works on CP Ti. In recent years, much
progress has been made in the studies of the ultra-fine
grained (UFG) pure Ti for advanced structural and
functional use associated both with the development of
novel routes for fabrication of bulk UFG CP Ti using
severe plastic deformation (SPD) techniques and with
investigation of fundamental mechanisms leading to
improved properties.
[ 2 – 13 ]
This has also led to successful
commercialization of UFG CP Ti in bio-medical engi-
neering as a material for dental implants.
[ 14 , 15 ]
These
dental implants can be produced via simple mechanizing
from the SPD-processed UFG Ti rods.
[ 14 ]
There is a
strong demand from bio-medical industry for flat shape
or more complex shape implants made from the UFG
pure Ti. Additional metalforming operations are neces-
sary to be applied to the SPD-processed UFG pure Ti in
this case. However, these metalforming operations can
significantly affect the microstructure and crystallo-
graphic texture of the UFG CP Ti and, thus change its
properties. Therefore, the effect of thermo-mechanical
processing on microstructure and texture of the UFG
CP Ti should be carefully analyzed in order to accu-
rately predict mechanical performance of final tools.
Recently, it has been demonstrated that combination
of various processing methods such as equal channel
angular pressing (ECAP) with rolling,
[ 11 , 16 , 17 ]
ECAP
with swaging and drawing,
[ 9 ]
ECAP-Conform with
drawing,
[ 12 ]
ECAP with forging and drawing,
[ 7 ]
twist
extrusion with rolling,
[ 18 ]
etc ., can lead to more effective
grain refinement in CP Ti often resulting in the record
strength properties of the material.
[ 9 , 12 ]
The develop-
ment of such complex thermo-mechanical processing
routes for fabrication of the UFG CP Ti is usually based
on numerous experimental trials and appears as a very
time-consuming and expensive process that required
significant amount of material. This is clearly seen
from,
[ 16 ]
where whole ECAP-processed UFG CP Ti
billets were used for development of the cold rolling
route and further analysis of its effect on the micro-
structure, thermal stability, and mechanical properties
of the material. In very recent years, it was demon-
strated that there can be also significant effect of stress
state on ductility of the material and the UFG metallic
materials can show high bi-axial stretch formability
sufficient for metalforming operations
[ 19 – 21 ]
even if they
have very low tensile ductility under uni-axial loading
ALEXANDER POLYAKOV, Research Assistant, and IRINA
SEMENOVA, Leading Researcher, are with the Institute of Physics of
Advanced Materials, Ufa State Aviation Technical University, Ufa,
Russia. DMITRY GUNDEROV, Leading Researcher, is with the
Institute of Physics of Advanced Materials, Ufa State Aviation
Technical University, and also with the Institute of Molecule and
Crystal Physics, Russian Academy of Sciences, Ufa, Russia. VIL’
SITDIKOV, Researcher, and RUSLAN VALIEV, Director, are with
the Institute of Physics of Advanced Materials, Ufa State Aviation
Technical University, and also with the Laboratory for Mechanics of
Bulk Nanostructured Materials, Saint Petersburg State University,
Peterhof, Saint Petersburg, Russia. ILCHAT SABIROV, Senior
Researcher and Head of Physical Simulation group, is with the
IMDEA Materials Institute, Calle Eric Kandel 2, 28906, Getafe,
Madrid, Spain. Contact e-mail: ilchat.sabirov@imdea.org
Manuscript submitted November 11, 2013.
Article published online July 23, 2014.
METALLURGICAL AND MATERIALS TRANSACTIONS B VOLUME 45B, DECEMBER 2014—2315
conditions.
[ 20 ]
Thus, the UFG metallic materials have a
potential for engineering applications where they need
to undergo metalforming operations. Since these metal-
forming operations might significantly affect the micro-
structure and mechanical properties of UFG metallic
materials (especially those carried out at elevated
temperatures), development of processing path will take
significant amount of experimental large-scale trials and
long time, thus resulting in higher cost of final product.
Physical simulation of metalforming processes using
thermo-mechanical simulator could be a useful tool to
minimize the amount of material for such experimental
work as well as to increase the efficiency of experimental
work, thus reducing its cost.
[ 22 ]
Physical simulation
involves the exact reproduction of the thermal and
mechanical processes in the laboratory, that the material
is subjected to in the actual fabrication or during
engineering application.
[ 22 , 23 ]
A small sample of the real
material is used in the physical simulation. The material
is subjected to the same thermo-mechanical treatment
that it undergoes in the full scale fabrication process or
during its engineering application.
[ 23 ]
When the simula-
tion is accurate, the outcomes can be readily trans ferred
from the laboratory to the full size production process.
The physical simulation allows an improvement of
existing technology or development of a new one in a
little time at a very low cost.
[ 22 , 23 ]
The main objective of this work is to demonstrate that
physical simulation of deformation processing of CP Ti
can be a useful tool for development of the novel
thermo-mechanical processing routes for fabrication of
the UFG material as well as for development of the
processing routes for further metalforming operations.
Physical simulation of hot rolling of UFG CP Ti is
performed in order to analyze the evolution of micro-
structure, crystallographic texture, and strength during
hot rolling of the material.
II. MATERIAL AND PROCESSING
CP Ti (Grade 4) manufactured by Dynamet Inc.
company (Washington, PA, USA) was chosen as a
material for this investigation. The impurity content of
the material was (wt pct) 0.36O, 0.14Fe, 0.04C, 0.006N ,
0.0015H. The average grain size of the as-received
material was ~ 25 l m.
The billets having a length of 800 mm and a cross
section of 15 mm 9 15 mm were subject ed to equal
channel angular pressing-Conform (ECAP-C) processing
at 673 K (400 C) for 2 passes and for 10 pa sses using
processing route B
c
(the sample is rotated by 90 deg after
each ECAP-C pass always in the same direction).
[ 24 ]
ECAP-C processing is a relatively new modification of
conventional ECAP technique.
[ 25 ]
In this process, the
principle used to generate the frictional force to push a
work-piece through an ECAP die is similar to the
Conform process
[ 26 ]
while a modified ECAP die design
is used so that the work-piece can be repetitively
processed to produce UFG structures. Figure 1 (a) illus-
trates the principle of the ECAP-C technique. A rotating
shaft in the center contains a groove and the work-piece is
fed into this groove. The work-piece is driven forward by
frictional forces on the three contact interfaces with the
groove so that the work-piece rotates with the shaft.
However, the work-piece is constrained within the groove
by a stationary constraint die and this die also stops the
work-piece and forces it to turn at an angle by shear as in
a regular ECAP process. This set-up effectively makes the
ECAP process continuous. Other ECAP parameters,
such as the die angle and the strain rate, can also be easily
incorporated into the facility. It is characterized by higher
efficiency and lower wastage of the material.
[ 26 ]
The angle
of channels intersection was 120 that induced equivalent
strain of ~ 0.7 into billet per each ECAP-C pass.
[ 24 ]
III. EXPERIMENTAL PROCEDURES
Samples having dimensions of 20 mm 9 15 mm 9
5 mm were cut out from the rods after 2 and 10
ECAP-C passes for further experimental work. Phys-
ical simulation of hot rolling was performed using
a thermo-mechanical simulator GLEEBLE 3800
(Dynamic Systems Inc., Poestenkill, NY, USA). Plane
strain compression testing is a versatile laboratory
testing method for physical simulation of industrial hot
working processes since it allows the measurement of
the stress–strain behavior of metals and alloys at
elevated temperatures to be carried out under con-
trolled conditions of strain rate and temperature with
constraint which are similar to those of industrial plate
rolling. This technique has been used extensively to
obtain information on a wide range of materials and
hot working phenomena, though it has not been
applied to the UFG metallic materials yet.
[ 27 – 32 ]
Plane
strain compression tests were carried out at 673 K
(400 C) in 1, 2, and 3 steps with the total reduction
ratio of 20, 40, and 60 pct, respectively. The break time
between plane strain compres sion steps was 30 seconds
which is relevant to that between rolling passes during
material rolling. Plane strain compression tests were
carried out at high strain rate relevant to that during
hot rolling. Temperature during plane strain compres-
sion tests was controlled with accuracy of less than
± 1K ( ± 1 C). The Z axis was the compression axis,
the X direction was the rolling direction (RD), and the
XY plane was the rolling plane (Figure 1 (b)). True
stress r during plane strain compression testing was
calculated as
[ 33 ]
r ¼ F
wb ; ½ 1
where F is the load, w the width of the anvils, and b
the specimen width (Figure 1 (c)). The true strain was
estimated as,
[ 33 ]
e ¼ Ln h 0
h
; ½ 2
where h
0
is the initial thickness of the plate and h is the
thickness of the plate during plane strain compression
testing. The flow stress–strain curves obtained from
2316—VOLUME 45B, DECEMBER 2014 METALLURGICAL AND MATERIALS TRANSACTIONS B
plane strain compression testing (during first reduction)
of the material in both conditions are presented in
Figure 2 .
The microstructure was analyzed using optical and
transmission electron microscopy (TEM) techniques.
The processed rods were examined in 3 sections: those
are cross section plane YZ , longitudinal section plane
XZ , and rolling plane XY , as shown in Figure 1 (a). The
analyzed areas are located in the midsection of the
specimens where plain strain condition prevails. For
optical metallography, the sample surface was polished
mechanically and etched in chemical solution consisting
of hydrofluoric acid—4 pct, perchlor ic acid—20 pct,
and distilled water—76 pct. Samples for TEM studies
were cut out by the electrospark method in XY , XZ , and
YZ planes. After mechanical thinning down to 100 l m,
they were subjected to electrolytic polishing using a
‘Tenupol-5’ set. Electropolishing was conducted using
chemical solution consisting of perchloric acid—5 pc t,
butanol—35 pct, and methanol—60 pc t in the temper-
ature range of 248 K to 243 K ( 25 to 30 C). The
microstructure was investigated in a JEOL JEM 2100
TEM (Jeol, Tokyo, Japan) operating at an accelerating
voltage of 200 kV. Observations were made in both the
bright and the dark field imaging modes, and selected
area electron diffraction (SAED) patterns were recorded
Fig. 1—( a ) Schematic representation of ECAP-C technique and orientation of planes in the processed samples. Hereafter, the plane XZ will be
referenced to as 1, XY as 2, and YZ as 3; ( b ) schematic presentation of plane strain compression test; ( c ) schematic presentation of a sample
after plane strain compression test.
Fig. 2—True stress–true strain curves from plane strain compression
testing of UFG CP Ti (1st reduction).
METALLURGICAL AND MATERIALS TRANSACTIONS B VOLUME 45B, DECEMBER 2014—2317
from the areas of interest using an aperture of 1- l m
nominal diameter.
Macrotexture measurements were performed using a
Rigaku Ultima IV X-ray diffractometer (Rigaku,
Tokyo, Japan) equipped with an automatic texture
device. The measurements were made on the XY plane
which is the ‘rolling’ plane (Figure 1 (a)), as this plane is
usually analyzed for study of rolling textures.
[ 34 ]
The
diameter of the measured area was ~ 0.6 mm. Again, the
areas located in the midsection of the tested specimens
were analyzed. The experiment was conducted over the
range of the radial angle c from 0 to 75 deg and
azimuthal angle d from 0 to 360 deg. Consequently, a set
of intensities of reflected X-rays P
hkl
( y ) was obtained.
The results of texture measurements are presented as
complete pole figures for prismatic plane (10 10), basal
plane (0001), and pyramidal plane (10 11). The pole
figures were generated with the LaboTEX software
(LaboSoft, Krakow, Poland).
To analyze the evolution of dislocation density during
material processing, the XRD measurements were con-
ducted using the Rigaku Ultima IV diffractometer. The
measurements were made on the XY plane (Figure 1 a).
To determine dislocation density, values of lattice param-
eter a , coherent domain size D, and elastic microdistor-
tion level h e
2
i
1/2
for the initial and tested plates were
calculated via Rietveld refinement method using the
MAUD software (Luca Lutterotti, Trento, Italy).
[ 35 ]
Dislocation density p was estimated using Eq. [3]
[ 36 ]
p ¼ 2 ffiffi ffi
3
p e 2
1 = 2
D b ; ½ 3
where b is the Burgers vector ( b = 2.95 9 10
10
m,
[ 37 ]
).
The accuracy of estimation was ± 5 pct.
The microhardness of the midsection of specimens
was measured using a SHIMADZU HMV-2 microh-
ardness tester (Shimadzu, Kyoto, Japan) equipped with
Vickers diamond indenter under a load of 10 N and
dwell time of 10 seconds. For each condition, 10
measurements were taken and the average value and
standard deviation were calculated.
IV. RESULTS AND DISCUSSION
A. Evolution of Microstructure During Plane Strain
Compression Testing of the UFG CP Ti
TEM analysis showed that a complex microstructure
consisting of ultra-fine grains, subgrains, and cells is
formed in CP Ti subjected to 2 ECAP-C passes
(Figure 3 (a)). This microstructure is characterized by a
high fraction of low angle grain boundaries and cell
boundaries, as well as by enhanced dislocation density,
9.2 9 10
13
m
2
(Table I ). The size of grains, subgrains,
and cells is in the range of 300 to 500 nm. It should be
noted that such microstructures are typical for pure Ti
subjected to low strain deformation via conventional
ECAP technique.
[ 2 – 5 , 12 ]
Figure 3 (b) illustrates the micro-
structure of pure Ti after 10 ECAP-C passes. It is seen
that deformation to the high strain of e ~ 7 led to
formation of a homogeneous UFG microstructure
mainly consisting of equiaxed grains having a size of
200 to 400 nm. Mainly high angle grain boundaries are
observed in the microstructure (Figure 3 (b)). Disloca-
tion density increased up to 4.1 9 10
14
m
2
(Table I ). It
should be noted that similar microstructure evolution
was observed during ECAP processing of CP Ti in
earlier publications,
[ 12 , 17 ]
though higher dislocation
densities were reported for CP Ti subjected to ECAP-
C processing at 473 K (200 C) in.
[ 12 ]
Higher ECAP-C
processing temperature [673 K (400 C)] in our case
promotes recovery of some mobile dislocations, thus
decreasing dislocation density in the material.
Figure 4 (a) illustrates the effect of plane strain com-
pression testing on the microstructure of CP Ti sub-
jected to two ECAP-C passes. No significant effect of
plane strain compression testing on the microstructure
Fig. 3—Bright field TEM images (in three planes) and corresponding SAED patterns for CP Ti subjected to ECAP-C processing at 673 K
(400 C) for: ( a ) 2 passes, ( b ) 10 passes.
2318—VOLUME 45B, DECEMBER 2014 METALLURGICAL AND MATERIALS TRANSACTIONS B
of the material can be noted after deformation with the
reduction ratio of 20 pct. The microstructure is similar
to that observed in the 2 ECAP-C material
(Figure 3 (a)), though the formation of first shear bands
is seen (marked by solid white arrow in Figure 4 (a)).
These shear bands are aligned at 45 to 55 deg with
respect to the load axis. Extensive shear banding is seen
in the samples subjected to plane strain compression
testing with reduction ratio of 40 pct. Fragmentation of
the elongated grains into subgrains via formation of low
angle grain boundaries is observed (marked by dashed
white arrow in Figure 4 (b)). No twinning is seen during
plane strain compression of the 2 ECAP-C Ti. It was
demonstrated in References 3 , 38 that twinning is
typically active in coarse-grained CP Ti during first
ECAP pass, but suppressed when CP Ti is subjected to
further ECAP processing independently on the ECAP
route and strain is accommodated by dislocation glide.
[ 3 ]
No evidence of twinning was also seen in the UFG CP
Ti after dynamic compression testing ( _
e ~ 4000 s
1
)a t
673 K (400 C)
[ 39 ]
and during cold rolling of UFG CP
Ti.
[ 40 ]
The diffusion processes usually play an important
role in plastic deformation of UFG metallic materi-
als.
[ 41 ]
However, diffusion is also suppressed in our case
Table I. Effect of ECAP-C Processing and Plane Strain Compression on Dislocation Density in CP Ti
Number of ECAP Passes
2 ECAP-C Passes 10 ECAP-C Passes
Reduction ratio (pct) 0 20 40 60 0 20 40 60
Dislocation density (m
2
) 9.2 9 10
13
2.0 9 10
14
2.8 9 10
14
3.1 9 10
14
4.1 9 10
14
5.3 9 10
14
5.8 9 10
14
6.0 9 10
14
Fig. 4—Bright field TEM images (in three planes) of CP Ti after ECAP-C processing for 2 passes followed by plane strain compression testing
with total reduction ratio of: ( a ) 20 pct, ( b ) 40 pct, ( c ) 60 pct. Some shear bands are marked by solid arrows and some low angle grain bound-
aries are marked by dashed arrows.
METALLURGICAL AND MATERIALS TRANSACTIONS B VOLUME 45B, DECEMBER 2014—2319
due to high strain rate deformation. Thus, dislocatio n
glide is the only mechanism operating during plane
strain compression of the 2 ECAP-C and 10 ECAP-C
UFG CP Ti. Continuous generation of dislocations
during plane strain compression and absorption of these
dislocations by low angle grain boundaries results in
their further transformation into high angle grain
boundaries with increasing compressive strain (up to
reduction ratio of 60 pct) (Figure 4 (c)). It should be
noted that similar effect was reported for CP Ti (Grade
2) subjected to ECAP processing at 723 K (450 C) in
Reference 42 and CP Ti (Grade 4) subjected to ECAP-C
processing at 523 K (250 C) in Reference 12 .
Evolution of the microstructure in CP Ti subjected to
10 ECAP-C passes during plane strain compression
testing is shown in Figure 5 . No significant effect of
plane strain compression testing with reduction ratio of
20 pct on the micro structure is seen (Figur e 5 (a)).
Again, twinning is suppressed during plane strain
compression testing of the 10 ECAP-C CP Ti. An
increase of reduction ratio up to 40 pct and 60 pct leads
to formation of shear bands (Figures 5 (b) and (c)). The
localized plastic flow within those shear bands might
lead to extra microstructure refinement due to formation
of new low angle grain boundaries. Qualitative analysis
of microstructure shows that much less shear bands are
observed in the 10 ECAP-C Ti during plane strain
compression. There is a significant body of experi mental
research showing that the UFG and nanostructured
metallic materials are prone to (micro)shear banding
during their plastic deformation.
[ 43 – 45 ]
Various mecha-
nisms of shear banding in these materials were pro-
posed. Those include localization of plastic deformation
in coarse grains due to inhomogeneous microstructure,
presence of second-phase precipitates and/or nanovoids,
cooperative grain boundary sliding promoting shear
banding, etc .
[ 43 – 45 ]
It can be hypothesized that the main
mechanism of shear banding in our UFG CP Ti during
plane strain compression is related to the inhomoge-
neous microstructure resulting in redistribution of local
stresses that leads to localized plastic flow in the
material.
[ 44 , 45 ]
Extensive shear banding in 2 ECAP-C
CP Ti having more homogeneous microstructure
(Figure 3 ) speaks in favor of this assumption.
Fig. 5—Bright field TEM images (in three planes) of CP Ti after ECAP-C processing for 10 passes followed by plane strain compression testing
with total reduction ratio of: ( a ) 20 pct, ( b ) 40 pct, ( c ) 60 pct.
2320—VOLUME 45B, DECEMBER 2014 METALLURGICAL AND MATERIALS TRANSACTIONS B
Analysis of microstructure evolution in ECAP-C
processed CP Ti during plane strain compression at
673 K (400 C) does not show any evidence of grain
growth. A thorough study of recrystallization kinetics in
UFG CP Ti after 2 to 10 ECAP passes revealed
recrystallization tempe rature in the range of 901 K to
1038 K (628 C to 765 C)
[ 46 ]
which is well above our
testing temperature. However, dynamic compression
testing ( _
e ~ 4000 s
1
) at 673 K (400 C) to strains of ~ 60
to 70 pct using the Split Hopkinson pressure bar led to
some grain growth in the UFG CP Ti (Grade 2) in,
[ 39 ]
that was related to adiabatic heating estimated at
~ 353 K ( ~ 80 C). Our material has a higher content of
impurities compared to those studied in,
[ 39 , 46 ]
thus it is
expected to have higher thermostability, since impurities
can effectively reduce the grain boundary mobility.
[ 47 ]
It
should be also noted that in our plane strain compres-
sion testing, the experimentally measured adiabatic
heating did not exceed 19 K (19 C) in the 2 ECAP-C
CP Ti and 20 K (20 C) in the 10 ECAP-C CP Ti.
B. Evolution of Texture During Plane Strain
Compression Testing of the UFG CP Ti
As was already mentioned, deformation processing of
CP Ti usually leads to formation of strong crystallo-
graphic texture. Figure 6 illustrates experimental pole
figures for the prismatic plane (10 10), basal plane
(0002), and pyramidal plane (10 11) for CP Ti after 2
ECAP-C passes (Figure 6 (a)) and after 10 ECAP-C
passes (Figure 6 (b)). The pole figures are characterized
by developed deformation texture with the basal A
{0001} h 10 10 i , B pyramidal {01 13} h 10 10 i ,C
{10 12} h 2 131 i , and prismatic D {01 10} h 10 10 i
components (marked on Figure 6 (a)). It is seen that the
increase of the number of ECAP-C passes from 2
(Figure 6 (a)) to 10 (Figure 6 (b)) does not affect strongly
the crystallographic texture of pure Ti leading to a slight
change of position of texture maxima (Figure 6 ). Par-
ticularly, the intensity of the texture maxima C
{10 12} h 2 131 i decreases whereas the intensity of
the texture maxima B {01 13} h 10 10 i increases, and
the intensity of the texture maxima A {0001} h 10 10 i
remains constant indicating the importance of prismatic
glide during ECAP-C processing. It should be noted
that this evolution of crystallographic texture is relevant
to that observed during conventional ECAP processing
of CP Ti (grade 2) at 723 K (450 C).
[ 48 ]
Evolution of crystallographic texture during plane
strain compression testing of pure Ti after 2 and 10
ECAP-C passes is illustrated in Figures 7 and 8 ,
respectively. It is seen that the plane strain compression
testing leads to breaking up the crystallographic texture
formed during ECAP-C processing. At the early stages
of plane strain compression testing of the 2 ECAP-C
passes samples, the intensity of the texture maxima
Fig. 6—Pole figures for the ECAP-C-processed CP TI: ( a ) after 2 ECAP-C passes, ( b ) after 10 ECAP-C passes. The basal A {0001} h 10 10 i ,B
pyramidal {01 13} h 10 10 i , C {10 12} h 2 131 i , and prismatic D {01 10} h 10 10 i components are marked on (a).
METALLURGICAL AND MATERIALS TRANSACTIONS B VOLUME 45B, DECEMBER 2014—2321
{0001} h 10 10 i increases. The intensity of the texture
maxima D {01 10} h 10 10 i decreases with increasing
compression strain (Figure 7 ). In the 10 ECAP-C
samples, the intensity of the prismatic D
{01 10} h 10 10 i component, C pyramidal
{10 12} h 2 131 i component, and {1 104} h 2201 i
component dramatically decreases with increasing com-
pression strain (Figure 8 ). Plane strain compression
testing with the total reduction strain of 60 pct
(3 reduction steps) results in formation of the pyramidal
{ 13 21} h 0 113 i component (Figure 8 ). The tendency
to formation of hot rolling texture during plane strain
compression testing of the ECAP-C processed CP Ti can
be noted (Figures 7 and 8 ).
[ 34 , 49 ]
As is well known, the formation of crystallographic
texture in HCP metals is determined by mechanisms
operating during their plastic deformation.
[ 50 ]
In the
present case , combination of pr ismatic slip and pyra midal
Fig. 7—Evolution of texture in CP Ti subjected to ECAP-C processing for 2 passes during plain strain compression testing (information on the
reduction ratio is provided under the pole figures).
2322—VOLUME 45B, DECEMBER 2014 METALLURGICAL AND MATERIALS TRANSACTIONS B
slip results in formation of the textures wi th basal poles
tilted away from the normal direction toward the
transversal direction as observed in Figures 7 and 8 .I t
was reported that multiple twinning of a single grain can
lead to appearance of { 13 21} h 0 113 i component
during hot rolling of CP Ti.
[ 51 ]
However, no twins were
observed in the microstructure of ECAP-C-processed
CP Ti after plane strain compression with 60 pct
(Section IV–A ). It should be noted that the
{ 13 21} h 0 113 i component has very low intensity in
these samples (Figures 7 and 8 ) that indicates their very
low fraction, so the twins can be missed in TEM analysis.
Fig. 8—Pole figures for the CP Ti subjected to 10 ECAP passes during plain strain compression testing (information on the reduction ratio is
provided under the pole figures).
METALLURGICAL AND MATERIALS TRANSACTIONS B VOLUME 45B, DECEMBER 2014—2323
C. Stress–Strain Behavior During Plane Strain
Compression Testing of the UFG CP Ti and its
Microhardness
Figure 2 illustrates flow stress–strain curves from
plane strain compression testing of CP Ti after 2 and
10 ECAP-C passes during the first reduction test. It is
seen that CP Ti after 10 ECAP-C passes shows by
~ 10 pct high er flow stress compared to CP Ti after 2
ECAP-C passes. This is related to the finer microstruc-
ture developed in the material after 10 ECAP-C passes.
The material in both conditions shows significant work
hardening during plane strain compression testing. The
true stress tends to increase with increasing cumulative
compression strain. This can be rationalized based on
the results of the microstructure analysis and dislocation
density evolution during plane strain compression test-
ing. Formation of new low angle grain boundaries and
increase of dislocation density during plane strain
compression (Table I ) lead to additional dislocation
strengthening in the material,
[ 52 ]
whereas transformation
of low angle grain boundaries into high angle grain
boundaries further reduced grain size and, thus results in
additional grain size hardening
[ 53 , 54 ]
(Section IV–A ).
The results of microhardness measurements are pre-
sented in Figure 9 . It is clearly seen that the 10 ECAP-C
samples show higher microhardness compared to the 2
ECAP-C samples due to more refined microstructure
resulting in higher strength (Section IV–B ). Microhard-
ness in both samples increases with increasing reduction
ratio. This increase is remarkable at low reduction ratios
(20 to 40 pct), and after the second reduction (40 pct)
the microhardness tends to saturate at ~ 350 Hv in the 2
ECAP-C samples and at ~ 360 Hv in the 10 ECAP-C
samples. It should be noted that the microhardness
increase during plane strain compression testing is more
significant in the 2 ECAP-C samples and the plane strain
compression testing negates the difference in microh-
ardness between 2 ECAP-C and 10 ECAP-C samples.
This is in a good accordance with the microstructural
observations showing more significant grain refinement
in the 2 ECAP-C samples during plane strain compres-
sion testing (Section IV– A ). A good correlation between
the results on the microhardness measurements (Fig-
ure 9 ) with the flow stress - strain curves obtained from
plane strain compression testing (Figure 2 ) should be
also noted.
D. Advantages of Application of Physical Simulation for
Development of Thermo-mechanical Processing Routes
for the UFG Metallic Materials
The present results clearly demonstrate that applica-
tion of physical simulation can significantly reduce the
amount of expensive material required for experimental
trials as well as to increase the efficiency of experimental
work. Small specimens having dimensions of
20 mm 9 15 mm 9 5 mm cannot be used for develop-
ment of the optimum hot rolling routes via standard
‘error and trial’ approach since small specimens are
easily cooled down straight after removal from the
furnace before undergoing hot rolling process, and thus
the specimen temperature cannot be controlled. There-
fore, large bars of UFG CP Ti having a diameter of
40 mm and a length of 200 mm were used in Ref erence
16 for development of secondary hot rolling processing
route. A simple calculation (based on comparison of
volumes required per one trial in physical simulation
and in standard approach) shows that application of
physical simulation reduces the volume of expensive
UFG CP Ti required per one trial by > 150 times. This,
in turn, dramatically reduces time required for fabrica-
tion of the UFG material and related costs. Physical
simulation allows to precisely control the temperature
[with accuracy of ± 1K( ± 1 C)] in sample during plane
strain compression, which is very important for intelli-
gent microstructural design in UFG metallic materials
to achieve enhanced mechanical, physical, and func-
tional properties. Another advantage of application of
physical simulation is ability to precisely predict the
adiabatic heating during hot rolling. The adiabatic
heating from the rolling deformation can also signifi-
cantly affect the microstructure evolution and final
properties in the UFG metallic materials after rolling.
Precise data on the stress–strain behavior of the UFG
metallic materials obtained from plane strain compres-
sion testing in the thermo-mechanical simulator can be
utilized for prediction of the load on mills in order to
avoid any damage of rolling mill. As is well known, the
UFG metallic materials can demonstrate superior
mechanical strength and fcc UFG metals can show
enhanced strain rate sensitivity
[ 55 , 56 ]
resulting in extre-
mely high flow stresses if they are deformed at high
strain rates (as in the case of rolling operations).
Appropriate processing parameters such as rolling
temperature and reduction ratio can be obtained from
the data on the microstructure, texture, and hardness
evolution obtained from the analysis of the specimens
after plane strain compression testing. The results thus
obtained from physical simulation can be readily trans-
ferred into larger fabrication scale.
Fig. 9—Vickers microhardness of the CP Ti after ECAP-C process-
ing and plane strain compression testing to different reduction ratios.
2324—VOLUME 45B, DECEMBER 2014 METALLURGICAL AND MATERIALS TRANSACTIONS B
V. SUMMARY
Ultra-fine grained (UFG) commercially pure (CP) Ti
was processed via equal channel angular pressing
Conform (ECAP-C) at 673 K (400 C) for 2 and 10
passes resulting in formation of UFG microstructure.
Physical simulation of hot rolling of the UFG CP Ti is
performed via plane strain compression testing using
thermo-mechanical simulator GLEEBLE 3800. Evolu-
tion of the microstructure and crystallographic texture
of the CP Ti during plane strain compression testing is
studied. Plane strain compression testing leads to further
refinement of the microstructure (when it is deformed to
high compressive strains), breaking up the as-ECAP-C
crystallographic texture, and formation of the texture
similar to that developed during hot rolling, as well as to
further increase of the materials hardness. It is demon-
strated that physical simulation of metalforming pro-
cesses for the UFG metallic materials can significantly
reduce the amount of material required for development
of processing routes as well as to increase the efficiency
of experimental work to be carried out.
ACKNOWLEDGMENTS
The authors acknowledge gratefully the Russian
Ministry for Education and Science for the financial
support of this study through the Federal Targeted
Program, Contract No 14.B25.31.0017 by June 28,
2013. IS acknowledges the funding through the ViNaT
project, Contract No 295322, FP7-NMP-2011.1.4-5. IS
also acknowledges gratefully the Spanish Ministry of
Economy and Competitiveness for financial support
through the Ramon y Cajal Fellowship.
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56. I. Sabirov, M.Y. Murashkin, and R.Z. Valiev: Mater. Sci. Eng. A ,
2013, vol. 560, pp. 1–24.
2326—VOLUME 45B, DECEMBER 2014 METALLURGICAL AND MATERIALS TRANSACTIONS B
... It is possible to realize the non-monotonic loading process through a consecutive processing of billets by different methods. This procedure has already been tested successfully for Ti-based
[15]
, Cu-based [16] and Al-based alloys [17,18]. At the first stage of processing, SPD by ECAP-Conform was conducted, and at the second stage, rolling or drawing was performed. ...
... For instance, in [17], in the Al alloy 5083 after ECAP processing and additional compression, imitating rolling conditions, an increase in dislocation density was observed. An enhancement of strength after ECAP-Conform processing and compression of Ti
[15]
, after ECAP processing and rolling of Cu [16], was accounted for by the formation of additional low-angle boundaries within grains and a transformation of the low-angle boundaries into high-angle ones. This conclusion is also consistent with the studies on the microstructure of austenitic steel in different states reported in the present study (see Table 3). ...
Superior Strength of Austenitic Steel Produced by Combined Processing, including Equal-Channel Angular Pressing and Rolling
Article
Full-text available
Dec 2016
Marina Vladimirovna Karavaeva
Marina M. Abramova
Nariman Enikeev
Ruslan Z. Valiev
Enhancement in the strength of austenitic steels with a small content of carbon can be achieved by a limited number of methods, among which is ultrafine-grained (UFG) structure formation. This method is especially efficient with the use of severe plastic deformation (SPD) processing, which significantly increases the contribution of grain-boundary strengthening, and also involves a combination of the other strengthening factors (work hardening, twins, etc.). In this paper, we demonstrate that the use of SPD processing combined with conventional methods of deformation treatment of metals, such as rolling, may lead to additional strengthening of UFG steel. In the presented paper we analyze the microstructure and mechanical properties of the Cr-Ni stainless austenitic steel after a combined deformation. We report on substantial increases in the strength properties of this steel, resulting from a consecutive application of SPD processing via equal-channel angular pressing and rolling at a temperature of 400˚C. This combined loading yields a strength more than 1.5 times higher than those produced by either of these two techniques used separately.
... Por tal motivo, la simulación física de la ZTA por medio del sistema Gleeble ha jugado un papel importante. Los beneficios de la utilización de este sistema han quedado demostrados ampliamente en numerosas investigaciones [5][6]
[7]
[8][9][10]. No obstante, existen también algunas desventajas; una de las más importantes radica en el tamaño reducido de las probetas estándar que se utilizan para llevar a cabo dichas simulaciones (barras de sección transversal circular de 6 mm de diámetro y 76 mm de largo o barras de sección transversal cuadrada de 10 mm x 10 mm y 76 mm de largo), lo cual limita el tipo de ensayos posteriores que se pueden realizar con estas probetas simuladas. ...
Development of a physical simulation method of steel welds for fatigue crack propagation studies, on heat affected zones
Article
Full-text available
May 2016
Daniel Fernando Atehortua Lopez
Ramiro Catacolí-Pereira
Yesid Aguilar Castro
lchat Sabirov
In order to study the fatigue crack propagation in the Heat Affected Zone (HAZ) of structural steel weld joints, test specimens of 90 mm x 49,5 mm x 7 mm in size were used to carry out the simulations, for which a special procedure was required to be developed in the Gleeble system. By doing so, the fine grain zone, the coarse grain zone and the multi-pass zone of a weld joint produced by FCAW were successfully reproduced separately on different samples of the corresponding base metal. The simulated zones were reproducible, homogeneous, defect free, residual-stress-free and large enough; besides their microstructural characteristics (such as grain size and phase percentage) were very close to their real counterparts, which made it possible to study the actual effect of HAZ microstructure on the fatigue crack propagation rate in these zones for the first time. Therefore, the development enabled to significantly increase applications and the advantages of this technique, while allowed improving the understanding of fatigue behavior in steel weld joints.
... Примером немонотонного нагружения является всесторонняя ковка, при реализации которой смена схемы главных напряжений реализуется в результате поворота заготовки последовательно относительно трех осей [9,10]. Исследования, проведенные на титановых
[11]
, медных [12] и алюминиевых [13,14] сплавах, показали, что сочетание РКУП с волочением или прокаткой приводит к дополнительному увеличению микротвердости и прочности УМЗ материалов. Аналогичный результат был получен для аустенитной стали: при проведении дополнительной прокатки на 77 % образцов после РКУП микротвердость и прочность стали увеличились на 35 % за счет формирования более мелкозернистой микроструктуры и увеличения плотности дислокаций [15]. ...
Effect of combined loading on the microstructure and microhardness of austenitic steel
Article
Mar 2017
Marina Vladimirovna Karavaeva
Marina M. Abramova
Nariman Enikeev
Ruslan Z Valiev
Increasing the strength of low carbon austenitic steels, which are not hardened by quenching, is possible due to the formation of ultrafine-grained (UFG) structure during severe plastic deformation (SPD). However, the most notable hardening during SPD is observed at the initial stages of processing, after which the hardening rate decreases markedly. One of deformation parameters significantly affecting the structure is loading path. Using non-monotonic loading allows one to activate new glide systems resulting in an accelerated process of UFG structure formation and the resulting structures are characterized by high dislocation density and smaller grain sizes. In this work, non-monotonic loading by a combination of two methods, equal channel angular pressing (ECAP) and subsequent rolling with varying reduction rate, was used. It has been shown that the combination of SPD method (ECAP) and rolling leads to an additional increase in the microhardness of UFG austenitic steel. Additional hardening is associated with features of the microstructure formed under combined loading. The structure is characterized by a fine grain size and high density of dislocations compared with the structure after rolling or ECAP. It is shown that during deformation the microstructure changed from banded structure to a subrgrain-granular one. For the samples subjected to ECAP before rolling this process occurs at a less rolling strain. Furthermore, after the combined loading a noticeable volume fraction of twins in the microstructure was observed as compared to their rather small amount after ECAP. With a strain increase during rolling the rate of microhardness growth slows down. © 2017, Institute for Metals Superplasticity Problems of Russian Academy of Sciences. All rights reserved.
... [23][24][25] Adding this post-steps, it is also feasible to re-shape the final product.
26,
27 Conventional ECAP routes are not suitable for the processing of long rods in a continuum way. To solve this problem, a novel ECAP route based on the Conform scheme, the so called ECAP-Conform, 28 was developed (Fig. 1b). ...
Ultra-fine grained pure Titanium for biomedical applications
Article
Oct 2016
Hugo Mora
Ilchat Sabirov
M. A. Monclus
Jon Molina-Aldareguia
Ti-based materials are one of the most important materials used in biomedical engineering. Recently, commercially pure (CP) Ti has attracted significant attention of research community due to its full biocompatibility with human body, and there is an ongoing demand to improve its mechanical properties without sacrificing other beneficial properties. A possible approach to achieving this aim is to use the method of severe plastic deformation (SPD) to obtain an ultra-fine grained (UFG) microstructure. Significant grain refinement by SPD processing leads to an improvement in mechanical and functional properties. This paper gives an overview of a range of the properties that can be achieved in the UFG CP Ti including microstructural features, mechanical properties, corrosion performance and biocompatibility. Attention is paid to the main SPD processing techniques developed for the fabrication of UFG CP Ti. Current and potential applications of UFG CP Ti in biomedical engineering are also considered.
... Por tal motivo, la simulación física de la ZTA por medio del sistema Gleeble ha jugado un papel importante. Los beneficios de la utilización de este sistema han quedado demostrados ampliamente en numerosas investigaciones [5][6]
[7]
[8][9][10]. No obstante, existen también algunas desventajas; una de las más importantes radica en el tamaño reducido de las probetas estándar que se utilizan para llevar a cabo dichas simulaciones (barras de sección transversal circular de 6 mm de diámetro y 76 mm de largo o barras de sección transversal cuadrada de 10 mm x 10 mm y 76 mm de largo), lo cual limita el tipo de ensayos posteriores que se pueden realizar con estas probetas simuladas. ...
Desarrollo de un método de simulación física de zonas térmicamente afectadas en soldaduras de acero, para estudios de propagación de grietas por fatiga
Article
Full-text available
May 2016
Daniel Fernando Atehortua Lopez
Ramiro Catacolí-Pereira
Yesid Aguilar Castro
Ilchat Sabirov
Se presenta el desarrollo de un método de simulación física, a través del sistema Gleeble, de las zonas térmicamente afectadas de uniones soldadas de aceros estructurales (A283 Gr. C y A106 Gr. B), para el estudio de la propagación de grietas por fatiga. Para ello fue necesario utilizar probetas de 90 mm de largo, 49,5 mm de ancho y 7 mm de espesor, en una configuración que no se encuentra dentro de los estándares del sistema para este tipo de simulaciones. Con este método se reprodujeron satisfactoriamente, y por separado, en diferentes probetas del metal base correspondiente, la zona de grano fino, la zona de grano grueso y una zona de múltiples pasadas presentes en uniones soldadas fabricadas por FCAW. Las zonas simuladas fueron reproducibles, homogéneas, no presentaron defectos ni tensiones residuales y tuvieron un tamaño considerablemente grande, además que las características microestructurales (como el tamaño de grano y el porcentaje de fases) fueron muy similares a su contraparte real, lo que permitió estudiar por primera vez el efecto neto de la microestructura sobre el comportamiento a la fatiga en estas zonas. De esta manera, el desarrollo realizado permitió aumentar considerablemente las aplicaciones y las ventajas que esta técnica puede tener, además de mejorar la comprensión del comportamiento a la fatiga de las soldaduras de acero.
View
Show abstract
... Por tal motivo, la simulación física de la ZTA por medio del sistema Gleeble ha jugado un papel importante. Los beneficios de la utilización de este sistema han quedado demostrados ampliamente en numerosas investigaciones [5][6]
[7]
[8][9][10]. No obstante, existen también algunas desventajas; una de las más importantes radica en el tamaño reducido de las probetas estándar que se utilizan para llevar a cabo dichas simulaciones (barras de sección transversal circular de 6 mm de diámetro y 76 mm de largo o barras de sección transversal cuadrada de 10 mm x 10 mm y 76 mm de largo), lo cual limita el tipo de ensayos posteriores que se pueden realizar con estas probetas simuladas. ...
Desarrollo de un método de simulación física de zonas térmicamente afectadas en soldaduras de acero, para estudios de propagación de grietas por fatiga
Se presenta el desarrollo de un método de simulación física, a través del sistema Gleeble, de las zonas térmicamente afectadas de uniones soldadas de aceros estructurales (A283 Gr. C y A106 Gr. B), para el estudio de la propagación de grietas por fatiga. Para ello fue necesario utilizar probetas de 90 mm de largo, 49,5 mm de ancho y 7 mm de espesor, en una configuración que no se encuentra dentro de los estándares del sistema para este tipo de simulaciones. Con este método se reprodujeron satisfactoriamente, y por separado, en diferentes probetas del metal base correspondiente, la zona de grano fino, la zona de grano grueso y una zona de múltiples pasadas presentes en uniones soldadas fabricadas por FCAW. Las zonas simuladas fueron reproducibles, homogéneas, no presentaron defectos ni tensiones residuales y tuvieron un tamaño considerablemente grande, además que las características microestructurales (como el tamaño de grano y el porcentaje de fases) fueron muy similares a su contraparte real, lo que permitió estudiar por primera vez el efecto neto de la microestructura sobre el comportamiento a la fatiga en estas zonas. De esta manera, el desarrollo realizado permitió aumentar considerablemente las aplicaciones y las ventajas que esta técnica puede tener, además de mejorar la comprensión del comportamiento a la fatiga de las soldaduras de acero.
... Evolution of crystallographic texture during ECAP processing followed by drawing was analyzed in[16]. Evolution of crystallographic texture during ECAP followed by hot rolling was performed in
[17]
. Texture is the main cause of mechanical properties anisotropy of polycrystalline bodies as was mentioned above[18]. ...
Influence of a Kind of Deformation on a Texture and Properties of Stainless Steel
Both the texture of 12X18H10 stainless steel after the roll rolling and annealing at 600°C during one hour and the texture change after bending of variable sign (the modelling of straightening by rolls) after some number of cycles (not more than five cycles) are explored. Initial texture is typical for alloys with a face-centred cubic lattice with the low stacking-fault energy. A model is suggested, according to which, the shear deformations of variable sign arise, and the shear texture components are formed. Orientations of twins are also revealed. The number of twins increases with growth of bendcycles number that is confirmed by the metallographic investigations. The character of formed texture explains nascent anisotropy of mechanical properties and its change after bend of variable sign.
Effect of the Strain Kind on the Texture and Microstructure of Low-Alloyed Steel
Crystallographic texture and microstructure of low-alloyed steel after twist extrusion (TE) and subsequent cold rolling along and across the TE axis were studied. The double axial cylindrical texture with axes 110 and 100 parallel to the TE axis and the vortex-like microstructure are formed in the steel during the TE. The subsequent rolling of extruded steel along the TE axis promotes the forming of typical steel rolling texture as well as the microstructure with elongated grains in rolling direction. Typical steel rolling texture as well as the equiaxed microstructure is formed in extruded steel after rolling in the direction transverse to the TE axis. The mechanisms of formation of the texture are discussed.
Worldwide demand of better and more efficient metallurgical processes, leading to low costs of their products, stimulates intensive research to reach these goals. In this respect, any full-scale industrial experiments appear non-acceptable. Cutting off the R&D costs and fast introducing of new technologies is possible when physical and numerical simulations are used. The computer simulation can be only correct when exact data of materials behaviour at processing conditions are known. To obtain the data, physical simulation is needed and it must be executed on multi-purpose thermal-mechanical testing devices accurately reproducing the real industrial processing conditions. For continuous casting or metal forming, individual phases of processes or multi-step operations must be followed, characterized by their time, temperature, and by applied forces, strains and strain rates. Actually the physical simulation, as compared with full-scale industrial testing, allows in a fraction of time for a fraction of cost an improvement of existing technology or development of a new one for modern materials and products. It can be used for solving production problems due to solidification phenomena or deformability limits, which result in hot cracking and rejection of the product. In this paper several examples of physically simulated procedures are given and their physical background discussed.
| https://www.researchgate.net/publication/264217021_Physical_Simulation_of_Hot_Rolling_of_Ultra-fine_Grained_Pure_Titanium |
Engineering Proceedings | Free Full-Text | Diamond: A Chemical Sensor& rsquo;s Best Friend
For a few decades, diamonds have been grown in some laboratories using either the High Pressure High Temperature (HPHT) process or Plasma-Enhanced Chemical Vapor Deposition (MP-CVD) [...]
Diamond: A Chemical Sensor’s Best Friend †
by Emmanuel Scorsone
Diamond Sensors Laboratory, Université Paris-Saclay, CEA, List, F-91120 Palaiseau, France
†
Presented at the 9th International Symposium on Sensor Science, Warsaw, Poland, 20–22 June 2022.
Eng. Proc. 2022 , 21 (1), 29; https://doi.org/10.3390/engproc2022021029
Published: 26 August 2022
(This article belongs to the Proceedings of The 9th International Symposium on Sensor Science )
Keywords:
diamond
;
chemical sensor
For a few decades, diamonds have been grown in some laboratories using either the High Pressure High Temperature (HPHT) process or Plasma-Enhanced Chemical Vapor Deposition (MP-CVD). Single-crystal diamonds exhibit outstanding properties including high optical transparency over a broad electromagnetic spectrum, high thermal conductivity approx. five times higher than copper, and acoustic wave velocity close to 19,000 m·s
−1
. They also display remarkable mechanical properties with, e.g., a Young’s modulus exceeding 1000 GPa along with high resistance to fracture, to name a few. Some of these properties also remain remarkable in their polycrystalline forms when compared to most other materials. Furthermore, diamonds can be doped, e.g., with nitrogen or boron during growth, offering electrical properties from semiconducting to quasi-metallic regimes. When heavily doped with boron (~2 × 10
21
cm
−3
), so-called Boron Doped Diamond (BDD) electrodes become attractive electrodes featuring a high potential window >3 V in water and low double-layer capacitance. Moreover, diamonds are extremely resilient to corrosion and more generally to chemical attacks. They are also biocompatible, which makes them very attractive for in vivo sensing applications. Finally, the carbon nature of diamonds presents wide opportunities for the surface grafting of chemical or biochemical functional groups through highly stable covalent carbon–carbon bonding. One can take advantage of these properties to enhance the analytical performances and stability of chemical/biochemical sensors, and this has motivated our research over the last 15 years.
Our work mainly focuses on polycrystalline diamond thin films that can be grown typically on 4-inch silicon substrates, thus offering access to some clean-room processes and potentially large-scale production. As examples, diamond-based Microelectromechanical systems (MEMS) devices (microcantilevers and SAW sensors) take advantage of both the mechanical properties of diamonds along with steady carbon interfaces for convenient bio-functionalization. Our work here focused mainly on the detection of odorant molecules, using biomolecular receptors involved in olfaction in nature as sensitive layers, including Odorant Binding Proteins (OBPs), Major Urinary Proteins (MUPs) and Olfactory Receptors (OR). Multisensor array instrumentations were developed around this concept for applications ranging from breath analysis to security applications. In addition, heavily doped diamond electrodes were developed successfully both as macro- and micro-electrodes for biomedical, pharmaceutical or foodstuff analysis applications. These applications benefit both from the high analytical performances of diamond electrodes, in particular due to their low background signals and high reactivity, and high stability and reliability. BDD electrodes also offer significant advantages in electrochemiluminescence (ECL) techniques, which are being investigated for various applications ranging from foodstuff analysis to narcotics detection. A key benefit of BDD electrodes for all of the above applications is that they can certainly be electrochemically reactivated following fouling, sometimes directly in the analytical medium, to maintain high reactivity, thus paving the way for reusable sensors and online monitoring.
Funding
Parts of this research was funded by European Union’s Seventh Framework Programme under grant agreement No 285203 (“SNIFFER project”) and from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 653323 (“CBORD project”) And The APC was funded by CEA, LIST.
Conflicts of Interest
MDPI and ACS Style
Scorsone, E. Diamond: A Chemical Sensor’s Best Friend. Eng. Proc. 2022, 21, 29.
https://doi.org/10.3390/engproc2022021029
AMA Style
Scorsone E. Diamond: A Chemical Sensor’s Best Friend. Engineering Proceedings. 2022; 21(1):29.
https://doi.org/10.3390/engproc2022021029
Chicago/Turabian Style
Scorsone, Emmanuel. 2022. "Diamond: A Chemical Sensor’s Best Friend" Engineering Proceedings21, no. 1: 29.
https://doi.org/10.3390/engproc2022021029
Article Metrics
Scorsone E. Diamond: A Chemical Sensor’s Best Friend. Engineering Proceedings. 2022; 21(1):29.
https://doi.org/10.3390/engproc2022021029
Chicago/Turabian Style
Scorsone, Emmanuel. 2022. "Diamond: A Chemical Sensor’s Best Friend" Engineering Proceedings21, no. 1: 29.
https://doi.org/10.3390/engproc2022021029
| https://www.mdpi.com/2673-4591/21/1/29/htm |
Text of S. 3635 (110th): Supporting Mentors, Supporting Our Youth Act of 2008 (Introduced version) - GovTrack.us
Text of S. 3635 (110th): Supporting Mentors, Supporting Our Youth … as of Sep 26, 2008 (Introduced version). S. 3635 (110th): Supporting Mentors, Supporting Our Youth Act of 2008
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Congress Bills S. 3635 (110th) Text
S. 3635 (110 th ): Supporting Mentors, Supporting Our Youth Act of 2008 Compare this bill to another bill:
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II
110th CONGRESS
2d Session
S. 3635
IN THE SENATE OF THE UNITED
STATES
September 26
(legislative day, September 17), 2008
Mrs. Clinton
introduced
the following bill; which was read twice and referred to the
Committee on Health, Education, Labor,
and Pensions
A BILL
To authorize a loan forgiveness program for
students of institutions of higher education who volunteer to serve as
mentors.
1.
Short title
This Act may be cited as the
Supporting Mentors, Supporting Our
Youth Act of 2008
.
2.
Loan forgiveness for volunteer
mentoring
Part B of title IV
of the Higher Education Act of 1965 (
20 U.S.C. 1071 et seq
.) is amended by
inserting after section 428L the following:
428M.
Loan forgiveness for volunteer
mentoring
(a)
Program Authorized
(1)
Loan forgiveness authorized
The Secretary shall forgive, in accordance
with this section, the student loan obligation of a borrower, in the amount
specified in
subsection (c)
, who—
(A)
commits to volunteering as a mentor, as
described in
subsection (b)
, for a period of not less
than 1 year;
(B)
is enrolled in an institution of higher
education during the period the borrower is volunteering as a mentor;
and
(C)
is not in default on a loan for which the
borrower seeks forgiveness.
(2)
Method of loan forgiveness
To provide loan forgiveness under paragraph (1)
, the Secretary is
authorized to carry out a program—
(A)
through the holder of the loan, to assume
the obligation to repay a qualified loan amount for a loan made, insured, or
guaranteed under this part (other than an excepted PLUS loan (as such term is
defined in section 493C(a))); and
(B)
to cancel a qualified loan amount for a
loan made under part D (other than such an excepted PLUS loan).
(3)
Regulations
The Secretary is authorized to issue such
regulations as may be necessary to carry out the provisions of this
section.
(b)
Volunteer Mentoring
For purposes of this section, an individual
shall be treated as volunteering as a mentor if the individual—
(1)
commits to mentoring an at-risk child for a
period of not less than 1 year; and
(2)
completes the minimum number of hours of
volunteering as a mentor during such year, as determined by the Secretary by
regulation.
(c)
Qualified Loan Amount
At the end of each year of volunteering as
a mentor, as described in subsection (b)
, on or after the date of
enactment of the
Supporting Mentors,
Supporting Our Youth Act of 2008
, not to exceed 5 years, the
Secretary shall forgive, for every hour of mentoring completed, $10 of the
student loan obligation of a borrower that is outstanding after the completion
of each such year of volunteering as a mentor, not to exceed $10,000 in the
aggregate for any borrower.
(d)
Priority
The Secretary shall grant loan forgiveness
under this section on a first-come, first-served basis, and subject to the
availability of appropriations.
(e)
Evaluation and report
Not later than 1 year after the date of
enactment of the
Supporting Mentors,
Supporting Our Youth Act of 2008
, and annually thereafter, the
Secretary shall evaluate the effectiveness of the program authorized under this
section, and shall submit to Congress a report on such evaluation. Such report
shall include—
(1)
the number and percentage of borrowers who
participate in the program under this section for multiple academic years;
and
(2)
the number of borrowers who continue to
volunteer as mentors after graduation from an institution of higher
education.
.
Loading... | https://www.govtrack.us/congress/bills/110/s3635/text |
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Gigantic Tardigrades - SCP Foundation
The SCP Foundation's 'top-secret' archives, declassified for your enjoyment.
Gigantic Tardigrades
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» Writing Help / Help: Ideas Critique
» Gigantic Tardigrades
Started by: Serpiroyal
Date: 30 Dec 2019, 20:02
Number of posts: 2
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Summary:
My attempt to write an article about huge, indestructable tardigrades.
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Gigantic Tardigrades
Serpiroyal 30 Dec 2019, 20:02
This scp are 15 tardigrades at the bottom of the mariana trench. Currently, they are in a state called the ton state.
For everyone that doesnt know about tardigrades: this is a state in which the tardigrade is practically frozen. In it they can survive extreme conditions like radiation, poison, super hot and cold temperatures and even space.
They have a lengh of aproximately 100m, but in the ton state they are aproximately 50m big.
In their "normal" state, they consume anything in their way. They will enter this state as soon as they are in a habitable environment and enter their ton state if they are in any extreme conditions. Then they slowly mutate to adapt to this environment.
As soon as one enters the "normal" state, the foundation nukes it or something like that, so that it reenters the ton-state. They are currently under watch of the foundation and if anyone tries to retrive one from the location, they will be immideatly terminated. Research on them needs to be approved by dr-S████.
Please help me to improve this idea with your feedback and tell me if this is too similar to another scp.
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by Serpiroyal
, 30 Dec 2019, 20:02
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Re: Gigantic Tardigrades
F15H35 31 Dec 2019, 10:11
[Placeholder. Will crit soon]
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(As a note: Yes, tardigrades can survive harsh conditions but they're just actually really resilient. Somewhere I read said that they can actually die from high heat within seconds.)
In their "normal" state, they consume anything in their way. They will enter this state as soon as they are in a habitable environment and enter their ton state if they are in any extreme conditions. Then they slowly mutate to adapt to this environment.
All those sentences kind of contradict with the location you said earlier. If tardigrades should mutate their body to adapt to the environment, then by adapting to high pressure and harsh temperatures they can freely roam the trenches. It just doesn't make sense on why they're in a ton state. (If you're gonna point out about the Foundation nuking them, continue reading further)
As soon as one enters the "normal" state, the foundation nukes it or something like that, so that it reenters the ton-state.
Why would the Foundation do this exactly? It doesn't make sense to nuke something they don't know about. It's like trying to burn SCP-999 after its discovery. Why does the Foundation have to nuke a bunch of tardigrades knowing that it may not even be a threat to them?
They are currently under watch of the foundation and if anyone tries to retrive one from the location, they will be immideatly terminated.
How exactly will someone retrieve a tardigrade knowing that it is at the bottom of the mariana trench? (Of course this is a fictional universe but that doesn't mean realism shouldn't be implied) Knowing that it basically takes a whole deep sea submarine crew to retrieve one, how will one person even managed to get one?
Here are the key principles that your idea has answered/unanswered:
+ show block
Hide Existence: Unanswered. How did the entity come into existence? Created? Summoned? Intention: Unanswered. What does the entity fully intend to do aside from doing normal tardigrade habits? Destroy the world? Reproduction? Discovery: Unanswered. How was the entity discovered? Government reports? Sightings? Containment: Unanswered. How in the holy hell will the Foundation contain the entity? (This may be optional) Foundation's intent: Unanswered. Now that it is contained, what do they do with it? Tests? Interviews? Observations? Simply nuking an entity without knowing what it does is not the Foundation way of thinking. Narrative: What kind of story are you gonna implement on your article? What will hook the readers into your idea?
Overall, the idea seems to be incomplete as a whole. Many points are not addressed along with no narrative being put into it. This looks like the type to be needing visual building in order for people to get hooked on this, with all the deep sea mystery being accompanied by the idea. As a note, try to expand on your idea by answering the points and providing more details on what you want to present. I'll try to give feedback once you have answered.
Last edited on 31 Dec 2019, 15:33
by F15H35
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The Cold War Begins: Soviet-American Conflict Over East Europe 0691052174, 9780691052175 - DOKUMEN.PUB
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Lynn Etheridge Davis
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T H E COLD WAR BEGINS
Written under the auspices of the Institute of War and Peace Studies, Columbia University A list of other Institute publications appears at the back of the book
THE COLD WAR BEGINS Soviet-American Conflict over Eastern Europe
Lynn Etheridge Davis
P R I N C E T O N UNIVERSITY PRESS P R I N C E T O N , N E W JERSEY
Copyright © 1974 by Princeton University Press Published by Princeton University Press, Princeton and London All Rights Reserved LCC: 73-24736 ISBN: 0-691-05217-4 Library of Congress Cataloging in Publication Data will be found on the last printed page of this book Publication of this book has been aided by the Andrew W. Mellon Foundation This book has been composed in Linotype BaskerviUe Printed in the United States of America by Princeton University Press, Princeton, New Jersey
To My Parents
CONTENTS
ACKNOWLEDGMENTS
IX
INTRODUCTION
3
ONE.
T h e Anglo-Soviet T r e a t y 1942
TWO.
Poland 1941-1943
THREE.
Postwar Plans a n d Expectations 1941-1943
FOUR. FIVE.
11
62
T h e Polish-Soviet Dispute 1944
89
Spheres of Influence in Eastern Europe J
140
944
Roosevelt Takes the Initiative Yalta 1945
172
SEVEN.
P o l a n d 1945
202
EIGHT.
R u m a n i a , Bulgaria, Hungary:
six.
Challenges to the Yalta Agreements NINE. TEN. ELEVEN.
255
Potsdam, London, Moscow 1945
288
Yugoslavia a n d Czechoslovakia 1945
335
Conclusions
369
APPENDIX
396
BIBLIOGRAPHY
399
INDEX
411
VIl
ACKNOWLEDGMENTS
question of who is right, Herbert Feis or Gar Alperovitz, first provoked my interest in this study of the origins of Soviet-American conflict over Eastern Europe. But only with the aid and encouragement of many people was I able to pursue the complex answer to that question and finally produce this completed manuscript. The Woodrow Wilson Foundation provided generous financial support during the initial year of research and writing the dissertation. The Historical Office of the Department of State, particularly Dr. Arthur G. Kogan, the Modern Military Records Division of the National Archives, the Manuscript Division of the Library of Congress, the Franklin D. Roosevelt Library, and the university libraries of Columbia, Harvard, and Yale all assisted me in obtaining the documents consulted in this study. Yale University Library (Henry L. Stimson Diary and Papers), Harvard University Library (Joseph C. Grew Papers), and William H. Leahy (William D. Leahy Diary) gave me permission to quote from the papers under their control. The Institute of War and Peace Studies, Columbia University, furnished me with a quiet office and secretarial help during the time I revised the dissertation and is now sponsoring its publication. This study also benefited greatly from the opportunity I had to discuss United States policy toward Eastern Europe from 1941 to 1945 with some of the State Department officials who participated in its formulation. I wish to acknowledge my indebtedness to Charles E. Bohlen, John C. Campbell, Elbridge Durbrow, H. Freeman Matthews, Philip Mosely, and Llewellyn Thompson. I would like to express my particular appreciation to those who have read and commented on the manuscript: T H E SIMPLE
IX
ACKNOWLEDGMENTS
Warner R. Schilling, William T . R. Fox, Howard Wriggins, Marshall Shulman, Henry Graff, Vojtech Mastny, and Arno Mayer. For those parts of the book which may still be incorrect or unclear, they are not responsible; they did their best. Warner R. Schilling, as both teacher and colleague, de serves very special thanks. From the time when the idea for the dissertation first appeared, through the trials of re search, organization, and writing, to its conclusion in the form of this book, he was there to encourage, to criticize, and to praise. I could ask no more from a friend. In addition, I would like to remember and thank those who initially sparked my interest in the study of politics: Margaret Egan and Frances Trainor; Dirk Bollenbach of Ridgefield (Conn.) High School; Professor William Scott, Dean M. Margaret Ball, and President Douglas M. Knight of Duke University. I am also indebted to Patti Adams and Alice Petizon, who provided stimulating company and com fortable lodging during my months of research in Washing ton, and to two former colleagues at Barnard College, Marsha Hiller and Barry Mahoney, whose moral support helped me complete the dissertation that year. And thanks to Gaynor Ellis whose friendship included reading the man uscript and improving its presentation. Words will ultimately fail to describe the support which I received from my family or to express my real gratitude. My husband, Roderick, labored with some success to im prove my prose style, but most importantly understood my frustrations and tried to keep them in perspective. Dee Sandoe remained confident that her sister would finally get it all done. Finally, Louise and DeWitt Etheridge never doubted my ability to do well and have contributed to that ability by a perceptive combination of challenging my thinking and offering understanding. And it is to them that this book is dedicated. October n, 19J3 Highgate, London χ
T H E COLD WAR BEGINS
INTRODUCTION
I of the Cold War were numerous and continue to be a matter of controversy. But all writers consider the development of Soviet-American conflict over the political future of Eastern Europe to have been a major cause. According to Robert Divine, for example, "Poland, more than any other issue, gave rise to the Cold War." 1 Adam Ulam agrees: "The cold war began just as had World War II, with Poland providing the immediate cause of the conflict."2 Admiral Leahy records that United States nonrecognition of the governments of Rumania, Bulgaria, and Hungary at the Potsdam Conference resulted in a "complete impasse and might be said to have been the beginning of the cold war between the United States and Russia."1 Walter LaFeber argues that the immediate cause of the split in the wartime alliance was "the dropping of the iron curtain by the Soviets around Eastern Europe, and the determination of the world's sole atomic power to penetrate that curtain."* Following his review of the literature of the Cold War, Norman Graebner concluded: T H E ORIGINS
After more than twenty years of Cold War, the quest for understanding raises one fundamental and still unani Robert A. Divine, Roosevelt and World War II (Baltimore: Penguin Books, Inc., 1970), p. 97. 2 Adam B. Ulam, Expansion and Coexistence, The History of Soviet Foreign Policy 1917-1967 (New York: Frederick A. Praeger, 1968), p. 3783 Fleet Admiral William Leahy, I Was There, The Personal Stoiy of the Chief of Staff to Presidents Roosevelt and Truman Based on His Notes and Diaries Made at the Time (New York: McGraw-Hill Book Co., 1950), p. 416. * Walter LaFeber, America, Russia, and the Cold War, 1045-1966 (New York: John Wiley and Sons, Inc., 1967), pp. 1-2.
3
INTRODUCTION
swered question: Why did the United States after 1939 permit the conquest of eastern Europe by Nazi forces, presumably forever, with scarcely a stir, but refused after 1944 to acknowledge any primary Russian interest or right of hegemony in the same region on the heels of a closely-won Russian victory against the German invader? When scholars have answered that question fully the historical debate over the Cold War origins will be largely resolved.5 Thus, conflict over Eastern Europe looms as a most important factor in the origins of the Cold War. Moreover, differences over the political future of Eastern Europe did not abate after 1945. American officials have continued to harp on Soviet violations of the Yalta agreements on Eastern Europe. President Truman and Secretary of State James Byrnes considered Soviet domination of these countries to be immoral. Following the accession to power of the Republican Administration in 1952, Secretary of State John Foster Dulles periodically called for the liberation of the captive peoples of Eastern Europe. He maintained that liberation and containment were two sides of the same coin. Free elections and the self-determination of the peoples of Eastern Europe became the rallying cry of United States propaganda against the Soviet Union. Even today, the United States continues to be interested in the advancement of independence and democratic governments in this part of the world. The escalation of conflict between the United States and the Soviet Union over Eastern Europe raises certain questions. What was the exact importance of Eastern Europe in the origins of the Cold War? Why did the United States exhibit such a lack of concern with developments in this part of the world prior to World War II? Why did the 5
Norman Graebner, "Cold War Origins and the Continuing Debate," Journal of Conflict Resolution, xm (March 1969), 131.
4
INTRODUCTION
United States continue to oppose Soviet actions in Eastern Europe after 1945 and even go so far as to call for the "liberation" of the countries from Communist control? However, perhaps the most critical question is why between 1941 and 1945 United States policy moved from a posture of noninvolvement in Eastern European questions to specific opposition to Soviet actions in these countries. For it is during these years that the United States first became involved in conflict with the Soviet Union over Eastern Europe and the phenomenon which would later be called the Cold War had its origins. A variety of interpretations have been advanced to explain the development of this American policy. One group of historians places responsibility for the conflict upon the Soviet Union and assumes that the United States had an interest in preventing Soviet domination of Eastern Europe in order to promote postwar peace. Where these historians differ is in their judgments as to why the United States remained so passive in the face of Soviet actions. Herbert Feis maintains that since the military policies of the government precluded an American role in the liberation of Eastern Europe, American officials did the best they could with the limited means available to counter Soviet moves to achieve political domination of these states." William McNeill concludes that the United States was powerless to affect events in Eastern Europe following the inevitable falling out between the Allies once the common enemy was defeated.7 According to W. W. Rostow, the American military and civil leadership "failed to appreciate the significance for the American interest of the disposition of Poland 6 Herbert Feis, Churchill Roosevelt Stalin: The War They Waged and the Peace They Sought (Princeton: Princeton University Press, !957). P- 563' William H. McNeill, Survey of International Affairs 10)9-1946, America, Britain, and Russia, Their Cooperation and Conflict, 10411046 (London: Oxford University Press, 1953), pp. 627-28, 696-707.
5
INTRODUCTION
(and Eastern Europe generally)" and therefore never at tempted to prevent Soviet domination. 8 Gaddis Smith argues that President Roosevelt held too long to the belief that the United States public would not tolerate an end to isolation and would oppose involvement in the postwar problems of Eastern Europe. 9 Another group of historians places responsibility for the conflict upon the United States and maintains that the United States pursued a conscious policy to prevent Soviet domination of Eastern Europe. According to William Appleman Williams, United States actions represented a deliberate policy to promote the Open Door in Eastern Europe to supply the American need for expanding foreign markets. 10 Gabriel Kolko argues that United States support for reactionaries and conservatives in Eastern Europe con stituted a determined effort to obstruct Soviet goals and to contain Soviet expansion by impeding the formation of the Left in Europe. 1 1 David Horowitz concurs: United States policy was counterrevolutionary and aimed at crushing any movement that threatened radical change. 12 Finally, Gar Alperovitz describes United States policy as an attempt to reduce or eliminate Soviet influence in Eastern Europe by brandishing the newly acquired atomic power. 13 8 W. W. Rostow, The United States in the World Arena, An Essay in Recent History (New York: Harper and Brothers, i960), p. 117. 9 Gaddis Smith, American Diplomacy during the Second World War (New York: John Wiley and Sons, Inc., 1967), pp. 178-79. 10 William A. Williams, The Tragedy of American Diplomacy (2d ed. rev.; New York: Dell Publishing Co., 1962), pp. 205-76. 11 Gabriel Kolko, The Politics of War, The World and United States Foreign Policy 1943-1045 (New York: Random House, 1968), pp. 61926. ι 2 David Horowitz, The Tree World Colossus, A Critique of Ameiican Foreign Policy in the Cold War (New York: Hill and Wang, 1965), pp. 413-14. 1 S Gar Alperovitz, Atomic Diplomacy: Hiroshima and Potsdam, The Use of the Atomic Bomb and the American Confrontation with Soviet Power (New York: Vintage Books, 1965), pp. 226-42.
6
INTRODUCTION
None ot these interpretations is, however, completely satisfactory.14 Certain revisionist historians have been helpful in forcing a rethinking of previous interpretations and in urging that responsibility for the escalation of conflict does not rest solely with the Soviet Union. They contend that the development of this conflict was the product of interactions between the United States and the Soviet Union. They insist that simply because United States policy was characterized by responses to Soviet actions in Eastern Europe, this does not mean that the United States bore no responsibility for the particular type of conflict which arose. These revisionist writers assume, however, that while Soviet policy toward the individual countries of Eastern Europe did not represent a clear-cut policy aimed at total political domination, the United States government undertook a deliberate policy to prevent the establishment of legitimate Soviet interests in this part of the world. Such interpretations are no more sufficient than earlier interpretations which characterized American policy merely as a reaction to a well-planned Soviet policy to achieve political control of Eastern Europe. These revisionist historians have gone too far to the other extreme and have been equally simplistic in their descriptions of United States policy and their judgments as to responsibility for the escalation of conflict. They ignore the decentralized nature of the American policy-making process. They never consider the possibility that conflict may develop over issues and interests which are not clearly thought through in advance or may arise through imperceptible commitments and bureaucratic momentum. « For a more detailed exposition of the various historical interpretations of this period, see Charles S. Maier, "Revisionism and the Interpretation of Cold War Origins," Perspectives in American History, IV (1970), 313-47 and J. L. Richardson, "Cold-War Revisionism: A Critique," World Politics, xxiv (July 1972), 579-612.
7
INTRODUCTION
II The crucial question, and the central focus of this study, is: how and why did an initial commitment by the United States to the Atlantic Charter principles in 1941 gradually develop into explicit confrontation between the United States and the Soviet Union over Eastern Europe? An answer to this question would contribute to an appreciation of this particular element in the origins of the Cold War, resolve differences over interpretations of United States policy toward Eastern Europe from 1941 until 1945, and perhaps provide clues to a more general understanding of one of the ways states become embroiled in conflict. T o understand the development of United States policy from 1941 to 1945, the following three more specific questions have been posed. How did the United States become enmeshed in conflict over the political future of Eastern Europe and over which issues did conflict escalate? With what degree of deliberate calculation did the United States decide to oppose Soviet actions in Eastern Europe and what was the intellectual rationale behind United States policy? What were the consequences of this policy in terms of overall Soviet-American relations? This study of United States policy toward Eastern Europe from 1941 until 1945 focuses on the development of the ideas and assumptions behind the particular policy. It is not intended as a fully developed account of the wartime years. References to military strategy and events, to Congressional or public opinion, and to domestic political issues are included only when they specifically influenced the character of the policy which was recommended. Finally, this is a study of United States policy and does not pretend to present a parallel study of Soviet or British policy toward Eastern Europe during these years. References to Soviet actions in Eastern Europe, to Soviet proposals, or to British recommendations are derived from the information available to those American officials responsible for defining 8
INTRODUCTION
United States policy. These references represented what American officials perceived Soviet and British policy to be and not necessarily what these policies were. Ill This study's reconstruction of the development of United States policy toward Eastern Europe from 1941 until 1945 has been based on an analysis of the records of the Department of State, the Advisory Committee on Postwar Planning, the War Department, the Office of War Information, and the Office of Strategic Services. Particularly valuable were the draft telegrams, memoranda of conversations, and inter-office notes found in the files of the Department of State. In addition, the available memoirs, diaries, and papers of those officials responsible for the definition of United States policy have been studied. Although the records of the Joint Chiefs of Staff are still restricted, all memoranda sent to the Joint Chiefs have been consulted and the decisions taken by the Chiefs are part of the public record. Sufficient information does not exist, however, to provide a complete account of all aspects of the decision-making process. The informal communications and interactions among the participants is for the most part lacking. T o overcome these deficiencies, the present writer conducted personal interviews with some of the State Department officials involved in the formulation of American policy. It is believed that the archival materials combined with these interviews are adequate to answer the questions posed in this study. IV The reader will find in the Appendix an organizational chart of the State Department officers who dealt with Eastern European problems during the years 1941-1945. The
9
INTRODUCTION
reader should note: all italics found in quotations in the text are in the original unless otherwise stated; the term "Allied" is used, as members of the United States government used it during these years, to refer to the British, Soviet, and American governments. Throughout the footnotes, the abbreviation FR is used to refer to the series of State Department documents, Foreign Relations of the United States, Diplomatic Papers.
10
ONE
T H E ANGLO-SOVIET TREATY 1942
I IN THE summer of 1941, even before the United States became a belligerent in the Second World War, the first critical step in the development of Soviet-American conflict over Eastern Europe occurred. During July rumors circulated in Washington about secret British and Soviet commitments for postwar territorial and political arrangements in Eastern Europe. Reports suggested that the Soviet Union intended to support the re-establishment of independent Polish, Czech, and Yugoslav states at the end of the war, to recognize National Committees to be composed of Polish, Czech, and Yugoslav prisoners in the Soviet Union, and thereby to establish predominant Russian influence.1 Similarly, indications existed that the British government was reaching secret understandings with at least one of the occupied nations in Eastern Europe, namely Yugoslavia, which appeared to be equivalent to the Allied agreements signed in 1916 to redivide Europe. 2 Assistant Secretary of State Adolf Berle expressed particular concern: 1 Ambassador to the Polish government-in-exile A. J. Drexel Biddle, Jr. to the Secretary of State, July 6, 1941, Records of the Department of State, National Archives, Record Group 5g, Decimal File 860C.01/ 575. [Hereafter cited as Records of Dept. of State, Decimal File. . . .] 2 President Roosevelt to Prime Minister Churchill, July 14, 1941, FR, 1941, i, p. 342; Memorandum by Assistant Secretary of State Adolf Berle to Secretary of State Hull, August 4, 1941, Records of Dept. of State, Decimal File 740.00119 European War 1939/826. 11
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1942
Under the guns of the British, the Russians are staking out their restoration of Eastern Europe in the form of restored Polish, Czechoslovak and Yugoslav states, acting in some sort of federation. In my view, if we want to have anything to say about postwar settlement, we had better start now. Otherwise, we shall find, as President Wilson did, that there were all kinds of commitments which we shall be invited to respect; and we shall not be able to break the solid front any more than we were at Versailles.3 State Department officials believed that one of the reasons President Wilson had so much trouble in writing a just peace at Versailles following World War I was the sudden revelation of British and French secret wartime agreements with respect to postwar territorial and political settlements. They were determined to learn from Wilson's experiences. No one questioned the appropriateness of this analogy. No one suggested that the situations during World War I and in 1941 were quite different since the United States would (or could) be a direct participant in any treaties covering this part of the world.4 The State Department persuaded President Roosevelt to seek a statement from British Prime Minister Churchill that "no postwar peace commitments as to territories, populations, or economies have been given." In a telegram to Churchill, Roosevelt mentioned "rumors regarding trades 3 Memorandum by Assistant Secretary Berle to Under Secretary of State Sumner Welles, July 7, 1941, Records of Dept. of State, Decimal File 840.50/7-741. + Although it may appear surprising that officials in Washington could have anticipated before Pearl Harbor that the United States would participate in treaties covering Eastern Europe, in a memorandum to the Secretary of State, August 4, 1941, Assistant Secretary Berle stated: "At our suggestion the President sent a message to Winston Churchill indicating that he could not recognize any post-war commitments except as a part of a general final settlement in which, presumably, we would take part." Records of Dept. of State, Decimal File 740.00119 European War 1939/826. 12
THE ANGLO-SOVIET TREATY
1942
or deals" with some of the occupied countries and provided reasons for United States interest: In certain racial groups in this country there is of course enthusiastic approval for such promises in rela tion to post-war commitments, but on the other hand there is dissension and argument among other groups such as the Czechs and Slovaks and among the Walloons and Flemish. You will of course remember that back in early 1919 there was serious trouble over actual and alleged prom ises to the Italians and to others. It seems to me that it is much too early for any of us to make any commitments for the very good reason that both Britain and the United States want assurance of future peace by disarming all trouble makers and sec ondly by considering the possibility of reviving small states in the interest of harmony even if this has to be accomplished through plebiscite methods. 5 These same worries led American officials to raise the question of postwar commitments during the shipboard meetings held in the Atlantic between Prime Minister Churchill and President Roosevelt in August 1941.6 Under Secretary of State Sumner Welles during his initial conver sation with British Under Secretary of State for Foreign Affairs Alexander Cadogan requested information relating to any British secret agreements. Cadogan quickly assured Welles that the British government had entered into no postwar commitments with the possible exception of an 5 President Roosevelt to Prime Minister Churchill, July 14, 1941, FR, 1941, i, p. 342. β In January 1941 Harry Hopkins, President Roosevelt's personal representative, expressed to Prime Minister Churchill the President's hope for a meeting between Roosevelt and Churchill to discuss prob lems related to the defeat of Germany. However, Roosevelt's inability to leave Washington until April because of legislative problems and then Churchill's preoccupation with the war in Greece delayed the meeting until August. See FR, 1941, 1, p. 341.
!3
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194¾
oral statement to the Yugoslav government that the British believed the subject of jurisdiction over Istria might come under consideration at the end of the war. He stated that British sponsorship of the restoration of independent Czech and Polish states did not involve territorial arrangements.T During Roosevelt's and Churchill's first meeting, Roosevelt announced that "he thought it would be well if we could draw up a joint declaration laying down certain broad principles which should guide our policies along the same road." 8 According to Welles, Roosevelt had earlier told him that the meeting with Churchill "should be utilized to hold out hope to the enslaved peoples of the world. The English-speaking democracies both stood for principles of freedom and justice. They should jointly bind themselves now to establish at the conclusion of the war a new world order based upon these principles." 9 The next day Cadogan presented a draft declaration of common principles upon which the two governments could base their future policies.10 After consideration of these principles, Roosevelt decided to press for an additional public declaration "that these military and naval conversations had in no way involved any future commitments between the two Governments, except as authorized under the terms of the Lend-Lease Act."11 Churchill immediately objected. He argued that " Memorandum by the Under Secretary of State Sumner Welles of a Conversation with British Permanent Under Secretary of State for Foreign Affairs Alexander Cadogan, August 9, 1941, FR, 1941, 1, PP- 35>-52· 8 Winston Churchill, The Second World Wai, The Gland Alliance (Boston: Houghton Mifflin, 1950), p. 433. 9 Sumner Welles, Where Are We Heading' (New York: Harper and Brothers, 1946), p. 6. 1« Memorandum of Conversation, by Under Secretary Welles of a meeting between Prime Minister Churchill and President Roosevelt, August 10, 1941, FR, 1941, I, p. 355. 11 Memorandum of Conversation, by Under Secretary Welles of a meeting between Prime Minister Churchill and President Roosevelt, August 11, 1941, FR, 1941, i, p. 360.
14
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IQ.42
such a public statement would discourage and undermine the morale of the populations of the occupied countries and would have an unfortunate effect on British public opinion. 12 Roosevelt emphasized the importance of a public announcement in order to guard against allegations from "extreme" isolationist leaders in the United States that secret agreements had been concluded. However, when British approval of a statement denying the existence of any secret commitments in Europe proved impossible, Roosevelt was satisfied to obtain British agreement to a joint declaration of "common" principles to guide their foreign policies.13 The following principles, to be known as the Atlantic Charter principles, were approved: First, their countries seek no aggrandizement, territorial or other; Second, they desire to see no territorial changes that do not accord with the freely expressed wishes of the peoples concerned; Third, they respect the right of all peoples to choose the form of government under which they will live; and they wish to see sovereign rights and self government restored to those who have been forcibly deprived of them; . . . Eighth, they believe that all the nations of the world, for realistic as well as spiritual reasons must come to the abandonment of the use of force. Since no future peace can be maintained if land, sea, or air armaments continue to be employed by nations which threaten, or may threaten, aggression outside of their frontiers, they believe, pending the establishment of a wider and permanent system of general security, that the disarmament of such nations is essential. . . .14 13 i2jbid. Ibid., pp. 360-61. " J o i n t Statement b> President Roosevelt and Prime Churchill, August 14, 1941, FR, 1941, 1, 368-69.
15
Miiustei
THE ANGLO-SOVIET TREATY
1942
Prior to the August meetings, no exchange of views had occurred with respect to these principles. During the actual conversations, Roosevelt and Churchill spent almost no time discussing them or the language of their statement. Agreement occurred without debate. Only the principles promoting free access to economic markets and raw materials aroused any differences.15 The Atlantic Charter made no reference to the particular issues in Eastern Europe which had initially provoked concern and contributed to the desire to draft a statement of common principles. President Roosevelt and the State Department focused their attention on the problems of secret wartime agreements. The fact that these secret agreements involved Eastern Europe was not of primary importance and did not produce a definition of any specific United States goals or interest in this part of the world. American officials were preoccupied with the need to avoid the mistakes of World War I, and they seized upon these principles as a means to promote postwar peace. Further, Roosevelt and Welles were concerned with isolationist sentiment at home. They rejected the pledge in the British draft "to defend the rights of freedom of speech and thought" for fear of opposition in the American Congress.16 Roosevelt deleted from the British draft pre10 T h e British government balked at the United States desire to include in the declaration of principles a statement opposing discrimination in trade. T h e British sought to safeguard the trade preferences given the Dominions and insisted upon consultation with the Dominions before any such change in British trade policy could be approved. Ultimately, President Roosevelt agreed to the principle promoting "access, on equal terms, to the trade and to the raw materials of the world." For a discussion of the debate over this issue, see Meeting between Roosevelt and Churchill, August 11, 1941, FR, 1941, 1, pp. 361-63; Memorandum of a Conversation, by Under Secretary Welles, August 11, 1941, FR, 1941, i, pp. 364-67; and Sir Llewellyn Woodward, British Foreign Policy in the Second World War, Vol. 11 (London: Her Majesty's Stationery Office, 1971), pp. 198-203. 16
S. Welles, Where Are We Heading?, pp. 7, 9. 16
THE ANGLO-SOVIET TREATY
1942
amble any reference to immediate issues (e.g., criticism of the "policies of world wide domination and military conquest" perpetrated by Hitler's Germany), fearing that American public opinion was not yet prepared to accept anything beyond a declaration of broad principles. Roosevelt even opposed a commitment proposed by the British to the formation of "an effective International Organization" at the end of the war "because of the suspicions and opposition that such a statement on his part would create in the United States."17 No similar concern, however, arose over a commitment by the United States to insure the right of all peoples to choose their own form of government and to determine their postwar frontiers. Roosevelt added in his own handwriting to Welles' redraft of the British principles: "and they hope that self-government may be restored to those from whom it had been forcibly removed."18 No discussion arose regarding the possibility of securing the adherence of other states to these principles. The difficulties which might be involved in achieving their implementation were never considered. No one argued, as the London Polish government-in-exile would subsequently do, that the abstract character of the principles would render them inadequate to meet the actual conditions on the continent. 19 The political and intellectual rationale behind the statement of these principles was not at all well considered. Nevertheless, these principles were soon generally accepted as the basis for postwar peace and would later guide American policy toward Eastern Europe. In September, the governments at war against Germany, including the Soviet !"Meeting between Roosevelt and Churchill, August 11, 1941, FR, 1941, p. 363; Robert E. Sherwood, Roosevelt and Hopkins, An Intimate History (2d ed. rev.; New York: T h e Universal Library, Grosset & Dunlap, 1950), pp. 359-60. is S. Welles, Where Are We Heading?, pp. i-v. m See Ambassador Biddle to the Secretary of State, September 12, i94i,FK, 1941, i, p. 374.
17
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1942
Union, approved these principles.20 Following the entrance of the United States into the war, the Declaration of the United Nations was signed. In addition to binding into a full alliance all the governments at war against the Axis, the Declaration included a pledge to implement the provisions of the Atlantic Charter. 21 This time the United States and the world would benefit from the mistakes of the past: no secret, bilateral deals; rather a common commitment to public principles. II While approving these principles, the British government by November 1941 was more immediately concerned with the Allied war effort and the possibility that Stalin's unhappiness with British cooperation might lead the Soviet Union to sign a separate peace with Germany. British Secretary of State for Foreign Affairs Anthony Eden informed the United States government in December 1941 of his forthcoming trip to the Soviet Union to smooth out AngloSoviet relations and to explore the possibility of a politicalmilitary alliance. Eden stated that he hoped to achieve Soviet reaffirmation of their intention not to interfere in 20 "At an Inter-Allied meeting held in London on September 24, ig4i, the following resolution was unanimously adopted: 'The Governments of Belgium, Czechoslovakia, Greece, Luxembourg, the Netherlands, Norway, Poland, Union of Soviet Socialist Republics, and Yugoslavia, and representatives of General De Gaulle, leader of Free Frenchmen, having taken note of the declaration recently drawn up by the President of the United States and by the Prime Minister (Mr. Churchill) on behalf of His Majesty's Government in the United Kingdom now make known their adherence to the common principles of policy set forth in that declaration and their intention to cooperate to the best of their ability in giving effect to t h e m . ' " FR, 1941, 1, p. 378. For the Soviet reservation, see Herbert Feis, Churchill Roosevelt Stalin, p. 24, n. 24. 21 See FR, 1942, 1 p. 25 and H. Feis, Churchill Roosevelt Stalin, pp. 22-23. 18
THE ANGLO-SOVIET TREATY
1942
the internal affairs of other nations and to allay Soviet suspicions without entering into any commitments.22 State Department officials immediately suspected that the Soviets would press for British approval of the restoration of the 1941 Soviet frontier with Finland and the Baltic States. The possibility of British or Soviet arrangements for the political future of Eastern Europe was, thus, not ended by the promulgation of the Atlantic Charter. The State Department again announced United States opposition to any political settlements prior to the termination of hostilities. Postponement was essential to prevent commitments to individual countries from hampering the work of the peace conference at the end of the war and to maintain the integrity of the Atlantic Charter principles. The State Department contended that the proper means to allay Soviet suspicions over British and United States cooperation in the prosecution of the war against Germany was to continue military aid.23 The principles of the Atlantic Charter had become so quickly the foundation of United States policy that the State Department reply to Eden provoked no internal debate, much less opposition. This response to Eden would in turn create a precedent upon which future United States policy would be based.24 During Eden's visit to Moscow, Stalin did take the opportunity, while discussing a proposed military alliance, to make explicit his demand for a secret protocol defining working arrangements for the future frontiers of Eastern Europe. Stalin insisted upon international recognition of 22 U n i t e d States A m b a s s a d o r to t h e U n i t e d K i n g d o m J o h n G W i n a n t to t h e Secretary of State, D e c e m b e r 4, 1941, FR, 1941, 1, p p . 192-93. See also L. W o o d w a r d , British Foreign Policy in the Second World War, p p . 220-21. 23 Secretary of State H u l l to A m b a s s a d o r W i n a n t , D e c e m b e r 5, 1941, FK, 1941, I, PP- 194-95 (Drafted by E u r o p e a n Division: R a y A t h e r t o n ;
approved by Hull and Roosevelt). See also Cordell Hull, The Memoiis of Cordell Hull (New York: T h e Macmillan Co., 1948), 11, p. 1165. 2-* Sumner Welles, Seven Decisions that Shaped History (New York: Harper & Brothers, 1950), pp. 126-27.
19
THE ANGLO-SOVIET TREATY
1942
the Soviet 1941 frontier, incorporation of the three Baltic States, and expansion into parts of Rumania. Further, he proposed but did not press for the establishment of the Curzon Line as the frontier between the Soviet Union and Poland. 2 5 Eden refused to undertake such commitments until he had consulted with the British Cabinet, the Dominions, and the United States. Soviet officials then re stated their territorial goals and waited while the United States and British governments conferred to define their response. The British government kept the State Department in formed of Stalin's demands during Eden's visit, but it did not propose any joint British-American reply. Appar ently differences existed within the British government; Eden and the British Ambassador in the United States Viscount Halifax favored acceptance of the Soviet requests while Churchill initially opposed them. 2 6 This failure of the British government to discuss a common position led to an independent definition of United States policy. The European Division of the Department of State de termined again to uphold the principles of the Atlantic Charter and the unity of the military alliance against Ger many by postponing all secret treaties or territorial arrange ments until after the war. Irritated by Soviet attempts to introduce matters of a political character into their military conversations with the British, these State Department offi cials vehemently opposed Soviet demands for wartime po litical or territorial agreements. They argued that approval 25 F o r a d e s c r i p t i o n of E d e n ' s discussions
in Moscow, see
d o r W i n a n t to t h e Secretary of S t a t e , J a n u a r y p p . 494-503; M e m o r a n d u m f r o m Secretary Roosevelt, F e b r u a r y 4, 1942, FR, The
Memoirs
Houghton Foreign
of Anthony
Mifflin
Policy
Eden,
Second
1942, i n ,
of State H u l l to P r e s i d e n t
1942, π , p p . 508-509; A n t h o n y Earl
of Avon,
Co., 1965), p p . 335-52;
in the
Ambassa
19, 1942, FR,
World
War,
The
Reckoning
and
L. W o o d w a r d ,
pp.
221-36.
Eden.
(Boston: British
26 M e m o r a n d u m of a C o n v e r s a t i o n , by U n d e r Secretary Welles, w i t h British Ambassador 18, 1942, FR,
to t h e U n i t e d States Viscount
1942, i n , p . 513. SO
Halifax,
Februar\
THE ANGLO-SOVIET TREATY
1942
of postwar frontiers would weaken the anti-Axis coalition by introducing mutual suspicions among its members. They considered that assent to Soviet territorial goals would result in only a temporary improvement in relations between the Soviet Union and Britain and that abandonment of the principle of no territorial commitments would place the British government in a difficult position to resist additional Soviet demands which would almost certainly follow. Finally, they believed that accession to Soviet pressure tactics to achieve their goals would encourage Stalin to resort to similar tactics to further what they termed, but never defined, to be "more far-reaching demands." 27 The European Division specifically opposed the Soviet demand for international recognition of their absorption of the Baltic States. These officials argued that it would be most unfortunate if the Soviet invasion and ensuing plebiscites in the Baltic States should be accepted as the mode for ascertaining the wishes of the peoples of liberated countries in the future. The precedent of approving Soviet domination of the Baltic States without the people having an opportunity to express their desires "would destroy the meaning of one of the most important clauses of the Atlantic Charter and would tend to undermine the force of the whole document." 28 They were particularly worried that the United States would lose the respect of the small countries in Eastern Europe by abandoning its "high principles of international conduct."29 Behind this decision to oppose Soviet territorial demands were expectations as to Soviet war aims and an assumption as to the required United States reaction. The European 27 Memorandum from Secretary of State Hull to President Roosevelt, February 4, 1942, FR, 1942, in, pp. 509-12. This memorandum was the product of a study undertaken by the European Division of the State Department in January 1942. James Clement Dunn, Advisei on Political Relations to the Secretary of State, and Secretary Hull gave their concurrence prior to its communication to the President. ^ Ibid., p. 512. 29lbid., p. 511. 21
THE ANGLO-SOVIET TREATY I942
Division believed that Stalin had definite reasons for insisting upon Allied agreement to his territorial demands at this time: the Soviet Union aimed to establish itself as the dominant power in Eastern Europe, if not the whole continent; to break down the principle thus far observed of postponement of territorial settlements during the war; to make use of recognition of its territorial claims in Finland and Poland to justify its invasion in 1939; and to achieve promises for postwar Soviet frontiers at the Peace Conference in the event the Soviet Union was weakened and not in occupation of this territory at the end of the war.30 The European Division concluded: There is no doubt that the Soviet Government has tremendous ambitions with regard to Europe and that at some time or other the United States and Great Britain will be forced to state that they cannot agree, at least in advance, to all of its demands. It would seem that it is preferable to take a firm attitude now, rather than to retreat and to be compelled to take a firm attitude later when our position had been weakened by the abandonment of general principles referred to above.31 This memorandum from the European Division also revealed certain characteristics of what would be a continuing United States response to Soviet demands in Eastern Europe. Officials in the Division did not view these particular Soviet territorial and political demands in Eastern Europe as issues to be considered in their own right. Rather, they were committed to upholding the unity of the Allied military alliance, the integrity of the principles of the Atlantic Charter, and the rights of small countries. They proceeded from the general principles, i.e., no postwar settlements, to the particular cases. Consequently, they never addressed the specific merits of the Eastern European issues themselves. so Ibid., pp. 507, 511.
si Ibid., p. 510. 22
THE ANGLO-SOVIET TREATY
1942
While these officials seemed to understand clearly what Soviet goals, tactics, and war aims were in Eastern Europe, they failed to define United States interests or goals in this part of the world. They never considered Soviet demands in relation to what frontier lines the United States would prefer. They never followed their statements that the territorial adjustments sought by Russia would make the Soviet Union the dominating power in Eastern Europe with any identification of the reasons why this would or would not be in the interests of the United States. Their assumption that commitments to territorial settlements might prove embarrassing and handicap proceedings at the peace conference did not lead to a definition of exactly what aims the United States would itself have at the conference. Their opposition to the incorporation of the Baltic States by the Soviet Union was not justified in terms of specific American desires in Eastern Europe but rather in relation to the maintenance of the integrity of the Atlantic Charter principles. The justification for United States policy implied that the United States did have interests in Eastern Europe; but these were never delineated.32 Further, members of the European Division did not define Soviet security interests in Eastern Europe. They never recognized the apparent contradictions in some of their arguments. Two different postwar Soviet power positions in Eastern Europe were postulated to justify United States opposition to Soviet territorial demands: the Soviet Union would emerge with sufficient power to dominate Eastern 32 William Appleman Williams, The Tragedy of American Diplomacy, p. 211, argues that United States rejection of Soviet demands grew out of a desire to postpone all settlements until the country was in the strongest possible position. "More specifically, their guiding attitude was that of the Open Door Policy, and they had neither the desire nor the intention to negotiate away any equality of opportunity in eastern Europe." In fact, this policy aimed to maintain Allied unity and the integrity of the Atlantic Charter. At this time, American interests or goals in Eastern Europe after the war had certainly not been defined.
23
THE ANGLO-SOVIET TREATY
1942
Europe and thus the United States was called upon to take a strong stand in opposition and the Soviet Union would be so weakened at the end of the war that it was seeking to obtain the best possible terms now. No indications were given as to where or how the United States might oppose any Soviet actions in Eastern Europe. Finally, no delineation of the consequences of specific opposition to Soviet demands in Eastern Europe in terms of other United States aims or overall relations with the Soviet Union occurred. United States policy simply sought the implementation of the Atlantic Charter principles through the postponement of political and territorial settlements during the war. In the middle of February 1942, the British government formally requested United States approval of Soviet territorial demands in Eastern Europe to insure Soviet cooperation both during and after the war.33 Contending that a simple refusal would lead to a deterioration in relations with the Soviet Union, the British Foreign Office argued: On the assumption that Germany is defeated, that the German military strength is destroyed and that France remains for a considerable period at least a weak power, there will be no counter-weight to Russia in Europe, [and] cooperation will be desirable: (a) Because she might otherwise be tempted to collaborate with Germany in view of historical tendency to, and economic urge for, these powers to work together; (b) In order that we may recreate some reasonable balance of power in Europe, destroyed by the collapse of France against the possibility of revived Germany; (c) In order that, militarily speaking, Germany should be encircled.34 *3 Memorandum of a Conversation, by Under Secretary Welles, with British Ambassador Halifax, February 18, 1942, FR, 1942, m, pp. 514•93+ Ibid., p. 517.
24
THE ANGLO-SOVIET TREATY
1942
In the event the United States could not grant Stalin's full demands, the British proposed a possible compromise: (a) We might say that while we cannot agree now to the restoration of the 1941 frontiers we and the United States could immediately give assurances that on grounds of Soviet security we would support, when the time comes, a demand by the Soviet Government to establish Soviet bases in territories contiguous to Russia and especially on the Baltic and Black Seas from which her security might be threatened. . . . (b) . . . and in order to reconcile your [Stalin] requirements and our common obligations under the Atlantic Charter we would undertake here and now to support you at the peace settlement if you demand that the foreign policy in defence of the Baltic States shall be entrusted to the Soviet Union who for this purpose shall be entitled to exercise such authority and to establish such control as may be necessary on the territory of the Baltic States.33 The British believed that a joint offer by the United States and Britain recognizing the necessity of Soviet military cooperation and the legitimacy of Soviet security demands might secure a quid pro quo agreement whereby the Soviet government would reaffirm its commitment to the principles of the Atlantic Charter, its approval in principle to confederation among the weaker countries of Europe, and its intention to collaborate with the United States and Britain after the war. During the month following the British request, extensive communications occurred between the two governments. President Roosevelt and Under Secretary Welles approved the recommendations of the European Division and sought to persuade the British to reject Soviet demands. At the time when Halifax presented the British proposal, »Ibid., pp. 515-16.
25
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1942
Under Secretary Welles asserted that a stable and peaceful world based on the Atlantic Charter was the overriding American war aim. Welles interpreted Soviet territorial demands and the British compromise proposals as the first crucial test of whether the principles of the Atlantic Charter would be upheld. While recognizing that the Soviet Union had the right to insure its own security, Welles could not accept the "obtaining of such security" through "the placing of millions of human beings under Russian domination should those human beings desire to maintain their own independence and should they be bitterly opposed to Russian overlordship." 36 Two days later Welles added that it was less likely that future peace would be undermined by a Russian imperialistic war to attain its demands, as the British had implied, than by revolts arising from the struggles of Russian-dominated peoples in Europe.37 President Roosevelt expressed similar opposition to any discussion of secret territorial agreements prior to the end of the war. Roosevelt argued that Soviet security could be insured through the provision of the Atlantic Charter calling for the disarmament of Germany; no additional measures were called for at the present time.38 Faced with this strong United States determination to postpone all consideration of Soviet territorial demands, the British government made successive attempts to counter individual American arguments. Ambassador Halifax maintained that the enjoyment of self-government by the Baltic States, which had not been very successful since 1919, could not be compared in importance to the assurance that the Soviet Union would not sign a separate peace or refuse to cooperate with the British and Americans after the war. He concluded that the United States position was not at all realistic.39 The British Foreign Office informed the State 36 Ibid., p . 519. 37 M e m o r a n d u m of a Conversation, by U n d e r Secretar) Welles, with British Ambassador Halifax, February 20, 1942, FR, 1942, in, p. 522. 39 ss Ibid., p . 521. Ibid., p. 522.
26
THE ANGLO-SOVIET TREATY
1942
Department that President Roosevelt was being unduly optimistic in supposing that some form of security in lieu of the reoccupation of the Baltic States would prove acceptable to Stalin.40 Prime Minister Churchill suggested that the principles of the Atlantic Charter ought not to be construed so as to deny Russia the frontiers occupied when Germany attacked in 1941.41 Eden reiterated that nothing was more important than allaying Soviet suspicions given the real possibility that British rejection of Soviet demands might provoke conclusion of a separate peace with Germany.42 Finally, Halifax stated that the American method of demonstrating its cooperation and support of the Soviet war effort was simply not sufficient. Satisfaction of Soviet needs in terms of considerable supplies of material or the establishment of a second front would not be immediately forthcoming.43 Those in the United States government responsible for defending United States policy never seriously addressed these British arguments or proposals. President Roosevelt characterized the original British recommendations as "provincial." 44 When certain United States justifications were challenged by the British—Stalin's demands for security would not be satisfied simply by German disarmament, the supply of material to the Soviet Union would not be a 4
° Aide-Memoire by the British Foreign Office, February 25, 1942, FR, 1942, in, pp. 524-26. 41 Winston Churchill, The Second World War, The Hinge of Fate (Boston: Houghton Mifflin Co., 1950), p. 327. Not until March ig44, would the United States government accept Churchill's contention that the Soviet incorporation of the Baltic States did not fall within the provisions of the Atlantic Charter. See Memorandum Prepared in the Division of European Affairs, March 24, 1944, FR, 1944, iv, pp. 840-41. 42 Memorandum of a Conversation, by Under Secretary Welles, with British Ambassador Halifax, March 12, 1942, FR, 1942, in, pp. 531-33. 43 Memorandum of a Conversation, by Acting Secretary of State Welles, with British Ambassador Halifax, March 30, 1942, FR, 1942, in, pp. 536-38. 44 Memorandum of Conversation, February 20, 1942, FR, 1942, m, P- 52 1 ·
27
THE ANGLO-SOVIET TREATY
IO.42
sufficient indication of good faith, the Soviet Union signed the Atlantic Charter on the assumption that the principles became effective for the Soviet Union on the basis of its 1941 frontiers—the British rebuttals were neither accepted nor refuted; these particular American arguments were simply not restated in subsequent conversations. Other British arguments were ignored: the temptation of the Soviet Union to collaborate with Germany, the possibility that an early German defeat with the accompanying rise in Russian prestige would increase pressure for the establishment of Communist governments in Europe; the need to influence Russian policy while it was still in a fluid state: and the strategic and historical reasons for Soviet domination of the Baltic States.45 United States officials continued to believe that what was successful in maintaining good relations with the British government—promotion of the Atlantic Charter principles and extensive military aid—would be sufficient to achieve cooperation with the Soviet Union. Welles thought that Soviet postwar expansion was more likely to occur if the United States agreed to Soviet wartime demands than if the United States rejected these demands. Reasons for this apparent United States unwillingness to view Soviet suspicions with the same fear as the British were never articulated. Finally, Welles observed that the British argument in favor of the creation of a reasonable balance of power in Europe through accession to Soviet demands represented "the worst phase of the spirit of Munich." 46 Whereas the analogy to the 1939 Ribbentrop-Molotov Pact and the ultimate breakdown of cooperation between Britain and Russia over Soviet absorption of the Baltic States emerged as a powerful influence on British policy to accept Russian *s Ibid., pp. 521-24; Memorandum of a Conversation, by Acting Secretary of State Welles, with British Ambassador Halifax, April 1, 1942, FR, 1942, in, pp. 538-39. 46 Memorandum of Conversation, February 18, 1942, FR, 1942, in, P- 52°·
28
THE ANGLO-SOVIET TREATY
1942
demands, memories among American officials of the failure of the Allies to establish a lasting peace at Versailles as a result of wartime secret treaties on frontiers encouraged American opposition to Soviet demands. 47 The barrage of British arguments failed to change American policy; the United States commitment to the principles of the Atlantic Charter remained firm.48 Underlying this refusal of American officials to alter the United States commitment to the Atlantic Charter principles was the belief that the British would in time recognize the Tightness of the United States position. In March, President Roosevelt went so far as to bypass the British and appeal directly to Stalin to postpone his demands for territory in Eastern Europe. This initiative, opposed vehemently by the British as undermining tripartite relations among the principal allies, was made to the Soviet Ambassador to the United States, M. Litvinov. Believing that he could get along with Stalin on a personal basis better than Churchill, Roosevelt wrote, "I know that you will not mind my being brutally frank when I tell you that I think I can personally handle Stalin better than either your Foreign Office or my State Department. Stalin hates the guts of all your top people. He thinks he likes me better, and I hope he will continue to do so."49 However, the Russian response of simply taking note of the United States position, since *" British Ambassador Halifax alluded to the British experience in 1939 in conversations with Welles, February 18, 1942 and Februan 20, 1942, FR, 1942, m, pp. 513-14, 523. 48 T h i s c o m m i t m e n t t o t h e A t l a n t i c C h a r t e r p r i n c i p l e s a n d desire to p o s t p o n e all political s e t t l e m e n t s also led t h e U n i t e d States t o reject pressures from t h e Polish g o v e r n m e n t - i n - e x i l e i n L o n d o n t o r e s t a t e p u b l i c l y t h e U n i t e d States desire for t h e r e - e s t a b l i s h m e n t of a n i n d e p e n d e n t Polish state a n d t o s u p p o r t Polish p a r t i c i p a t i o n in a m A n g l o Soviet frontier n e g o t i a t i o n s . See U n d e r Secretary W e l l e s t o P r e s i d e n t Roosevelt, F e b r u a r y 19, 1942, FR, 1942, i n , p p . 107-108. 49 P r e s i d e n t Roosevelt t o P r i m e M i n i s t e r C h u r c h i l l , M a r c h 18, 1942, P o l i t i c a l - M i l i t a r y Messages, M a p R o o m , Roosevelt P a p e r s . See also L. W o o d w a r d , British Foreign Policy in the Second World Wa), p p . 239-41.
29
THE ANGLO-SOVIET TREATY
1942
the Soviet government had not requested a United States opinion, abruptly brought this United States initiative to an end.50 Responsibility for the formulation of United States policy then reverted back to the State Department where concern to maintain the integrity of the Atlantic Charter and the support of the American public continued to argue for a firm stand in opposition to both British and Soviet desires.51 Ill By April United States opposition to postwar territorial settlements had failed to alter British determination to accede to Soviet demands in Eastern Europe. The British government informed the United States that they were ready to sign a treaty with Stalin in which Britain and the Soviet Union would reciprocally recognize the integrity of their territories prior to the acts of aggression undertaken by Hitler. As a political substitute for military assistance, Soviet incorporation of the Baltic States and Soviet expansion into parts of Finland and Rumania would be accepted.52 In response, the United States government undertook two different, although not very intensive or coordinated, 00 Memorandum of Conversation, February 20, 1942, FR, 1942, HI, p. 523; The Second Secretary of the Embassy in the Soviet Union Llewellyn Thompson to the Secretary of State, March 26, 1942, FR, 1942, in, pp. 535-36. si According to Sumner Welles, Seven Decisions that Shaped Histoty, p. 134, the War Department was informed of the British request but was not involved in the formulation of the United States response. War Department officials at this time had somewhat contradictory concerns. They opposed territorial settlements during the war for fear of undermining the unity of the alliance, but they worried that rejection of Soviet frontier claims might produce a Soviet separate peace with Germany. 52 Memorandum of a Conversation, by Acting Secretary of State Welles, yvith British Ambassador Halifax, March 30, 1942, FR, 1942, HI, pp. 536-38.
3°
THE ANGLO-SOVIET TREATY
1942
initiatives. On the question of the future of the Baltic States, the United States proposed a compromise. In order to bring the treaty into closer accord with the Atlantic Charter principles and to make it far easier for American public opinion to tolerate, Welles suggested that a provision be added for a "reciprocal exchange of populations" in the regions adjoining the Polish-Soviet frontier. Those Lithuanians, Latvians, Estonians, and Finns who objected to Soviet rule would be permitted to emigrate with their property and belongings. While the United States would still not directly or indirectly give its approval to such a Baltic treaty, Welles considered that the inclusion of this proposal might ameliorate its worst aspects.53 Despite his earlier role in the drafting of the Atlantic Charter and his initial opposition to any modification of the principles, Welles convinced the President to accept such a compromise. While continuing to view the British position as morally indefensible, Welles urged that some effort be undertaken to help the Baltic peoples whose domination by the Soviet Union would be equivalent to slavery.54 However, suggestion of even the slightest compromise in the commitment of the United States to the Atlantic Charter principles immediately sparked dissension among those officials in the State Department who had not been consulted with respect to the change. Accusations that the United States would have negotiated a Baltic "Munich" by permitting the submergence of the Baltic States under Soviet control were voiced. Assistant Secretary of State Adolf Berle viewed "reciprocal exchanges of population" as only a polite phrase meaning the Baltic peoples would have the right of mass exile. While recognizing the necessity that the Baltics never be used as military or "fifth column" 03 Memorandum of Conversation, April 1, 1942, FR, 1942, m, pp. 538-39. T h e United States proposal neglected the question of where these people would go upon leaving the Baltic States. 34 Memorandum by Under Secretar> Welles to Assistant Secretary Berle, April 4, 1942, FR, 1942, m, pp. 541-42.
31
THE ANGLO-SOVIET TREATY
1942
springboards against the Soviet Union and the desirability of a Russian outlet on the Baltic Sea, Berle concluded that the relationship between the Soviet Union and the Baltic States should be similar to that between the United States and the Central American Republics. 55 When the British government did accept the Welles compromise suggestion, these differences "vithin the State Department prevented any strong United States initiatives to achieve Soviet acceptance of the safeguard provision. Even Secretary Hull's last-minute recommendation that Churchill propose the establishment of a Russian protectorate over the Baltic States for defensive purposes instead of total control received no support. 56 Attempts to alter the AngloSoviet treaty were thwarted by those who would not tolerate even the slightest modification of the United States commitment to the Atlantic Charter principles. At the same time this Baltic compromise was being discussed, President Roosevelt proposed to Stalin that Soviet Commissar for Foreign Affairs V. M. Molotov visit the United States for an exchange of views on military questions. Roosevelt stated: "I have in mind a very important military proposal involving the utilization of our armed forces in a manner to relieve your critical Western Front." 57 55 Memorandum by Assistant Secretary Berle to Under Secretary Welles, April 3, 1942, FR, 1942, HI, pp. 540-41. See also Territorial Subcommittee Meeting of the Advisory Committee on Postwar Planning, April 4, 1942, Records of the Department of State, National Archives, Record Group 59, Harley Notter Papers [hereafter cited as Harley Notter Papers]. se Memorandum for the President from the Secretary of State, Ma> 5, 1942, President's Secretary's File, Hull Folder, Roosevelt Papers. 57 President Roosevelt to Marshal Stalin, April 11, 1942, Ministry of Foreign Affairs of the U.S.S.R., Correspondence Between the Chairman of the Council of Ministers of the U.S.S.R. and the Presidents of the U.S.A. and the Prime Ministers of Great Britain During the Great Patriotic War of 1941-1945 (Moscow: Foreign Languages Publishing House, 1957), 11, p. 23. [Hereafter cited as Corr.] Opposing interpretations of Roosevelt's action exist. H. Feis, Churchill Roosevelt Stalin, pp. 61, states, " T h e Soviet government was to be
32
THE ANGLO-SOVIET TREATY
1942
During the previous weeks an exchange of views had occurred between American and British officials in London regarding plans for the establishment of a second front.58 They had discussed reports of a possible Soviet separate peace with Germany and the need for the launching of an interim military operation in Western Europe in the event of a Russian collapse. Now the President was inviting Molotov to Washington to review these plans. While aiming to reinforce the Soviet war effort, such military plans might also serve to distract Stalin from his territorial demands. Harry Hopkins, during conversations with Eden in London, indicated that it was the President's belief that these military proposals would take the heat oft the Russian political-diplomatic requests.59 However, if the primary purpose of Roosevelt's invitation to Molotov were indeed to bargain military aid for the withdrawal of Soviet frontier demands, it was never consciously pursued. At no time did the United States government discuss the military plans in relation to Soviet territorial demands. In his correspondence with Stalin and Churchill about plans for the second front, Roosevelt never linked the military proposals with the United States desire for the postponement of all lured away from one boon by a choicer one, away from its absorption in frontiers by the attraction of quick military relief." Robert Divine, Roosevelt and World War II (Baltimore: Penguin Books Inc., 1970), p. 85, doubts Roosevelt was ever concerned enough about Soviet boundary claims to base his military strategy on such a consideration. "Instead, I believe that his premature offer of a second front stemmed from his desire to encourage Russia at a critical moment in the course of the war." 5 ^ For a discussion of United States and British military planning in the spring of 1942 culminating in the London Conference in April, see Maurice Matloff and Edwin Snell, United States Army in World War II, The War Department, Strategic Planning for Coalition Warfare, 1941-1942, Office of the Chief of Military History, Department of the Army (Washington, D.C.: U.S. Government Printing Office, 1950). pp· 174-9°· 5» R. Sherwood, Roosevelt and Hopkins, p. 526.
33
THE ANGLO-SOVIET TREATY
1942
territorial settlements. Ambassador Winant's suggestion that Molotov travel to the United States prior to the signing of the proposed treaty in order to learn firsthand about American opposition was rejected. According to Secretary Hull, "we rejected this idea on the grounds that the impression might thereby be created that Molotov had come to the United States to gain our consent to the treaty, that we had given it, and that he had then returned to affix his signature." 60 Thus, the proposal to Stalin, while aiming to indicate United States support of Soviet military efforts and perhaps to promote the postponement of all territorial settlements, did not constitute a clearly defined or explicit effort by Roosevelt to bargain the second front for the withdrawal of Soviet territorial demands in Eastern Europe. When in May 1942 Molotov arrived in London to conclude the Anglo-Soviet Treaty, the negotiations between the two governments were stalled. The Soviets opposed any reference in the treaty to the Declaration of the United Nations and rejected the provision for the emigration of the inhabitants of the Baltic States from these territories. The British refused to agree to language which implied that the British government would have nothing to do with future Polish-Soviet frontier negotiations. Eden's and MoIotov's subsequent failure to break the deadlock led Eden to present an alternative treaty for a military alliance between the two governments which made no reference to postwar frontiers. Molotov agreed to report the proposal to his government but wanted to continue discussing of the previous draft treaty.61 At this time, United States opposition to Soviet frontier demands remained unchanged. However, pessimistic about the possibility of preventing the conclusion of a treaty recognizing Soviet territorial claims in Eastern Europe, the so Ambassador Winant to the Secretary of State, Ma> 4, 1942, FR, 1942, in, pp. 552-53; C. Hull, Memotrs, n, p. 1172. 6i For a description of these Anglo-Soviet negotiations, see L. Woodward, British Foreign Policy in the Second World Wm, pp. 247-52.
34
THE ANGLO-SOVIET TREATY
1942
United States determined not to participate further in any Anglo-Soviet negotiations. Ambassador Winant had no spe cific instructions except to report on the London discus sions. On his own initiative, Winant did meet with MoIotov, and he took the opportunity to restate United States objections to any treaty which contained frontier agree ments. In addition, Winant sought to emphasize the United States desire to cooperate with the Soviet Union by indi cating United States readiness to discuss commercial poli cies and to work out relief programs. Winant, however, had no authority, and therefore did not discuss the question of the second front in connection with the proposed treaty. He simply mentioned in passing that "we were trying to cooperate with them, that we were both interested in a second front. . . ." 6 2 Winant did not undertake any forceful action to resolve the existing Soviet-American conflict over Soviet territorial demands in Eastern Europe. 6 3 «2 Ambassador Winant to the Secretary of State, May 24, 1942, FR, 1942, in, p. 560. 03 Ibid., pp. 560-61. Secretary Hull states in his Memoirs, π, p. 1172, that he sent a strong memorandum to the President after May 21, 1942, expressing bluntly State Department opposition to the AngloSoviet Treaty and indicating that the United States would be forced to issue a separate statement disclaiming its acceptance of Soviet terri torial demands. According to Hull, a telegram along these lines was sent to Ambassador Winant, with instructions to be communicated to Churchill, and this telegram provided the background for Winant's meeting with Molotov. H. Feis, Churchill Roosevelt Stalin, pp. 6264, W. McNeill, America, Britain, and Russia, 1941-1946, pp. 178-79, R. Divine, Roosevelt and World War II, pp. 87-88, and other writers have taken Hull's statement as evidence of a specific and firm United States initiative to oppose conclusion of the Anglo-Soviet Treaty dur ing Molotov's visit. However, the Historical Office of the Department of State in its series of documents on American foreign policy, Foreign Relations of the United States, 1942, HI, p. 558 reports: " I t has been impossible to locate a copy of this other memorandum, or of the final telegram to Ambassador Winant based upon it, either in the files of the Depart ment of State, or at the Franklin D. Roosevelt Library at Hyde Park, N.Y., or among the Hull papers at the Library of Congress." T h e
35
THE ANGLO-SOVIET TREATY
1942
Yet, following these Winant-Molotov conversations, Molotov surprised Eden by informing him that he would recommend to Stalin a treaty which made no reference to territorial settlements; and on May 26, 1942, such a strictly military alliance was signed. Reasons for Molotov's seemingly abrupt change are unclear. The Soviet Ambassador in London, Ivan Maisky, later recorded that he was shocked at Moscow's instruction to withdraw all previous Soviet proposals.64 Eden concluded that "at some stage in our talks Molotov probably became convinced he could not get his way over frontiers and decided that more was to be gained in the military field by accepting our terms, and going to Washington with the Treaty signed, than by failure to agree."65 Most importantly, Secretary Hull, Ambassador Winant, and other State Department officials interpreted Molotov's action as deference to United States opposition. They concluded that they had been responsible for backing the Soviets down. Winant reported that Molotov had intimated that he had accepted the British draft after learning that there would be serious objection to the frontier treaty in the United States.66 During Molotov's visit to the United States later in May, Roosevelt expressed his pleasure that the frontier problem had not been mentioned in the AngloSoviet Treaty. "Mr. Molotov remarked that he and his present writer has also checked these historical collections, including the listing by the Department of State of all outgoing telegrams to the London Embassy on May 21, 22, 23, 1942. No such memorandum or telegram has been discovered. e * Ivan Maiksy, Memoirs of a Soviet Ambassador, The War: 1939-43 (New York: Charles Scribner's Sons, 1968), pp. 266-67. 65 A. E d e n , The Reckoning, p . 382. Studies of Soviet foreign polic> d u r i n g this p e r i o d fail to p r o v i d e a n y clear r e a s o n for Molotov's acc e p t a n c e of t h e t r e a t y . See, for e x a m p l e , A d a m U l a m , Expansion and Coexistence, The History of Soviet Foreign Policy 1917-1967, p p . 3 3 5 36. 66 A m b a s s a d o r W i n a n t t o t h e Secretary of State, May 25, 1942, 1942, H I , p . 564.
36
FR,
THE ANGLO-SOVIET TREATY
1942
government had very definite convictions in the opposite direction, but that he had deferred to British preference and to what he understood to be the attitude of the President."67 IV By June 1942, the United States government was firmly committed to a foreign policy of principle. Worries over secret British and Russian wartime arrangements for the political future of Eastern Europe had led to the drafting of the Atlantic Charter principles. Territorial settlements based upon the wishes of the peoples concerned and respect for the right of all people to determine freely the composition of their governments became the political war aims of the United States. When during 1942 the Soviet Union sought Allied recognition of its territorial claims in Eastern Europe, the United States sought to insure implementation of these Atlantic Charter principles by opposing all political and territorial settlements until after the war. The signing of the Anglo-Soviet Treaty, without territorial provisions, was interpreted as a great success for this policy. Previous indications of Roosevelt's willingness to compromise on the Baltic States question were forgotten. The Allied commitment to the Atlantic Charter principles was viewed as having survived intact. However, Stalin's decision to sign a purely military alliance with Great Britain did not mean that the Soviet Union had abandoned its goals in Eastern Europe. The United States would confront again Soviet political and territorial demands in this part of the world. 6T Memorandum of a Conference between Foreign Minister Molotov and President Roosevelt, by Samuel Cross, Interpreter, May 29, 1942, FR, 1942, in, p. 569.
37
TWO
POLAND 1941-1943
I by the Soviet and British governments to settle territorial questions during 1941 and 1942 were not the only causes for concern about Eastern Europe among United States officials. Differences between the Polish government-in-exile in London and the Soviet government over the political and territorial future of Poland threatened to undermine the unity of the military alliance against Germany. Polish demands for a return to the frontier established by the Treaty of Riga conflicted with Soviet insistence upon recognition of its 1941 boundary. 1 Following the German invasion of Russia, the London Polish government became increasingly irritated by Soviet interference in the formation of a Polish Army inside the Soviet Union and in the conduct of relief activities among Poles exiled in Russia.2 At the same time, the Soviet government EFFORTS
!Drawn at the end of the Polish-Soviet war in 1921, the Treat) of Riga frontier was east of the Curzon Line frontier specified by the Paris Peace Conference at the end of the First World War. T h e Soviet frontier of 1941 was west of the Curzon Line and included territon incorporated by the Soviet Union following the Nazi-Soviet Pact of 1939. While the 1941 frontier and the Curzon Line were often equated by American officials, they were not identical. For a description and history of the alternative Polish-Soviet frontiers, see U.S. Department of State, Postwar Foreign Policy Preparation, 1939-1945 (Washington, D.C.: U.S. Government Printing Office, 1950), pp. 496-509. 2 Following the German invasion of Russia in June 1941, the London Polish government-in-exile undertook efforts to restore friendly relations with the Soviet Union. On July 30, 1941, the Polish-Soviet Agreement was signed, providing for restoration of diplomatic relations, military cooperation in the defeat of Germany, Soviet recogni-
38
POLAND 1941-1943 objected to Polish initiatives to create postwar confederations in Eastern Europe. They accused the Poles of attempting to build up a bloc of states hostile to the Soviet Union. 3 Suspicion and distrust ensued; charges and countercharges prevailed between these two supposedly allied governments. United States advocacy of a policy of postponement of all territorial and political settlements neither halted Polish and Soviet efforts to resolve their territorial and political disputes on their own terms nor relieved the State Department of the need to react to the mounting conflict between the Soviet and Polish governments. American officials confronted the difficult task of designing a policy which maintained the diplomacy of principle and at the same time responded to ongoing events which threatened to undermine these principles. During 1941-1943, by their actions, even if often sporadic, these men did begin to define such a policy toward Eastern Europe, and specifically Poland. What were the characteristics of this policy, and what were the consequences for overall Soviet-American relations? II Beginning in the summer of 1941, the London Polish government sought United States support for the following Polish goals: abrogation of the Nazi-Soviet agreement of 1939, postponement of territorial settlements during the war, creation of a Polish army in Russia, and release of Polish political and military prisoners in the Soviet Union. tion that the Soviet-German Treaty of 1939 was no longer valid, and formation of a Polish Army and Polish relief activities on Soviet soil. Then on December 4, 1941, the two governments signed a Declaration of Friendship and Mutual Assistance. See FR, 1941, 1, pp. 243-45, 266-67. 3 See Ambassador Biddle to the Secretary of State, February 20, 1942, Records of Dept. of State, Decimal File 740.0011 European War '939/20193.
39
POLAND 1 9 4 1 - 1 9 4 3
This pressure was accompanied by extensive descriptions of the difficult plight of Poles inside Russia, the failures of the Soviet government to live up to its previous agreements, and the indications of Soviet aggressive intentions. Primarily, the London government hoped that the United States would oppose publicly any treaty to define postwar territorial settlements, intervene through its good offices to ameliorate the many difficulties facing Polish citizens inside Russia, and issue a public statement reiterating United States support for the creation of an independent Poland and for nonrecognition of territorial change by force.* The United States responded to this continuing Polish barrage by seeking to insure implementation of the Atlantic Charter principles in Eastern Europe. State Department officials called for the postponement of all territorial settlements until after the war and aimed to avoid any involvement in the internal affairs of allied governments. Further, they periodically informed the Soviet Union, in very general terms, of American interest in the solution of the many outstanding difficulties between the Soviet and London Polish governments. 5 The Department determined, however, not to restate American disapproval of any territorial or political settlements created by military force. While they interpreted Articles 2 and 3 of the Atlantic Charter to include opposition to all such settlements, these officials did not want to jeopardize Soviet-American military coopera* For the individual Polish requests during 1942, see FR, 1942, HI, pp. 100-220. See also General Sikorski Historical Institute, Documents on Polish-Soviet Relations 1939-1945, Vol. I (London: Heinemann, 1961), passim. 5 Memorandum of a Conversation, by Under Secretary Welles, June 26, 1941, FR, 1941, I, pp. 237-38; Secretary of State Hull to Ambassador Biddle, August 5, 1941, Draft telegram never sent, FR, ig4i, 1, pp. 247-48; Under Secretary Welles to Ambassador Biddle, March 6, 1942, FR, 1942, HI, pp. 116-17; Memorandum from Harry Hopkins to President Roosevelt, March 6, 1942, President's Secretary's File, State Department (Welles) folder, Roosevelt Papers; President Roosevelt to Under Secretary Welles, March 7, 1942, Records of Dept. of State, Decimal File 740.0011 European War 1939/19908.
40
POLAND 1941-1943 tion and hoped to remain neutral in the continuing dis pute. For fear of provoking Soviet accusations of foreign intervention in its internal affairs, they also refused to undertake initiatives to improve the conditions of the Poles inside Russia.6 This very general and limited approach to the PolishSoviet dispute characterized the initiative undertaken by Wendell Willkie, the 1940 Republican Presidential candi date, when in September 1942 he met with Stalin in Mos cow. Prior to Willkie's world tour as President Roosevelt's special representative, the London Polish government re quested that Willkie intercede with Stalin to obtain the release of Polish relief workers recently imprisoned in the Soviet Union, the re-establishment of Polish relief activi ties inside Russia, and permission to recruit Poles in the Soviet Union for the Polish army in North Africa.7 The β Under Secretary Welles to President Roosevelt, February 19, 1942, FR, 1942, in, pp. 107-108; Secretary of State Hull to United States Ambassador to the Soviet Union Rear Admiral William H. Standle}, May 19, 1942, FR, 1942, m, p. 146; President Roosevelt to Ambassador Biddle, September 10, 1942, FR, 1942, HI, pp. 183-84. " Memorandum of a Conversation, by Under Secretary Welles, with Polish Ambassador to the United States Ciechanowski, and Letter from Prime Minister Sikorski to President Roosevelt, August 24, 1942, Rec ords of Dept. of State, Decimal File 760C.61/98314. In December 1941, an agreement was reached between the Soviet and Polish governments for the establishment of 19 special local Polish relief delegations in Russian communities with a large number of Poles. T h e general duties of these delegations were to distribute foodstuffs, medical supplies, clothing, and other articles sent from the United States, Britain, and Canada for the Polish citizens exiled inside Russia. See Ambassador Biddle to the Secretary of State, July 16, 1942, FR, 1942, HI, pp. 15960. In July 1942, the Soviet government closed down these Polish relief offices and arrested members of the delegations on charges of collecting information about Poles inside Soviet prisons, of furnishing information on the conditions of life and work of Poles in Russia, and of circulating anti-Soviet newspapers. These Soviet actions par ticularly upset Polish officials because they feared that the Poles in Russia would starve if the relief organizations were disbanded. See Polish Ambassador Ciechanowski to the Secretary of State, August 5, 1942, FR, 1942, HI, p. 170.
41
POLAND 1 9 4 1 - 1 9 4 3
United States Ambassador in the Soviet Union, Rear Admiral William H. Standley, persuaded the State Department to rescind the initial discretion given Willkie to make representations about the possibility of relief activities for Polish citizens being handled by new Polish delegates and the United States hope for release of the reported 3,400 Polish officers in the Soviet Union. Standley argued that the primary issue between the two countries was not the specific irritants but rather whether the Poles would be allowed to maintain contact with Polish citizens in the Soviet Union. Any United States initiatives would only be met by further Soviet irritations and rebuffs.8 Standley failed, however, to prevent State Department officials from retreating to vague expressions of hope for mutually satisfactory understandings between the two governments. While in Moscow, Willkie was instructed to inform Stalin of the general American desire for maximum cooperation between the two Allies and hope that Polish-Soviet difficulties would be ironed out.8 The United States responded similarly when the Soviet government announced in January 1943 following the Russian military victory at Stalingrad that it considered the Ribbentrop-Molotov line to be its western frontier and all Polish citizens east of this line to be automatically Soviet, not Polish, nationals. 10 The State Department adamantly s Secretary of State Hull to Ambassador Standley, Septembei 5, 1942, FR, 1942, 111, pp. 182-83; Ambassador Standley to the Secretary of State, September 10, 1942, FR, 1942, in, pp. 185-86; and Secretary of State Hull to Ambassador Standley, September 14, 1942, FR, 1942, in, p. 187. 9 Secretary of State Hull to Ambassador Standley, September 14, 1942, FR, 1942, in, p. 187. T h e State Department viewed these instructions as implementing Standley's recommendations and did not seem to recognize that this general expression of hope for cooperation was precisely what Standley had argued against. For a report of Willkie's conversations with Stalin, see FR, 1942, m, p. 641. 10 A report of the Soviet note to the London Polish government can be found in Ambassador Biddle to the Secretary of State, January 28, 1943, FR, 1943, in, pp. 323-24.
42
POLAND 1 9 4 1 - 1 9 4 3
refused to consider territorial matters until the end of the war. President Roosevelt, in a letter to Polish Prime Minister Sikorski, reaffirmed United States support for the re-establishment of an independent Poland. 11 American officials rejected, however, the Polish request for a public statement that the Atlantic Charter principles would be implemented in the drawing of the Polish postwar frontier. While sympathetic to Polish interests and to the gravity of the situation, these officials insisted upon maintenance of a calm attitude by the Poles and retention by the United States of complete freedom to choose the moment for rendering assistance. These men were particularly worried lest any action be misconstrued as interference in the domestic affairs of the Soviet Union. 12 They continued to seek what they defined to be a "diplomacy of principle." 13 Ambassador Standley approved this policy of nonintervention in the Polish-Soviet dispute. He warned that the United States must be exceedingly circumspect, since any action would have far-reaching repercussions for overall Soviet-American relations, even if the justification for inter11 In iesponse to a Polish request in June 1941 for United States intervention on their behalf in negotiations over postwar Polish-Soviet frontiers, State Department officials privately expressed their support for the re-establishment of an independent Poland. Memorandum of a Conversation, by Under Secretary Welles, June 26, 1941, FR, 1941, 1, pp. 237-38. No further statement was made until January 7, 1943 when President Roosevelt wrote Prime Minister Sikorski: "I need hardly assure you of the determination of the United States Government that Poland be re-established. This is implicit in Article 3 of the Atlantic Charter and the Declaration of the United Nations." FR, 1943, in, p. 320. 12 Memoranda of Conversations, by Under Secretary Welles, with Polish Ambassador Ciechanowski, February 5, 1943, and February 17, 1943, FR, 1943, HI, pp. 328-29, 333; Memorandum of a Conversation, by Secretary Hull, with Polish Ambassador Ciechanowski, March 23, 1943. FR. !943. " i . PP- 361-62· is Memorandum of a Conversation, by Assistant Secretary Berle, with Polish Ambassador Ciechanowski, March 13, 1943, Records of Dept. of State, Decimal File 760.61/1027.
43
POLAND 1941-1943 vention were humanitarian grounds. Pointing to increasing Soviet irritation over Polish issues, Standley argued that an initiative might serve to worsen, not improve, Polish-Soviet relations. He concluded: "the present militant Soviet Government has decided to force at this time the issue of the Polish eastern frontiers and that it would not hesitate to use bludgeon tactics to solve this question to its satisfaction." 14 However, when reports revealed that the Soviet govern ment was sponsoring the formation of a Union of Polish Patriots in Moscow, perhaps as an alternative Polish gov ernment to that in London, support for nonintervention began to erode. Standley stated that the Poles had done about as much as possible to achieve Soviet cooperation. 15 Roosevelt approved a State Department recommendation that former United States Ambassador to the Soviet Union Joseph Davies discuss with Stalin what might be done "on behalf of Polish refugees within the Soviet Union, and in the interest of an improvement in Soviet-Polish relations." 1 6 Ill Then in April 1943 the deterioration in relations between the Polish and Soviet governments reached a climax. The German government announced the discovery near Katyn of a mass grave containing the bodies of over 8,000 Polish ι* Ambassador Standley to the Secretary of State, March 9, 1943, FR, 1943, in, p. 346. is Ambassador Standley to the Secretary of State, April 3, 1943, FR, 1943, in, pp. 363-64. Standley added: " I feel that care must be taken by us to forestall the British at a later date from shifting to us for our concern alone an extremely irritating problem in Soviet relations." 1« Memorandum of a Conversation, by Under Secretary Welles, with Polish Ambassador Ciechanowski, April 8, 1943, FR, 1943, HI, p. 371. Joseph Davies was on his way to Moscow to discuss with Stalin plans for a meeting between the Heads of State. By the time he arrived in the Soviet Union, events had overtaken his instructions, and he did not raise the Polish issue with Stalin.
44
POLAND 1941-1943 officers executed by the Russians in 1940. In response, the London Polish government issued a public request to the International Red Cross to conduct an impartial investigation of the alleged massacre.17 Immediately, Stalin informed the United States and Britain that the Soviet Union could not tolerate this fascist slander perpetrated by the German and London Polish governments and therefore intended to interrupt relations with the Polish exile government in London. 18 The reactions of the British and American governments to this announced break in relations, although formulated independently, were remarkably similar. Denying that Sikorski's intention was either to collaborate with Hitler or demonstrate definite hostility toward the Soviet Union, Churchill and Roosevelt urged that the interruption of relations not be a final suspension, but serve only as a warning against future foolish acts by the Polish government. Both notes to Stalin reflected the hope that Churchill would be successful in urging greater restraint on the Poles in the future and mentioned the ill effects such a Soviet announcement of the break in relations would have on American public opinion, especially upon the millions of American citizens of Polish ancestry. Finally, Churchill and Roosevelt offered all possible assistance to resolve the existing difficulties between the Polish and Soviet governments.19 i ' Statement by the Polish Government in Exile, in London, April 17, 1943, FR, 1943, HI, pp. 381-82. T h e London government felt that it could not remain silent since this German information corroborated many of the facts gathered by Polish intelligence as to the fate of the missing Polish officers. Ambassador Biddle to the Secretary of State, April 17, 1943, FR, 1943, m, pp. 379-80, and Edward Rozek, Allied Wartime Diplomacy, A Pattern in Poland (New York: John Wiley and Sons, Inc., 1958), pp. 123-33. For a study of the Katyn Forest Massacre, see J. K. Zawodny, Death in the Forest (Notre Dame: University of Notre Dame Press, 1962). is Marshal Stalin to President Roosevelt, April 21, 1943, FR, 1943, in, p. 391. ie President Roosevelt to Marshal Stalin, April 26, 1943, FR, 1943, in, pp. 395-96. Being away from Washington at the time of the break,
45
POLAND I 9 4 I — I 9 4 3
In the formulation of their replies to Stalin, neither Roosevelt nor Churchill addressed the questions of whether the reported massacre of the Polish officers had occurred or if the German charges of Soviet responsibility were accurate. They also did not dwell on why the Germans had chosen to announce their discovery of the mass grave at that time even though reports from the American Embassy in Switzerland indicated that the Germans had had this information about the massacre for some time.20 Various theories about Soviet behavior circulated between the British and American governments: the Russians intended by their action either to gain concessions from the Allies or to use the Polish request for an investigation by the International Red Cross as an excuse for a break which they had desired for a long time. Yet none of these considerations formed the basis of the telegrams to Stalin. The feeling existed, particularly in the British government, that it was too late to do anything about the particular incident leading to the break in relations. Instead, Roosevelt and Churchill were preoccupied with the need to achieve the immediate resumption of relations in order to maintain the unity of the Allied military effort.21 When Stalin rejected Churchill's and Roosevelt's plea for a resumption of diplomatic relations with the London Roosevelt prepared a draft reply on the basis of recommendations sent to him by Secretary Hull. Hull approved Roosevelt's draft after eliminating the word "stupid" from before the word "mistake" in the following sentence: "In my opinion Sikorski has in no way acted with the Hitler gang but instead he has made a mistake in taking up the particular matter with the International Red Cross." [Change indicated in the copy of the telegram found in the Roosevelt Papers.] See also Prime Minister Churchill to Marshal Stalin, April 24, 1943, Corr., i, p p . 121-22. 20 U n i t e d States M i n i s t e r in Switzerland to t h e Secretary A p r i l 19, 1943, FR, 1943, m , p . 383.
of State,
21 Ambassador Winant to the Secretary of State, April 21, 1943, FR, 1943, in, p. 385.
46
POLAND 1 9 4 1 - 1 9 4 3
Polish government and reiterated numerous examples of the hostility shown by the London Polish government toward Russia and Sikorski's collusion with Hitler, the British government assumed responsibility for resolving the differences.22 First, British officials obtained Polish acceptance of the Soviet view that neutrality by the International Red Cross operating on German territory was impossible. They then undertook steps to discipline the often antiSoviet foreign language press in Britain. Finally, in three notes to Stalin, Churchill urged Soviet acceptance of Polish promises for cooperation with the Russians in the future and Soviet agreement to the evacuation of certain categories of Poles residing in the Soviet Union in order to lessen Soviet-Polish hostility. British actions were initially taken independently of the United States. However, when confronted with rising Soviet intransigence, Churchill formally suggested a joint Anglo-American approach to achieve the evacuation of as many Poles from the Soviet Union as 22
Marshal Stalin to President Roosevelt, April 29, 1943, Con., 11, p. 62. Following the break in relations, the London Polish government asked the United States to represent Polish interests in the Soviet Union. Initially, the European Division commented that despite the delicate nature of the task, it would be difficult to refuse the Polish request if the Soviet government agreed. But, Secretary Hull, with Roosevelt's concurrence, insisted that the United States could do more for the Poles and for the United Nations in general by being in a position to exert influence upon both the Russians and the Poles. T h e possibility of provoking Soviet suspicions by representing Polish interests might not only jeopardize any United States role in mediating the Polish-Soviet controversy but also might undermine overall SovietAmerican relations. Eventually, the Australian Embassy took ovei representation of Polish interests. Memorandum by the Division of European Affairs to the Secretary of State, April 28, 1943, Records of Dept. of State, Decimal File 760C.61/4-2843; Memorandum of a Conversation, by Secretary Hull, with British Ambassador Halifax, May 3, 1943, FR, 1943, in, pp. 407-408; and Memorandum of a Conversation, by Mr. E. Durbrow of the Division of European Affairs, May 4, 1943, FR, 1943, in, p. 410.
47
POLAND
1941-1943
possible and thus relieve some of the minor irritations between the Poles and the Russians.23 In contrast to the immediate British efforts to restore Polish-Soviet relations, American officials displayed a singular lack of urgency over the Polish-Soviet crisis and held to the vague hope that a solution would be forthcoming without American involvement.24 Whereas Secretary Hull initially implied that an American initiative in support of British efforts to resolve the dispute would be forthcoming, by the end of April Roosevelt and other officials became less worried about the Polish problem. 25 Then other issues, 2ii Prime Minister Churchill to Marshal Stalin, April 24, 1943, April 5> '943. April 30, 1943, Corr., 1, pp. 121-25. Churchill first mentioned his desire for United States cooperation in achieving the evacuation of Poles from the Soviet Union in a telegram to Roosevelt, April 25, 1943 (FR, 1943, in, p. 393). Churchill apparently also raised this during his discussions of Allied military planning in Washington in Ma). For on June 2, 1943, a British Embassy official stated to Elbridge Dmbrow of the European Division, "during the Prime Minister's visit he had received from the Foreign Office a telegram suggesting that he take up with the President the question of American support of the British position in regard to the evacuation of Poles from the USSR and the President and Mr. Hopkins had agreed to send appropriate instructions to Admiral Standley" (FR, 1943, Hi, p. 424). No instructions were, however, sent until the second week in June. 24 Secretary of State Hull to Ambassador Standley, June 12, 1943, FR, 1943, in, p. 428. Reasons for the delay in the formulation of a United States response were less considered than those suggested b\ either: (1) C. Hull, Memoirs, 11, p. 1269, "We left to the British the initiative in the effort to restore relations between Poland and Russia. This was for the reason that the Polish Government was located in London, that Britain had a special alliance relationship with Poland, and that Britain had been the intermediary in bringing Russia and Poland together in 1941," or, (2) H. Feis, Churchill Roosevelt Stalin, p. 194, "neither the American nor the British government, while longing to foster a reconciliation, had seen any effective chance for bringing this about." 20 Memorandum of Conversation, by Secretary Hull, with British Ambassador Halifax, April 21, 1943, FR, 1943, in, pp. 384-85; President Roosevelt to Secretary of State Hull, April 27, 1943, Records of Dept. of State, Decimal File 740.00119 European War 1939/1464. 2
48
POLAND 1 9 4 1 - 1 9 4 3
particularly military planning for a second front in Europe, seemed to distract their attention. Only the continuous barrage of Polish and British demands for United States action finally moved State Department officials in June to consider an American approach to promote an overall solution to the problem. 26 IV By June 1943, hope for reconciliation between the Polish and Soviet governments appeared dim. Soviet accusations against the unrepresentative and "Hitlerite controlled" London Polish government continued. Soviet charges of Polish imperialist intentions toward Soviet territories intensified.27 Initially, State Department officials believed that the Soviets had sought by using the Katyn incident as a pretext to force United States and British recognition of of Soviet territorial claims. Now this impression had receded and reports to the State Department indicated that a change in the top officials of the Polish government in London was the major prerequisite for resumption of rela26 Certain errors exist in Hull's discussion (Memoir!,, 11, p. 1268) of the United States reaction to the Polish-Soviet break. A telegram to Churchill describing United States policy was drafted on April 30, 1943 and not on April 20, 1943 as Hull states. (Political-Military Messages, Map Room, Roosevelt Papers.) Hull could not have taken this draft to the President on April 20, 1943 because Roosevelt was still away from Washington, as Hull himself records, p. 1267. Hull implies that this telegram was sent; this is not the case. In a memorandum to the President, June 9, 1943, Hull attached a copy of this telegram and informed the President that it "was drafted some time ago but which apparently was not sent" (FR, 1943, in, p. 428). In the summei of 1943, four telegrams were sent to Ambassador Standley defining United States policy—June 12 (two telegrams), June 29, and July 10— not one telegram on July 17 as Hull records. 2" Ambassador Standley to the Secretary of State, April 28, 1943, FR, 1943, in, p. 401; Prime Minister Sikorski to President Roosevelt, May 4, 1943, FR, 1943, Hi, pp. 410-12.
49
POLAND 1941-1943 tions between the Soviet and Polish governments.28 Stalin in a note to Churchill in May stated that the sooner measures were taken to improve the composition of the Polish government the better.29 Under Secretary Welles acknowledged that "we have received the same impression as yourself that the immediate desire of the Soviet government is to bring about a change in the composition of the Polish government-in-exile. "30 Consensus as to the basic issue in conflict between the Polish and Soviet governments, recommendations by the United States Ambassador to the London Polish government, Anthony Biddle, that pressure be exerted on Prime Minister Sikorski to meet Soviet demands, and the desire expressed by members of the State Department to undertake a "broad approach" to this dispute did not lead to a United States willingness to act on all outstanding differences.31 First, the State Department adamantly re28 A m b a s s a d o r W i n a n t to t h e Secretary of State, A p r i l 21, 1943, FR, 1943, i n , p . 385; A m b a s s a d o r B i d d l e to t h e Secretary of State, May 2, 1943, FR, 1943, in, p p . 404-405; A m b a s s a d o r Standley to t h e Secretary of State, May 8, 1943, FR, 1943, i n , p p . 416-17. 29 M a r s h a l Stalin to P r i m e M i n i s t e r C h u r c h i l l , May 4 1943, Con., 1, p p . 127-28. 3 » U n d e r Secretary W e l l e s to A m b a s s a d o r B i d d l e , J u n e 16, 1943, FR, 1943, i n , p . 431. T h e s t a t e m e n t by H . Feis, Churchill Roosevelt Stalin,
p. 194, is misleading: "From that time on the Polish government-inexile was to be confronted with the demand that if it wanted to get back on good terms with the Soviet government it would first have to accept Soviet ideas about frontiers." T h e Soviet government had backed away from pressing its territorial demands and was now demanding a change in the composition of the London Polish government. 31 Ambassador Biddle to the Secretary of State, June 2, 1943, FR, 1943, HI, pp. 424-26. Ambassador Biddle argued that a change in the composition of the Polish government was needed to achieve a resumption of relations and could be undertaken without impairing the dignity and prestige of the government if it were done over an extended time and justified on the pretext of differences over internal policy.
50
POLAND
1941-1943
fused to exert any pressure upon the London Polish government to meet Soviet demands for the reorganization of their Cabinet. The Department would not condone such interference in the internal affairs of any Allied nation. 32 Second, the State Department again determined not to discuss the postwar territorial questions or accede to Soviet frontier demands. While agreeing that efforts should be undertaken to evacuate certain categories of Poles from the Soviet Union, State Department officials rejected the British proposal for evacuation of Poles whose domicile was west of the 1939 Ribbentrop-Molotov line because it automatically brought up the frontier question. They decided that particular emphasis should be placed on the problems of evacuating the immediate families of men in the Polish armed forces, Polish orphans, and other Polish children who could not be properly cared for in the Soviet Union. 33 To all appearances, the policies of the Departments of State and War were formulated independently. Those officials in the War Department who were anxious to assuage Soviet criticism of the British and American failure to establish a second front in Europe never argued for acceptance of Soviet territorial demands in Eastern Europe. Even rumors that the Soviets might be concluding a separate peace with Germany provoked no reconsideration of United States policy. Apparently in June 1943, Soviet Foreign Minister Molotov did meet with German Foreign Minister Ribbentrop within German lines to discuss the See also Secretary Hull to President Roosevelt, June 9, 1943, FR, 1943, in, pp. 427-28. 32 Secretary of State Hull to Ambassador Standley, June 12, 1943, FR, 1943, in, pp. 428-30 [Drafted: ED; Initialed: JCD]. T o find the names which correspond to the initials of these State Department officers responsible for drafting the outgoing telegrams, the reader should consult the Appendix on the Organization of the Department of State. 3-1 Ibid., pp. 429-31. 51
POLAND 1941-1943 possibility of ending the war. In the end these discussions broke down on the question of the postwar Russian frontier.34 For Stalin it must have appeared that Russia's enemy and ally were equally unwilling to approve Soviet frontier claims. American opposition to raising the PolishSoviet frontier questions, however, continued to be based on a desire to postpone consideration of all frontier disputes until the end of the war, and not simply an unwillingness to become involved in this frontier question or to block Soviet demands. 35 The United States approach to resolve the Polish-Soviet dispute focused on achieving compromise solutions to the irritating problems arising from operations of Polish relief organizations in the Soviet Union and Soviet denials of Polish citizenship to Poles exiled in Russia. Believing that the major defect of the Polish-Soviet agreements since July 1941 was the setting up by the Polish government of what amounted to the extraterritorial apparatus of a foreign government in Russia, State Department officials proposed, as a more workable solution, that relief work be carried out by Soviet, not Polish organizations. With respect to citizenship, they suggested that the Russians and Poles agree to permit all nonracial Poles to opt for Polish or Soviet citizenship, and all racial Poles, living in Poland in September 1939, be recognized by the Soviet government as Polish citizens.36 Secretary Hull rejected the British proposal for a joint approach with the statement, "it is still felt that while col3+ B. H. Liddell Hart in his History of the Second World War (London: Cassell & Co., 1970), p. 488, briefly describes this meeting between Molotov and Ribbentrop. For a discussion o£ the question of a Soviet-German rapprochement, see Vojtech Mastny, "Stalin and the Prospects of a Separate Peace in World War II," The American Historical Review, LXXVII (December 1972), 1365-88. 3 > See Under Secretary Welles to Ambassador Biddle, June 16, 1943, IR, 1943, HI, p. 431. 36 Secretan of State Hull to Ambassador Standlc), June 12, 1943, FR, 1943, in, p. 430.
52
POLAND 1 9 4 1 - 1 9 4 3
laborating with the British it would be advisable to present an American solution to the problem." 37 Neither British pressure for an initiative based on amelioration of the minor irritations between the Poles and Russians nor Soviet demands for a change in the composition of the Polish government had produced a basic change in the United States determination to postpone consideration of territorial settlements and to maintain the principle of noninterference in the internal affairs of Allied nations. The United States approach to promote "a more far-reaching settlement" of the broad questions in the Polish-Soviet dispute meant, in effect, a continuation of previous policy. Ambassador Standley immediately criticized this American approach. While recognizing the need for a resumption in diplomatic relations, Standley objected to the means chosen by the State Department to achieve cooperation between the Polish and Soviet governments. Pessimistic as to the possibility of any reconciliation, he argued that United States policy needed to be more realistic and directed toward the achievement of practical results. These United States proposals were based too strongly on Polish desiderata and did not take into sufficient account the basic Soviet reasons for the breach in relations. Noting that the specific reasons for the break had been differences over frontiers and the composition of the Polish government, Standley suggested that solution of at least one of these questions was necessary to end the impasse. Instead of addressing the problem of Polish citizenship, which the Soviet government would be unwilling to discuss at this stage unless the frontier question were also considered, Standley proposed that Prime Minister Sikorski be persuaded to eliminate from his government those elements whose presence made harmony with the Soviet government impossible. Acknowledging the reluctance of the United States to interfere in the internal affairs of another United Nation under normal circumST Secretary of State Hull to President Roosevelt, June 9, 1943, FR, 1943."'. P- 428-
53
POLAND 1 9 4 1 - 1 9 4 3 stances, Standley concluded that "the present situation was not n o r m a l and not subject to normal treatment." 3 8 Instead of a change, Standley's arguments only provoked a delineation of the reasons for c o n t i n u i n g previous American policy. T h i n k i n g that the Soviet break h a d been motivated by Stalin's desire to make clear to all neighboring governments that their continued existence depended u p o n a willingness to accede to Soviet demands, State Dep a r t m e n t officials objected to such Soviet interference in the affairs of Eastern Europe. T h e y also considered that "far-reaching repercussions" would occur if the Poles were pressured to reorganize their government in response to Soviet demands. Moreover, they assumed that the Soviet U n i o n would probably not look favorably u p o n a new Polish Cabinet unless it acquiesced in Soviet frontier claims, and they h a d n o intention of backing down from their commitment to postpone all territorial settlements. 3 0 Finally, these officials rejected Standley's contention that the questions of frontiers and citizenship were irrevocably intertwined. T h e i r irritation with Soviet unilateral action in forcing h u n d r e d s of Polish citizens to become Soviet citizens h a d led them to oppose d r o p p i n g the citizenship issue. T h e y insisted u p o n resolution of this question while postponing consideration of territorial settlements. 4 0 I n reply to Standley's suggestion that U n i t e d States policy was based too strongly on Polish desires, Secretary Hull stated: "the D e p a r t m e n t ' s approach was n o t intended as a compromise, b u t it was considered to offer a plan for settling the dispute on a basis as just and p e r m a n e n t as the difficult situation permits." 4 1 According to Hull, the American proposal on Polish relief activities inside Russia «s Ambassador Standley to the Secretary of State, June 18, 1943, FR, 1943, HI, pp. 432-34· 39 Secretary of State Hull to Ambassador Standley, June 29, 1943, FR, 1943, in, pp. 434-37 [Drafted: LWH, ED; Initialed: JCD, RA; Signed: Hull]. 10 Ibid., p. 436. 4i Ibid., pp. 435-36.
54
POLAND 1941-1943 called for far-reaching concessions by the London Polish government. 42 The State Department concluded by commenting on Standley's argument that the United States approach was unrealistic and would be rejected by the Soviet government: While it is realized, as indicated above, that the Department's proposals may not result in an immediate resumption of relations, it is felt that such an approach to the problem, even if unsuccessful, will at least make clear our position as to the principles upon which we feel that understanding between the United Nations should be based. Furthermore, it would be helpful if the Soviet Government could bring itself to view this matter primarily in the light of its importance in the prosecution of the war and the settlement of the complex postwar problems on a just and equitable basis.43 At last, in August 1943, the American and British Ambassadors in the Soviet Union presented to Stalin their governments' proposals for solution of the Polish-Soviet dispute. 44 Ambassador Kerr announced measures taken by the British government to control publication of antiSoviet newspapers in Britain and presented the original British proposals for evacuation of certain categories of Poles from the Soviet Union. Ambassador Standley fol42 Ibid., p. 436. « Ibid. 44 T h e United States approach had not been modified. T h e accidental death of Prime Minister Sikorski in July 1943 neither produced a change in the composition of the London Polish government nor altered the State Department's desire to undertake a "broad" approach to resolve the Polish-Soviet dispute. The Department concluded that postponement of territorial questions and noninterference in the internal affairs of Allied nations must be maintained for fear "we might give the impression, particularly in view of our long silence and the changed situation in the composition of the Polish Cabinet, that we have changed our attitude toward the Polish Government." Secretary of State Hull to Ambassador Standley, July 10, 1943, FR, 1943, in, p. 443-
55
POLAND 1941-1943 lowed by delineating the broader considerations—citizenship problems of Poles living in the Soviet Union, relief and welfare activities of Polish organizations in Russia, and evacuation of families of Polish soldiers—which required solution before a just and lasting resumption of relations could be achieved.45 After a month's delay, Stalin rejected outright this British and American approach. He contended that the two governments had failed to address the fundamental issue which led to the break in relations: the hostile actions by the London government against the Soviet Union culminating in the Polish charges of Soviet responsibility for the Katyn massacre. Stalin concluded that the proposals were identical to Polish demands and therefore unacceptable. 46 While postponement of territorial and political settlements, maintenance of a posture of noninvolvement in the disputes arising in Eastern Europe, and promotion of overall cooperation among the Allies had combined to define United States policy toward Eastern Europe, the PolishSoviet conflict had not disappeared. V This United States policy toward Eastern Europe was the outgrowth of an attempt, primarily by the Department of State, to maintain the principles of the Atlantic Charter and at the same time respond to the ongoing events in Eastern Europe. From 1941 to 1943, this policy suffered from the lack of concern and sense of urgency about Eastern European questions which pervaded the government. No high-level officials in the government, i.e., the President, the Secretary or Under Secretary of State, had time 45 Ambassador Standley to the Secretary of State, August 12, 1943, FR, 1943, in, pp. 452-53. *e T h e People's Commissariat for Foreign Affairs of the Soviet Union to the American Embassy in the Soviet Union, September 27, 1943, FR, 1943, in, pp. 461-67.
56
POLAND
1941-10,43
to exercise continuous watch over developments in the Polish-Soviet dispute. 47 As a result, policy was often sporadic and basically unchanging. Willkie's and Davies' initiatives to resolve the conflict were only approved when the opportunity was presented by their already arranged meetings with Stalin for other purposes. An American approach to Stalin to promote cooperation between the Russians and the Poles, recommended by the State Department in April 1943, was not only delayed in its implementation until August but also revealed no significant change despite the elapse of three months and the criticisms of Ambassadors Biddle and Standley. The men in the European Division responsible for defining United States policy found it easiest to postpone consideration of the difficult individual issues in Eastern Europe. When these men did address the problems in the dispute, they were preoccupied with the desire to avoid wartime arrangements for the postwar world in order to maintain Allied unity and the integrity of the Atlantic Charter principles. They considered that commitments to territorial or political settlements in Poland would give rise to competing demands among the other United Nations and possibly prevent application of the Atlantic Charter principles after the war. Again, questions relating to Eastern Europe were linked with other American concerns. Consequently, they were diverted from the substantive issues in dispute between the Poles and the Russians. They neither probed into the difficulties experienced by the Poles living in the Soviet Union nor undertook to discover the actual reasons for the Soviet break in relations with the Polish government. These State Department officials also failed to examine the assumptions upon which United States policy was based. The desirability of postponing all territorial questions and of pursuing "an independent American ap47 Interviews with Elbridge Durbrow, John C. Campbell, H. Freeman Matthews.
57
POLAND 1 9 4 1 - 1 9 4 3
proach" to the Soviet government were assumed, but the reasons were never discussed. What "far-reaching repercussions" would arise from interference in the internal affairs of the London Polish government apparently seemed selfevident, for they were never delineated. In all probability, this was a reference to the possible reactions of the PolishAmerican population inside the United States, for in June 1943 a report of the Office of Strategic Services concluded: "increased political self-consciousness among Polish-Americans seems to be one inevitable result of the current debate. Coupled with the numerical strength of the Polish-American community this may make Polish aspirations in Europe a matter of some consequence in American politics during 1943 and 1944."48 These officials finally never defined any specific United States interests or goals in Eastern Europe. Even the rupture in Polish-Soviet relations and the subsequent possibility of Soviet recognition of a rival Polish government in Moscow did not provoke serious thinking about American aims in this part of the world. While refusing to give blanket endorsement to the London Polish government, the State Department determined to continue recognition of this government as the only constituted representative of the Polish people.49 Simultaneously and without any debate, opposition arose among American officials to the establishment of a rival Polish government on Russian soil.50 Yet these officials never discussed what they hoped *» Memorandum by the Foreign Nationalities Branch to the Director of the Office of Strategic Services, "Development of the PolishRussian Antagonism in the U.S.," June 24, 1943, Records of the Office of Strategic Services, National Archives, Record Group 226, Number 37797· 49 Memorandum from Under Secretary Welles to the European Division, May 17, 1943, Records of Dept. of State, Decimal File 860C.01/ 6 33· so See Draft Telegram, President Roosevelt to Prime Minister Churchill, April 30, 1943, Political-Military Messages, Map Room, Roosevelt Papers.
58
POLAND 1941-1943 to achieve by such a policy of less than full support for the London Polish government but opposition to the creation of a new Polish government, apart from implementation of the Atlantic Charter principles in Eastern Europe after the war.51 Believing that these principles and policies were neutral, American officials thought that such a posture would prevent the United States from being drawn into the PolishSoviet conflict on any one side. In the early years of the war, application of such principles did have this effect as the United States opposed both Polish and Soviet unilateral attempts to determine Poland's future. Postponement of territorial demands blocked Allied recognition of a PolishSoviet border based either on the 1939 or 1941 frontiers. Opposition to wartime political settlements stymied not only Polish efforts to establish Eastern European confederations but also Soviet attempts to determine the political future of eastern Poland through the imposition of citizenship requirements. A commitment to noninterference in the internal affairs of Allied countries led to rejection of Soviet demands for a change in the composition of the London Polish government as well as Polish requests for American support for the release of Polish political prisoners in the Soviet Union. In practice, however, application of these principles gradually came to have the effect of United States promotion of Polish demands against the Soviet Union. The United States policy of seeking to postpone consideration of Soviet territorial claims in Poland and of refusing to press for a change in the composition of the London Polish government was almost identical to that pursued by the 51 Ambassador Standley to the Secretary of State, April 28, 1943, FR, 1943, in, p. 401; Ambassador Biddle to the Secretary of State, May 2, 1943, FR, 1943, in, pp. 404-405; Ambassador Standley to the Secretary of State, May 23, 1943, FR, 1943, in, p. 423; Memorandum of a Conversation, by Mr. E. Durbrow of the Division of European Affairs, May 26, 1943, Records of Dept. of State, Decimal File 760C.61/2036.
59
POLAND 1941-1943 London Poles, as Stalin pointed out to the American and British governments in response to their approach in August 1943. This slide into a commitment to the goals of the Polish government-in-exile, and with it increasing opposition to Soviet demands, occurred without even being recognized. State Department officials argued in the summer of 1943 that the United States approach included concessions on both sides, and "by not deviating from our position . . . we are simply not furthering Soviet demands in these directions." 52 In fact, United States policy in 1943 did oppose Soviet demands in Poland and conflict developed between the two governments despite the existence of certain sympathies within the State Department for acceptance of Soviet frontier claims. Initial support in 1941 had rested with Polish desires to retain territory up to the Riga frontier, and the Soviet demand for the establishment of the Curzon Line boundary was equated with restoration of the frontier drawn following the Nazi-Soviet partition of Poland in 1939.53 Yet, by the end of 1942, Welles specifically opposed any statement by Roosevelt that Poland should emerge from the war undiminished in her territorial integrity as existed in 1939. Similarly, members of the European Division concluded that any attempt to reconstitute the 1939 frontier of Poland would lay seeds for continuing hostility and "recalled that the Curzon Line of 1919 [1920] was suggested in accordance with ethnic considerations while the Soviet-Polish frontier of 1921 was the result of the military outcomes of the Polish-Soviet war of 1920."54 United States 52 Secretary of State H u l l to A m b a s s a d o r Standley, J u n e 29, 1943, FR, 1943, H I , p . 436. 53 M e m o r a n d u m of a C o n v e r s a t i o n , by U n d e r Secretary W e l l e s , J u n e 26, 1941, FR, 1941, i, p . 237; M e m o r a n d u m of a C o n v e r s a t i o n , by U n d e r Secretary Welles, J u l y 8, 1941, R e c o r d s of D e p t . of State, D e c i m a l File 860C.01/583; Secretary H u l l t o P r e s i d e n t Roosevelt, F e b r u a r y 4, 1942, FR, 1942, m , p . 509. 5* M e m o r a n d u m of a C o n v e r s a t i o n , by U n d e r Secretary W e l l e s , w i t h Polish P r i m e M i n i s t e r Sikorski, D e c e m b e r 4, 1942, FR, 1942, i n , p .
60
POLAND 1 9 4 1 - 1 9 4 3
determination to postpone all territorial settlements, however, prevented United States approval of the Soviet demand for recognition of the Curzon Line frontier. Consequently, the United States government was gradually becoming locked into opposition with the Soviet Union (or, at least, seeming to be in opposition, from the Soviet perspective) over issues which, in fact, American officials either had not considered or were not in basic disagreement with the Soviet Union. If United States policy toward the Polish-Soviet frontier had been based on the individual questions in dispute, this policy would not have differed significantly from Soviet policy. Thus, instead of seeing the beginnings of conflict between the United States and the Soviet Union over Eastern Europe, the beginnings of cooperation might have been seen. Conflict existed not on the merits of the issues but over the American commitment to postponement of all political and territorial settlements until the end of the war. 200; Memorandum by the Acting Chief of the Division of European Affairs, Ray Atherton, to the Secretary of State, December g, 1942, FR, 1942, HI, p. 206.
6l
THREE P O S T W A R PLANS A N D E X P E C T A T I O N S 1941-1943
I T H E United States policy of seeking to uphold the Atlantic Charter principles during 1941-1943 in response to British and Soviet efforts to draw the territorial frontiers of Eastern Europe, and to Soviet and Polish initiatives to determine the political future of Poland, brought the United States into increasing conflict with the Soviet Union. Differences over individual questions in Eastern Europe threatened to undermine the Allied military effort against Germany and to impede the establishment of a peace based upon Soviet-American cooperation. During these early years of the war, what expectations did American officials have about postwar Soviet plans for Eastern Europe? What ideas did they have about America's postwar interests in this part of the world? Did American officials anticipate conflict between their objectives and those of the Soviet Union; and if so, how did they expect this conflict to be resolved? II During the first two years of the war, United States officials were in agreement as to what they thought the overall goals of the Soviet government would be: promotion of its national security, the restoration of its 1941 frontiers, and the establishment along its border of governments friendly to the Soviet Union. These officials further agreed that the Soviet Union would have the ability to exercise predominant influence in Eastern Europe. Earlier uncer62
POSTWAR PLANS AND EXPECTATIONS
tainties as to whether the Soviet Union would emerge from the war as a great power or would be crippled by reconstruction needs disappeared as it became clear that in those countries along its border, even a war-damaged Russia would be capable of exerting predominant military, political, and economic influence. The liberation of the Eastern European countries by the Soviet Army would make it all but impossible to prevent Soviet domination. American officials saw the whole area to be within the Russian postwar economic and military orbit. 1 Yet this recognition of the Soviet Union's ability to exercise predominant influence in Eastern Europe did not resolve American uncertainties about the particular characteristics of postwar Soviet foreign policy. What did all these Soviet demands for security and friendly governments in fact mean? Secretary Hull did not know whether the Soviet Union would follow a policy of diplomatic isolation after lopping off certain territories along its borders in Eastern Europe or decide that her own best interests would be served by following a policy of international cooperation. 2 Ambassador Standley detected two parallel tendencies in 1
Memorandum of a Conversation, by Under Secretary Welles, with British Foreign Minister Eden, March 16, 1943, FR, 1943, 111, pp. 2324; Notes of a meeting between President Roosevelt and British Foreign Minister Eden, March 15, 1943, by Harry Hopkins, in R. Sherwood, Roosevelt and Hopkins, pp. 708-709; Chief of the Military Government Branch to the Chief of the Civil Affairs Division, " T h e Bases of Soviet Foreign Policy, OSS Report No. 1109," September 11, 1943, National Archives, Records of the War Department, Civil Affairs Division, Record Group 165, File CAD 014 Russia (9-1-43) (1); Special Security Subcommittee of the Advisory Committee on Postwar Foreign Policy Meeting, October 13, 1943, S-Und-70, Harley Notter Papers. 2 Secretary Hull expressed these views when he asked Foreign Minister Eden if Eden saw any alternative course the Soviet Union might pursue. "Mr. Eden replied by saying that there was no alternative course that he knew of." Interestingly, neither Hull nor Eden mentioned the possibility of Soviet expansion into Eastern or Western Europe. Memorandum of a Conversation, by Secretary Hull, March 15, 1943. FR· !943. m . P- »«·
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POSTWAR PLANS AND EXPECTATIONS
Soviet foreign policy. The military in the Soviet Union seemed to favor a policy of voluntary and proud isolation whereas the civilian leaders were pressing for postwar international cooperation. 3 An analysis by the Office of Strategic Services also described two possible Soviet policies: either a "military-imperialistic" policy of expansion into Eastern Europe and possibly farther or a "political" policy of Soviet control up to the 1941 border but not beyond.* Those in the government who worried that the Soviet Union intended to expand its influence into Eastern Europe and perhaps farther could find indications of such intentions in Soviet wartime policies and regularly sought to warn others of this possibility. After delineating SovietAmerican differences over Lend Lease, the failure of the governments to agree on joint war plans, and continuing Russian secrecy, the Intelligence Division of the Department of the Army concluded: "Future Russian policy will remain opportunistic. . . . In any case, they will not furnish more than a bare minimum of information. Independent action, imperialistic expansion, and communistic infiltration must always be expected from the U.S.S.R."5 William Bullitt, former United States Ambassador to the Soviet Union, warned President Roosevelt that the ground was being prepared by familiar Soviet tactics for the achievement of further Soviet war aims: the establishment of a Soviet government in Rumania and Yugoslavia, the inclusion of Bulgaria into the Soviet Union by methods analogous to those used in the Baltic States in 1940, and the reduction of Poland to a small Soviet Republic. Bullitt 3 Ambassador Standley to the Secretary of State, March 10, 1943, FR, 1943, HI, p. 509. * Office of Strategic Services Report, May 19, 1943, National Archives, Record Group 226, Number 35339 [hereafter cited as OSS Report Number . . .]. 5 Memorandum for the Chief of Staff by the Assistant Chief of Staff (G-2), General Raymond Lee, "Soviet-United States Relations," February 12, 1943, Hopkins Papers. Copy also found in Map Room File, Roosevelt Papers.
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admitted that Stalin placed the welfare of the Soviet state first and would tread softly in extending communism, but then concluded: "there is no evidence that he has aban doned either the policy of extending communism or the policy of controlling all foreign communist parties." 6 In the summer of 1943, some members of the Division of European Affairs of the State Department expressed doubt that the sole motivation for the creation of a Free German committee in the Soviet Union was to further psychologi cal warfare. They viewed this action as part of a concerted Soviet plan to dominate Eastern Europe and connected with the establishment of the Union of Polish Patriots. 7 Then, in the fall, these same officials collected evidence to prove that the dissolution of the Comintern had not changed Soviet intentions to promote Soviet influence in Eastern Europe. They contended that the Soviet govern ment had substituted the Pan-Slav movement and support for partisan groups operating in the Balkans, especially Tito's Yugoslav Partisans, to gain substantial political con trol, if not complete control, over these countries. 8 Why these men were predisposed to interpret Soviet ac tions as indications of an expansionist Soviet postwar for eign policy is unclear. Some presumably thought that once Germany collapsed and a power vacuum was created in Europe, the Soviet Union would naturally expand to fill it. Others may have assumed that as soon as Russia became powerful enough Stalin would revive the imperialist forβ Letter from William Bullitt to President Roosevelt, January 29, 1943, Hull Papers. " Secretary of State Hull to Ambassador Standley, July 30, 1943, FR, 1943, in, p. 557. T h e Free German Committee was established in the Soviet Union on July 12, 1943 and was composed entirely of Commu nists. 8 Memorandum by the Division of European Affairs, " T h e Moscow All-Slav Committee," October 29, 1943, Records of Dept. of State, Decimal File 860F.01/512½. T h e Comintern was the T h i r d (Commu nist) International, founded by the Bolsheviks in Moscow in March !9!9·
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eign policy objectives of Czarist Russia. Probably also influential were the anti-Bolshevik attitudes which had developed in the United States during the 1930^. Throughout the war, the press leveled attacks against the Department of State, and particularly Secretary Hull, for its antiRussian biases.9 Regularly, Joseph Davies expressed to President Roosevelt his concern over the existence of anti-Soviet opinion in the United States and encouraged the President to undertake efforts to change the minds of the public and his bureaucracy about the Soviet Union. 10 Whatever the cause, during these years some officials in the American government were taking over the pre-1941 German arguments about the Communists and their expansionist tendencies. Still, the opposite opinion also circulated within the government. Those who considered that the Soviet Union might undertake a policy of cooperation after the war sought to keep this possibility in the minds of other officials and collected evidence to support their conception of postwar Soviet policy. Ray Atherton of the Division of European Affairs argued in December 1942 that "there is at least the possibility that the Soviet Union will abandon its previous basic hostility toward the non-Soviet states and be disposed, in its own interest as a national state to cooperate on a realistic and sincere basis in plans for a peaceful and orderly Europe." 11 Atherton added that of critical importance was the need to assure the Soviet government that no cordon sanitaire of buffer states in Eastern Europe was being erected to isolate the Soviet Union from Europe. 12 9
See Cordell Hull, Memoirs, 1, pp. 1253, 1255; Breckinridge Long Diary, Library of Congress; and Henry L. Stimson Diary, Henr> L. Stimson Papers, Yale University Library, passim. 10 See Joseph E. Davies Papers and Diary, Library of Congress. 11 Memorandum by the Acting Chief of the Division of European Affairs, Ray Atherton, December 9, 1942, FR, 1942, in, p. 205. 12 Ibid.
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Ambassador Standley also refused to admit that a clearcut expansionist Soviet foreign policy existed and tried to show that Stalin placed the welfare of the Soviet state above imperialist goals. He argued that the Soviet government would tread very slowly in spreading communism in Europe. Standley suggested that the creation of the Free German committee and the Union of Polish Patriots in the Soviet Union did not portend support for world revolution. Instead, such actions represented Soviet efforts to promote its goals of insuring its security, maintaining a completely independent position at least until the end of the war, and playing a leading role in Eastern Europe. He stated, "in this connection [Soviet actions were] probably not unrelated to the independence of British and American policy toward France and Italy." 13 The uncertainties which existed about the specific characteristics of postwar Soviet foreign policy were summarized in a report of the Office of Strategic Services: Since the Soviet Union urges the Allies to invade the continent with a large military force, a force which could hardly fail to increase the influence of the Western powers on the continent, and since the Soviet Union at the same time appeals for collaboration, it would hardly seem that the Soviet government is irrevocably committed to non-collaboration and to an attempt to extend its influence over all of Europe. . . . At the present time the Soviet government is carefully avoiding, or postponing, the choice between cooperation and independent action, pending a clearer indication by the Allies of their own intentions. Meanwhile the Russians have forged tools which can be employed in the pursuit of Russian national purposes in either eventuality. Such policies as the stimulation of partisan move13
Ambassador Standley to the Secretary of State, July 23, 1943, FR, 1943, in, p. 554. See also Ambassador Standley to the Secretary of State, September 1, 1943, FR, 1943, m, pp. 571-74·
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PLANS AND EXPECTATIONS
ments, the fostering of Pan Slavism, and the sponsorship of pro-Soviet committees for certain enemy and occupied countries can be represented and used merely as war measures, or can easily be expanded to serve the pur poses of extending Russian influence in Eastern and Central Europe, or perhaps even of "sovietizing" parts of these regions, would the alternative of collaboration fail to materialize. 14 In their recommendation to the Secretary of State prior to his trip to Moscow in October 1943, the Policy Group of the Advisory Committee on Postwar Foreign Policy con cluded: " T h e Soviet Government has not clearly commit ted itself either by its actions or by the pronouncements of its leaders and of its controlled press to follow one con sistent line of foreign policy." 15 The only things that seemed clear to American officials were that the Soviet government would demand restoration of its 1941 western boundary and oppose the formation of any Eastern European bloc of states not dominated by the Soviet Union. 1 6 Further, the Soviet Union intended to exer cise predominant economic and political influence in these Eastern European countries in all probability through the establishment of friendly governments. Ambassador Biddle saw Soviet support for strong nationalistic groups in East« " T h e Bases of Soviet Foreign Policy, OSS Report ι109," Septem ber 11, 1943. is "Present Trends in Soviet Foreign Policy," September 18, 1943, Policy Group Document PG-4, Harley Notter Papers. ie T h e views of President Roosevelt at this time were still very vague. During his conversations with British Foreign Minister Eden in March 1943, Roosevelt seemed most anxious to discover British ideas about Soviet intentions. However, he never articulated his own views. See FR, 1943, in, pp. 13-17, 25. According to James MacGregor Burns, Roosevelt: The Soldier of Freedom (New York: Harcourt Brace Jovanovich, Inc., 1970), p. 366, "Roosevelt was not uninformed, naive, or incredulous in facing these questions." [e.g., What was Stalin's postwar design?] " H e was prepared to bargain and demand, resist and com promise, like any good horse trader, in dealing with Moscow's de mands."
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ern Europe as clearly being aimed at achieving the formation of governments "sympathetic" to Soviet interests.17 Officials in the Division of Far Eastern Affairs of the State Department described a consistent tendency in Soviet policy to promote its national security through the erection of ideologically sympathetic governments along its border: "The Soviet Government has a deep organic suspicion of any and all non-Soviet governments. This suspicion gives rise to determined efforts to bring neighboring governments and peoples into Soviet Russia's orbit, to exercise control over them, and to influence and gain control of radical social and economic movements." 18 The actual degree of Soviet influence to be exerted through the creation of such friendly governments remained, however, uncertain. Whether "friendly" meant "Communist" governments was not yet clear. According to a study of the Joint Intelligence Committee of the Joint Chiefs of Staff: We do not feel that evidence concerning Soviet intentions in Europe at this time is conclusive. Such evidence as exists, notably the aggressive action of the summer of 1943, suggests that Stalin is still determined to drive the Germans from Soviet soil and to destroy by military means Axis dominance of Europe. By Soviet soil, the U.S.S.R. means her boundaries as they existed in June 1941. There is evidence that the U.S.S.R. would insist on political hegemony in all European countries east of Germany and the Adriatic Sea. There is also evidence indicating that she expects to be able to influence in degree Germany and the Western European countries, though the degree of such influence is not clear. All of these interests are subject to considerations of realism.111 17 Ambassador Biddle to the Secretary of State, March 18, 1943, Records of Dept. of State, Decimal File 851.00/3085. is Memorandum by the Division of Far Eastern Affairs, August 19, 1943, Hull Papers. is Adviser on Political Relations to the Secretary of State, September 24, 1943, Forwarding United States Joint Intelligence Committee
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POSTWAR PLANS AND EXPECTATIONS
Nevertheless, whether the Soviet Union pursued an aggressive or cooperative policy at the end of the war, it was obvious that the United States would be forced to contend with Soviet predominant power in Eastern Europe. Ill While Soviet goals and interests in Eastern Europe still appeared to American officials to be vague and uncertain, United States goals and interests in this part of the world were even less defined. Differences did seem to exist, however, between Soviet intentions to establish predominant influence in Eastern Europe and United States desires to implement the Atlantic Charter principles which opposed the drawing of frontiers or the imposition of governments which did not accord with the wishes of the peoples concerned. The task of planning postwar United States foreign policies and confronting such possible conflicts was delegated in 1942 to the subcommittees of the Advisory Committee on Postwar Foreign Policy.20 As they proceeded to study entitled: "USSR Situation, Capabilities and Intentions (as of 20 August 1943)," Hull Papers. 20 T h e composition of these subcommittees was varied: officers of the State Department including the Secretary of State met with prominent persons outside of the government, e.g., Norman H. Davis, President of the Council on Foreign Relations, H. F. Armstrong, editor of Foreign Affairs, Isaiah Bowman, President of Johns Hopkins University, and in some committees with representatives of the Departments of War and Navy. T h e Political subcommittee aimed to analyze all international political problems likely to require American attention. T h e Territorial subcommittee emphasized research on different frontier disputes, and the subcommittee on Security Problems examined international security problems in relation to the former enemy states. T h e subcommittee on Problems of European Organization sought to discover the feasibility of different economic and political regional organizations in Europe. By their organization and specific instructions these committees were, until the end of 1943, not involved in the everyday policy deci-
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recommend ideal policies, the definition of United States goals and concerns in Eastern Europe became somewhat clearer, but as a result potential conflict between Soviet and American desires was even more apparent. During the first two years of the subcommittee meetings, questions relating to the postwar Soviet frontier with the states of Eastern Europe occupied a large amount of time. After debating the various principles upon which the drawing of postwar boundaries should be based, the subcommittees recommended: establishment of the Polish-Soviet frontier along the pre-1939 Riga frontier, with the possibility of a retreat to the Curzon Line; postponement of disposition of the Baltic States; acceptance of Soviet annexation of the territory of Bessarabia; and opposition to Soviet expansion to the Carpathians through incorporation of Bukovina.21 The question of the postwar Polish-Soviet frontier produced the most debate. Justifications amassed in support of a boundary along the Curzon Line included: the Curzon Line was the "legitimate" boundary, determined at Versailles on the basis of international agreement; the Curzon Line approached a frontier based on ethnic considerations; the Curzon Line had been accepted by the United States in 1919 as the minimum boundary between Poland and the Soviet Union; and such an adjustment would make for a sions of the government. T h e recommendations of these subcommittees were never sent directly to President Roosevelt, but he was kept informed of the progress of the committees through conversations with Hull and Welles. Prior to the Moscow Foreign Ministers conference in the fall of 1943, the recommendations of these subcommittees were collected in the form of Policy Summaries and Policy Group documents for possible use by Hull during his meetings. For a description of the composition and tasks of these subcommittees, see U.S. Department of State, Postwar Foreign Policy Preparation, 19)9-1945, Notes of the meetings of these subcommittees can be found in the Records of the Department of State, National Archives, Harley Notter Papers. 21 Political Subcommittee Meeting, November 28, 1942 (P-35); Policy Summaries, May 20, 1943 (H-6), and June 15, 1943 (H-14).
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permanently peaceful situation. 22 Despite the fact that the Riga frontier of 1921 was drawn as a result of the SovietPolish war, other principles justified its selection as the recommended solution: the Riga Line would mean a return to the frontiers existing prior to the outbreak of World War II; this frontier had gained international sanction through recognition by other powers during the interwar period; and the Riga frontier would mean a minimum change of frontiers as a result of war.23 The Soviet demand for a border close to that of 1941 was ultimately rejected because it was established as a result of violence and in opposition to the principles of the Atlantic Charter. 24 The principle of minimum change in territories, chosen for the Polish-Soviet border, was then applied in opposition to postwar Soviet incorporation of Bukovina. The desire to keep the Russians from the Carpathians, arising from a fear that if Russia reached the Czech frontier all other states in Eastern Europe might be in danger, supported application of this principle. According to Adolf Berle, if the Soviet Union accepted the establishment of a permanent peace, which precluded the possibility of future aggression, "what could she possibly want of a Carpathian frontier?"25 However, in the cases of the Baltic States and Bessarabia, other conditions made implementation of the principle of minimum change unsatisfactory. No solution but control by the Soviet Union seemed likely in the case of Bessarabia. With regard to the Baltic States, to apply the 22 T e r r i t o r i a l S u b c o m m i t t e e M e e t i n g s , J u n e 20, 1942 (T-11).
13, 1942
(T-10), J u n e
23 T e r r i t o r i a l S u b c o m m i t t e e M e e t i n g , J u n e 20, 1942. 2i Ibid., Political S u b c o m m i t t e e M e e t i n g s , J u l y 11, 1942 (P-18), N o v e m b e r 28, 1942. I n t h e discussion of this s u b c o m m i t t e e , t h e C u r z o n L i n e was e q u a t e d w i t h t h e l i n e d r a w n in t h e Nazi-Soviet Pact of 1939, a l t h o u g h it was slightly to t h e East, a n d was t h e r e f o r e described as a b o u n d a r y d r a w n as a c o n s e q u e n c e of aggression. 25 T e r r i t o r i a l S u b c o m m i t t e e M e e t i n g , J u n e 27, 1942 (T-12); T e r r i t o r i a l S u b c o m m i t t e e D o c u m e n t , J u l y 10, 1942 (Doc-15), A n n e x I I ; Policy S u m m a r i e s , J u n e 15, 1943 (H-14).
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principle of minimum change, and thereby acquiesce in Soviet incorporation of these countries, was rejected because of a concern for the effect a departure from the principles of the Atlantic Charter would have on other small states.26 Instead of providing a criterion upon which territorial disputes would be resolved, the principle of minimum change of prewar frontiers served to justify support for recommendations bearing out the initial sympathies of the committee members. These proposals conveniently ignored the fact that the Riga frontier was also drawn as a result of force. Further, the recommendations appeared to disregard Soviet goals and intentions in Eastern Europe in all except Bessarabia. State Department officials and members of these committees acknowledged the unreality of many of these recommendations. The Territorial subcommittee generally agreed in June 1942 that Russia would not give up territory occupied east of the Curzon Line. Under Secretary Welles admitted in November 1942 that the Soviet Union was determined to incorporate the Baltic States and gain final control over eastern Poland. 27 The Political subcommittee noted: "this government had no vital interest in opposing their [Baltic States] union with the USSR. In the case of Poland, it was thought that while a compromise would be desirable, a line fairly close to that claimed by the Soviet Union probably would have to be accepted."28 Yet, their ideal recommendations upholding the Atlantic Charter principles were not amended. The Political and Territorial subcommittees also discussed the desirability of establishing some kind of postwar Eastern European federation. Members of both sub2« Political Subcommittee Document, "Official Views on Soviet Postw a r Policy," October 4, 1943 (P-iggb); Policy Summaries, "Foreign Relations: Soviet-Baltic Relations," July 15, 1943 (H-19). 27 Territorial Subcommittee Meeting, June 13, 1942; Political Subcommittee Meeting, November 28, 1942. 28 Policy Summaries, "Soviet Union—Territorial Problems: Western Frontier of the Soviet Union," July 15, 1942 (H-22).
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EXPECTATIONS
committees agreed immediately to support such groupings in order to promote peace, stability, and economic welfare; to serve as a counterpoise between Germany and Russia; and to prevent the smaller states from joining in "power politics" alliances with the great powers.29 The Political subcommittee, however, never considered United States, Soviet, or British interests or intentions in Eastern Europe. The members noted the British desire to see the creation of such federations while at the same time they dismissed Soviet interests with a statement that if the Soviet Union were not intent upon an imperialistic foreign policy, then the proposed confederation would not be a menace to the Soviet Union. 30 In contrast, members of the Territorial subcommittee sought to decipher Soviet intentions in Eastern Europe. They understood that the Soviet Union was suspicious of any groupings which might lead to the establishment of a cordon sanitaire around the Soviet Union and would oppose any federations over which they did not exercise predominant influence. Further, they recognized that American influence in this part of the world after the war would be minimal given the Red Army's occupation of Eastern Europe and the almost inevitable outbreak of revolutions. Nevertheless, they continued to recommend the formation of an Eastern European union as the preferred means to re-establish peace after the war.31 Finally, the Political and Territorial subcommittees considered the complex problems involved in the return of the exiled European governments after the war. Members of these subcommittees initially recoiled from the British commitments to support the restoration of these governments since they contradicted American support for the 29 Political 1942 ( P - i i ) . May 9, 1942 3 0 Political
S u b c o m m i t t e e M e e t i n g s , May 9, 1942 (P-10), May 16, M a y 30, 1942 (P-13); T e r r i t o r i a l S u b c o m m i t t e e M e e t i n g , (T-7). S u b c o m m i t t e e M e e t i n g s , M a y 30, 1942, D e c e m b e r 12, 1942
(P-37)3 1 Territorial Subcommittee Meetings, May 9, 1942, June 6, 1942 (T-9), October 9, 1942 (T-23).
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self-determination of the peoples in liberated Europe. They opposed British efforts to reinstate a balance of power in Europe and division of the continent into spheres of influence.32 Yet ambiguity existed as to the conditions inside the occupied countries and correct estimates of the strength and nature of the political forces were impossible. The Polish government-in-exile in London was described as "much more liberal" than the pre-1939 regime, but just because it contained representatives from all political factions except the extreme Left did not mean that it represented the people of Poland. 33 In the end, on the basis of practical military and political considerations, the subcommittees recommended United States support for the return of these governments if they promised to conform to the strategy and principles of the United Nations and expressed their commitment to the holding of free elections.34 These subcommittees, however, never discussed their recommendations in connection with the Soviet intention to establish friendly governments in Eastern Europe. Of what importance were these discussions and ideal recommendations for postwar frontiers in Eastern Europe, the creation of federations, and the promotion of free elections? The recommendations did not simply become the tenets of American foreign policy, although for the most part these goals constituted the hopes of American officials throughout the war. What is most interesting about these discussions is that they revealed the early thinking on these issues among State Department officials and those men drawn from outside government with special expertise 32 Political S u b c o m m i t t e e M e e t i n g , D e c e m b e r 12, 1942 (P-37). T h e E u r o p e a n Division was also o n r e c o r d in o p p o s i t i o n to any U n i t e d States policy w h i c h w o u l d i m p o s e a g o v e r n m e n t - i n - e x i l e u p o n t h e p e o p l e of o c c u p i e d c o u n t r i e s . See M e m o r a n d u m by R a y A t h e r t o n t o t h e Secretary of State, D e c e m b e r 9, 1942, FR, 1942, m , p . 207. 33 T e r r i t o r i a l S u b c o m m i t t e e D o c u m e n t , F e b r u a r y 18, 1943 ( T - D o c 242). 34 T e r r i t o r i a l S u b c o m m i t t e e M e e t i n g , M a r c h 19, 1943 (T-44); T e r r i t o r i a l S u b c o m m i t t e e D o c u m e n t , M a r c h ig, 1943 ( T - D o c 288).
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on these countries, and the way in which they sought to address the problems of postwar United States policy toward Eastern Europe. While they recognized that Soviet territorial demands conflicted with the American and British policy of refusing to recognize territorial changes brought about by the use of force, the subcommittees' members never seemed very worried about either the possibility or consequences of such conflict with the Soviet Union. They consistently failed to relate perceptions of Soviet goals in Eastern Europe with their ideal recommendations. These men did not yet have a clear idea of what postwar Eastern Europe would look like, politically, territorially, or economically. They hoped that the Atlantic Charter principles would be implemented, but they came to no definition of possible alternative futures for Eastern Europe. Implicitly, at least, they seemed ready to await Soviet initiatives and then respond. They never determined what would and would not be acceptable in terms of Soviet initiatives. They certainly never considered the promotion by the United States of its own solution for the future of Eastern Europe whether it be United States enforcement of the holding of free elections or United States imposition of nonaligned or buffer states in this region of the world.
IV This failure to define more clearly United States goals or interests in Eastern Europe combined with an apparent willingness to await Soviet actions resulted in large part from their recognition of the real limitations placed upon the use of military force by the United States to achieve even implementation of the Atlantic Charter principles in Eastern Europe. The re-establishment of a military balance in Europe by the United States would have been very difficult to effect, but more importantly it never appeared as an
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American war aim. 35 Roosevelt's hope that the Soviet Union would conduct new plebiscites in the Baltic States before their incorporation at the end of the war did not include a willingness on Roosevelt's part to use military force to keep Russia out of the Baltic States. 36 When Roose velt discussed plans for American occupation forces after the war prior to his meeting with Stalin in the fall of 1943, he specifically stated that "we do not want to use our troops in settling local squabbles in such a place as Yugoslavia."37 Members of the Territorial subcommittee never raised the possibility of using American military force to achieve any United States goals in Eastern Europe. They agreed that the United States would not oppose by force Soviet reacquisition of territory up to the 1941 border. When de scribing one possible course of action available to the United States with respect to Eastern Europe, i.e., contin ued opposition to Russian territorial claims, they added: "by all means short of war." Further, they concluded that if a state of violence should prevail and if the Soviet Union should pursue a policy of promoting revolutions in Eastern Europe, the United States would probably refrain from sending troops. 38 Despite various statements that the inter3 5 Maurice Matloff, United States Army in World War II, The War Department, Strategic Planning for Coalition Warfare, 1943-1944, Office of the Chief of Military History, Department of the Army (Washington, D.C.: U.S. Government Printing Office, 1959), p. 40. 3β Meeting between President Roosevelt and British Foreign Minis ter Eden, March 15, 1943, R. Sherwood, Roosevelt and Hopkins, p. 709· 37 Minutes of a Meeting, President Roosevelt and the Joint Chiefs o£ Staff, November 19, 1943, FR, 1943, Tehran Vol., p. 256. 38 Territorial Subcommittee Meetings, June 6, 194a, October 9, 1942. During the October meeting Assistant Secretary Berle stated that the greatest single mistake of American policy after World War I was the effort to quell the Russian Revolution. " H e did not consider that we would attempt to restore old regimes a second time." One member of this subcommittee, Leo Pasvolsky, did however feel that the United States could not remain passive if the Soviet Union set up regimes in
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est of the United States was "becoming more and more direct" in Eastern Europe, a great deal of doubt seemed to exist as to whether the American government would even accept postwar collective security responsibilities in Eastern Europe, much less undertake military action to achieve its political goals.39 Even if some sympathy did exist for the use of military forces to bargain for political goals, military strategy decisions taken in 1943 condemned the United States government to having no military forces in Eastern Europe during or after the war. Plans for the establishment of a second front in Western Europe instead of the Balkans, as the British government had proposed, meant that no United States forces would be employed in Eastern Europe on an operational basis.40 According to Secretary of War Stimson, "it seems proper that we do nothing which might involve the commitment of United States forces in the Balkans, a non-decisive theater." 41 In answer to British Foreign Minister Eden's question regarding the location of United States troops at the end of the war, Roosevelt stated that troops would, of course, be in Germany and Italy, but nowhere else.42 President Roosevelt confided to Secretary Stimson: "the only conditions in which he could conceive of it being necessary or proper to put troops into the Balkans would be in the case that the Germans had been Eastern Europe which in effect meant extension of the Soviet frontier west of the 1941 border. Mr. Pasvolsky did not give any reasons for this position. See also Policy Summaries, July 15, 1943 (H-22). 3 ^ Political Subcommittee Meeting, February 6, 1943 (P-44)· 40 For a detailed discussion of the various considerations in the strategy debates between the British and United States governments, see M. Matloff, Strategic Planning for Coalition Warfare, 1943-11)44, passim. 41 Memorandum by Secretary of War Stimson to President Roosevelt, March 8, 1944, National Archives, Records of the War Department, Operations Division, Record Group 165, File OPD 336 Security 11. 42 Meeting between Roosevelt and Eden, March 22, 1943, R. Sherwood, Roosevelt and Hopkins, p. 716.
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compelled by the Russians to withdraw all their troops from the Balkans and the introduction of some second line American troops to maintain order might be necessary."43 The determination of American officials to avoid military involvement in the Balkans led to the additional decision that the United States would not participate in the administration of civil affairs in Eastern Europe. The Joint Chiefs of Staff maintained that there was no military justification for the diversion of military forces to participate in civil affairs administration in the Balkans. In a memorandum to General Dwight D. Eisenhower in North Africa, the Civil Affairs Division of the War Department declared that "the post war burden of reconstituting the Balkans [was] not a natural task of the United States."44 United States military activities in the Balkans would be restricted to limited assistance in the distribution of relief supplies.45 In reply to William Bullitt's suggestion in the summer of 1943 that the United States create a British-American military line in Eastern Europe in opposition to the Soviet Union, the European Division asked: Where? Presumably he means with the view to re-establishing boundaries as of September 1, 1939 in Eastern Europe. Our friends in the War Department tell us that such an attempt would be sheer military fantasy; that the United States and the United Kingdom are not in a position successfully to oppose the Soviet Union in Eastern Europe if Germany is defeated. In short, the only 43 Stimson Diary, November 4, 1943, Vol. 45, Henry L. Stimson Papers, Yale University Library. ** Memorandum from Major General T. Handy to Commanding General of U.S. Forces in North Africa (Eisenhower), March 7, 1944, National Archives, Records of the War Department, Civil Affairs Division, Record Group 165, File CAD 014 Balkans (1) 9-15-43. 45 Memorandum by Secretary of War Stimson to President Roosevelt, March 8, 1944; Memorandum for the Director of the Civil Affairs Division, February 11, 1944, National Archives, Records of the War Department, Civil Affairs Division, Record Group 165, File CAD 014 Balkans (1) 9-15-43.
19
POSTWAR
PLANS AND EXPECTATIONS
way Mr. Bullitt's suggestion could actually be imple mented would be by means of a coalition between the United States, United Kingdom, and the German mili tary forces.46 United States officials thereby recognized that military ac tions to promote American political goals or to oppose Soviet demands in Eastern Europe would be severely lim ited both by predispositions against the use of military force and by the existence of no United States forces in this part of the world. V Not all members of the subcommittees were content, how ever, to sit idly back and await Soviet initiatives in East ern Europe. Isaiah Bowman, President of Johns Hopkins University, became most concerned over the real possibility of conflict between the Soviet and American governments over Eastern European questions. Consequently, he pro posed that the United States abandon its policy of post poning all territorial and political settlements during the war. Bowman suggested that the United States immedi ately undertake to resolve the outstanding differences be tween the Soviet and American governments. According to Bowman: It will be useful in our further negotiations with Rus sia to look at Soviet relations primarily from the stand point of Russian interests, not our interest alone, or the interest of France in particular, or the theoretical and practical interest we may have collectively in a world organization for peace. It is only too natural for us, as for Great Britain, to assume falsely that Russia thinks in our terms and always in our interest. Russia has need, 4β Memorandum from the European Division to the Secretar> of State, August 10, 1943, Records of Dept. of State, Decimal File 840.50/ 2521.
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first, for a western border strengthened by the tangible additions that improve Russia's position militarily. Without adjustments on that border she will neither disarm, nor guarantee postwar boundaries, nor enter a general security system. . . . I would begin by serving Soviet interests on the assumption that if we can not force her either now or later to our desired course of action, or stop her if she resorts to force at Petsamo, or on the Baltic shore, or in Bessarabia, we must come to terms with her and terms will be lighter now than later. I would begin by agreeing with her on her western border and make the best terms possible. The assumptions on which this advice is based are known to all. We will not fight Russia for an abstract principle. We will not fight to stop her on the Riga line in the interest of Poland. We will not fight her to give Finland the port of Petsamo. If we are unwilling to fight for these objectives we have left only two alternative courses of action: (i) hold aloof from any settlement with her and disavow her agreements with border states, thus increasing our own and Russia's suspicion and fear; or (2) join our powers of persuasion with those of Great Britain to keep Russia to a moderate course of action on the west.47 During the meeting of the Subcommittee on Security Problems which approved his recommendation for immediate settlement of outstanding Soviet-American differences, Bowman concluded: "although such a policy might be called appeasement the terms we could get would be lighter now than later." 48 4" Memorandum on Russia, prepared by Isaiah Bowman for the Political Subcommittee, March 6, 1943. Presented to the Subcommittee on Security Problems, March 12, 1943. Copy sent to Secretary of State Hull by Under Secretary Welles, March 9, 1943. Hull Papers. 48 Subcommittee on Security Problems Meeting, March 12, 1943 (S-31). Interestingly, this was the one subcommittee of the Advisory Committee on Postwar Planning which had no voting members from
8l
POSTWAR
PLANS AND EXPECTATIONS
This suggestion for a change in the United States policy of postponement of territorial and political settlements re ceived support from other government officials. William Bullitt, for one, argued that the United States possessed its greatest influence on Stalin during the war and suggested that the threat of United States withdrawal of forces to the war in the Pacific be used to gain Stalin's agreement to the establishment of democratic governments in Europe. 4 9 An other former Ambassador to the Soviet Union, Joseph Davies, also advocated immediate settlement, but for the opposite reasons: "it would be in the best interest of the United States to endeavor at this time to attempt to reach a more basic understanding with the Soviet Union and if possible to eliminate the mutual suspicions that have been prevalent in our relations for the past 25 years." 50 Davies recommended that the United States "as a practical matter" concur in the Soviet contentions that the Baltic States and eastern Poland form part of the Soviet Union. 5 1 The Research and Analysis Division of the Office of Strategic Services proposed that the United States concen trate maximum military strength in Western Europe and seek an immediate compromise with the Soviet government on outstanding differences in Eastern Europe. According to this report, the fundamental aims of the United States to insure its security, to prevent any single power from direct ing the strength of Europe, and to foster conditions of the State Department. This subcommittee did have representatives from the Departments of Navy and War. Bowman's recommendation was approved by this committee despite the committee's inclination "to discount the security basis for Soviet territorial demands since neither a defeated Germany nor the border states would constitute a threat to the security of the Soviet Union." Policy Summaries, July 22, 1943 (Η-Ϊ8). 49 William Bullitt to President Roosevelt, May 12, 1943, President's Secretary's File, Roosevelt Papers. so Memorandum of Conversation, by E. Durbrow, with Ambassador Joseph E. Davies, February 3, 1943, FR, 1943, in, p. 501. si Ibid., pp. 502-503.
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peace and freedom did not conflict with the probable minimum objectives of the Soviet Union. United States aims were, however, in sharp conflict with the maximum Russian objective of sovietization and domination of Europe. 52 This report concluded: Our own problem vis-a-vis Russia is to make a settlement on minimum terms so attractive, and a settlement on maximum terms so costly (even to Soviet forces that will be much stronger on the continent than the forces of America and Britain combined) that at least our own fundamental aims will be realized. . . . In the last analysis, the best argument for concentration in Western Europe and for an attempt at compromise with the Soviet Union, is this: The policy of compromise will produce results of great value, if it proves workable. If it breaks down, the open rivalry that then develops will be no sharper than it would have been if no compromise had been attempted, and the large Anglo-American force on the continent will be in the best possible position to deal with the situation. 53 However, such arguments for a change in American policy continually fell on deaf ears. Under Secretary Welles and members of the Division of European Affairs in the State Department acknowledged that conflict would result if the Soviet Union persisted in its territorial demands in opposition to the Atlantic Charter principles. These officials nevertheless believed that creation of an international 52 Special Assistant to t h e D i r e c t o r of R e s e a r c h a n d Analysis, Office of Strategic Services, to M a j o r G e n e r a l H i l d r i n g of Civil Affairs Division, S e p t e m b e r 17, 1943, Office of Strategic Services R e p o r t , "Strategy a n d Policy: C a n A m e r i c a a n d R u s s i a C o o p e r a t e ? A u g u s t 20, 1943"
(author not named, described as "eminent authority on Russian affairs"), Records of the War Department, Civil Affairs Division, Record Group 165, File CAD 388 (9-17-43) U)53 Ibid.
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POSTWAR PLANS AND EXPECTATIONS
organization would provide the means to insure postwar Soviet-American cooperation and implementation of the Atlantic Charter principles. Thus, State Department officials blocked Bowman's suggestion and his proposal apparently never even reached the President. These officials assumed that Soviet territorial demands in Eastern Europe grew out of a fear held by the Soviet government that the United States would retreat into isolation after the war and leave the Soviet Union alone to contend with Germany. They concluded that doubts as to the sincerity of Anglo-American friendship had provoked Soviet initiatives to seek its security through the establishment of predominant influence in Eastern Europe. 54 The solution to the problem of potential conflict between the United States and the Soviet Union over Eastern Europe then seemed simple. Upon the establishment of a collective security organization with United States participation, cooperation between the United States and the Soviet Union would be assured; the Soviet Union would no longer need to expand territorially to insure its security or use Communist centers to create internal dissension abroad. The Soviet Union would therefore have no reason to oppose implementation of the Atlantic Charter principles in Eastern Europe and no incentive to penetrate deeply into the politics of Western Europe. 55 According to Elbridge Durbrow of the European Division: if a workable plan of collective security was set up in Europe and throughout the world the Soviet Union would not have any fears of attack from the west and therefore would not have any need to obtain strategic areas on its western frontiers and that since the Soviet 5* Political Subcommittee Meetings, November 28, 1942, February 6, 1943 (P-44), February 20, 1943 (P-45); Political Subcommittee Document, September 23, 1943. 55 Political Subcommittee Meeting, November 28, 1942; Policy Group Document, September 23, 1943 (PG-14); Special Security Subcommittee Meeting, October 13, 1943 (S-Und-70).
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POSTWAR PLANS AND EXPECTATIONS
Union had no reasonable right to demand additional territory per se, it might be persuaded to drop its claims to these areas of eastern Europe. 56 A summary statement of the Advisory Committee on Postwar Foreign Policy predicted: If the Soviet Union comes to an agreement with Great Britain and the United States for participation in a general system of collective security, it would be more likely to respect the independence of East European nations and to permit the existence of normal relations between them and other powers. If, on the other hand, no general security system is established and Europe is divided into spheres of influence, the Soviet Union probably would claim the whole "middle zone" as its sphere and would insist on more complete, perhaps exclusive, political and economic domination over it.57 Specifically, Welles proposed that a Congressional Resolution supporting United States participation in an international organization after the war was required to assuage Soviet doubts about United States intentions to cooperate in the establishment of international peace and security.58 State Department officials were attracted to this policy of alleviating potential conflict between the United States and the Soviet Union over Eastern Europe through the formation of an international organization for other reasons as well. Reports of American public opinion indicated almost no support for positive United States foreign policies. Spe56 M e m o r a n d u m of a C o n v e r s a t i o n , by E. D u r b r o w , F e b r u a r y 3, 1943, FR, 1943, H I , p . 503. 57 Policy G r o u p D o c u m e n t , "Soviet A t t i t u d e s o n R e g i o n a l O r g a n i z a t i o n , " S e p t e m b e r 23, 1943. 58 Political S u b c o m m i t t e e M e e t i n g , F e b r u a r y 6, 1943. I n t h e fall of 1943, at W e l l e s ' i n i t i a t i v e , t h e Congress d i d pass such a r e s o l u t i o n . See Congressional Record, 7 8 t h Cong., 1st Sess., 1943, LXXXIX, P a r t 7, a n d A r t h u r H . V a n d e n b e r g , J r . (ed.), The Private Papers of Senator Vandenberg (Boston: H o u g h t o n Mifflin C o m p a n y , 1952), p p . 38-62.
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cific suggestions for policies other than maintenance of the Four Freedoms and the Atlantic Charter principles resulted in a sharp decline in support. 59 In particular, widespread speculation during October 1943 as to Soviet intentions to control Eastern Europe led, not to pressure for a particular American policy initiative in Eastern Europe but, rather, to a decline in the public's willingness to trust the Russians.60 In contrast, reports circulating within the government as early as spring 1942 indicated that the American public was willing to assume some form of international responsibility at the end of the war. A marked growth in internationalism had arisen since the outbreak of the war, and majority approval existed for United States participation in some form of international organization. 61 In addition, President Roosevelt supported the creation of an international organization. Roosevelt revealed a special interest in the formation of a simple, flexible, international organization which would serve as a continuing conference of nations without requiring large or indefinite grants of sovereignty. Such an organization, based on a genuine association of interest among the great powers who would hold responsibility for maintenance of security, would not share the faults of previous balance-ofpower systems or the idealism of Wilson's Fourteen Points. While recognizing the possibility of a reversion to a balance-of-power system if Stalin elected not to cooperate with the Allies, Roosevelt hoped to establish, and would run the risks to establish, a world based on international cooperation through the creation of an international organization. 62 59 Division of Special Research of the Department of State, Report # 1 , July 15, 1942, Hull Papers. GO "Public Attitudes on Foreign Policy," Report #2, October 11, 1943, Records of Dept. of State, Decimal File 711.00 Public Attitudes/2. ei Oscar Cox to Harry Hopkins, Survey of Intelligence Materials, No. 12, Office of Facts and Figures, March 2, 1942, Hopkins Papers. 62 Memoranda of Conversations, Roosevelt and Molotov, May 29, 1942, FR, 1942, in, pp. 572-74; Memoranda of Conversations, Roose-
86
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VI No conflict appeared to exist during 1941-1943 between the Soviet role in Eastern Europe, as conceived by United States officials, and the role the United States itself would play in the postwar world. United States leadership in the creation of an international organization and unwillingness to pursue its political goals by military force appeared unlikely to bring the Soviet and United States governments into opposition. Potential conflict, however, did exist between Soviet demands to exercise predominant influence in Eastern Europe through the formation of friendly governments in opposition to United States insistence upon implementation of the Atlantic Charter principles. Recognition of this potential conflict could have led American officials to define their own interests in Eastern Europe, to reach a judgment as to the degree of incompatibility between Soviet and United States interests in this area of the world, and to bring United States policy into closer agreement with Soviet demands. But, in fact, no such definition of United States interests in Eastern Europe occurred, and United States policy did not change. American officials assumed that Soviet-American cooperation and implementation of the Atlantic Charter principles were not inevitably antithetical goals. The creation of a collective security organization was specifically promoted as the means of avoiding conflict between the United States and the Soviet Union over the political future of Eastern Europe. Consequently, these officials failed to consider certain questions. What interests did the United States have in the continued promotion of the Atlantic Charter principles in velt and Eden, March 1943, FR, 1943, m, pp. 1-48; and Forrest Davis, "Roosevelt's World Blueprint," Saturday Evening Post, ccxv (April 10, 1943), n o . State Department officials were informed that the views presented in the Davis' article were the official views of President Roosevelt. Interview with Elbridge Durbrow.
S7
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Eastern Europe? What if the Soviet Union persisted in its territorial and political demands in Eastern Europe despite the establishment of an international organization? What if Soviet actions in Eastern Europe were motivated by other concerns than the fear of a return to isolationism by the United States? What if the international organization were not a success? American officials discussed neither the possibility that their method of preventing conflict between the United States and the Soviet Union might fail nor the consequences of allowing this potential conflict to continue.
88
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T H E POLISH-SOVIET DISPUTE 1944
I THROUGHOUT 1944 the Polish-Soviet dispute continued to be the primary focus of United States policy toward Eastern Europe. Soviet demands for the Curzon Line frontier and attacks against the London Polish government mounted. British initiatives to compromise the differences failed to break the impasse. United States concern to uphold the principles of the Atlantic Charter by clinging to a policy of postponement of territorial settlements and noninvolvement in the internal affairs of states served only to widen Allied differences. During 1944, what were the issues in dispute and how did the British and American governments seek to resolve them? Why did United States public policy not change, given the continuing impasse between the Soviet and Polish governments and the accompanying escalation of conflict between the United States and the Soviet Union? II Because the British government had gone to war on Poland's behalf and had concluded a treaty of alliance with both the Polish and Soviet governments, the British were especially anxious to resolve the outstanding disputes between their major wartime allies. Throughout 1944, Prime Minister Churchill and Foreign Minister Eden unfailingly sought to bring about the resumption of relations between the Soviet and London Polish governments. They never totally despaired despite the hardening of positions and the unrelenting charges and countercharges.
89
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1944
During the conferences of the Foreign Ministers in Moscow and the Heads of State at Teheran in the fall of 1943, the Polish-Soviet dispute received only minimal attention. Other considerations appeared to be more important: the fostering of general goodwill and postwar Allied cooperation; the determination of Allied military strategy, and the promotion of plans for the creation of an international organization. Foreign Minister Eden could not deflect Hull from his preoccupation in Moscow with the need to establish a general set of principles (the Four Nation Declaration) which would guide consideration of postwar questions. 1 At Teheran, all Churchill could get from Stalin was a statement that the Soviet government was prepared to renew diplomatic relations with the London Poles if they would issue an order to the Polish Underground to terminate their attacks against the Partisans operating in Poland and accept the Curzon Line as their eastern frontier.2 This was sufficient, however, to encourage the British government to act in January to break the deadlock. Since Stalin had not mentioned the reorganization of the London government, the British felt the time was ripe for an agreement. Having no attachment to any specific frontiers and accepting the Soviet right to security along its border, the British government recommended Polish approval of the Curzon Line. 3 The London Polish government con1 For memoranda of the discussions at the Moscow Foreign Ministers Conference in October 1943, see FR, 1943, 1, passim. In the Four Nation Declaration, the signatories pledged to continue the war until the defeat of their enemies, expressed the desire to establish a general international organization, and agreed to postwar consultation among the United Nations with a "view to joint action on behalf of the community of nations." See H. Feis, Churchill Roosevelt Stalin, pp. 207-209. 2
Tripartite Political Meeting, December 1, 1943, FR, 1943, Tehran XoI., pp. 597-600, 604. 3 Ambassador Winant to the Secretary of State, J a n u a n n , 1944, Records of Dept. of State, Decimal File 760C.61/2145. 90
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1944
tinued to resist Soviet unilateral determination of the postwar Polish frontier. The Polish Prime Minister, Stanislaw Mikolajczyk, maintained that postponement of territorial settlements was essential if the people of Poland were to have the opportunity after the war to express their own opinion. 4 Before Churchill could mollify this opposition, Stalin increased his attacks on the London government and renewed his demand for the reorganization of the Polish Cabinet. 5 Now the Poles were adamant. Mikolajczyk argued that this demand for the removal of certain individuals represented an intolerable infringement by a foreign state in the internal affairs of the Polish government. 6 Even Churchill had problems with this renewed Soviet demand. While seeking to moderate Polish attacks against the Soviet Union and pressing for acceptance of the Curzon Line, Churchill refused to encourage the Poles to approve Soviet interference in the internal affairs of their government. Finally, Churchill succeeded in getting the Poles to agree to discuss with the Soviet Union all outstanding differences including the Polish frontier and even to approve a line of demarcation for military and civil administrative purposes along the Curzon Line east of the city of Lwow. Further, he promised Stalin that while the Poles could not publicly give in to Soviet dictated demands for the reorganization of their government the London Polish Cabinet would not include persons who would not cooperate with the Soviet Union in the event that diplomatic relations were restored.7 * Charge to the Polish government-in-exile Rudolf E. Schoenfeld to the Secretary of State, January 5, 1944, FR, 1944, HI, pp. 1216-17. 5 United States Ambassador to the Soviet Union Averell Harriman to the Secretary of State, January 11, 1944, FR, 1944, in, pp. 1218-20. Averell Harriman became the United States Ambassador in October 1943 following the resignation of Ambassador Standley. e Ambassador Winant to the Secretary of State, February 11, 1944, FR, 1944, in, pp. 1249-57. " Prime Minister Churchill to Marshal Stalin, February 20, 1944, Corr., I, p p . 201-204.
91
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1944
Despite Churchill's contention that this offer represented Polish approval of the conditions Stalin presented at Teheran, Stalin rejected it. Once again Stalin adamantly opposed dealing with the London Polish government until that government accepted the Curzon Line and dismissed those officials whom he considered to be anti-Soviet.s In despair, Churchill informed the House of Commons that the negotiations over Poland had been postponed and that the British government continued to recognize the London Polish government and oppose territorial changes which occurred through force. The British government, however, did not give up all hope for a reconciliation of the Polish and Soviet governments. The British encouraged efforts in the spring of 1944 by the Polish Underground to cooperate with and support the Red Armies as they moved into Poland. In July 1944, when Soviet forces actually crossed the Curzon Line and established the Polish Committee of National Liberation, Churchill followed up President Roosevelt's suggestion to Prime Minister Mikolajczyk that he visit Moscow and arranged an invitation from Stalin for a meeting in August.9 When these efforts by Mikolajczyk to work out an agreement with the Soviet-sponsored Polish National Committee stalled in the face of the abortive Warsaw uprising during August and September, Churchill next traveled to Moscow in October to break the impasse. Again Churchill secured Stalin's approval for another visit by Mikolajczyk to Moscow to forge a compromise agreement.10 s Marshal Stalin to Prime Minister Churchill, March 3, 1944, Corr., I, p. 207. 9 Prime Minister Churchill to Marshal Stalin, July 20, 1944, Corr., 1, p. 241; Marshal Stalin to Prime Minister Churchill, July 23, 1944, Corr., i, pp. 241-42. 10 For Ambassador Harriman's reports of these conversations in Moscow in October 1944, see FR, 1944, in, pp. 1322-25 and iv, pp. 1004-1005, 1012-15. According to a report announcing the release of Churchill's wartime papers, Churchill agreed during these Moscow conversations to Soviet domination of Poland in exchange for Stalin's support of British interests in the Far East and the Mediterranean
92
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IQ.44
Nevertheless, all these British efforts were to no avail. In Moscow, Mikolajczyk felt he had no authority to accept the Curzon Line and discussion bogged down. Upon his return to London, Mikolajczyk failed to achieve consensus within his government on any compromise proposal, and so he resigned.11 Subsequently, in January 1945, the Soviet government recognized the Polish National Committee or Lublin government which had been operating as the civil administration in Poland behind Soviet Army lines.12 The impasse between the Soviet and the London Polish governments now appeared irrevocable. Further, conflict among the Soviet, British, and American governments was now explicit as they recognized opposing Polish governments. While the issues in dispute had not changed— determination of the eastern frontier of Poland and the composition of the Polish government—the positions of the respective governments had hardened. A reconciliation of the London Polish and Soviet governments continually eluded the British despite their unending efforts. Ill Where, during all these British initiatives to resolve the Polish-Soviet dispute, was the United States government? Was the United States simply an uninterested observer? No, American officials were most concerned to restore Allied unity. Moreover, they continued to be preoccupied with the need to insure implementation of the Atlantic Charter principles and so consistently sought to forestall resolution of the difficult political and territorial questions in Eastern Europe until after the war. (New York Times, August 5, 1973). If this is true, Churchill never informed Roosevelt; and American officials continued to pursue United States aims, ignorant of British actions. 11 Ambassador Winant to the Secretary of State, November 23, 1944, FR, 1944, in, pp. 1335-36. 12 Marshal Stalin to President Roosevelt, January 1, 1945, FR, 1945, v, pp. 110-11.
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1944
During the Moscow Foreign Ministers Conference in October 1943, Secretary Hull concentrated on promoting the formation of a collective security organization as a means to prevent the establishment of postwar spheres of responsibility among the Allies. He ignored Molotov's insistence that the Four Nation Declaration permit the creation of military bases in neighboring countries and Eden's desire to resolve the Polish-Soviet dispute. In November as the Soviet Armies approached former Polish territories, the United States government failed to respond to Polish pleas for Allied, as opposed to Soviet, occupation and civil administration in Poland. The State Department simply recommended to President Roosevelt prior to his meetings with Stalin in December that "it would appear that every friendly opportunity should be taken to bring about a resumption of Polish-Soviet diplomatic relations." 13 While at Teheran, President Roosevelt did raise the Polish question and expressed his general hope that negotiations would be started for the re-establishment of relations between the Soviet and Polish governments. Then in a private conversation with Stalin, Roosevelt observed that he agreed with Stalin that the Polish state should be restored and indicated that he "would like to see the Eastern border moved further to the west and the Western border moved even to the River Oder." 14 At the same time, he 1 3 Secretary Hull to President Roosevelt, November 23, 1943, FR, Tehran, pp. 384-85. State Department officials were irritated by the Polish government's criticism of the vague principles of the Moscow Conference Declaration. They never discussed the validity of the Polish contention that if a long period of exclusive Soviet occupation ensued the "application of principles would remain but an empty wish." See Polish Ambassador Ciechanowski to the American Adviser on Political Relations J. Clement Dunn, November 17, 1943, FR, 1943, in, pp. 478-80. n Meeting between President Roosevelt and Marshal Stalin, December 1, 1943, FR, 1943, Tehran, p. 594. During his conversations with British Foreign Minister Eden in March 1943, President Roosevelt
94
THE POLISH-SOVIET DISPUTE
1944
expressed his unwillingness, because of "internal American politics," to undertake an initiative to resolve the PolishSoviet dispute, to participate in any decision on Poland at Teheran or during the coming winter, or to support pub licly any postwar political arrangements for Poland. 1 5 During these Teheran meetings, Roosevelt never ap proved any specific postwar frontier for Poland. In a meet ing with Secretary Hull and other State Department offi cials prior to the Moscow Conference, Roosevelt expressed his belief that the Polish frontier should be somewhat east of the Curzon Line and that plebiscites should take place after the shell shock of the war had subsided. 16 At Teheran, Roosevelt had not changed his mind, and he did not intend to alter the policy of the United States government in favor of the postponement of all territorial settlements until after the war.1T What he did seek to communicate to Stalin was that the frontier issue between Poland and the Soviet had agreed with Eden that the Poles should have East Prussia at the end of the war. See FR, 1943, in, p. 15. is FR, 1943, Tehran, p. 594. During this conversation, Roosevelt said "that there were in the United States from six to seven million Americans of Polish extraction, and as a practical man, he did not wish to lose their vote." Charles E. Bohlen in Witness to History i Ibid.
so Secretary of State Hull to Ambassador 1944, FR, 1944, IV, p. 825. 128
Harriman, February
9,
THE POLISH-SOVIET DISPUTE
1944
in Greece, Italy, and Poland. Resentment at the absorption of the European nations in "power politics" was widespread, and British and Russian actions were interpreted as attempts to create "spheres of influence" in opposition to the announced peace aims of the Atlantic Charter. With respect to Poland, "preponderant American opinion [was] not categorically opposed to Russian acquisition of territory in pre-1939 Poland: it [was] opposed to Russian acquisition of Polish territory without Polish consent."91 Again, these indications of public opinion served to convince State Department officials of the desirability of maintaining previous United States policy. State Department officials seemed to take particularly seriously the opinion of Polish-American voters. This also served to reinforce their opposition to any imposed or unilateral political or territorial settlements of the PolishSoviet dispute. 92 In a memorandum to Harry Hopkins, Oscar Cox stated: The Russian-Polish situation has gotten to a state where it not only is likely to make a solution on the merits impossible, but it may create domestic and political circumstances which are highly undesirable. The Polish-Americans may be able to start enough of a rumpus to swing over other groups before November of 1944.93 Later in February, reports to the State Department revealed that a strong feeling had developed among Polish officials and large elements of the American population "deeply in91 Memorandum for the President from the Secretary of State, December 30, 1944, President's Secretary's File, Stettinius Folder, Roosevelt Papers. 92 According to Elbridge Durbrow, "Roosevelt's refusal to give his agreement to accepting definitely the Curzon Line in the Winter of 1944 was strongly influenced by his concern for the Polish-American vote." Interview. 93 Memorandum for Harry Hopkins from Oscar Cox, February 7, 1944, Hopkins Papers, Folder: Growing Crisis in Poland. 129
THE POLISH-SOVIET DISPUTE
1944
terested in the Polish situation" that the United States was indifferent to Poland's fate. They had apparently interpreted statements by Secretary Hull during an off-therecord news conference as American abandonment of Poland. 94 In response, members of the Eastern European Division put strong pressure on the President to affirm the American commitment to the establishment of a strong and independent Poland. These officials insisted that the inability of the United States to guarantee any territorial settlements did not mean that the United States had disinterested itself in the larger issue of Polish independence. Consequently, President Roosevelt agreed to a statement to the Polish Ambassador Jan Ciechanowski that the United States continued to hold an interest in solving amicably the present difficulties and would do everything it "properly can within the framework of our interest in the larger issues involved."95 In June, Assistant Secretary of State Breckinridge Long commented: This Polish question is a great problem for us here. Detroit, Chicago, Buffalo etc. contain great settlements which are especially articulate in an election year. I have talked to some of their "leaders" who are reasonable and see the problem from the United States point of view but apparently they are not actual "leaders" for their Buffalo convention popped off in a nationalistic (Polish) direction instead of the American tone indicated by their "statement of principles." . . . The whole problem—not only a just settlement in Europe but a solution (or a position) satisfactory to the Poles here . . . seems difficult of satisfactory treatment— from the Polish point of view—and they may hold the si Secretary of State Hull, "Off the Record Press Conference," February 9, 1944, Pasvolsky Papers, Office File, National Archives. 95 Memorandum by the Division of Eastern European Affairs, Charles Bohlen, to Under Secretary Stettinius, February 17, 1944, Records of Dept. of State, Decimal File 760C.61/2232. 130
THE POLISH-SOVIET DISPUTE
1944
balance of power in votes in Illinois, Ohio, and New York—and Pennsylvania—though it is improbable they will control in the last two.96 Even in December 1944, after the Presidential election, State Department officials were still concerned about PolishAmerican opinion. When the State Department informed the British government that the United States intended to respond to Mikolajczyk's resignation by issuing the same statement of American policy to Mikolajczyk in November, Foreign Minister Eden objected. According to Eden, the statement that the United States government would "not oppose" any settlement by mutual agreement between the parties was too weak. He proposed instead: "The United States Government earnestly hopes" that such an agreement would be reached. He considered such a change, by strengthening the statement, would make it more useful in efforts to resolve the overall dispute. 97 In reply, Secretary of State Stettinius, James Dunn, and Charles Bohlen explained that it was dangerous to go too far in the direction of pressing for a settlement of territorial questions. To do so would expose the United States government to the charge of exerting pressure on the Poles to accept a dictated settlement. According to the memorandum of this conversation: It was pointed out to Lord Halifax that in view of the large number of Americans of Polish descent, to go too far might raise a storm in this country which in turn might place in jeopardy the position we were taking in the statement as written. . . . As a result of this discussion it was agreed to change the sentence in point 2 relating to the frontier question to read that the United States "would have no objection to such an agreement which 96 B r e c k i n r i d g e L o n g D i a r y , J u n e 13, 1944, L i b r a r y of Congress. 97 M e m o r a n d u m of a C o n v e r s a t i o n , " B r i t i s h Suggestions o n t h e Polish S t a t e m e n t , " D e c e m b e r 18, 1944, R e c o r d s of D e p t . of State, D e c i m a l File 8600.01/12-1844.
!3 1
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IO.44
could make an essential contribution to the prosecution of the war against the common enemy."98 Finally, these officials in the State Department happened to like the policy which they were promoting. They believed that implementation of the Atlantic Charter principles was the only way to insure peace at the end of the war. They were not convinced that they would be successful. In the fall of 1943, they recognized that the Soviet Union would oppose any group representing only the prewar Polish political parties and understood that the degree of democracy and independence in Poland would turn on Soviet wishes." In May 1944 the Office of Strategic Services, Research and Analysis Branch reported: The decisive obstacle to an agreement between the Government-in-Exile and the USSR is neither the border question nor necessarily the reactionary complexion of the Polish government in London. The basic issue is the postwar orientation of Soviet foreign policy; the Russians distrust the reactionaries in the Polish government and army because they believe them to be the protagonists of an anti-Soviet policy. . . . It is on this question of future Polish foreign policy that the Soviet stand has been most firm. Although the Russians agree to the reestablishment of an independent Poland, they have no wish to see a 98 Ibid. Following Soviet recognition of the Lublin government in January 1945, a delegation from the Polish American Democratic Organization of Chicago reminded Secretary Stettinius that the President had stated in the fall that he would not let the Polish people down and would restore Poland as a free sovereign nation. Memorandum from Secretary Stettinius to President Roosevelt, "Resolution of Polish American Democratic Organization of Chicago," January 4, 1945, Roosevelt Papers. For a more detailed account of Polish-American concern over the fate of Eastern Europe, see John Gaddis, The United States and the Origins of the Cold War, 1941-1947 (New York: Columbia University Press, 1972), pp. 139-49· 89 Policy-Group Document, "Soviet Policy Toward the Future of Poland," September 23, 1943 (P-G 15). 132
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1944
Poland which resumes an independent power policy in the East; . . . The future Poland, they believe, should be oriented towards the East and belong clearly to the Russian sphere of influence.100 Nevertheless, State Department officials believed in liberal governments which commanded the respect of as large a proportion of the population as possible and sought to promote their establishment. Moreover, these were the same officials who in the past had pressed unceasingly for Allied acceptance of the principles of the Atlantic Charter. They had become personally committed to seeing that their earlier policies were implemented. These men, therefore, were often unreceptive to any suggestions that might give the impression that the United States had altered its commitment to the Atlantic Charter principles or had withdrawn its support from the London Polish government. They consistently tended to view Soviet political and territorial demands in Poland in their most extreme form and blocked suggestions for major changes in American policy. During 1944 no one in the government undertook a sustained effort to modify State Department policy. Ambassador Harriman reduced his pressure for a rethinking of American policy after September when he became increasingly worried over Soviet intentions and ambitions. Secretary of War Henry Stimson characterized Secretary Hull's promotion of the Atlantic Charter principles in opposition to Soviet territorial demands in Poland in January as basically unrealistic, since the Soviet Union "had saved us from losing the war" and prior to 1914 Russia had owned the whole of Poland. 101 Again in June, Stimson commented on 100 Office of Strategic Services, Research and Analysis Branch, "The Prospects of Polish-Russian Understanding," May 19, 1944, Report #1619. 101 Memorandum of a Meeting, Secretaries Hull, Knox, Stimson, January 11, 1944, Henry L. Stimson Papers; Stimson Diary, January 11, 1944, Vol. 46, Henry L. Stimson Papers, Yale University Library.
!33
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the unreality of the State Department's promotion of free elections and democratic governments in countries liberated from Nazi rule. According to Stimson, "it is a very different thing to announce a formula on the one side and to put it into effect on the other. Very few countries outside the English speaking countries know by experience what a fair election is."102 However, Stimson was preoccupied with other questions and never sought to change State Department preferences for United States policy toward Poland. In one postwar planning subcommittee, the potential conflict between Soviet demands for security along its border and the American commitment to implement the Atlantic Charter principles in Poland was raised. The Special Subcommittee on Problems of European Organization of the Political Subcommittee considered the question of American interests in relation to the establishment of Soviet dominated groupings in Eastern Europe. 103 Again, it was Isaiah Bowman who suggested: that the principles to which the United States had subscribed were as wide as the earth, and that the Atlantic Charter certainly applied to Eastern Europe. He believed that the United States was confronted with a choice beThis entry represents the first mention of the Polish-Soviet dispute in the Stimson Diary. T h e discussion followed press reports that the Soviet government did not intend to compromise its territorial demands in Poland. 102 Stimson Diary, June 14, 1944, Vol. 47, Henry L. Stimson Papers, Yale University Library. 103 Subcommittee on Problems of European Organization, Meeting, February 4, 1944 (Chronological Notes R-12). T h e task of this subcommittee was to discuss the choices open to the United States with respect to regional developments in Europe west of the Soviet Union. Meetings were held from June 1943 until the end of March 1944. Membership of this subcommittee was largely drawn from the membership of other subcommittees and included: H. F. Armstrong, Chairman, Isaiah Bowman, Adolf Berle, and C. W. Cannon.
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tween resting on these principles and recognizing the validity of the Soviet argument from propinquity. The insistence of the United States upon a doctrine of propinquity, as applied to the western hemisphere, he thought might or might not indicate that similar doctrines would be acceptable to the United States in other parts of the world. "Moreover," Mr. Bowman continued, "it would be extremely difficult to say 'No' to the Russians in view of the losses which they have sustained as a result of insecurity on their western frontier." The United States might not like to acquiesce in a Soviet "Monroe Doctrine" for Eastern Europe, but Cuba and the Panama Canal might always be pointed out as analogous instances of legitimate concerns for security with the principles of the Atlantic Charter. 104 Members of the subcommittee recognized the legitimacy of the Soviet desire for security and admitted the difficulty, if not the impossibility, of achieving implementation of the Atlantic Charter principles in Eastern Europe. Still, the subcommittee failed to recommend any proposals for a change in United States policy.105 The subcommittee appeared to be impressed by the arguments of Charles Bohlen, Chief of the Division of Eastern European Affairs of the State Department, in favor of maintaining previous policy. While acknowledging the impossibility of foreseeing the definitive pattern of Soviet policy in Eastern Europe, Bohlen argued that it "might reasonably be assumed [that] the minimum Soviet program"—alliances with each state in Eastern Europe on the model of the Soviet-Czech Treaty— would "constitute no threat to American interests in Europe." 106 Further, he did not believe that the Soviet Union would go beyond these minimum aims in the im104 Ibid. 105
Subcommittee on Problems of European Organization, Meeting, March 3, 1944 (Chronological Notes R-14). ioe Ibid.
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mediate postwar period because of the enormous reconstruction program which would face the government. Bohlen then went on to suggest: that the need of the Soviet Union for friendly governments in neighboring countries was not open to question but that the independence of these countries was an issue which affected the interests of the United States. He thought that this fact was the whole basis for making a distinction between the maximum and the minimum program. The test of the Soviet minimum program would be whether or not the border states would continue to feel free to operate in line with their own national interests.107 Next, in response to the Chairman's request for comments on the Soviet maximum program of absorption of all Eastern European states, Bohlen stated that: if the Soviet Union should adopt such a program it would mean that the Soviet system was incompatible with non-Soviet systems. The institution of a single-party system and economic integration of Eastern Europe with the Soviet Union would mean, moreover, that Europe would be dominated by a one-power aggregation. . . . Mr. Bohlen said that in Europe at any rate the reaction would be automatic and might well lead to the formation of a Western European bloc supported by Great Britain, thus making inevitable an eventual war between the two spheres of influence.108 Consequently, Bohlen argued that in order to have some influence over the political future of Eastern Europe after the war the United States should "attempt to reserve the definitive juridical decision on as many issues as possible until the Peace settlement."109 Bohlen never raised the possibility that such a policy would result in the United States confronting postwar 107 Ibid.
108 Ibid.
10» Ibid.
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Soviet faits accompli and having no influence whatsoever on the determination of the political future of Eastern Europe. He appeared to have in mind an honest broker role for the United States between the British-led Western European bloc and the Soviet Union. However, he failed to consider the possibility that Britain would be so weakened after the war that no Western European bloc would emerge and that the United States would appear to the Soviet Union not as the "broker" but as the opponent. The sympathies expressed by President Roosevelt throughout 1944 for a modification of United States policy were never seized upon as a point of departure for change. Had anyone in the government wanted to push for such modifications, the President's statements indicating approval of the Curzon Line and the reorganization of the London Polish government could have been used as the catalyst to promote acceptance of Stalin's demands. No such initiative occurred. Officials in the State Department liked the policy that they were promoting and refused to give up the hope that they would be successful. These State Department officials, however, were not thwarting the President's wishes. Roosevelt was continually distracted by other problems, particularly military planning and the Presidential election. He exhibited no special interest in the specific questions of the Polish-Soviet dispute and never took the time to insure that the members of the State Department began advancing his preferred policies and not their own. Moreover, he did not seem particularly anxious to commit himself formally to any settlements for postwar Poland. Despite his obvious sympathies for Soviet demands, he revealed no concern to change the public policy of the American government. When Roosevelt did consider the Polish question in the winter and spring of 1944, he emphasized the need to insure cooperation between the Polish and Soviet military forces. He personally seemed obsessed with the effect of the continuation of the Polish dispute on the need to achieve joint
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cooperation between the Polish Underground and the liberating Soviet Army. Roosevelt periodically added in his own handwriting to drafts of messages to Stalin prepared by the State Department the need for the Allies to address as their first priority the conclusion of agreements between Polish and Soviet military forces.110 In March when he might have pressed for a change in United States policy to break the impasse, Roosevelt was quite ill and was ordered by his doctors to leave Washington for a long rest.111 Throughout the summer and fall, Roosevelt was preoccupied with his campaign for re-election. He took no active interest in the Polish question and his responses to State Department recommendations for policy were always delayed. The Polish-Soviet dispute attracted his attention primarily because of its possible effect on the Polish-American vote. He seemed most worried about the possibility that foreign policy problems might upset his chances for an election victory. When Churchill reported the results of the Polish discussions in Moscow in October, Roosevelt informed Churchill of his desire to be consulted prior to public announcement of any agreed settlement. The resolution of the dispute became much less important than preventing the public announcement of any agreements until after the election.112 The attention of the one man in the government who might have forced a change in American policy toward Poland was always elsewhere. n o See Draft Telegrams President Roosevelt to Marshal Stalin, February 7, 1944 and February 28, 1944, President Roosevelt to Prime Minister Churchill, April 5, 1944, original copies, Roosevelt Papers. 111 James MacGregor Burns, Roosevelt: The Soldier of Freedom (New York: Harcourt Brace Jovanovich, Inc., 1970), pp. 448-51. 112 President Roosevelt to Prime Minister Churchill, October 22, 1944, in W. Churchill, Triumph and Tragedy, p. 242. Copy in Roosevelt Papers. Churchill agreed that he would inform Roosevelt if an agreement were reached, and then in a letter to Stalin confided, "it will be a great blessing when the election in the United States is over." See Prime Minister Churchill to Marshal Stalin, November g, 1944, Corr., I, p. 268.
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VIII United States policy did not change and neither did the consequences of that policy. Throughout 1944, American officials never saw any costs in continuing to promote the Atlantic Charter principles and to postpone formal American approval of Soviet demands in Poland. They may have thought that by not raising the individual issues with the Soviet Union they would avoid conflict. In fact, American policies were almost identical to those being promoted by the Polish government in London and the United States was drawn into explicit conflict with the Soviet Union over Poland. No officials in Washington were pressing President Roosevelt that there were indeed costs. These officials knew what was happening inside Poland, but they never seemed terribly concerned with the possibility that events would confront them with faits accompli. No one made the argument that a settlement with the Soviet Union on the Polish question was a prerequisite for Soviet-American cooperation. No one suggested that the Soviet Union might consider a solution to the Polish dispute on its terms as a test case of the possibility of Soviet-American cooperation after the war. United States policy did not change, and SovietAmerican conflict seriously escalated during 1944 despite the fact that on the merits of the issues in dispute the two governments were not totally opposed.
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I T H E preoccupation of United States officials with Polish problems during 1944 did not mean that other Eastern European developments were ignored or that the political future of these countries aroused no interest. The potential conflict between British and Soviet policies throughout Eastern Europe, the possible division of this part of the world into Anglo-Soviet spheres of influence, and the internal political chaos erupting in all the Eastern European countries drew attention. The situations in these countries individually, however, did not provoke the same degree of concern as Poland and consideration of these problems remained on a very abstract level. The overriding American wartime goal was the military defeat of Germany and the liberation of these countries from Nazi rule. Beyond this, United States officials were obsessed with the fear that spheres of influence in Eastern Europe would lead to another world war. T o forestall this, they continually upheld the Atlantic Charter principles, sought to postpone all political and territorial settlements, until after the war, and endeavored to maintain a posture of noninvolvement in the internal affairs of these states. II Opposition to spheres of influence pervaded the American government and public throughout the war. United States officials considered spheres of influence to be part 140
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of balance-of-power diplomacy. Such arrangements were inherently unstable and had in the past been responsible for the outbreak of war. These officials were convinced that the means to achieve peace at the end of this war was through international collaboration and the formation of a collective security organization. They assumed that spheres of influence would militate against the establishment of a broader system of general security and would make impossible the implementation of the Atlantic Charter principles. In October 1943, President Roosevelt objected to a British proposal regarding postwar commitments with other European governments because "it smacked too much of 'spheres of influence' politics, the very thing it was supposedly designed to prevent." 1 Upon his return from the Moscow Foreign Ministers Conference in November 1943, Secretary of State Hull announced that "as the provisions of the four nation declaration are carried into effect there will no longer be need for spheres of influence, for alliances, for balance of power, or any other of the special arrangements, through which, in the unhappy past, the nations strove to safeguard their security or to promote their interests." 2 In May 1944, Admiral Leahy on behalf of the Joint Chiefs of Staff enumerated the military reasons for opposition to spheres-of-influence arrangements. Leahy reported to Secretary Hull that the national and world-wide security interests of the United States demanded a policy which aimed to maintain the solidarity of the three great powers. After pointing out that the only foreseeable war in the future would arise as a result of competition between British and Soviet spheres of influence in Europe, Leahy concluded that such a conflict must be prevented at all costs: 1 Memorandum by the Division of European Affairs, H. Freeman Matthews, October 8, 1943, Records of Dept. of State, Decimal File 741.61/10-543. * Address by Secretary of State Hull, November 18, 1943, The Department of State Bulletin, IV (November 30, 1943), 343. 141
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In appraising possibilities of this nature, the outstanding fact to be noted is the recent phenomenal development of the heretofore latent Russian military and economic strength—a development which seems certain to prove epochal in its bearing on future politico-military international relationships, and which has yet to reach the full scope attainable with Russian resources. In contrast, as regards Britain several developments have combined to lessen her relative military and economic strength and gravely to impair, if not preclude, her ability to offer effective military opposition to Russia on the continent except possibly in defensive operations in the Atlantic coastal areas. In a conflict between these two powers the disparity in the military strengths that they could dispose upon that continent would, under present conditions, be far too great to be overcome by our intervention on the side of Britain. . . . In other words, we would find ourselves engaged in a war which we could not win even though the United States would be in no danger of defeat and occupation. It is apparent that the United States should, now and in the future, exert its utmost efforts and utilize all its influence to prevent such a situation arising and to promote a spirit of mutual cooperation between Britain, Russia and ourselves.3 This opposition to spheres-of-influence arrangements existed despite the recognition by United States officials that Europe in all probability would be divided into two 3 Admiral William Leahy to Secretary of State Hull, May 16, 1944, FR, 1945, Yalta Vol., pp. 107-108. Admiral Leahy's statement represents a revision of one of the "major national objectives of the United States" defined by Chief of Staff George Marshall and Admiral Harold Stark in 1941. They listed as a military and political objective: "the establishment in Europe and Asia of balances of power which will most nearly ensure political stability in those regions and the future security of the United States." See Joint Board Estimate of United States Overall Production Requirements, September 11, 1941, in R. Sherwood, Roosevelt and Hopkins, pp. 410-11. 142
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zones after the war. They regularly acknowledged that the Soviets would seek to establish predominant influence in Eastern Europe through the creation of friendly governments and that the British intended to exercise primary influence over the postwar development of the countries of Western Europe. Nevertheless, they hoped at a minimum to moderate these alignments and possibly to replace dependence upon spheres of influence with the establishment of an international organization. 4 These officials never considered the Monroe Doctrine or the relationship established between the United States and the countries of Latin America to be analogous to the types of arrangements desired by either the Soviet or British governments in Europe. During a meeting of the Subcommittee on European Organization in February 1944, the members concluded that the Monroe Doctrine was the product of a liberal ideology and had not been imposed upon the smaller states by a great power. While the establishment of spheres of influence generally included the exploitation and domination of the countries within, in the case of the United States only a "moderate and limited" use had been made of the Monroe Doctrine for such purposes.5 Spheresof-influence arrangements were clearly an anathema to American officials. Ill This opposition to spheres of influence led State Department officials to ignore or reject specific suggestions from others for the establishment of security zones in Europe. Prior to the Moscow Conference in the fall of 1943, the Subcommittee on Security Problems concluded that "the age-old factors of power politics—strong security interests * See Subcommittee on European Organization Meeting, Jul\
9,
1943 (K.-3)· 5 Subcommittee on European Organization Meeting, February 18, 1944 (R-13)·
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and ease of access with armed forces—would appear to mark out Western and Eastern Europe during the turbu lent transition period as zones of primary interest to the three democracies and Soviet Russia respectively."6 While avoiding the terminology of spheres of influence, this Sub committee suggested that the United States accept such a future for Europe and begin to formulate a postwar policy accordingly. State Department officials balked. They argued that creation of areas of primary security interests repre sented a specific violation of the spirit of the Atlantic Char ter since the wishes of the people in any territorial or politi cal settlements would be ignored by the dominating powers.7 At the end of May 1944, United States officials were con fronted with a formal British proposal from Prime Minis ter Churchill to President Roosevelt that the United States agree to a temporary military arrangement in the Balkans between the Soviet and British governments. The British government urged that, "as a practical matter," the British and Soviet governments agree that Rumanian affairs be the main responsibility of the Soviets and Greek affairs be the primary concern of the British. The British insisted that such a proposal would in no way establish spheres of influ ence in the Balkans or affect the rights and responsibili ties which each of the three great powers would exercise at the peace settlement. Instead, the arrangement would offer the Soviet and British governments the best chance until the end of the war for the maintenance of amicable relations over Greece and Rumania. 8 e Subcommittee on Security Problems, "Memorandum on the Prob lem of Security," October 13, 1943 (S-Und-70). This memorandum was drawn up by a member of the Research Staff of the subcommittee. Although formal meetings of this subcommittee terminated in August 1943, the recommendations and reactions of the members were col lected for possible use by Secretary Hull during his discussions in Moscow that fall. τ Ibid. 8 Memorandum of Conversation, by Secretary of State Hull, with I
4 4
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Secretary of State Hull's instant reaction was to oppose this arrangement on the grounds that it implied the establishment of spheres of influence. Because of the complex problems which would encompass the Balkans, Hull argued that the United States could not afford to abandon the "broad, basic declaration of policy, principles, and practice" that had characterized previous United States actions. According to Hull, once these were departed from, "then neither of the two countries parties to such an act [would] have any precedent to stand on, or any stable rule by which to be governed and by which to insist that other governments be governed." 9 The Office of European Affairs in the State Department agreed with Secretary Hull that the United States ought to maintain "in principle" opposition to the establishment of spheres of influence in Europe. However, the Office concluded that the United States could not really object to the British proposal since the British and Russians claimed that this was purely a military matter and United States military forces would not be in the Balkans operationally. 10 The Deputy Director of the Office, H. Freeman Matthews, argued that the Department could not "take an adverse position, since in the agreed division of military responsibility the United States [was] at present not participating on an equal scale, as compared with Great Britain and Soviet Russia, in military operations in the area of question." 11 British Ambassador Halifax, May 30, 1944, FR, 1944, v, pp. 112-13; British Embassy to the Department of State, May 30, 1944, FR, 1944, v, pp. 113-14; Prime Minister Churchill to President Roosevelt, May 31, 1944, FR, 1944, v, pp. 114-15. 9 Memorandum of Conversation, by Secretary Hull, May 30, 1944, FR, 1944, v, pp. 112-13. 10 Policy Committee Meeting, June 7, 1944. 11 Memorandum from the Office of European Affairs, H. Freeman Matthews, to Under Secretary Stettinius, June 6, 1944, Records of Dept. of State, Decimal File 870.00/48. T h e recommendation of the Office of European Affairs was made despite the delineation by the Division of
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This recommendation for acceptance of the British proposal provoked immediate objections from the Office of Eastern and African Affairs in the State Department. The Director of this Office of Eastern and African Affairs, Wallace Murray, pointed out that "overall" United States participation in the war was indeed on a large scale and suggested that application of the reasoning of the Office of European Affairs to other areas would remove or diminish the voice of one or both of the United States Allies from other theaters of the war, specifically the South Pacific and Italy. Next, he rejected the argument that the British proposal represented a purely military arrangement. If it were in fact a military proposal, why was it not made to the proper military authorities in the United States government? Murray recalled the tendency of British officials throughout the war to extend strategic responsibility to cover political and economic matters and maintained that just because the United States was not participating on an equal scale in the military operations did not force the government to remain silent on political developments in this part of the world.12 British Commonwealth Affairs of the purposes behind the British proposals. "The British in telling us about this arrangement in this informal way are in effect inviting us to accept their leadership in Greece. They are also intimating to us that they expect us to treat British leadership in Greece no less tolerably than we treat Soviet leadership in Rumania. T h e British are giving us informal notice that the U.K. expects to follow a strong policy in regard to the Eastern Mediterranean even if it means standing up and making deals with the Soviet Union. This is part and parcel of the British policy of regarding the Mediterranean as a British sea and following a strong policy in respect to those countries occupying strategic locations on it." Memorandum by John Hickerson, Division of British Commonwealth Affairs, to the Office of European Affairs, May 30, 1944, Records of Dept. of State, Decimal File 870.00/46. 12 For the "Views of Director of the Office of Eastern and African Affairs, Wallace Murray, and Deputy Director of the Office of Eastern and African Affairs, Paul Ailing," see Memorandum by F. D. Kohler of the Division of Near Eastern Affairs to Director of the Division of
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Moreover, Murray was particularly outraged that the British had not consulted with the United States before proposing the arrangement to the Soviet government. He noted that the only reason that the United States had even been informed was the Soviet desire to hear the United States position and concluded that "presumably if the Russians had simply said 'Okay' we would never have been consulted at all, but would have been faced with what amounts to a bi-lateral 'secret' agreement."13 Since Secretary Hull was away from Washington on vacation, responsibility devolved upon Under Secretary Stettinius to resolve the conflict within the Department. He assigned Assistant Secretary of State for Congressional Relations Breckinridge Long the task of drafting a response to Prime Minister Churchill's proposal. Long immediately opposed the British proposal. He insisted that cooperation between the British and Soviet governments demanded rejection regardless of the degree of United States military involvement in Greece and Rumania. In his draft reply to Churchill, Long stated: Further—you suggest Russia "take the lead in the affairs of Rumania" and that you "take the lead in affairs of Greece." That can only lead to future difficulties and might easily—probably would—develop into a sphere of some kind of influence which would not be military and could not pass with the war. I am sure you do not want that to happen. Our major interests in the future demand another kind of world—not that kind. That major interest of the future is the development of concerted action for laying the foundations of a broader system of Southern European Affairs, C. W. Cannon, June 6, 1944, Records of Dept. of State, Decimal File 870.00/48. The reasons why this particular office was so concerned with the British proposal are not clear. They may have feared the establishment of any precedent regarding spheres of influence in Europe which might affect United States policy in their area of responsibility. is Ibid.
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general security. In order to do that it is essential that you and Russia and ourselves collaborate in the broad field. We have all agreed on that general policy, but the Greek-Rumanian suggestion if carried through would be a negation of the fundamentals of that program. 14 These differences of opinion over the British proposal were aired at a meeting of the Policy Committee the follow ing day. In view of the strong opposition by Assistant Sec retary Long and the Director of the Office of Eastern and African Affairs, Wallace Murray, to the recommendation of the Office of European Affairs, Stettinius asked John D. Hickerson of that Office to draw up still another draft re ply to Churchill. 1 5 The resulting "compromise" constituted in effect a rejec tion of the British proposal. 16 In this draft message to Churchill, which was approved without change by Presi dent Roosevelt, the United States government acknowl edged the existence of rising difficulties between the British and Soviet governments in Rumania and Greece. However, the United States felt that the method of preventing the outbreak of conflict between the two governments in the Balkans constituted the primary issue; the very policy of division of responsibility would inevitably increase hostil ity. The United States preferred to set up machinery for frank consultation between the Allies rather than accept the British spheres-of-influence arrangement, which would undoubtedly expand from the military into the political 14
Assistant Secretary of State Long to Under Secretary Stettinius, June 7, 1944, Records of Dept. of State, Decimal File 870.00/48. Copy also in Breckinridge Long Papers, Library of Congress. 15 Policy Committee Meeting, June 7, 1944; John D. Hickerson was the only member of the Office of European Affairs at this meeting. ι 6 Under Secretary of State Stettinius to President Roosevelt, June 10, 1944, FR, 1944, v, p. 117. T h e message was sent to Prime Minister Churchill June 11, 1944. Breckinridge Long recorded in his Diary, June 10, 1944, " I t expresses the point of view that I have maintained from the start but which I had considerable difficult) in having approved." Library of Congress.
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arena.17 In a follow-up memorandum to the British Embassy, the State Department added: The importance which this Government attaches to this policy is especially evident at the present time, when special efforts are being made for concerted action in laying the foundations of a broader system of general security in which all countries great and small will have their part. Any arrangement suggestive of spheres of influence cannot but militate against the establishment and effective functioning of such a broader system.1S Churchill responded with another telegram to President Roosevelt in which he repeated the reasons behind the initial British proposal and suggested that it be given a trial period of three months. Churchill insisted that the proposal did not constitute the establishment of spheres of influence but grew out of practical military considerations. According to Churchill, action would be paralyzed if consultation among all the Allies were required on every initiative taken by the military commanders in these countries.19 In reply, without informing the State Department, Roosevelt accepted the three-month trial period, with the reservation that "care must be taken by us to make it clear that no spheres of influence are being established."20 Throughout the war, Roosevelt had been concerned to support Allied military operations in the Balkans while insuring that the United States would not become militarily involved in this part of the world. Churchill's insistence that his proposal represented a purely military arrangement which would terminate at the end of the war ap17 Ibid.
is Department of State to the British Embassy, June 12, 1944, v, p. 120. is Prime Minister Churchill to President Roosevelt, June in W. Churchill, Triumph and Tragedy, pp. 75-77· Copy in Papers. 20 President Roosevelt to Prime Minister Churchill, June Map Room, Box 15A, Roosevelt Papers.
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1944, FR, 11, 1944, Roosevelt 12, 1944,
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peared to persuade Roosevelt that United States opposition was not warranted. During the following two weeks, the State Department operated under the assumption that the United States had rejected the British recommendation. Further information as to the background and nature of this proposal convinced State Department officials that they had been correct in their opposition to the British plan. They were provoked by the implication of Churchill's second telegram to Roosevelt that the arrangement would not be limited simply to Rumania and Greece, but would include Bulgaria and Yugoslavia.21 They were irritated by the fact that the British government had, indeed, taken up the proposal with the United States only upon the insistence of the Soviet government. 22 In a telegram to Churchill, which the State Department drafted and the President approved, Roosevelt expressed his irritation at not being consulted before the Russians and his hope that "matters of this importance [could] be prevented from developing in such a manner in the future." 23 Then, to their surprise, State Department officials learned from the United States Ambassador in Greece of the existence of a British-American-Soviet military arrangement regarding Rumania and Greece. Secretary Hull quickly inquired about the obvious change in United States policy.24 In reply, Roosevelt supplied Hull with copies of 21 See Memorandum by C. W. Cannon, Director of the Division of Southern European Affairs, to Foy Kohler of the Division of Near Eastern Affairs, J u n e 14, 1944, Records of Dept. of State, Decimal File 870.00/48. 22 Secretary of State H u l l t o P r e s i d e n t Roosevelt, J u n e 17, 1944, FR, 1944, v, p p . 124-25. 23 P r e s i d e n t Roosevelt t o P r i m e M i n i s t e r C h u r c h i l l , J u n e 22, 1944, M a p R o o m , B o x 15A, Roosevelt P a p e r s , 2* Secretary of State H u l l t o P r e s i d e n t Roosevelt, J u n e 29, 1944, Reco r d s of D e p t . of State, D e c i m a l File 870.00/47. T h e Office of E u r o p e a n Affairs expressed its p a r t i c u l a r i r r i t a t i o n a t t h e B r i t i s h g o v e r n m e n t ' s success i n s h o r t c i r c u i t i n g t h e o p p o s i t i o n of t h e State D e p a r t m e n t t h r o u g h a d i r e c t a p p e a l to t h e P r e s i d e n t . See M e m o r a n d u m t o t h e 150
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the telegrams he had exchanged with Churchill. 2 5 In a memorandum to Admiral Leahy, Roosevelt added, " I do not know just what happened on this matter. Will you check on it and communicate with Secretary of State Hull." 2 6 When at the beginning of July the Soviet Union for mally requested United States views on the British pro posal, the State Department knew of Roosevelt's action and informed Moscow that the United States would not object to an arrangement for the division of military responsibil ity in Rumania and Greece for a trial period of three months. 2 7 While the United States continued to fear that spheres of influence would be established in the Balkan countries, the government had accepted the British argu ment that military operations and strategy required such a temporary agreement. However, the State Department clearly stated that the United States government continued to have as its chief aim the promotion of international collaboration among the Allies based, not on independent action, but on the establishment of a broader system of general security.28 Secretary of State, June 26, 1944, Records of Dept. of State, Decimal File 870.00/6-2644. 25 President Roosevelt to Secretary of State Hull, June 30, 1944, Records of Dept. of State, Decimal File 870.00/6-3044. Roosevelt had informed Ambassador Winant in London of his acceptance of Church ill's proposal on June 13, 1944 but had failed to tell the Department of State. See President Roosevelt to Ambassador Winant, June 13, 1944, Map Room, Box 15A1 Roosevelt Papers. 2β Memorandum for Admiral Leahy, July 3, 1944, Map Room, Box 15A, Roosevelt Papers. President Roosevelt did overrule the Depart ment of State. However, it would be incorrect to conclude, as Arthur Schlesinger, Jr. does in his article, "Origins of the Cold War," Foreign Affairs, XLVI (October 1967), 35, that once Hull left town, Roosevelt "momentarily free from his Wilsonian conscience, yielded to Church ill's plea." 27 Soviet Embassy to t h e D e p a r t m e n t of State, J u l y 1, 1944, FR, 1944, v, p p . 128-29. 28 D e p a r t m e n t of State to t h e Soviet Embassy, J u l y 15, 1944, F R , 1944, v, p p . 130-31.
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The different views advanced in Washington regarding the British proposal for a division of responsibility in the Balkans reflected the difficulties in trying to apply a principle (opposition to spheres of influence) to the particular situation developing in Eastern Europe. For Secretary Hull, Assistant Secretary Long, and the Office of Eastern and African Affairs, maintenance of this principle required rejection of the British proposal. They were worried about the effect of such arrangements on Allied cooperation and the formation of an international organization; and they were concerned about the consequences of breaking the precedent of United States opposition to military and political spheres of influence for other areas of the world. Further, although they never mentioned the American public's distrust of spheres of influence arrangements, they may have had this on their minds as well. In contrast, President Roosevelt and the Office of European Affairs approved the British proposal. They concluded that military success in the Balkans and continued American noninvolvement in the internal affairs of these countries argued for acceptance of the British proposal for a trial period. The Office of European Affairs further suggested that limited American military involvement in Eastern Europe condemned the United States to limited political influence in the developments in this part of the world; it would simply do no good to oppose such a British-Soviet arrangement for the Balkans. In seeking to uphold the same principle these two groups of men came to divergent recommendations. However, following the various responses to the British, they all concluded that United States opposition in principle to the creation of spheres of influence had not been diluted by Roosevelt's action. During the fall, State Department officials again became very concerned with developments in Eastern Europe, particularly the potential conflict between Soviet and British spheres of influence policies which, in their view, threatened to involve the world in war. Assistant Secretary of 152
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State Adolf Berle charged that the State Department had failed to deal vigorously with many of the grave difficulties in Eastern Europe. He maintained that they were not coping with the "ominous development of power politics in that part of the world, where Russian and British spheres of influence [were] crystallizing and where friction between those two great powers [was] developing to a dangerous degree."29 In a long memorandum to the Secretary of State's Policy Committee Berle argued against America's sacrifice of its reputation for promotion of a moral approach to international problems as opposed to the cynical approach of power politics. To ignore the Atlantic Charter principles would endanger the likelihood of the American public adopting a plan for a world organization. He concluded by delineating the general objectives of American policy: East of Germany the task of the American representatives, whether they are diplomatic, military or economic in character, should be the continuous attempt to resolve differences between the major contending forces. It is believed that the major doctrine which can be invoked for this purpose is primarily that of humanitarian interest in the individual populations of the countries concerned. A Soviet "sphere of influence" in these areas operated in somewhat the same fashion as we have operated the good neighbor policy in Mexico and the Caribbean area would be no threat to anyone, and would raise no essential conflicts since it would not conflict with the basic interests of the peoples of these countries, nor with the operation of the British life line and the only casualty would be the attempt at economic exclusiveness sought by certain elements in the British Government. In this aspect it would make relatively little difference to us or perhaps to anyone else who had the dominant position; a British sphere of influence similarly operated would likewise be -'•> Polio Committee Meeting, October 6, 1944.
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little threat to the Soviet Union. But the basic concept behind such a policy is first the elimination of these countries as a center of power politics, and second a basic concern for the rights and situation of the populations of the countries involved. Both of these conceptions provide a possible ground on which the contending forces could meet in friendship without conflict. To secure their application, however, does require a modification of the ruthlessness of British commercialism and the ruthlessness of Soviet nationalism. 30 Consequently, the Policy Committee undertook to define United States interests and goals in Eastern Europe and to formulate an independent American policy apart from Soviet or British policies. Charles E. Bohlen, Chief of the Division of Eastern European Affairs, urged a positive and concrete statement of the United States position: this Government [was] to some extent at fault because neither of our principal allies have yet had a clear picture as to what the U.S. will do and how much responsibility it will assume in Eastern Europe. [Bohlen] pointed out that the Soviets, because of their lack of qualified personnel in the field of foreign affairs, do not often draw up long-range plans in regard to foreign policy but rather tend to act on an ad hoc basis, without always clearly realizing the implications of their action. They will, however, often accept comprehensive plans presented to them by others. He, therefore, raised the question as to whether we might not present to the Russians a plan for dealing with this area.31 J» Assistant Secretary of State Adolf Berle, "Principal Problems in Europe," September 26, 1944, Policy Committee Document A-B/1, Harley Notter Papers. 31 Policy Committee Meeting, October 13, 1944. Bohlen\s statement, which was apparently approved by the Policy Committee, contradicts the argument of Gabriel Kolko, The Politics of War, p. 165: "No one formulated a larger interpretation of Eastern European events which suggested that the Soviets based theii policy on pluralistic, nonideo-
!54
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Ultimately, the Policy Committee agreed that: this Government should assert the independent interest of the United States (which is also believed to be in the general interest) in favor of equitable arrangements designed to attain general peace and security on a basis of good neighborship, and should not assume that the American interest requires it at this time to identify its interests with those of either the Soviet Union or Great Britain. 32 The members recommended to the President these general principles be pursued irrespective of the type of territorial or political settlements which might result from the war: 1. The right of peoples to choose and maintain for themselves without outside interference the type of pological responses always colored by local circumstances they did not always control." 32 Memorandum for the President from Under Secretary of State Stettinius, "United States Interests and Policy in Eastern and Southeastern Europe and the Near East," November 8, ig44, FR, 1944, iv, p. 1025. H. Feis, Churchill Roosevelt Stalin, p. 451, states "The staff of the State Department yvas more aware of the need for vigilance in regard to the political situations developing in Central and Eastern European countries. But it tended to regard the disputed issues as lying between Russia and Britain rather than of more universal significance, and so was inclined to view the activities of both as an attempt by each to benefit at the expense of the others, and therefore unfavorable to future peace. This led the Department to adopt an attitude of critical reserve, and to pursue a strategy of postponement." Feis seems to have misunderstood both the origins of the discussion of United States policy toward Eastern Europe in the fall of 1944 and the conception of United States interests in Eastern Europe held by those members of the Policy Committee. T h e recognition of the arising political disputes in Eastern Europe stimulated efforts to reformulate United States policy, not to continue the strategy of postponement. Furthermore, although it was agreed that conflicts in this area would arise as a result of Soviet-British differences, this did not mean that the United States had no interest. Rather, the United States had an independent interest in trying to prevent these conflicts from drawing the world into another war.
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litical, social, and economic systems they desire, so long as they conduct their affairs in such a way as not to menace the peace and security of others. 2. Equality of opportunity, as against the setting up of a policy of exclusion, in commerce, transit and trade; and freedom to negotiate, either through government agencies or private enterprise, irrespective of the type of economic system in operation. 3. The right of access to all countries on an equal and unrestricted basis of bona fide representatives of the recognized press, radio, newsreel and information agencies of other nations engaged in gathering news and other forms of public information. . . . 4. Freedom for American philanthropic and educational organizations to carry on their activities. . . . 5. General protection of American citizens and the protection and furtherance of legitimate American economic rights, existing or potential. 6. The United States maintains the general position that territorial settlements should be left until the end of the war.33 In effect, this statement of principles was an elaboration of the goals of the Atlantic Charter. Implicitly, the United States opposed the establishment of an exclusive sphere of influence, which would prevent implementation of these principles, by either the Soviet or British governments. State Department officials never defined a particular interest in this region of the world per se, apart from keeping conflicts there from escalating into war. Clearly, however, United States officials in the fall of 1944 viewed British machinations in this part of the world as critically as the Soviets; both threatened the stability of a postwar peace based on international collaboration. This question of separate British and Soviet spheres of 33 Ibid., pp. 1025-26.
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responsibility in Eastern Europe arose specifically during October when Churchill traveled to Moscow to discuss outstanding political problems with Stalin. Charles E. Bohlen of the Eastern European Division was most upset that these conversations would take place without the participation of an American representative. According to Bohlen, the absence of an American participant would indicate to Stalin and the whole world not only that the British could speak for the United States but also that the United States had washed its hands of European political problems. Moreover, either of the two most likely results of such conversations—"a first class British-Soviet row over European problems or 2. the division of Europe into spheres of influence on a power politics basis"—would be disastrous.31 Bohlen summarized his concerns in a memorandum to Harry Hopkins, the President's personal adviser. Later that same day, Hopkins and Bohlen discussed the question, and they decided to intercept the draft message to Stalin in which Roosevelt expressed his hope that the ChurchillStalin meetings would be a success.35 They then added a request that Ambassador Harriman be present as an observer in the discussions, a statement that the United States would not be bound by any agreements reached, and a declaration: "in this global war there is literally no question, either military or political, in which the United States is not interested." 36 Upon Churchill's arrival in Moscow, Ambassador Harriman informed Roosevelt that the question of future responsibilities in the Balkans would certainly be discussed and si Memorandum to the Honorable Harry Hopkins, from Charles E. Bohlen, October 3, 1944, Hopkins Papers, Box 295. 35 R o b e r t S h e r w o o d , Roosevelt
and Hopkins,
p p . 833-84; C h a r l e s E
Bohlen, Witness to History, pp. 162-63. Bohlen's description of this episode fails to take account of his own memorandum to Hopkins which first brought the question to Hopkins' attention. 36 P r e s i d e n t Roosevelt to M a r s h a l Stalin, O c t o b e r 4, 1944, FR, Yalta, p . 6.
157
1945,
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some sort of spheres-of-influence arrangement would prob ably be concluded. 37 However, since the United States gov ernment was not formally participating in these discussions, Ambassador Harriman was not authorized to comment on any Balkan arrangements when they were introduced. When Churchill proposed to Stalin his arrangement for the Balkans (Rumania 90% Soviet and 10% others; Greece 90% Great Britain and 10% Russia; Yugoslavia and Hun gary 50-50%; Bulgaria 75% Russia and 25% others), Ambassador Harriman was not even present. 38 Upon the conclusion of this meeting, Harriman did report that a general agreement had been worked out for a division of responsibility in the Balkans. 39 Roosevelt informed Harri man that his "active interest at the present time in the Balkan area [was] that such steps as [were] practicable should be taken to insure against the Balkans getting us into a future international war." 4 0 At the conclusion of the Churchill-Stalin conversations, a memorandum from the Office of European Affairs stated that a spheres-of-influence arrangement had been approved even though Stalin and Churchill had failed to mention any Balkan agreements in their joint telegram to President Roosevelt.41 Then upon his return to Washington, Ambas sador Harriman explained to the Policy Committee that Stalin had agreed to a hands-off policy in Greece in exchange for a free hand in Rumania, Hungary, and Bulgaria. 42 Intentionally free from any commitments entered into by 3" Ambassador Harriman to President Roosevelt, October FR, 1944, iv, pp. 1005-1006. 38 For Churchill's account of the British-Soviet agreement, umph and Tragedy, pp. 227-28. 39 A m b a s s a d o r H a r r i m a n to P r e s i d e n t Roosevelt, O c t o b e r FR, 1944, iv, p p . 1009-10. Μ P r e s i d e n t Roosevelt t o Ambassador H a r r i m a n , O c t o b e r FR, 1944, iv, p . 1009. 4 I M e m o r a n d u m from t h e Office of E u r o p e a n Affairs t o t h e of State, O c t o b e r 16, 1944, FR, 1944, iv, p . 1018. * 2 Policy C o m m i t t e e M e e t i n g , O c t o b e r 25, 1944.
158
10, 1944, see Tri 11, 1944, 11, 1944, Secretan
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Stalin and Churchill, the American government took no action either publicly or privately in response to these reports of an Anglo-Soviet agreement. In fact, they attempted to ignore completely what had taken place.43 In a memorandum prepared for the President prior to his scheduled meeting with Churchill and Stalin in the winter of 1945, the State Department alluded to the apparent operation of some kind of spheres-of-influence agreement between the British and Soviet governments but argued that the United States could not approve any such agreement beyond strictly military arrangements. 44 United States officials remained adamantly opposed in principle to an agreement which might result in the division of Europe into spheres of influence and therefore chose to ignore the existence of any Anglo-Soviet arrangement in the Balkans.45 *3 William A. Williams, The Tragedy of American Diplomacy, p. 213, confuses Roosevelt's decision in June 1944 to approve a threemonth division of responsibility in Eastern Europe with Churchill's informal agreement with Stalin in October. From this he then argues that "it seems very probable that Stalin concluded that he would 'have to fight at the peace conference in order to get our western frontiers'" (quotation not identified). More likely, Stalin concluded from the events in June and October that the British, and even the United States, governments would support his desire for a division of responsibility in Eastern Europe. Although again, United States officials sought not to accede to Soviet demands for the establishment of a sphere of influence in Eastern Europe. *i Briefing Book Paper for the Yalta Conference, "American Policy Toward Spheres of Influence," January 1945, FR, 1945, Yalta, pp. 103106. Charles E. Bohlen, Witness to History, p. 164, is mistaken when he states that no one at the State Department knew of the AngloSoviet agreement. In this State Department Briefing Book Paper, p. 104, even the percentages of Soviet and British influence in these countries were included. 45 George Kennan, Minister-Counselor in the Moscow Embassy, was perhaps the one dissenting voice in the United States government at this time. In a letter to Charles E. Bohlen during the Yalta Conference in February 1945, Kennan stated: "I am aware of the realities of this war, and of the fact that we were too weak to win it without Russian cooperation. I recognize that Russia's war effort has been masterful
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IV Apart from rejection of spheres-of-influence arrangements in Eastern Europe, United States policies toward the individual countries during 1944 remained vague and undefined. The government announced only general goals: the right of these countries to political independence; no foreign interference in their internal affairs; and the development of democratic political forces and constitutional governments. The Atlantic Charter principles were again promoted and a posture of noninvolvement in the internal politics of the states proclaimed. Eduard Benes, President of the Czechoslovak government-in-exile in London, spent the first years of the war carefully working out arrangements to insure good relations with the three Allied governments. He sought Allied approval, and particularly Soviet approval, for his government's return to Czechoslovakia upon the liberation of the country and noninterference in the internal affairs of the state after the war.46 By the summer of 1944, he had been successful. In a treaty with the Soviet Union in December and effective and must, to a certain extent, find its reward at the expense of other peoples in eastern and central Europe. But with all of this, I fail to see why we must associate ourselves with this political program, so hostile to the interests of the Atlantic community as a whole, so dangerous to everything which we need to see preserved in Europe. Why could we not make a decent and definitive compromise with it—divide Europe frankly into spheres of influence—keep ourselves out of the Russian sphere and keep the Russians out of ours?" See Charles E. Bohlen, Witness to History, p. 175. *e Benes was convinced that given the position of Czechoslovakia on the border of the Soviet Union, Czechoslovakia had to avoid alienating the Soviet government. Benes reminded the American and British governments that the remoteness of their countries from Czechoslovakia meant that in the event of conflict between his government and Russia, Stalin could easily settle matters in Czechoslovakia in his own way. Ambassador to the Czech government-in-exile Anthony Biddie to the Secretary of State, February 20, 1942, Records of Dept. of State, Decimal File 740.0011 European War 1939/20193. 160
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1943, Czech territory was to be established on the basis of the pre-Munich frontiers; in a civil affairs agreement in the spring of 1944, the Soviet Union agreed to the immediate return of the exile government upon the liberation of the country. This success in establishing cooperation with the Soviet government permitted the United States to stand aside and remain uninvolved in the specific questions facing the Czech government. In reply to the Czech request for a statement by the American government repudiating the Munich agreement, Secretary Hull acknowledged that the United States believed the Munich agreement to have been conceived in fraud and in utmost bad faith.47 The State Department, however, postponed any United States repudiation of the Munich agreements in order to avoid the various frontier questions which would inevitably arise once the Munich agreement had been internationally repudiated. 48 The United States also refused to become involved in the 1943 negotiations for a military alliance between the Czech and Soviet governments. During the summer, the State Department supported British opposition to such alliances prior to the end of the war.49 However, at the Moscow Conference in the fall of 1943, when Eden raised the question with Molotov, Secretary Hull stated that he was personally not familiar with the question and that it would be of little value for the United States to enter into this dispute between the Soviet and British governments.50 •" Memorandum of a Conversation, by Secretary Hull, with President Benes, May 18, 1943, FR, 1943, in, pp. 529-30. is Memorandum from the Division of European Affairs, May 11, 1943, Records of Dept. of State, Decimal File 860F.001/131. 49 M e m o r a n d u m of a C o n v e r s a t i o n , by U n d e r Secretary W e l l e s , w i t h A m b a s s a d o r H a l i f a x , J u n e 28, 1943, FR, 1943, m , p p . 6 7 0 - 7 1 ; M e m o r a n d u m from t h e Division of E u r o p e a n Affairs, A u g u s t 24, 1943, Reco r d s of D e p t . of State, D e c i m a l File 760F.61/108. 50 M e e t i n g of t h e Moscow F o r e i g n Ministers Conference, O c t o b e r 24, 1943, FR, 1943, i, p p . 624-26. T h e British c o n s i d e r e d t h a t a g r e e m e n t s
l6l
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Finally, in the spring of 1944, when the Czech government suggested that the United States participate in a civil affairs arrangement for liberated Czechoslovakia, the United States government refused. The State Department and the Joint Chiefs of Staff argued that geographical and military circumstances made it unlikely that American military forces would be engaged in the liberation of Czechoslovakia; and therefore, it was unnecessary for the United States to discuss such an agreement.51 The United States similarly sought to avoid involvement in the chaotic political and military situation in Yugoslavia. State Department officials were particularly worried that the emerging British-Soviet competition for prestige and influence in Yugoslavia would provoke serious conflict and undermine Allied unity. 52 Consequently, the United States government undertook to design a policy independent of its two allies: At the same time we realize that both the Russians and the British may have interests in the Balkan and Mediterranean area which we would prefer not to support. In any event, it is already apparent that the interest of these Governments is being implemented so dynamibetween major and minor Allies on postwar questions should be left until the end of the war. At the Conference, the British proposed that the Allied governments avoid a race between larger powers to acquire special relations with the smaller countries. Molotov was willing to accept the proposal only for non-bordering states. Then, for reasons that are unclear, Eden withdrew the British objection to such treaties, on the condition that they were consulted in advance; and he agreed to the conclusion of the Soviet-Czech Treaty. See Ambassador Harriman to the Acting Secretary of State, October 25, 1943, Records of Dept. of State, Decimal File 740.0011 Moscow/69. 51 Charge to the Czech government-in-exile H. F. Arthur Schoenfeld to the Secretary of State, March 17, 1944, FR, 1944, in, pp. 515-16; Secretary of State Hull to Charge Schoenfeld, May 2, 1944, FR, 1944, in, p. 520. 5 2 M e m o r a n d u m p r e p a r e d for t h e M a r c h 1944, FR, 1944, iv, p p . 1353-54·
162
Stettinius
Mission
to
London,
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cally that the effect is hardly consistent with our doctrine of non-intervention. It is therefore important that we should maintain independence of action as regards means of obtaining intelligence, military or political, and should decline to become associated with political trans actions, purporting to be on a joint basis, in which the undoubted American prestige in Yugoslavia would be exploited and American responsibility engaged, unless we really know what is going on. 5 3 Faced with complex military and political problems in Yugoslavia, the overall aims of American policy were to achieve the liberation of Yugoslavia, the preservation of the political unity of the state, and the establishment of a rep resentative government with the least intervention in the internal affairs of the country. 54 Again, the attempt to implement these general goals caused problems. Did non intervention require support for a return of the King and the exile government or recognition of a de facto regime inside Yugoslavia?55 Could military and political questions be divorced? If policies pursued because of military require ments undermined political goals, how could they be reconciled? American officials above all sought to maintain an im partial posture above the erupting political intrigues which were enveloping the country. They concluded that a with drawal of recognition from the exile government would constitute unwarranted intervention in the internal affairs 56 of the country. At the same time, upon deciding not to 53 M e m o r a n d u m by Assistant Chief of t h e Division of S o u t h e a s t e r n E u r o p e a n Affairs C. W . C a n n o n , M a y ig, 1944, FR, 1944, iv, p . 1372. 54 S u b c o m m i t t e e o n E u r o p e a n O r g a n i z a t i o n M e e t i n g , N o v e m b e r 23, 1943 (R-8); Secretary of State H u l l to Ambassador H a r r i m a n , April 15, 1944, FR, 1944, iv, p p . 1358-59. 55 T h e difficulties involved in implementing such general principles were discussed in the Meetings of the Subcommittee on European Organization January 7, 1944 (R-10) and February 4, 1944 (R-12). 5β Secretary of State Hull to Ambassador Harriman, April 15, 1944, FR, 1944, iv, pp. i35 8 -59·
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participate militarily in the liberation of Yugoslavia, they determined to supply armaments to all Yugoslav groups fighting in the resistance against the Germans. They attempted to deal with the various resistance groups from the point of view of military effectiveness without committing political support to any one.57 However, military considerations gradually led to almost total United States military support for the Partisan guerrilla forces of Marshal Tito. Consequently, the United States confronted the problem of reconciling a policy of noninvolvement in the internal political affairs of the country with a commitment of military support to one group and political recognition to another. Both the consistency and impartiality of United States policy was undermined. It was simply not easy to know what "upholding the principles of the Atlantic Charter" meant in terms of responses to the complex developments in Yugoslavia. Military considerations, primarily Soviet liberation of the German satellite states of Rumania, Bulgaria, and Hungary, made it somewhat easier to translate the principle of noninvolvement into specific policies toward these countries. Following the defeat of the German Army at Stalingrad in the winter of 1943, the Soviet Armies began an offensive which eventually led to the liberation of Berlin and the defeat of Germany in May 1945. During the Russian summer offensive in 1944, the Red Armies moved along three fronts into Poland, Czechoslovakia, and Rumania. In August, on the occasion of the arrival of Soviet 5 ? In January 1944, the British government proposed a joint AngloAmerican military expedition into Yugoslavia. According to M. Matloff, Strategic Planning for Coalition Warfare, 1943-1944, p. 427, "At the meeting on 21 February [1944] with the JCS, the President informed them that he had refused to consider Churchill's proposal for an expedition composed of British troops under an American commanding general. T h e President would not even consider a 'token' U.S. force for such a project. In agreeing with the President's stand, General Marshall stated emphatically 'that would be very bad indeed and would probably be bound to result in a new war.' "
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troops, King Michael of Rumania overthrew the proGerman government. Subsequently, the Soviet Armies' movement into Bulgaria in September and into Hungary in November forced the surrender of the existing pro-Nazi governments in these countries. During the first three years of the war, the primary American goal was to detach the German satellite states of Rumania, Bulgaria, and Hungary from the Axis military machine. The American Joint Chiefs of Staff were insistent that no restrictive political considerations be raised which would militate against the early surrender of these coun tries' military forces. Since no American ground forces would participate in the liberation of these countries, the Chiefs were also prepared to grant to the Soviet govern ment the same freedoms in the formulation of the surren der terms and armistice regimes as the United States and Britain had exercised in Italy. Therefore, when the United States decided in the fall of 1943 to participate in the European Advisory Commission's discussions of the surrender terms to be imposed upon the enemy countries in Europe, there existed within the United States government the general feeling that Soviet demands should be met. 5 8 During the winter of 1944, an interdepart mental Working Security Committee, composed of mem bers of the Departments of War, Navy, and State, prepared draft surrender terms for the German satellite states of Rumania and Bulgaria. 59 However, when in the spring the 58 T h e European Advisory Commission was established by the For eign Ministers of Britain, the Soviet Union, and the United States during the Moscow Conference in October 1943 to make detailed rec ommendations with regard to the terms of surrender to be imposed upon the enemy states of Europe. Ambassador John Winant in Lon don served as the United States Representative on this Commission. δβ T h e Working Security Committee was established in Decembei 1943 to draft background papers and instructions for the United States Representative on the European Advisory Commission. T h e Office of European Affairs in the State Department was primarily responsible for this Committee's work. See U.S. Department of State, Postwar Foreign Policy Preparation, 1930-194), pp. 225—26.
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Soviet Union presented its proposals for the Rumanian surrender, American officials quickly gave their approval. The Joint Chiefs of Staff recorded: that the Russian proposal in effect leaves the matter of Rumanian surrender exclusively in Russian hands but consider that from a military viewpoint, this is only nat ural and to be expected since Russian forces are the only ones prepared to implement and take advantage of the surrender terms. From the military point of view, the present Rumanian situation is analogous to the Italian situation at the time of her surrender to the British and ourselves. . . . 6 0 Cloyce Huston of the Division of Southern European Af fairs also endorsed the Russian terms but noted that the terms were essentially Russian, not Allied, and that they were "frankly based on the practical premise that the war with Rumania is Russia's business." 81 State Department officials, however, were not willing to grant the Soviet Union complete independence in its ac tions. They recognized the "Soviet Union's primary interest in Rumania" and admitted "that distance and lack of im portant material considerations detach us somewhat from Rumanian affairs" but still thought that the United States "should maintain an interest in that country and should apply to Rumania the general principles underlying our conduct of the war." 6 2 They particularly hoped that an inter-Allied Council or mission would be created in Ru mania to prevent the establishment of a Soviet sphere of influence.63 eo T h e Joint Chiefs of Staff to the Secretary of State, March 28, 1944, FR, 1944, iv, p. 161. •si Memorandum by Cloyce K. Huston of the Division of Southern European Affairs, April 11, 1944, FR, 1944, iv, p. 172. 62 Memorandum by the Division of Southern European Affairs, March 1944, FR, 1944, iv, p. 147. «3 Η-Policy Summaries, "Rumania: Problems of Occupation," March 18, 1944 (H-141 Supplement).
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In August 1944, when the Rumanian government sued for peace, the United States approved the Soviet armistice terms. The only requests were that the United States be represented on the Allied Control Commission which would have responsibility for implementing the armistice agreement and be allowed to send a political representative into Rumania to demonstrate American interest in the future of the country. 64 The United States did not object to Soviet insistence that the Soviet military commander exercise complete control in the functioning of the Allied Control Commission. 65 No doubts existed as to what the United States had agreed to in approving these Soviet terms. Ambassador Harriman reported that the Russians believed "that we lived up to a tacit understanding that Rumania was an area of predominant Soviet interest in which we should not interfere." 66 Harriman interpreted the armistice terms as giving the "Soviet Command unlimited control of Ruma nia's economic life" and sufficient "police power" for the "full protection of Soviet interests" and concluded that the "efficacy of our officials in Rumania will depend on the ex tent to which they are permitted by Rumanian and Russian police authorities to associate privately with Rumanian officials and Rumanian citizens, and to participate gener ally in the life of the community." 6 7 Bulgaria's situation initially differed somewhat from that of Rumania. Because the Soviet Union did not declare war β* Secretary of State Hull to Ambassador Harriman, September 29, 1944 and October 5, ig44, FR, 1944, iv, pp. 241-43, 246-47; Ambassador Harriman to the Secretary of State, October 6, 1944, FR, 1944, iv, pp. 248-49. es T h e armistice agreement with Rumania was signed at MoscowSeptember 13, 1944, although it was dated September 12. T h e texts are printed in The Department of State Bulletin, vi (September 17, 1944). 289-92. 66 Ambassador Harriman to the Secretar\ of State, September 15, 1944, FR, 1944, iv, p. 235. «7 Ibid., pp. 236-37.
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on Bulgaria until September 1944, the British and Ameri can governments took the lead in denning the Bulgarian armistice terms during the spring and summer of 1944.6*1 However, once the Soviet Union decided to play a major role, the United States withdrew from active participation in the armistice negotiations and showed little interest in the details of the surrender arrangements. The Joint Chiefs of Staff, only concern was that any promise to insure Bul garia's future independence not include a commitment by the United States to future military support. 6 9 During the British-Soviet negotiations in October which finally pro duced the armistice agreement, Ambassador Harriman par ticipated only as an observer.70 When the Soviet Union refused to include in the armistice terms a reference to an equal voice for the three powers in the Allied Control Commission after the termination of hostilities, the United States raised no objection. 71 However, by the time the Hungarian armistice negotia tions began in December 1944, American officials were in creasingly distressed by the manner in which the armistice provisions were being implemented in Rumania and Bul garia. The rights and responsibilities of the American rep resentatives in these countries remained undefined; the Soviet military commanders refused to consult with other members of the Allied Control Commissions prior to the issuing of statements to the Bulgarian and Rumanian govβδ For the British and United States draft surrender proposals for Bulgaria in July 1944, see FR, 1944, in, pp. 340-44, 346-47. 69 T h e Joint Chiefs of Staff to the Secretary of State, September 6, 1944, FR, 1944, in, pp. 397-98. 10 For Ambassador Harriman's reports from Moscow and Ambassador Winant's reports from London, see FR, 1944, in, pp. 457-81. The armistice agreement with Bulgaria was signed at Moscow October 28, 1944. For the texts, see The Department of State Bulletin, vi (Octo ber 29, 1944), 492-94. "i Ambassador Harriman to the Secretary of State, October 17, 1944, FR, 1944, in, p. 459; Secretary of State Hull to Ambassador Winant, October 21, 1944, FR, 1944, in, pp. 469-70.
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ernments. Consequently, the United States government undertook a somewhat more active role in the Hungarian armistice negotiations. In October 1944, Harriman was formally instructed to join with the British and Soviet representatives in Moscow to draft the Hungarian surrender terms.72 The United States government expressed its opposition to the excessive Soviet reparation demands for Hungary and opposed the Soviet desire to state a fixed reparations sum. Further, the government sought to define the rights and prerogatives of the Soviet military and political representatives in Hungary and to include in the armistice provision for equal participation in the Allied Control Commission of the three governments following the end of hostilities with Germany. 73 When the Soviets refused to alter their proposals, the United States did not push its demands to the point of not signing the armistice agreement but did send a special note of reservation to the British and Soviet governments stating that it might be necessary at some later date to reopen the discussions regarding implementation of this agreement on the functioning of the Allied Control Commission.74 72 Secretary of State H u l l to A m b a s s a d o r H a r r i m a n , O c t o b e r 7, 1944, FR, 1944, H I , p . 897. T h e first draft of t h e U n i t e d States p r o p o s a l s for t h e H u n g a r i a n s u r r e n d e r t e r m s was p r e p a r e d by t h e W o r k i n g Security C o m m i t t e e i n J u l y 1944. See FR, 1944, m , p p . 883-87. 73 Secretary of State H u l l t o A m b a s s a d o r H a r r i m a n , O c t o b e r 14,
1944, FR, 1944, HI, p. 907; Memorandum of a Conversation, by the Associate Chief of the Division of Financial and Monetary Affairs, Luthringer, October 21, 1944, FR, 1944, HI, pp. 917-18; Acting Secretary of State Stettinius to the United States Charge in the Soviet Union, George Kennan, November 2, 1944, FR, 1944, in, pp. 922-25; Secretary of State Hull to Ambassador Harriman, December 29, 1944 and January 3, 1945, FR, 1944, in, pp. 943-44, 954-55. « Ambassador Harriman to Soviet Commissar for Foreign Affairs Molotov, January 20, 1945, FR, 1945, iv, p. 800. See also Memorandum for the Secretary of State from the Division of Southern European Affairs, "The Hungarian Armistice," January 22, 1945, Records of Dept. of State, Decimal File 740.00119 Control (Hungary)/1-2245. T h e armistice agreement with Hungary was signed at Moscow January 20, 1945, and the texts are printed in The Department of State Bulletin, VH (January 21, 1945), 83.
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During the course of these negotiations, the Departments of War and State worked very closely together in the definition of United States proposals. No major differences of opinion arose. Limitations placed on United States military operations in this part of the world in large part determined the characteristics of United States policy and severely constrained any initiatives to modify Soviet demands. Consequently, the United States accepted without question Soviet proposals for the instruments of surrender, the primary role of the Soviet government in negotiating the armistices, and complete Soviet control of implementation of the agreements until the end of the war. In its policies toward Rumania, Bulgaria, and Hungary, the United States government was willing to follow the precedents established by the British and American governments in their actions in Italy during 1943 and in effect acceded to Soviet predominant postwar political, military, and economic influence in these three countries. V Two seemingly contradictory United States policies toward the Eastern European countries appeared during 1944. While opposed in principle to the establishment of spheres of influence in Europe, the United States government, by its actions and inaction, in effect granted the Soviet Union such a sphere of influence in Eastern Europe. If American officials had faced up to this contradiction, they might have changed one of these policies. They could have accepted publicly a Soviet sphere of influence in these countries, or they could have undertaken to promote the Atlantic Charter principles through more active intervention in the internal affairs of these countries. But, they did neither. These officials recognized the difficulties of applying and implementing their principles and understood that they would be forced to pursue their political aims in these countries through diplomatic pressures, not military inter170
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vention. They knew what was happening inside the various Eastern European countries and acknowledged that the Soviet Union had "primary" interests in this part of the world. However, they were not willing to admit that they would not be successful. They believed that the United States had an interest in Eastern Europe, independent of the interests of Britain and the Soviet Union, in upholding the Atlantic Charter principles and in opposing the creation of spheres of influence. United States officials never seemed concerned that through the policies of postponement and noninvolvement they were foregoing the opportunity to bring reality into conformity with their principles or that they might be confronted with faits accomplis which would ultimately block the achievement of their goals. They never worried that if they were not successful in implementing their principles they would be open to charges of irresponsibility or betrayal. Most importantly, they failed to consider the costs in terms of Soviet-American relations of continuing to promote the Atlantic Charter principles in opposition to the clear Soviet intention to establish predominant influence throughout Eastern Europe. The existence of potential conflict between the United States and the Soviet Union over the political future of now all of Eastern Europe in 1944 provoked no change in United States policies.
171
SIX
ROOSEVELT TAKES T H E INITIATIVE Y A L T A 1945
I military and political problems confronting the Allied governments around the world led President Roosevelt to travel to the meeting of the Heads of State at Yalta in February 1945 with the single-minded determination to achieve a settlement of the major outstanding differences.1 With respect to Eastern Europe, Roosevelt sought to establish a recognized role for the United States in decisions affecting this part of the world. Here, the United States had a general interest in implementing the Atlantic Charter principles and in preventing the creation of spheres of influence. In Poland, the United States particularly hoped to see established an independent and representative Polish government. Roosevelt recognized that these United States goals conflicted first with British efforts to divide Europe into security zones and secondly with Soviet desires to dictate the postwar frontier and composition of the government of Poland and more generally to exercise predominant influence in Eastern Europe. Assuming that cooperation between the Allies was not only possible but essential, Roosevelt determined at Yalta to resolve the existing disputes through his own personal diplomacy. How did he seek to T H E SERIOUS
1 Previous reasons for delay in the meeting of the three Heads of State—operations of the Soviet armies, the United States Presidential election and then Inauguration, and differences over the proposed location of the conference—no longer existed in February 1945. Churchill, Roosevelt, and Stalin met at Yalta in the Crimea from February 4 to February 11. 172
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accomplish this: by agreeing to Soviet demands, by mediating between British and Soviet desires, by compromising British, Soviet, and American differences, or by selling the United States policies of principle? II The peculiar character of Roosevelt's initiatives at the Yalta Conference were foreshadowed in the United States proposals for settlement of the problems of liberated Europe worked out between the State Department and President Roosevelt prior to the meetings of the Heads of State. In January, the Office of European Affairs of the State Department proposed that the United States recommend the establishment of a "joint temporary agency," to be called the Emergency High Commission for Europe, to insure common Allied political programs and to assist in the formation of popular governments in the liberated countries of Europe. The functions of the commission would include: creation of governments broadly representative of all elements of the population, maintenance of public order, arrangement of early free elections, and assistance in the solution of emergency economic problems. 2 State Department officials were attracted to this proposal for different reasons. The Deputy Director of the Office of European Affairs, John D. Hickerson, argued that the establishment of such a commission would reassure public opinion that the Allies would continue to cooperate in the solution of postwar problems in Europe while steps were undertaken to create an international organization. 3 Charles Bohlen of the Division of Eastern European Affairs maintained that the commission would insure joint, as opposed to sole, Soviet responsibility for the future of East2 Deputy Director of the Office of European Affairs John D. Hickerson to the Secretary of State, January 8, 1945, FR, 1945, Yalta, pp. 9396. 3 Ibid., p. 94.
!73
ROOSEVELT TAKES THE INITIATIVE
ern Europe. 4 The Secretary of State's Special Assistant on International Organization Affairs, Leo Pasvolsky, ap proved the commission because it would contribute to the creation of a general international organization. "This would be the most powerful antidote that we can devise for the rapidly crystallizing opposition in this country to the whole Dumbarton Oaks idea on the score that the future organization would merely underwrite a system of unilateral grabbing." 5 When Secretary of State Stettinius discussed the commission proposal with British Foreign Minister Eden, he emphasized the commission's value in reassuring public opinion in the United States and else where that the Allies would work together at the end of the war to solve the pressing problems of Europe. 6 Despite this strong State Department recommendation, President Roosevelt rejected the proposal for formation of yet another commission. The President considered that meetings among the Foreign Ministers could handle all problems relating to the liberated areas. Because of his own unfavorable impression of the European Advisory Com mission in London, Roosevelt opposed the establishment of a big organization which would have the tendency to perpetuate itself and achieve its own independence of action. Roosevelt's personal adviser at Yalta, James Byrnes, supported the President in his opposition. Byrnes argued that the American Congress and people would not accept such a proposal. The American public desired the immedi ate return of American troops from Europe at the end of the war. If actions of this commission were to require these troops to stay in Europe, these decisions would be extreme* Memorandum from the Division of Eastern European Affairs, Charles E. Bohlen, to the Office of European Affairs, John D. Hickerson, January 9, 1945, Records of Dept. of State, Decimal File 501.BC/ 1-945· 5 Special Assistant to the Secretary of State Leo Pasvolsky to the Secretary of State, January 23, 1945, FR, 1945, Yalta, p. 101. β Meeting of the Foreign Ministers, Eden and Stettinius, February 1, 1945, FR, 1945, Yalta, p. 503.
174
YALTA 1945 Iy unpopular. Byrnes maintained that the American people would be loath to assume responsibilities in regard to the internal problems of the liberated countries, especially in Eastern Europe, that a standing commission would inevitably entail. 7 These concerns, however, did not lead—as political realism might have required—to a complete abdication by Roosevelt of any United States interest in postwar Europe. Having rejected a High Commission for Europe, Roosevelt seized upon the draft declaration of Allied goals for liberated Europe attached to the commission proposal. Vaguely worded, this declaration reaffirmed Allied faith in the principles of the Atlantic Charter and expressed the intention of the Allies to see established in liberated Europe representative governments through the holding of free elections. Roosevelt suggested that this declaration form the basis of American initiatives at Yalta to solve the postwar problems of liberated Europe. The declaration was acceptable to Roosevelt since it represented a reiteration of the United States commitment to the Atlantic Charter principles and required no specific American involvement in the affairs of the individual European countries. At the same time, public opinion would be reassured by this indication of the Allied intention to pursue a joint policy toward liberated Europe. 8 Thus, while willing to take the initiative to promote 7
Roosevelt's and Byrnes' reactions to the Emergency High Commission in Europe can be found in: U.S. Department of State, Postwar Foreign Policy Preparation, p. 394; James Byrnes, Speaking Frankly (New York: Harper S: Brothers, 1947), pp. 33-34; Edward R. Stettinius, Jr., Roosevelt and the Russians: The Yalta Conference, ed. Walter Johnson (Garden City: Doubleday & Co., 1949), pp. 88-89; Meeting of the President with his Advisers, February 4, 1945, FR, ig45, Yalta, pp. 566-67; Informal Discussions of the United States Delegation, February 4, 1945, FR, 1945, Yalta, pp. 569-70; Secretary's Staff Committee Meeting, February 23, 1945, Records of Dept. of State, Lot 122, Box 58. s Ibid.
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ROOSEVELT TAKES THE INITIATIVE
agreements between the Allies at Yalta, Roosevelt focused on proposals to achieve Allied acceptance of previous United States policy, or the Atlantic Charter principles. He rejected the proposal for a temporary agency which could have promoted implementation of those goals in Eastern Europe for fear of committing the United States to use military action to obtain these goals and of involving the government in the internal political problems of the area.9 Ill At Yalta, President Roosevelt's determination to take the initiative to resolve the outstanding differences between the Allies in Eastern Europe was most apparent in his recommendations and actions on Poland. Prior to the Conference, the British, Soviet, and American governments had postponed discussion of the Polish question since no solution seemed possible until the meeting of the Heads of State.10 No indication of a change in any of the policies of the three Allies had appeared. The United States refused to recognize the Lublin government until more conclusive evidence existed that the government was representative of the wishes 9 Roosevelt's rejection of the Emergency High Commission for Europe is never mentioned by certain revisionist writers (Gar Alperovitz, David Horowitz, William A. Williams, and Gabriel Kolko) who contend that the United States government evidenced strong interest in influencing postwar events in Eastern Europe and undertook sustained initiatives to promote this influence. i° Upon recognition of the Lublin government, the Soviet Union launched a series of attacks against the Arciszewski government in London, former Polish Prime Minister Mikolajczyk, and all emigre Poles for their complicity in terrorist activities against the Red Army in Poland. On its part, the London government continued to express a willingness to discuss a frontier settlement and an alliance with the Soviet Union but objected to a unilateral Soviet solution to the Polish question. The State Department commented to the President, "The [Polish] proposals do not appear to offer any real basis for an approach to the Soviet Government." Acting Secretary of State to the President, January 23, 1945, FR, 1945, Yalta, p. 227.
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YALTA 1945 of the Polish people. 11 During their discussion of the Polish question prior to the Yalta Conference, Secretary Stettinius and British Foreign Minister Eden "agreed that a deadlock would be bad but that a simple recognition of the Lublin Provisional Government would be even worse."12 They considered that a continuation of the conflict between the Allies would be less objectionable than selling out the basic principles of British and American policy. The two governments sought the establishment of a strong, free, and democratic Poland. President Roosevelt began discussion of the Polish problem at Yalta by accepting the Curzon Line as the eastern frontier of Poland. 13 Roosevelt did not hinge this acceptance on any other conditions. He proposed, but did not insist, that Stalin grant a concession to the Poles by leaving within postwar Poland the city and oil fields of Lwow. The Polish western frontier with Germany was not mentioned. 14 Roosevelt thereby gave up previous American insistence upon postponement of all territorial settlements until after the war and opposition to Soviet unilateral determination of its western frontier. Moreover, he clearly violated the Atlantic Charter principle on postwar territorial changes. He agreed, without debate, to what had been the Soviet territorial demand in Poland since 1941. Roosevelt determined to concentrate on what he considered to be the most important issue: the establishment of 11 Briefing Book Papers, "Suggested United States Policy Regarding Poland," January 1945, FR, 1945, Yalta, pp. 230-34. 12 Meeting of the Foreign Ministers, Eden and Stettinius, February 1, 1945, FR, 1945, Yalta, p. 500. 13 For a detailed account of the day-by-day proceedings of the Conference see: FR, 1945, Yalta, pp. 667-948 and Diane Shaver Clemens, Yalta (New York: Oxford University Press, 1970), passim. 1* Plenary Meeting, February 6, 1945, FR, 1945, Yalta, p. 667. It was Stalin who first raised the possibility of compensating the Poles with territory in Germany. Eventually, the three governments agreed to postpone delineation of the western frontier of Poland until the final peace conference with Germany. For further discussion of the western frontier question, see H. Feis, Churchill Roosevelt Stalin, pp. 524-25.
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ROOSEVELT TAKES THE INITIATIVE
a government in Poland which would command the support of the three great powers and would include members of all Polish political groups. Roosevelt focused on the political question (as opposed to the territorial question) involved in the dispute, specifically the composition of the future Polish government. He emphasized the need to implement the Atlantic Charter principle which maintained the right of all peoples to choose their own form of government. He recommended that this principle be fostered through the creation of a new interim government representative of all five political parties and the holding of free elections.15 Prime Minister Churchill concurred in Roosevelt's recommendation for the formation of a provisional Polish government composed of London and Lublin Poles. He recalled that Britain had gone to war to protect the security of Poland against German aggression. While Britain had no materia] interest in Poland, "the question was one of honor." 1 " The British government would never be content with a solution which did not leave Poland a free and independent state.17 Of particular concern to Churchill was the inability of the British government to attain accurate information on the situation inside Poland. Churchill proposed that the British and United States governments be I^ Roosevelt's proposals on Poland were presented first at the plenan meeting February 6, 1945 (FR, 1945, Yalta, p. 667) and then in a lettei to Stalin that evening (ibid., pp. 727-28). Roosevelt emphasized in the letter, "I am determined that there shall be no break between ouiselves and the Soviet Union. Surely there is a way to reconcile our differences." At Yalta, Roosevelt was willing to discuss the Polish question and conclude agreements regarding the future composition of the Polish government without the participation of the Poles themselves. It was Stalin this time who argued that no final agreement could be concluded without the approval of the Poles. Roosevelt then agreed to Stalin's proposal that representative Poles be invited to Yalta, but time did not permit. FR, 1945, Yalta, pp. 669-70, 728. 1« Plenary Meeting, February 6, 1945, FR, 1945, Yalta, p. 668. 17 Ibid.
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allowed to send observers into Poland to report on events inside that country. 18 Stalin replied that the question of Poland for the Soviet Union was one both of honor and security. It was one of honor because Russians had many past grievances against Poland which they desired to have eliminated. In addition, Soviet strategic security required friendly relations between Poland and the Soviet Union. During the war, Red Army lines of communication and supply in Poland had to be protected. After the war, Poland had to be established as a bulwark against German aggression since throughout his tory Poland had been a corridor for attack against the Soviet Union. With respect to the Polish-Soviet frontier, Stalin insisted that the Curzon Line, although recom mended by Clemenceau at the Versailles Conference in 1919 without Soviet participation, could not be modified. Stalin reaffirmed his desire to see a strong, independent, and democratic Poland created; but he added that the for mation of any Polish government required participation by the Poles themselves.19 The areas of agreement and disagreement between the Allies were immediately obvious. The Polish eastern fron tier question was settled. Each government approved, at least verbally, the others' principles. They espoused the same overall goals of creating a free, strong, and independ ent Poland which would maintain friendly relations with the Soviet Union. They further agreed upon the need to construct an interim Polish government representative of the country's various political parties prior to the holding of free elections. Roosevelt was preoccupied with the question of free elec tions. He continually asked Churchill and Stalin their opinion as to when free elections would be held in Poland. When they both agreed that free elections would occur within one or two months after the end of the war, Roose18 Ibid.,
p. 671.
ie Ibid., p p . 669-70.
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velt concluded that "the only problem is how to govern in the meantime for a relatively few months" and their differences really came down to a matter of wording.20 Yet serious disagreement did exist over the composition or control of the interim Polish government. The Soviet Union insisted upon the reorganization of the functioning Polish government in Lublin through inclusion of Poles from outside Poland. Foreign Minister Molotov maintained that it was impossible not to recognize certain realities in the Polish situation. It was essential that the Lublin government be enlarged by the addition of other democratic elements from within Poland and abroad. He was most concerned to maintain stability in the country and to protect the rear lines of the Red Army. Formation of a presidential committee or any other new interim government was simply not feasible; expansion of the existing government was the only practical solution. 21 In contrast, the American and British governments sought the creation of an entirely new Polish interim government composed of representatives of all the various groups inside and outside Poland. Churchill argued that the Lublin government did not enjoy the respect of the Polish people and should not form the sole basis of the provisional government. Before the British government could transfer recognition from the lawful government in London, it would have to be convinced that the government represented all elements of opinion in Poland and had been created with the pledge to hold an election on the basis of universal suffrage and by secret ballot. Only through the establishment of a new Polish government would this be achieved.22 20 P l e n a r y M e e t i n g s , F e b r u a r y 8, 1945 a n d F e b r u a r y 9, 1945, FR, 1945, Yalta, p p . 788, 851. A p p a r e n t l y , Roosevelt actually believed at
the time of this meeting that the major differences on Poland had been settled. 21 Plenary Meeting, February 8, 1945, FR, 1945, Yalta, pp. 776-77. 22 Ibid.,
p p . 778-79.
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The preference of the United States government was also for the formation of an entirely new Polish government. Secretary Stettinius seemed determined to prevent acceptance of the Soviet proposal that the Lublin government simply be enlarged.23 Instead, the United States recommended the establishment of a Presidential Committee, to be composed of Polish leaders, which would represent the Presidential Office and would "undertake the formation of a government consisting of representative leaders from the present Polish provisional government in Warsaw, from other democratic elements inside Poland, and from Polish democratic leaders abroad." 24 The United States was not pushing for inclusion of any member of the Arciszewski government in London. American officials recognized that the time had passed when a fusion of the London and Lublin governments might be achieved. They hoped to foster a representative government by drawing upon individual Polish leaders from London and inside Poland. They were particularly anxious that former Prime Minister Mikolajczyk play a leading role in the new government.25 Stalin and Molotov argued that a Presidential Com23 Ibid., p. 778. According to Stettinius, Roosevelt and the Russians, p. 215, he passed a note to the President during this meeting which read: "Mr. President, Not to enlarge—Lublin but to form a new Gov. of some kind." 2* United States Proposal on Poland, February 8, 1945, FR, 1945, Yalta, pp. 792-93. Prior to the Yalta meeting, former London Polish Prime Minister Stanislaw Mikolajczyk presented his views for a possible solution to the Polish problem. One alternative suggested by Mikolajczyk was the establishment of a "presidential council" to be composed of "the most widely known leaders and representatives of political life, the churches and science." This "presidential council" would determine the number and names of the parties to be represented in the new Polish government. Mikolajczyk's ideas were sent to the Secretary of State, January 27, 1945 (FR, 1945, v, pp. 115-21) and were transmitted to President Roosevelt at Yalta bv Charles Bohlen (Witness to History, p. 170). 25 See Briefing Book Papers, "Suggested United States Policy Regarding Poland," FR, 1945, Yalta, pp. 230-31. 181
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mittee was completely unnecessary. A national council, which could be expanded, already existed in the Lublin government. 26 Stettinius responded by proposing that the interim "Polish Government should be based upon the old government and also on the democratic leaders which will be brought in." 27 Still, the Soviet government objected. When this Soviet opposition to the Presidential Committee threatened to prevent Allied approval of any Polish settlement, Roosevelt withdrew the American proposal. What might have been the specific means to insure the establishment of a new Polish interim government was dropped when it threatened to obstruct final Allied agreement. In the Yalta communique on Poland, the differences between the two Allies on the question of the composition of the interim Polish government were fudged over by references to both a "new" and "reorganized" government: We came to the Crimea Conference resolved to settle our differences about Poland. We discussed fully all aspects of the question. We reaffirm our common desire to see established a strong, free, independent and democratic Poland. As a result of our discussions we have agreed on the conditions in which a new Polish Provisional Government of National Unity may be formed in such a manner as to command recognition by the three major powers. The agreement reached is as follows: "A new situation has been created in Poland as a result of her complete liberation by the Red Army. This calls for the establishment of a Polish Provisional Government which can be more broadly based than was possible before the recent liberation of western Poland. The Provisional Government which is now functioning in 26 Plenary Meeting, February 8, 1945, FR, 1945, Yalta, p. 778. 2? Meeting of the Foreign Ministers, February 9, 1945, FR, 1945, Yalta, p. 807. 182
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Poland should therefore be reorganized on a broader democratic basis with the inclusion of democratic leaders from Poland itself and from Poles abroad. This new Government should then be called the Polish Provisional Government of National Unity. "M. Molotov, Mr. Harriman and Sir A. Clark Kerr are authorized as a Commission to consult in the first instance in Moscow with members of the present Provisional Government and with other Polish democratic leaders from within Poland and from abroad, with a view to the reorganization of the present Government along the above lines. This Polish Provisional Government of National Unity shall be pledged to the holding of free and unfettered elections as soon as possible on the basis of universal suffrage and secret ballot. . . ."28 Roosevelt's desire for an overall Polish agreement also blocked further American initiatives to include in the communique a statement that upon formation of a provisional Polish government and recognition by the Allies "the Ambassadors of the three powers in Warsaw following such recognition would be charged with the responsibility of observing and reporting to their respective Governments on the carrying out of the pledge in regard to free and unfettered elections."29 Initially, Roosevelt informed Stalin that it was "very important for him in the United States that there be some gesture made for the six million Poles there indicating that the United States was in some way involved in the question of freedom of elections."30 Stalin replied that such a statement would be offensive to the Poles as it would imply that they were under the control of the 28 Communique Issued at the End of the Yalta Conference, "Poland," FR, 1945, Yalta, p. 973. 29 United States Proposal Regarding the Polish Government, February 9, 1945, FR, 1945, Yalta, p. 816. This provision appeared for the first time in the American proposal of February 9, 1945. Roosevelt did not, however, propose Allied supervision of the Polish elections. so Plenary Meeting, February 9, 1945, FR, 1945, Yalta, p. 846.
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Allied diplomatic representatives. Further, the normal functions of ambassadors were to report to their governments.31 This Soviet opposition led Roosevelt to withdraw the proposal with the understanding that he would be free to make any statement he felt necessary relating to the receiving of information from the United States Ambassador in Poland. 32 The British did continue to seek Soviet permission for the Ambassadors to verify the holding of free elections, but to no avail.33 Roosevelt refused to press for any such American involvement.34 Roosevelt was satisfied to achieve general Allied agreement to the formation of a democratic and representative Polish government through the holding of free elections after the war. Proposals to insure the implementation of this overall goal—the establishment of a Presidential Council and Allied responsibility for verifying of the holding of free elections—were withdrawn when they threatened to prevent any agreement on Poland. IV In addition to suggestions for the solution of the Polish problem, Roosevelt recommended at Yalta that the Allies agree to implement in liberated Europe the principles of the Atlantic Charter. Roosevelt proposed that the British and Soviet governments accept the principles which the si Meeting of the Foreign Ministers, February 9, 1945, FR, 1945, Yalta, p. 806. 32 M e e t i n g of t h e F o r e i g n Ministers, F e b r u a r ) Yalta, p . 872. 33 Ibid.
10, 1945, FR,
1945,
3* H. Feis, Churchill Roosevelt Stalin, p. 529, states that a provision for international supervision of the elections would have been the only effective guarantee of the establishment of a truly representative government in Poland. He implies that Roosevelt never proposed this because it was obvious that Stalin would reject it. Such a perception may have led initially to what Feis describes as the more "deferential" proposal on Ambassadors but surely it would not have led so quickly to Roosevelt's withdrawal of the proposal completely.
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YALTA 1945 United States had been promoting with regard to Eastern Europe throughout the war: joint Allied responsibility for the problems of liberated Europe, the formation of representative governments, and the holding of free elections. The British and Soviets quickly agreed.35 The communique of the Yalta Conference stated: We have drawn up and subscribed to a Declaration on liberated Europe. This Declaration provides for concerting the policies of the three Powers and for joint action by them in meeting the political and economic problems of liberated Europe in accordance with democratic principles. The text of the Declaration is as follows: "The Premier of the Union of Soviet Socialist Republics, the Prime Minister of the United Kingdom, and the President of the United States of America have consulted with each other in the common interests of the peoples of their countries and those of liberated Europe. They jointly declare their mutual agreement to concert during the temporary period of instability in liberated Europe the policies of their three governments in assisting the peoples liberated from the domination of Nazi Germany and the peoples of the former Axis satellite states of Europe to solve by democratic means their pressing political and economic problems. "The establishment of order in Europe and the rebuilding of national economic life must be achieved by processes which will enable the liberated peoples to destroy the last vestiges of Nazism and Fascism and to create democratic institutions of their own choice. This is a 35 T h e British government did exempt the British Empire from the jurisdiction of the Atlantic Charter principles. Plenary Meeting, February 9, 1945, FR, 1945, Yalta, p. 848. T h e Soviet government proposed, then withdrew following Stettinius' objection that it was not pertinent to the declaration, the following amendment: "In this connection, support will be given to the political leaders of those countries which have taken an active part in the struggle against the German invaders." FR, 1945, Yalta, p. 848.
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principle of the Atlantic Charter—the right of all peoples to choose the form of government under which they will live—the restoration of sovereign rights and selfgovernment to those peoples who have been forcibly deprived of them by the aggressor nations. "To foster the conditions in which the liberated peoples may exercise these rights, the three governments will jointly assist the people in any European liberated state or former Axis satellite state in Europe where in their judgment conditions require (a) to establish conditions of internal peace; (b) to carry out emergency measures for the relief of distressed people; (c) to form interim governmental authorities broadly representative of all democratic elements in the population and pledged to the earliest possible establishment through free elections of governments responsive to the will of the people; and (d) to facilitate where necessary the holding of such elections. "The three governments will consult the other United Nations and provisional authorities or other governments in Europe when matters of direct interest to them are under consideration. "When, in the opinion of the three governments, conditions in any European liberated state or any former Axis satellite state in Europe make such action necessary, they will immediately consult together on the measures necessary to discharge the joint responsibilities set forth in this declaration. "By this declaration we reaffirm our faith in the principles of the Atlantic Charter, our pledge in the Declaration by the United Nations, and our determination to build in cooperation with other peaceloving nations a world order under law, dedicated to peace, security, freedom and the general well-being of all mankind." 36 36 Communique Issued at the End of the Yalta Conference, "Declaiation on Liberated Europe," FR, 1945, Yalta, pp. 971-72.
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Roosevelt, however, refused to recommend machinery for implementing these principles. He accepted without com ment Molotov's suggestion that his draft words "they will immediately establish appropriate machinery for the carry ing out of the joint responsibilities set forth in this declara tion" be replaced by "they will immediately take measures for the carrying out of mutual consultation." 3 7 Having achieved agreement to the general goals of Allied policy toward Eastern Europe, Roosevelt showed no inter est in the individual questions in Eastern Europe raised by the British government. Roosevelt seemed bored with Churchill's efforts to promote the formation of an interim Yugoslav government and refused to associate the United States government with any agreement on Yugoslavia until he realized that the draft communique was so vague that it involved no American responsibility for the political future of Yugoslavia.38 The President never pressed for a definition of the rights of American and British representa tives on the Allied Control Commissions in Rumania, Bul garia, and Hungary despite the State Department's recom mendation that the status and responsibilities of United States representation be clarified.39 Roosevelt displayed no concern with the individual problems erupting in Eastern Europe once the Allies had agreed on the overall principles for liberated Europe. 37 M e e t i n g of t h e F o r e i g n
Ministers, February
i o , 1945, FR,
1945,
Yalta, p . 873. 38 P l e n a r y M e e t i n g , F e b r u a r y 10, 1945, FR,
1945, Yalta, p . 900; C o m
m u n i q u e Issued a t t h e E n d of t h e Yalta C o n f e r e n c e , " Y u g o s l a v i a , "
FR,
1945, Yalta, p . 974. 39 Briefing Book P a p e r s , " A m e r i c a n P o s i t i o n o n Allied C o n t r o l C o m missions
in
R u m a n i a , Bulgaria,
Hungary," January
1945, FR,
1945,
Yalta, p p . 238-39. See also M e m o r a n d u m for t h e P r e s i d e n t , f r o m Sec r e t a r y of State S t e t t i n i u s , " U n i t e d States P o l i t i c a l D e s i d e r a t a i n R e g a r d to t h e F o r t h c o m i n g M e e t i n g , " J a n u a r y 43. G a b r i e l Kolko, The argues
Politics
that the "Americans
of
went
War,
18, 1945, FR,
1945, Yalta, p .
p . 404, is i n c o r r e c t w h e n
to Yalta d e t e r m i n e d
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V President Roosevelt went to the Yalta Conference determined to resolve the outstanding Allied differences in Eastern Europe. In terms of his own aims—approval of joint Allied responsibility for implementing the Atlantic Charter principles in liberated Europe and Allied agreement to the establishment of a representative and independent government in Poland—Roosevelt thought he had been successful. It was this success that he reported to the American people in an address to the nation upon his return. Roosevelt emphasized that the Allies had made a good start along the long road to world peace. He stated that previous commitments to spheres of influence in opposition to international collaboration had been ended. The political problems of Europe had become Allied problems, and the commitment of the three governments to collaboration through the creation of an international organization had been reaffirmed. While the United States could no longer avoid responsibility for participation in the establishment of a stable postwar peace, the basis of this peace would be international cooperation.40 Roosevelt announced that the Yalta agreements provided for the formation of interim governments in the liberated countries of Europe which would be democratic and would be committed to the holding of free elections as soon as possible. On the Polish question, Roosevelt reported that the major differences between the Allies had been resolved. According to Roosevelt, "at the end, on every point, unanimous agreement was reached. And more important even existing Allied Control Commissions structure modeled on the Italian precedent." T h e State Department never recommended this and the President certainly never sought to achieve it at Yalta. 40 President Roosevelt's Address to the Congress Reporting on the Yalta Conference, March i, 1945, The Public Papers and Addres&es 0) Franklin D. Roosevelt, 1944-1945, comp. Samuel Rosenman (New York: Harper & Brothers, 1950), pp. 570-86.
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than the agreement of words, I may say we achieved a unity of thought and a way of getting along together." 41 Roosevelt proclaimed that free elections would be held in Poland after the war and that the United States would not detour from its commitment to help create a strong, independent, and prosperous Polish nation with a government ultimately to be selected by the Polish people themselves: T o achieve that objective, it was necessary to provide for a new government much more representative than had been possible while Poland was enslaved. There were, as you know, two governments—one in London, one in Lublin—practically in Russia. Accordingly, steps were taken at Yalta to reorganize the existing Provisional Government in Poland on a broader democratic basis, so as to include democratic leaders now in Poland and those abroad. This new, reorganized government will be recognized by all of us as the temporary government of Poland. Poland needs a temporary government in the worst way—an ad interim government, I think is another way of putting it.42 41 Ibid., p. 573. 42 Ibid., p p . 581-82. Roosevelt's r e p o r t to t h e n a t i o n d i d n o t clarify t h e exact n a t u r e of t h e c o m p o s i t i o n of t h e n e w Polish g o v e r n m e n t any m o r e t h a n t h e Yalta c o m m u n i q u e . B o t h " n e w " a n d " r e o r g a n i z e d " w e r e used to describe t h e Polish i n t e r i m g o v e r n m e n t . I n t e r p r e t a t i o n s of State D e p a r t m e n t officials u p o n t h e i r r e t u r n w e r e n o clearer. H . F r e e m a n M a t t h e w s of t h e E u r o p e a n Division r e p o r t e d , " T h e p r i n cipal difficulty was in g e t t i n g t h e R u s s i a n s to set u p a n y t h i n g resemb l i n g a ' n e w ' g o v e r n m e n t . T h e y w a n t e d to e m p h a s i z e t h e L u b l i n Gove r n m e n t . Finally t h e a g r e e m e n t was r e a c h e d p r o v i d i n g for a new g o v e r n m e n t to be w o r k e d o u t by a c o m m i t t e e of H a r r i m a n , C l a r k - K e r r , a n d M o l o t o v . " Secretary's Staff C o m m i t t e e M e e t i n g F e b r u a r y 23, 1945, R e c o r d s of D e p t . of State, L o t 122, Box 58. C h a r l e s B o h l e n in notes to S a m u e l R o s e n m a n for p r e p a r a t i o n of t h e P r e s i d e n t ' s speech to t h e n a t i o n stated t h a t a c o m p r o m i s e was r e a c h e d w h e r e i n " t h e L u b l i n g o v e r n m e n t w o u l d b e revised by t h e N E W G o v e r n m e n t . . . ." M e m o r a n d u m February 18, 1945, R o s e n m a n P a p e r s , F r a n k l i n D. Roosevelt Library.
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Roosevelt admitted that the agreements on Poland's eastern frontier were frankly a compromise, but he concluded that the Allied agreement for establishment of a representative Polish government prior to the holding of free elections was most critical to the future of Poland. 43 The peculiar way Roosevelt explained the Yalta agreements to the American public provided no indication of any continuing differences that might have been submerged or fudged over by the Allies. He gave the impression that real agreements had been achieved; that United States principles had not been compromised; and that potential conflict between the Allies over Eastern Europe had been averted. Roosevelt's conclusion that the Yalta Conference had indeed been a success was shared by other American officials as well. They believed that they had forged a Polish settlement and that the Soviets had agreed to implement the Atlantic Charter principles in Eastern Europe. They considered that they had gotten as much as they could from Stalin on Poland and were pleased that he had agreed so easily to the Declaration on Liberated Europe. 44 Charles E. Bohlen in his notes to Samuel Rosenman for preparation of the President's speech to the nation stated: the Polish agreement offers "the best chance under the present circumstances for a free, independent, and prosperous Polish state."45 Initially, no one appeared skeptical as to the meaning of the Soviet agreements.46 Harry Hopkins recorded: 4 3 P r e s i d e n t Roosevelt's Address to t h e Congress, p p . 5 8 2 - 8 3 . 44 I n t e r v i e w s w i t h C h a r l e s E. B o h l e n , J o h n C. C a m p b e l l , Llewellyn E. T h o m p s o n , E l b r i d g e D u r b r o w . 45 C h a r l e s E. B o h l e n , " M e m o r a n d u m for S a m u e l R o s e n m a n , " F e b r u ary 18, 1945, R o s e n m a n P a p e r s . 46 A d m i r a l W i l l i a m Leahy, I Was There, p p . 315-16, r e p o r t s his a n d Roosevelt's r e a c t i o n to t h e Yalta a g r e e m e n t s o n P o l a n d as follows: " I saw t h e n o w - f a m i l i a r phrases such as ' s t r o n g , free, i n d e p e n d e n t a n d d e m o c r a t i c P o l a n d . ' . . . I felt strongly t h a t it was so susceptible to different i n t e r p r e t a t i o n s as to p r o m i s e little t o w a r d t h e e s t a b l i s h m e n t of a g o v e r n m e n t in w h i c h all t h e m a j o r Polish political p a r t i e s w o u l d be r e p r e s e n t e d . I h a n d e d t h e p a p e r back to Roosevelt a n d said, ' M r .
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We really believed in our hearts that this was the dawn of the new day we had all been praying for and talking about for so many years. We were absolutely certain that we had won the first great victory of peace—and, by "we," I mean all of us, the whole civilized human race. The Russians had proved that they could be reasonable and farseeing and there wasn't any doubt in the minds of the President or any of us that we could live with them and get along with them peacefully for as far into the future as any of us could imagine. 47 The Director of the Office of European Affairs, H. Freeman Matthews, reported to the Secretary's Staff Committee, "the general atmosphere of the Conference was extremely good and it was clear throughout that the Russians genuinely wished to reach agreement." 48 Although Stalin may have interpreted the vagueness and generality of the agreements at Yalta as American and British acceptance of a Soviet free hand in Eastern Europe, this was not the interpretation of United States officials. VI Roosevelt went to Yalta to promote agreements between the Allies for the postwar world, and he thought he had President, this is so elastic that the Russians can stretch it all the way from Yalta to Washington without ever technically breaking it.' T h e President replied, Ί know, Bill—I know it. But it's the best I can do for Poland at this time.' " These reactions are interesting if true. However, this passage does not appear at any place in the Leahy Diary, Library of Congress, and is perhaps rather Leahy's interpretation of the Polish agreement from hindsight. Leahy did, however, note in his Diary February 11, 1945, "One result of enforcing the peace terms accepted at this conference will be to make Russia the dominant power in Europe, which in itself carries a certainty of future international disagreements and prospects of another war." *7 Robert Sherwood, Roosevelt and Hopkins, p. 870. 48 Secretary's Staff Committee Meeting, February 23, 1945, Records of Dept. of State, Lot 122, Box 58.
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been successful. Roosevelt believed that the time was ripe for concentration on the establishment of international cooperation and the resolution of as many outstanding disputes as possible. At Yalta, he sought agreements not only for the political future of Eastern Europe, but also for the surrender, occupation, and control of Germany, the formation of an international organization, and the defeat and surrender of Japan. No area of the world was neglected when Roosevelt undertook to break the impasses which had developed between the three Allied governments. Throughout the discussions, Roosevelt was practical, realistic, and ready to strike bargains to achieve the settlements which he thought to be so crucial to the Allied governments. Roosevelt continually refused to be bound by any one set of principles or goals when he confronted the many different problems. He addressed the individual questions in dispute. He struck a bargain between the United States and Soviet governments for Russian participation in the war against Japan. Roosevelt bartered strategic territories in China for Soviet military involvement in the war in the Pacific. With respect to China, Roosevelt made the same type of secret treaty with the Soviet Union which the British and French governments had negotiated with Italy during World War I. Roosevelt was prepared to violate in the Far East, when he felt the necessity of insuring Soviet military participation in the defeat of Japan, the very principles he sought to promote in Eastern Europe. Even with respect to Eastern Europe, flexibility characterized Roosevelt's approach. At Yalta, Roosevelt put aside the previous American commitment to postponement of all postwar political and territorial settlements in Eastern Europe and the posture of noninvolvement in the internal political problems erupting in these countries. Roosevelt proclaimed that the United States had to be considered in the determination of the political future of these countries and the time was ripe to begin. He agreed to the Curzon Line as the eastern frontier of Poland, thus violating the 192
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Atlantic Charter principle which committed the Allied gov ernments to no territorial changes that did not accord with the freely expressed wishes of the peoples concerned. Fur ther, he approved the reorganization of the London Pol ish government without the participation of the Poles themselves. Why was Roosevelt so ready to take initiatives on Poland and all of Eastern Europe in contrast to an earlier posture of noninvolvement? Primarily, the President saw the world to be on the eve of a European peace. He was now free of his earlier preoccupation with military strategy and the Presidential election; and the American public was ready to support new actions. Reports of public opinion revealed approval for stronger initiatives and rising criticism over British and Russian unilateral efforts on behalf of their favorite factions in Eastern Europe. 4 9 Further, indications appeared that "while opposed to the principle of 'inter ference' in the politics of liberated countries, sentiment [seemed] to prefer a 'more active' U.S. policy if this be nec essary to assure a fair deal for the smaller countries." 5 0 After deciding to take the initiative, why did Roosevelt seek the particular types of agreements he did at Yalta? Why did Roosevelt so readily meet Stalin's demand for the Curzon Line and undertake to dictate a reorganization of the Polish government? Obviously these actions followed from earlier sympathies held by Roosevelt and members of 49 Memorandum for the President from Secretary of State Stettinius, "Latest Opinion Trends in the U.S.A.," January 6, 1945, President's Secretary's File, Roosevelt Papers. 50 Memorandum for the President, "American Public Opinion on Selected Questions," January 16, 1945, President's Secretary's File, Box 28, Roosevelt Papers. In February after the meetings, the State Depart ment informed the President that a survey of the Office of Public Opinion Research, Princeton University, revealed that an "overwhelm ing majority of Americans feel that the United States should have 'as much to say as our British and Russian allies in the settlement of various European problems growing out of the war.' " Memorandum for the President from Acting Secretary of State Grew, February 24, 1945, Records of Dept. of State, Decimal File 711.00/2-2445.
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the State Department in favor of such changes in previous American policy toward Poland. Further, postponement of all frontier settlements now no longer appeared to be a viable or adequate policy as the war approached its end. American officials recognized the need for a more positive United States policy if any American goals were to be achieved. Once the policy of postponement of all territorial settlements was set aside, acceptance of the Curzon Line followed naturally. After 1942, few American officials seriously objected to Soviet demands for this frontier on the merits of the issue. The President had for some time expressed his personal sympathies for this border. No one harbored any strong opposition to this particular boundary and no one thought they could do anything to prevent the Soviets from establishing this frontier in any case. Even indications of American public opinion revealed little opposition to an end to the postponement policy and the acceptance of the Soviet frontier demands. The State Department informed the President in January that "the weight of American opinion apparently is not opposed to cession of former Polish territory to Russia, provided Poland is compensated. But the public wants Poland's consent to any territorial modification. While the Curzon Line has been found acceptable by much responsible opinion, accurate testing of the general public on this specific boundary is not feasible."51 At the time when the State Department recommended 51 Memorandum for the President, from the Department of State, "American Public Opinion on Selected Questions," January 16, 1945. D. Clemens, Yalta, pp. 180-81, following an analysis of New York Times coverage o£ the Polish question prior to the Yalta Conference describes how "support for the London government, which coincided with opposition to the Soviet-sponsored Lublin Committee in the month before Yalta, changed into open praise for the Lublin Committee as the Conference approached, and how neutrality or even hostility—toward the London government predominated b> the time of the Yalta Conference."
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United States acceptance of the Curzon Line frontier, no discussion occurred; apparently it seemed the natural thing to do. In response to the proposal for the establishment of a European Commission, the Division of Eastern European Affairs disagreed that the 1941 frontier issue constituted a "serious stumbling block in our relations with the Soviet Union and that our concern in regard to Soviet objectives in Eastern Europe relates entirely to the territorial demands of the Soviet Union. As a matter of fact the '41 frontier is no longer a real issue in relations with the Soviet Government. We have been perfectly aware that the Soviet Union will achieve these frontiers, and what is more important the Soviet Government knows we do not intend to oppose them on this point." 52 The most important motivation behind the particular American policy at Yalta, however, was the now clear perception among American officials that the critical issue in the Polish-Soviet dispute was the political composition of the postwar Polish government and not the frontier. The establishment of a free and independent Polish state with a representative government came to be the first priority. According to the State Department in January 1945, "frontier and other problems relating to Poland are secondary to this main objective."53 President Roosevelt, upon the recommendation of the State Department, determined that the way to achieve a democratic government in Poland was first to agree to a mechanism through which an interim representative government would be formed and then seek Allied approval for the holding of free elections. Then, for all of Eastern Europe, they sought promulgation of the Declaration on Liberated Europe. 52 M e m o r a n d u m from t h e Division of E a s t e r n E u r o p e a n Affairs
to
t h e Office of E u r o p e a n Affairs, J a n u a r y 9, 1945, R e c o r d s of D e p t . of State, D e c i m a l File 5 0 1 . B C / 1 - 9 4 5 . 53 M e m o r a n d u m
for t h e Secretary of State, " I n f o r m a t i o n
for Dis-
cussion: P o l a n d , " J a n u a r y 2, 1945, Roosevelt P a p e r s , P r e s i d e n t ' s Secretary's File, S t e t t i n i u s F o l d e r .
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American officials thus remained convinced of the critical need to implement the Atlantic Charter principle which insured the rights of the people to determine freely their own form of government. They still feared that competing Soviet and British policies and mutually reinforcing suspicions would prevent the application of this principle. Consequently, they directed their attention primarily toward achieving this one goal. The State Department recommended: Judging from recent indications the general mood of the people of Europe is to the left and strongly in favor of far-reaching economic and social reforms, but not, however, in favor of a left-wing totalitarian regime to achieve these reforms. . . . The character and composition of these governments is precisely the place where the Allies must have an agreed political program. These governments must be sufficiently to the left to satisfy the prevailing mood in Europe and to allay Soviet suspicions. Conversely, they should be sufficiently representative of the center and petit bourgeois elements of the population so that they would not be regarded as mere preludes to a Communist dictatorship. 54 These officials did not ignore the difficulties which they faced in achieving their goals. A report of the Territorial Subcommittee, approved by the Division of Eastern European Affairs, described how unrepresentative the Lublin Polish government was but added that "despite the dubious legality of its claims to authority, its de facto character cannot be denied, and in the end possession may well become nine points of the law."55 However, they considered the establishment of representative governments after the war desirable and believed that American public opinion 54 Briefing Book P a p e r , " L i b e r a t e d C o u n t r i e s , " J a n u a r y 1945, FR, 1945, Yalta, p . 103. 55 T e r r i t o r i a l S u b c o m m i t t e e D o c u m e n t , J a n u a r y 3, 1945 (Doc-543).
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would demand it. Hamilton Fish Armstrong asked in a memorandum to the Secretary of State: Will Russia, for example, permit the Yugoslav and Polish people to settle their own future by fair and open democratic processes (with adequate British and American participation in whatever supervision is necessary) or will they insist that a single group in each country have all the cards stacked in its favor? Even if our Government were willing to see Russian puppet regimes set up in Allied countries like Poland and Yugoslavia, the American public would be shocked and rebellious and would prevent the American government from condoning it.56 On behalf of the Division of Eastern European Affairs, Llewellyn Thompson agreed "with Mr. Armstrong's observations. It has been noted by almost all of our people who have dealt with the Russians that the high Soviet officials who are responsible for the formulation of policy do not appreciate the importance of public opinion in a democracy nor the importance of the press in the formation of public opinion."" State Department officials continually warned that if the United States did not act to establish representative governments, disillusionment among the American public over Allied postwar intentions would increase and public support for United States participation in an international organization after the war would be jeopardized. Continual references by American officials at Yalta to domestic public opinion, and particularly to Polish-American voters, "·>« H. F. Armstrong to the Secretary of State, January 20, 1945, Recoids of Dept. of State, Lot M-80, Box 2. Included in the State Department Briefing Book. 57 Memorandum from the Division of Eastern European Affaiis, Llewellyn Thompson, to Under Secretary of State Grew, February 3, 1945, Records of Dept. of State, Decimal File 761.00/2-345.
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seemed to reflect a genuine fear that the American public would become so disillusioned as to make future Allied cooperation impossible. These officials saw Allied agreement to the creation of democratic governments in Europe as the means to reassure the American public that Allied cooperation after the war would be based on the Atlantic Charter principles. Assistant Secretary of State Archibald MacLeish argued that "the wave of disillusionment which has distressed us in the last several weeks will be increased if the impression is permitted to get abroad that potentially totalitarian provisional governments are to be set up without adequate safeguards as to the holding of free elections and the realization of the principles of the Atlantic Charter." 58 MacLeish informed the Secretary's Staff Committee that same day, "the whole question of where the Atlantic Charter does apply is involved."59 With respect to Poland, Secretary Stettinius considered that a settlement of the Polish dispute was essential if the American public were to agree to United States participation in the world organization. According to Secretary Stettinius, "there had been quite a struggle in the United States on American participation in the World Organization. From the standpoint of psychology and public opinion the Polish situation was of great importance at this time to the United States."60 At Yalta, Roosevelt proclaimed the primary goal of American policy in Eastern Europe to be the establishment of representative governments through the holding of free elections. Roosevelt took the initiative to implement this goal for the same reasons as those that had led to promotion of previous United States policies. Developments in 58 Assistant Secretary of State A r c h i b a l d MacLeish to U n d e r Secretary of State G r e w , J a n u a r y 24, 1945, FR,
1945, Yalta, p p . 101-102.
59 Secretary's Staff C o m m i t t e e M e e t i n g , J a n u a r y 24, 1945, R e c o r d s of D e p t . of State, Lot 122, Box 58. 60 M e e t i n g of t h e F o r e i g n
Ministers, F e b r u a r y 9, 1945, FR,
Yalta, p . 803.
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Eastern Europe and the escalation of conflict between the Allies threatened to thwart implementation of the Atlantic Charter principles. Thus, Roosevelt at Yalta was in part a compromiser, at least on the Curzon Line; at times a mediator between Soviet and British policies; but primarily a seller of the United States conception of how the postwar world should be ordered. Roosevelt's actions represented not a radical departure from the basic goals of previous American policy but rather a change in the means by which these goals would be pursued. Roosevelt's initiatives at Yalta also did not imply a change in the willingness of the American government to become involved in postwar internal problems in Europe. Roosevelt refused to push hard for agreements to specific methods to insure the success of United States goals—establishment of a Presidential Committee, creation of a Commission to implement the principles of the Declaration on Liberated Europe, or participation in the verification of the holding of free elections in Poland—when they threatened either to undermine overall Allied agreement or to involve United States postwar commitments in Europe. Roosevelt made perfectly clear, in a conversation with Churchill and Stalin, how limited United States military power to promote United States goals in Eastern Europe would be at the end of the war. The President stated: that he did not believe that American troops would stay in Europe more than two years. He went on to say that he felt that he could obtain support in Congress and throughout the country for any reasonable measures designed to safeguard the future peace, but he did not believe that this would extend to the maintenance of an appreciable American force in Europe. 61 Roosevelt hoped that Allied cooperation and the implementation of the principles of the Declaration on Liberated 6i Plenary Meeting, February 5, 1945, FR, 1945, Yalta, p. 617.
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Europe would permit the United States to maintain a stance of postwar political and military noninvolvement in the affairs of Europe. Finally, Roosevelt's actions at Yalta did not reflect a change in responsibility for the definition of United States policy toward Eastern Europe. The State Department continued to play a major role. State Department recommendations for United States policy, collected in the Yalta Briefing Book Papers, supported positive initiatives to promote American goals in Eastern Europe. Roosevelt approved their recommendations, with the single exception of the establishment of an Emergency High Commission for Europe, and they formed the basis of Roosevelt's actions at the Yalta Conference.62 VII Prior to 1945, United States officials had been relieved by their policy of postponement of territorial and political settlements from having to define United States interests in Eastern Europe beyond the general desire to promote a peace based on implementation of the Atlantic Charter principles. Prior to the Yalta Conference, the State Department, in its recommendations for American policy toward Eastern Europe, went no further than to imply the existence of some interest: "it now seems clear that the Soviet Union will exert predominant political influence over the areas in question. While the Government probably would not want to oppose itself to such a political configuration neither would it desire to see American influence in this part of the world completely nullified."63 However, at Yalta, American interests in Eastern Europe began to be defined. The Yalta agreements now committed the three 62 See " U n i t e d States Political D e s i d e r a t a in R e g a r d to t h e F o r t h c o m i n g M e e t i n g , " FR, 1945, Yalta, p . 43. 63 Briefing Book P a p e r , " R e c o n s t r u c t i o n of P o l a n d a n d t h e B a l k a n s : A m e r i c a n Interests a n d Soviet A t t i t u d e , " FR, 1945, Yalta, p . 235. 2OO
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Allied governments to a particular type of political future for Eastern Europe. The British, Soviet, and American governments agreed to the establishment in liberated Europe of representative governments through the holding of free elections. Now, the United States government had a specific interest in seeing that these Yalta agreements were implemented. At the conclusion of the Yalta Conference, Allied goals in Eastern Europe did not appear to conflict. The differences which existed from 1941 until the Conference over the eastern frontier of Poland and the composition of the London Polish government were ended by acceptance of the Curzon Line and the reorganization of the Polish government. The potential conflict which had existed between the United States commitment to the Atlantic Charter principles and Soviet intentions to establish a sphere of influence in Eastern Europe through the creation of friendly governments also appeared to be resolved by Soviet acceptance of the Declaration on Liberated Europe. When implemented, the Polish agreements and the principles of the Declaration on Liberated Europe would form the basis of cooperative, not competing, Eastern European policies by the American, British, and Soviet governments.
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I the Yalta Conference, the facade of Allied agreement on Poland shattered. The differences glossed over at Yalta came to haunt the Allied governments once again. The same conflict between the Soviet intention to exercise predominant political influence in Poland and the American and British desire to see a free, independent, and democratic Poland reappeared. A breakdown in the discussions of the Moscow Commission precipitated the Polish crisis in March 1945. Composed of Soviet Foreign Minister Molotov, United States Ambassador Harriman, and British Ambassador Clark-Kerr, the Commission was charged with the task of implementing the Yalta agreement on Poland. In consultation with representative Poles, the Commission was to create an interim government which would govern until the holding of free elections. During the first meeting, the Commission approved Molotov's suggestion that members of the Lublin, now Warsaw, government be invited to Moscow in the first instance for consultation. The Commission then turned to discuss which additional Poles should be invited from London and Poland to participate in the formation of the interim Polish government. 1 FOLLOWING
1 Ambassador Harriman to the Secretary of State, February 24, 1945, FR, 1945, v, pp. 123-25. T h e State Department approved Harriman's action and expressed its pleasure at the affable atmosphere and flexibility shown in the preliminary discussions. Acting Secretary of State Grew to Ambassador Harriman, February 28, 1945, FR, 1945, v, pp. 130-3 1 · 202
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This initial agreement in the Commission, however, quickly dissolved. Foreign Minister Eden informed Ambassador Clark-Kerr that the British government objected to the issuing of an invitation only to the Warsaw government and explained that such an invitation would confirm the worst fears of the members of the British House of Commons that the Allies had completely sold out the interest of the London Poles. So during the second meeting of the Commission, Clark-Kerr insisted that other Polish leaders be invited to Moscow before the arrival of representatives of the Warsaw government. 2 The ensuing debate on the question of who would be invited and when to meet with the Commission ended in deadlock.3 Further discussions were postponed while the United States and Britain consulted as to their response. Britain and the United States continued to express the same goals for Poland: creation of a strong, independent, and democratic Poland and formation of a new interim government prior to the holding of free elections. Both governments interpreted the Yalta declaration as a commitment by the Allies to establish the interim government through consultation with truly representative and independent Polish leaders.4 They further agreed that the Warsaw Poles did not have an absolute right to consultation with the Moscow Commission in the first instance. They believed that the Soviet demand would mean that the Warsaw Poles would decide which additional Poles would be 2 Ambassador Harriman to the Secretary of State, March 2, 1945, FR, 1945, v, pp. 134-35. 3 Ibid., pp. 135-37; Ambassador Harriman to the Secretary of State, March 3, 1945, FR, 1945, v, pp. 140-41. * Prime Minister Churchill to President Roosevelt, March 8, 1945, FR, 1945, v, pp. 147-48; Acting Secretary of State to Ambassador Harriman, March 8, 1945, FR, 1945, v, pp. 151-52 [Drafted: CEB, LET; Initialed: JCD, HFM; Signed: Grew]. To find the names which correspond to the initials of these State Department officers responsible for drafting the outgoing telegrams, the reader should consult the Appendix on the Organization of the Department of State. 203
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invited and thereby determine unilaterally the composition of the interim government. The State Department over ruled Ambassador Harriman's recommendation that the Moscow Commission first have a blunt talk with the War saw Poles in order to determine whether there was any basis for agreement. 5 While acknowledging the advantages of such a talk, the State Department argued "that the effect abroad and on other Polish groups would be very unfor tunate and even dangerous. It would be difficult to per suade the world and non-Lublin Poles that in these prior consultations the Lublin Poles had not laid down to their satisfaction the conditions of negotiations." 6 Finally, both the United States and British governments insisted that the former Prime Minister of the London government, Stanislaw Mikolajczyk, participate in the formation of an in terim Polish government. Where differences arose between the British and Ameri can governments in March 1945 was over the best tactics to break the Commission deadlock and to achieve Soviet approval for implementation of the Yalta agreement. Churchill informed Roosevelt that British public opinion would not be satisfied unless strong representations were made to resolve the outstanding Allied differences over Poland. According to Churchill: I have based myself in Parliament on the assumption that the words of the Yalta declaration will be carried out in the letter and the spirit. Once it is seen that we have been deceived and that the well-known communist element technique is being applied behind closed doors in Poland, either directly by the Russians or through j Ambassador Harriman to the Secretary of State, March 2, 1945, FR, 1945, v, pp. 134-37. Harriman suggested that the initial conversations would provide an opportunity for a statement of the British-American interpretation of the Yalta agreement and commitment to inviting a representative group of Poles to Moscow. β Acting Secretary of State Grew to Ambassador Harriman, March 3, 1945, FR, 1945, v, p. 138 [Drafted: LET; Initialed: HFM]. 204
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their Lublin puppets, a very grave situation in British public opinion will be reached. How would the matter go in the United States? I cannot think that you personally or they would be indifferent.7 Churchill maintained that Molotov clearly wanted to make a farce of the consultations with "non-Lublin" Poles and to create a new government in Poland which would be merely the present one made to look more respectable. Churchill insisted that strong United States and British action was required if the establishment of a totalitarian government in Poland were to be prevented. 8 British proposals for such action, however, provoked United States opposition. Conflict developed over the procedures to be followed in inviting Polish leaders to Moscow, the guarantees to be given the Poles invited to meet with the Commission, the desirability of the Commission defining the powers of the Polish Presidency, the need to send American and British observers into Poland, and the best means to prevent the Warsaw government from liquidating all internal opposition. On the procedures for inviting representative Poles to consult with the Commission, the State Department initially instructed Harriman that any individual Pole suggested by one of the three commissioners should be eligible to be invited "unless conclusive evidence is produced that he does not represent democratic elements in the country." 9 Then the Department approved Harriman's recommendations that each representative on the Commission have the right to name a certain number of individual Poles and that Molotov be forced to accept a limited number from " Prime Minister Churchill to President Roosevelt, March 8, 1945, FR, 1945, v, pp. 147-48. s Ibid., p. 148. 9 Acting Secretary of State Grew to Ambassador Harriman, February 28, 1945, FR, 1945, v, pp. 130-31 [Drafted: LET; Initialed: CEB,
HFM, JCD]. 205
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the United States list.10 The British suggestion that all Poles nominated by any of the three governments should be accepted unless ruled out by unanimous decision of the Commission, however, went too far for State Department officials.11 They feared that such a condition would lead to a stalemate and thereby aid the Warsaw Poles who were consolidating their political control across the country.12 Only Churchill's insistence that his proposal was essential to prevent Molotov's veto of all British-American nominations led to American acquiescence in the British recommendation. 13 United States officials also opposed Churchill's support of Mikolajczyk's conditions for participation in the Moscow Commission discussions. Mikolajczyk insisted upon free communications among all Poles while in Moscow and assurance of unhindered departure. 14 Harriman was most displeased by Mikolajczyk's demands: It seems to me that if Mikolajczyk sincerely wishes to cooperate with the decisions taken at the Crimea he should agree to come without making conditions. . . . I io Acting Secretary of State Grew to Ambassador Harriman, March 9, 1945, FR, 1945, v, p. 153 [Drafted: LET; Initialed: JCD, HFM]. n Prime Minister Churchill to President Roosevelt, March 8, 1945, FR, 1945, v, pp. 149-50. 12 President Roosevelt to Prime Minister Churchill, March 15, 1945, FR, 1945, v, p. 164 [Drafted in State Department by C. Bohlen, approved without change by Roosevelt]. is Prime Minister Churchill to President Roosevelt, March 16, 1945, FR, 1945, v, p. 171; Acting Secretary of State Acheson to Ambassador Harriman, March 18, 1945, FR, 1945, v, p. 174 [Drafted: LET; Initialed: HFM; Signed: Acheson; Approved without change by the President]. The instructions to Harriman stated: "The United States Government would consider it contrary to the spirit of the Yalta meeting for any one of the Commissioners to exercise a veto and are [sic] confident that a unanimous decision of the three Commissioners will be possible." 1* Mikolajczyk's conditions were given to Charge Schoenfeld, February 24, 1945, FR, 1945, v, pp. 125-26. 206
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therefore recommend that this question be taken up with the British Foreign Office and every attempt be made by the British and ourselves to bring Mikolajczyk into a realistic and cooperative frame of mind. 15 Agreeing with Harriman, State Department officials considered that the Poles' demands for freedom of movement and communication would only arouse needless discussion. They, therefore, wanted to defer action on this matter until the Moscow Commission approved the list of Poles to be invited.16 Instead, American officials urged that Mikolajczyk be pressured to issue a statement accepting the Yalta agreement on Poland.17 Churchill responded by asking what use there would be in inviting anyone to Moscow without the guarantee of free communications. He warned that Mikolajczyk probably would not depart London without some definite assurances.18 The British, moreover, refused to put any pressure on Mikolajczyk to approve the Yalta agreement as long as the impasse existed in Moscow." Ultimately, the two governments agreed to the general proposal that "all Poles appearing before the Commission would by that very fact naturally enjoy the facilities necessary for communication and consultation among themselves in Moscow."20 Not until April did Mikolajczyk finally is Ambassador Harriman to the Secretary of State, March 3, 1945, FR, 1945, v, pp. 139-40. is Secretary of State to AMEMBASSY Moscow, March 5, 1945, FR, 1945, v, p. 140, n. 93 [Drafted: LET; Initialed: CEB, HFM, JCD]; President Roosevelt to Prime Minister Churchill, March 15, 1945, FR, 1945, v, p. 164. 17 Acting Secretary of State Grew to Ambassador Harriman, March 9, 1945, FR, 1945, v, p. 153. is Prime Minister Churchill to President Roosevelt, March 16, 1945, FR, 1945, v, p. 171. isi Ambassador Winant to the Secretary of State, March 13, 1945, FR, 1945, v, p. 160-61. 20 Acting Secretary of State Grew to Ambassador Harriman, March 18, 1945, FR, 1945, v, p. 174.
207
POLAND 1945 issue a declaration supporting close and lasting friendship with the Soviet Union and accepting the Yalta agreement on Poland. 21 Next, State Department officials objected to the British suggestion that the Moscow Commission consider the question of the exercise of presidential powers in Poland. According to Churchill, if the prerogatives of the Polish President were not defined in advance by the Commission, the President of the Warsaw government, Boleslaw Bierut, with the aid of the Russians could exercise his powers to get rid of all political opposition. 22 For fear of becoming involved in internal Polish affairs, President Roosevelt, upon the recommendation of the Department of State, rejected the British proposal that a presidential council, composed of a small number of respected Polish leaders, be established to effect the formal transfer of authority. 23 Differences also arose between the two governments over the importance of pressing for the admission of British and American observers in Poland. State Department officials did not seem very interested in sending observers to report on conditions in Poland. They did finally accept the British proposal that arrangements be made for observers to enter Poland, but Roosevelt stated that more would be accomplished by a low level group than some spectacular body. State Department officials and Roosevelt shied away from a high level commission to Poland whose functions might expand to include preparation or supervision of future elections.24 21 Prime Minister Churchill to President T r u m a n , April 15, 1945, FR, 1945, v, p. 219. 22 P r i m e . M i n i s t e r C h u r c h i l l t o P r e s i d e n t Roosevelt, M a r c h 8, 1945, FR, 1945, v, p . 147; British Embassy to t h e State D e p a r t m e n t , M a r c h !
3 . "945. FR> !945. v . P- l 6 2 · 23 P r e s i d e n t Roosevelt t o P r i m e M i n i s t e r C h u r c h i l l , M a r c h 15, 1945, FR, 1945, v, p . 164. 24 P r e s i d e n t Roosevelt t o P r i m e M i n i s t e r C h u r c h i l l , M a r c h 11, 1945, FR, 1945, v, p . 156 [Drafted: C E B ; I n i t i a l e d : H F M , J C D ; A p p r o v e d by the President without change]. President Roosevelt to Prime Minister Churchill, March 15, 1945, FR, 1945, v, p. 164. 208
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Of all these issues, the most serious difference between the United States and the British governments developed over the best strategy to prevent the arrests, deportations, and liquidations of Poles occurring under the Warsaw regime. The United States proposed "that the Commission request the rival political groups to adopt a political truce in Poland and to refrain reciprocally from any activities or actions which might hamper the unity of all democratic Polish elements both within and without Poland." 25 Churchill replied that such a request for the establishment of a general political truce and maximum political tranquility would not prevent actions by the Warsaw Poles against those opposing their rule and might well imply the abandonment of all British-American interest in internal Polish problems. He argued: As to the Lublin Poles, they may well answer that their government can alone ensure "The maximum amount of political tranquility inside," that they already represent the great mass of the "Democratic Forces in Poland" and that they cannot join hands with emigre traitors to Poland or fascist collaborationists and landlords, and so on according to the usual technique. 3. Meanwhile we shall not be allowed inside the country or have any means of informing ourselves upon the position. It suits the Soviet very well to have a long period of delay so that the process of liquidation of elements unfavorable to them or their puppets may run its full course.26 25 A c t i n g Secretary of State G r e w to A m b a s s a d o r H a r r i m a n , 8, 1945, FR,
1945, v, p p . 151-52. T h e s e i n s t r u c t i o n s o v e r r u l e d
March Harri-
m a n ' s suggestion t h a t t h e two q u e s t i o n s — c o n d i t i o n s inside P o l a n d a n d t h e difficulties facing t h e Moscow C o m m i s s i o n — b e s e p a r a t e d a n d t h e first d e a l t w i t h by t h e t h r e e g o v e r n m e n t s a n d n o t t h r o u g h t h e C o m mission. A m b a s s a d o r
Harriman
to t h e Secretary of State, M a r c h
7,
1945, R e c o r d s of D e p t . of State, D e c i m a l File 860C.01/3-745. 26 P r i m e M i n i s t e r C h u r c h i l l to P r e s i d e n t Roosevelt, M a r c h 10, 1945, FR,
1945, v, p p . 153-54.
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Instead, Churchill proposed that the Soviet Union be requested to use its influence to halt terrorist and other actions by the Lublin Poles prior to the formation of an interim Polish government. Roosevelt refused to back down; he stated that "the chances of achieving our common objective would be immeasurably increased if it were done under the guise of a general political truce."27 He considered the demand that the Lublin Poles alone be forced to cease their persecutions of political opponents would invite Stalin's certain refusal and then concluded: "Furthermore, we must be careful not to give the impression that we are proposing a halt in the land reforms. This would furnish the Lublin Poles with an opportunity to charge that they and they alone defend the interests of the peasants against the landlords." 28 Ultimately, when the State Department instructed Ambassador Harriman to inform the Moscow Commission that the United States believed there should be "the maximum amount of tranquility inside Poland" during the negotiations for the creation of a new Polish government, Churchill refused to associate his government with the proposal.28 27 President Roosevelt to P r i m e Minister C h u r c h i l l , March 11, 1945, FR, 1945, v, p . 156. 28 Ibid. In a telegram, March 7, 1945, Harriman recommended that the United States "should consider carefully whether we wish to attempt to prevent the continuation of land reforms already carried out in Western Poland. I fully realize that Mikolajczyk, although in favor of land reforms in principle, does not approve of the methods now used. In this connection the Department should bear in mind that we may well be unsuccessful in preventing the extension of land reforms and our attempt to do so would be used politically and unfairly within Poland as a means of building up suspicions of the British and ourselves in our plans for the reorganization of the government." Harriman suggested that the issue be faced squarely "in such a way as to forestall any possible criticism within Poland and without that we are supporting the larger landowners." Records of Dept. of State, Decimal File 860C.01/3-745. 29 Acting Secretary of State Grew to Ambassador H a r r i m a n , March 18, 1945, FR, 1945, v, p . 175; P r i m e Minister C h u r c h i l l to President Roosevelt, M a r c h 16, 1945, FR, 1945, v, p . 171. C h u r c h i l l stated: " I 210
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Thus, an approach by the British and American governments to break the deadlock of the Moscow Commission was ironed out. The overall characteristics of American policy toward Poland remained unchanged. The government continued to focus on the need to insure the creation of a democratic Poland through the formation of a new interim government and the holding of free elections. Specific British proposals to insure implementation of American goals, including the establishment of a presidential council and the supervision of elections, were modified or rejected for fear of United States involvement in the internal affairs of Poland. 30 These British-American proposals were presented to Molotov in the meetings of the Moscow Commission during the last week of March. Quickly Molotov rejected them. Further discussions to resolve the differences failed. The efforts of the Moscow Commission to implement the Yalta agreement on Poland reached an impasse.31 Differences fear that the truce plan will lead us into interminable delays and a dead end in which some at least of the blame may well be earned by the London Polish Government. I fear therefore that it is impossible for us to endorse your truce proposal, for we think it actively dangerous." so During these discussions, American officials seemed particularly irritated by the British conception of their role in the Moscow Commission and the general defeatist British attitude toward the possibility of implementing the Yalta agreement. T h e State Department told Harriman: "We do not agree that you should assume that Molotov is the advocate for the Lublin Poles and you and Clark-Kerr represent other Poles." March 3, 1945, FR, 1945, v, p. 138. In a memorandum to the Secretary of State reporting President Roosevelt's approval of a draft message to Churchill, Charles Bohlen wrote: "I pointed out to him that we had been disturbed by the apparent British acceptance of failure before any such failure had occurred and also the implication in the Prime Minister's message that the British were preparing the ground to place blame on us." March 15, 1945, Records of Dept. of State, Bohlen Collection. 31 Ambassador Harriman to the Secretary of State, March 23, 1945, March 24, 1945, March 25, 1945, March 26, 1945, FR, 1945, v, pp. 176-84. 211
POLAND 1945 over the interpretation of the Yalta agreement, the invitation of the Warsaw Poles for consultation in the first instance, and the composition of the Polish delegation to be invited from London reflected the underlying disagreement among the three governments over the political future of Poland. II With the deadlock in the Moscow discussions, the mechanism through which the Allies would cooperate on Poland had failed. American officials were now convinced that the Soviet Union had no intention of carrying out the Yalta agreement. They read Soviet actions as an effort to enforce upon the British and United States governments acceptance of a puppet communist regime in Poland. Ambassador Harriman considered that the real issue came down to whether the United States would become party to Soviet domination in Poland.32 Two choices appeared: either the United States government could admit its total inability to prevent the establishment of Soviet political control in Poland, and thereby acquiesce in the Soviet interpretation of the Yalta agreement; or the government could contest Soviet violations. The decision was made quickly; the United States government would not permit Soviet actions in Poland to go unchallenged. President Roosevelt informed Prime Minister Churchill during the last week of March that the United States did not intend to shirk the responsibility which it had assumed at Yalta for the establishment of a representative government in Poland through the holding 32 Ambassador Harriman to the Secretary of State, April 3, 1945, FR, 1945, v, pp. 196-97; Ambassador Harriman to the Secretary of State, April 7, 1945, Records of Dept. of State, Decimal File 860C.00/ 4-745; Ambassador Harriman to the Secretary of State, April 14, 1945, FR, 1945, v, pp. 214-17. 212
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1945
of free elections.33 Neither increasing Soviet intransigence in its interpretation of the Yalta agreement nor the death of President Roosevelt on April 12, 1945 altered the United States commitment to the creation of a truly representative Polish government. The United States remained firm in its opposition to what they considered to be Soviet violations of the Yalta agreement on Poland.34 Why did the United States government pursue this particular policy of opposition to Soviet violations of the Yalta agreement? Apparently Ambassador Harriman and Prime Minister Churchill initially thought the United States would not stand firm in the face of Soviet actions. They deluged the State Department and President Roosevelt with reasons why the United States could not afford to remain silent and permit Soviet domination of Poland. In fact, no debate on this decision occurred. Although the Polish question was discussed at length during the spring of 1945, a firm policy in opposition to Soviet violations seemed the very natural thing to do. No one in Washington argued in favor of United States acceptance of Soviet actions in Poland. No one said that what the Soviet Union was doing in Poland was of no concern to the United States. No one suggested that the United States had done as much as it 33 P r e s i d e n t Roosevelt to P r i m e M i n i s t e r C h u r c h i l l , M a r c h 29, 1945,
FR, 1945, v, p. 189 [Written by State Department and Admiral Leahy, approved by the President], 34 C e r t a i n revisionist writers, G a r Alperovitz, G a b r i e l Kolko, Lloyd G a r d n e r , w h o a r g u e t h a t U n i t e d States policy t o w a r d t h e Soviet U n i o n in g e n e r a l or specifically t o w a r d P o l a n d c h a n g e d following t h e d e a t h of P r e s i d e n t Roosevelt, m i s u n d e r s t a n d w h a t o c c u r r e d . C o o p e r a t i o n w i t h t h e Soviet U n i o n a n d o p p o s i t i o n to Soviet v i o l a t i o n s of t h e Yalta a g r e e m e n t existed as goals of U n i t e d States policy b o t h before a n d after Roosevelt's d e a t h . W h a t c h a n g e d was t h e d e g r e e of firmness w h i c h c h a r a c t e r i z e d U n i t e d States o p p o s i t i o n to Soviet d e m a n d s in P o l a n d a n d t h e i n c r e a s i n g f r u s t r a t i o n in n o t b e i n g a b l e to resolve t h e conflict. I n t e r v i e w s w i t h C h a r l e s E. B o h l e n , E l b r i d g e D u r b r o w , H . Freem a n M a t t h e w s , a n d Llewellyn E. T h o m p s o n .
213
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could and therefore should remain silent in the face of Soviet violations of the Yalta agreement. During the early years of the war, American officials had clearly recognized Soviet intentions to establish predominant influence in Eastern Europe. Why were they surprised and apparently unprepared for Soviet actions in Poland in 1945? Why, without debate, did they determine to oppose the Soviet interpretation of the Yalta agreement on Poland? While acknowledging that the Soviet Union would exercise predominant influence in this part of the world, American officials had remained uncertain as to what conditions would exist after the war and unclear as to what Soviet policy would be. They had hoped that the creation of an international organization would ameliorate Soviet demands for complete control in Eastern Europe, and at Yalta they thought they had Soviet approval of the formation of representative governments throughout liberated Europe. Once they interpreted Soviet actions as violations of the Yalta agreement, they were angry, shocked, and disillusioned. They concluded that the United States had no choice but to oppose Soviet attempts to establish complete political domination of Poland. 35 The desirability or Tightness of United States goals for Poland were never questioned. These officials remained convinced that the way to promote peace at the end of the war was through the establishment of representative governments in Europe and the holding of free elections. Further, some American interest in Eastern Europe, although undefined, continued to be assumed throughout the spring of 1945. The State Department Briefing Book on Poland, 35 In a letter'to the present writer, April 30, 1971, John C. Campbell (a member of the Division of Central European Affairs in spring of ig45) wrote: "Although [United States officials after Yalta] were naturally apprehensive of further trouble with Moscow, particularly over Poland, they were not wholly skeptical regarding Soviet policy and were rather genuinely shocked when the Soviets clamped down on Rumania so soon after Yalta, and when the differences of interpretation of the Yalta deal on Poland came so sharply to the fore." 214
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prepared for the meeting of the Heads of States in July 1945, included a statement similar to that made prior to the Yalta Conference: "While this Government may not want to oppose a political configuration in Eastern Europe which gives the Soviet Union a predominant influence in Poland, neither would it desire to see Poland in fact a Soviet satellite and have American influence there completely eliminated." 36 Reports of conditions inside Poland indicated that the Warsaw regime was not representative of the Polish people; it enjoyed the confidence of no more than 10 percent of the population. 37 According to Harriman, Stalin had discovered that "an honest execution of the Crimea decision would mean the end of Soviet backed Lublin control over Poland since any real democratic leaders such as Mikolajczyk would serve as a rallying point for 80 or 90 percent of the Polish people against the Lublin Communists." 38 Further, the Polish peasants were extremely suspicious of the land reform policies of the Warsaw government. For many peasants, land reform was viewed as the first step in collectivization of the land. Finally, this Communist-controlled Warsaw government was only able to remain in power because of the support of the Red Army, the secret police, and the campaign of intimidation and arrests. Clearly, without strong American action on behalf of the Poles, United States goals would not be achieved. 36 Briefing Book P a p e r , "Suggested U n i t e d States Policy R e g a r d i n g P o l a n d , " J u n e 29, 1945, FR, 1945, P o t s d a m V o l . 1, p . 715. 37 F o r r e p o r t s of t h e c o n d i t i o n s inside P o l a n d , see A m b a s s a d o r H a r r i m a n t o t h e Secretary of State, A p r i l 7, 1945, R e c o r d s of D e p t . of State, D e c i m a l File 860C.00/4-745; M e m o r a n d u m for t h e P r e s i d e n t from the State Department, "Political Situation in Poland," May 4, 1945, Hull Papers; Charge Kennan in the Soviet Union to the Secretary of State, May 17, 1945, Records of Dept. of State, Decimal File 860C.00/ 5-1745· 38 M e m o r a n d u m of C o n v e r s a t i o n , by C h a r l e s B o h l e n , Assistant t o t h e Secretary of State, w i t h P r e s i d e n t T r u m a n , Secretary S t e t t i n i u s , U n d e r Secretary G r e w , a n d A m b a s s a d o r H a r r i m a n , A p r i l 20, 1945, FR, 1945, v, p . 233. 215
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United States officials were also becoming increasingly worried about Soviet intentions to dominate the border states of Eastern Europe and possibly expand into Western Europe. Harriman described three lines of Soviet foreign policy: (1) overall collaboration in the World Security Organization; (2) creation of a unilateral security ring through domination of the border states; and (3) penetration of other countries by exploitation of democratic processes on the part of the communist-controlled parties with strong Soviet backing. Regardless of Allied success in establishing a world organization, Harriman considered that the Soviet government intended to dominate the states along its border.39 According to Harriman: We must recognize that the words "independent but friendly neighbor" and in fact "democracy" itself have entirely different meanings to the Soviets than to us. Although they know of the meaning of these terms to us they undoubtedly feel that we should be aware of the meaning to them. We have been hopeful that the Soviets would accept our concepts whereas they on their side may have expected us to accept their own concepts, particularly in areas where their interests predominate. In any event, whatever may have been in their minds at Yalta, it now seems that they feel they can force us to acquiesce in their policies.40 Harriman concluded that "we must clearly recognize that the Soviet program is the establishment of totalitarianism, ending personal liberty and democracy as we know and 39
Ambassador Harriman to the Secretary of State, April 6, 1945, FR, 1945, v, pp. 821-22. 40 Ibid., p. 822. Secretary Stimson expressed the same ideas in a meeting with President Truman, April 23, 1945: "He said it was important to find out what motives they had in mind in regard to these border countries and that their ideas of independence and democracy in areas that they regarded as vital to the Soviet Union are different from ours." FR, 1945, v, p. 253.
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respect it." 41 In a conversation with President Truman, Harriman stated: in effect what we were faced with was a "barbarian invasion of Europe," that Soviet control over any foreign country did not mean merely influence on their foreign relations but the extension of the Soviet system with secret police, extinction of freedom of speech, etc. and that we had to decide what should be our attitude in the face of these unpleasant facts.42 Harriman's analysis was not, however, simply descriptive. He expressed his concern regarding the implications of Soviet actions. In a meeting of the Secretary's Staff Committee in April: Mr. Harriman went on to say that Russian plans for establishing satellite states [were] a threat to the world and to us. The excuse offered that they must guard against a future German menace [was] only a cover for other plans. Mr. Grew asked if Soviet Government were not establishing more than spheres of influence and if it were not taking complete charge in satellite countries. Mr. Harriman said that this was true. 43 Finally, Harriman spelled out the implications of Soviet actions in penetrating the Communist parties in Western Europe. Such actions according to Harriman might prelude Soviet expansion into the internal and external affairs of these countries as well. "Russia is building a tier of friendly states there and our task is to make it difficult for her to 41 Ambassador Harriman to the Secretary of State, April 4, 1945, FR, 1945. v · P- 8 l 9 · 42 Memorandum of Conversation, by Charles Bohlen, April 20, 1945, FR, 1945, v, p. 232. 43 Minutes of the Secretary's Staff Committee, April 21, 1945, FR, 1945, v, p. 843. T h e Secretary's Staff Committee was composed of the Secretary of State, the Under Secretary, the Assistant Secretaries, the Legal Adviser, and the Special Assistant for International Organization.
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do so, since to build one tier of states implies the possibility of further tiers, layer on layer."44 These worries and interpretations of Soviet foreign policy articulated by Harriman in the spring of 1945 were never challenged. His arguments clearly served to strengthen support for American opposition to Soviet violations of the Yalta agreement on Poland. At the same time during the spring of 1945, no reasons appeared to argue against a strong American stand. The military situation had changed since August when the need to maintain Soviet military cooperation prevented a firm American response to Soviet denial of air shuttle bases to supply the Warsaw Poles. In April, President Truman called in his military advisers on the spur of the moment to discuss the continuing Polish problem. 45 Truman sought to discover whether there were any military reasons why the United States should not maintain its strong stand on Poland. Once his military advisers admitted that no military reasons existed, Truman seemed to ignore recommendations from these men for caution in moving toward a serious break with the Soviet Union over Poland. 46 Accord« Minutes of the Sixteenth Meeting of the United States Delegation to the San Francisco Conference, April 25, 1945, FJR, 1945, 1, p. 390. -»5 According to Secretary Stimson: "We were suddenly surprised b; my getting a message to come to a meeting at two o'clock on an undisclosed subject. . . . All this was fired at me like a shot out of a Gatling gun and before I had really had time to crystallize my views at all on the situation about which I originally knew very little at all." Stimson Diary, April 23, 1945, Vol. 51, Henry L. Stimson Papers, Yale University Library. *e Secretary Stimson and General Marshall maintained that the possibility of a break was very serious and urged that the problems be worked out if possible without getting into a head-on collision with the Soviet Union. Stimson remarked, "he thought that the Russians perhaps were being more realistic than we were in regard to their own security." Memorandum of Conversation, by Charles Bohlen, with President Truman, Secretary Stettinius, Secretary Stimson, Secretar) Forrestal, Admiral Leahy, General Marshall, Admiral King, James Clement Dunn, Ambassador Harriman, and General Deane, April 23, 1945, FR, 1945, v, pp. 252-55.
2l8
POLAND 1945 ing to the minutes of the conversation, "the President then said that he was satisfied that from a military point of view there was no reason why we should fail to stand up to our understanding of the Crimean agreements. . . ."47 General Marshall's and Secretary Stimson's arguments for caution in moving toward a confrontation with the Soviet Union could be ignored because State Department officials, and even President Truman, assumed that the Soviet Union would not break with the United States over the question of Poland. Although this assumption was only stated and never debated, it served to reinforce the commitment of American officials to stand firm. Harriman argued not only that a break with the Soviet Union could be avoided but also that the Soviet Union could probably be made to yield if the question were handled correctly.48 He "agreed with Mr. Grew that we have great leverage in dealing with the Soviet Union." 49 The Soviet Union very much wanted to be a respected member of the world society and wanted friendly relations with the outside world, particularly the United States. Harriman maintained that the Russians were more afraid of facing a united West than anything else.50 He believed that the Soviet government did not wish to break with the United States since it needed United States assistance, specifically, heavy machinery, machine tools, technical knowledge regarding the chemical industry, and coal mining mechanization for its postwar reconstruction. 51 He concluded: +7 Ibid., p . 255. 48 A m b a s s a d o r H a r r i m a n t o t h e Secretary of State, A p r i l 3, 1945, R e c o r d s of D e p t . of State, D e c i m a l File 860C.01/4-345; M e m o r a n d u m of C o n v e r s a t i o n , b> C h a r l e s B o h l e n , A p r i l 23, 1945, FR, 1945, v, p p . 253-55· 49 M i n u t e s of t h e Secretary's Staff C o m m i t t e e , A p r i l 20, 1945, FR, 1945. v, p . 840. so ibid. 51 Minutes of the Secretary's Staff Committee, April 21, 1945, FR, 1945, v, p. 844.
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it was important not to overestimate Soviet strength. The Army is an extraordinarily effective but disorganized mass of human beings. Almost all of the Army's transport equipment and much of its food is supplied by us. The country is still fantastically backward. There is no road system, railroad mileage is very inadequate, and ninety percent of the people of Moscow live in a condition comparable with our worst slum areas. Mr. Harriman said he was therefore not much worried about the Soviet Union's taking the offensive in the near future. But they will take control of everything they can by bluffing.52 President Truman agreed with Harriman's conclusion that "the Soviet Union needed us more than we needed them." 53 While these were the arguments and considerations that went into the determination that the United States had nothing to lose by standing firm, American officials failed to consider certain questions. No one explained why Russian plans for the establishment of satellite states were a threat to the world and to the United States. In concluding that the Soviet Union would not break with the United States on Poland, no one defined what they meant by a break or what consequences would follow if they had guessed wrong. They never seemed to consider the possibility that the Soviet Union, while not "breaking" with the United States, might not back down and agree to BritishAmerican proposals for Poland. The Soviets could continue to pursue their goals in Poland and leave to the United States the decision of whether to "break" with the Soviet Union. Finally, if they defined a break to be the end of Soviet-American cooperation in the solution of military and political problems arising after the war, they never discussed the possibility that the United States would have more to lose by such a break than Stalin because of the potential outcries of a disillusioned American public. 52 ibid. 53 M e m o r a n d u m of Conversation, by Charles B o h l e n , A p r i l 20, 1945, FR, 1945, v, p . 232. 220
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Harriman simultaneously portrayed the Soviet Union as pursuing a "barbarian invasion of Europe" which was a "threat to the world and to us" but as needing "us more than we needed them" and unable to take "the offensive in the near future." These apparently contradictory pictures of the postwar balance of power between the United States and the Soviet Union could only be reconciled if American officials assumed that postwar Russia, while expansionist, was quite weak and could threaten Europe and the world only if the United States failed to stand up to Soviet power. They seemed to believe that the Soviet Union could be backed down by the threat of American power, if that threat were exercised. These views of the postwar distribution of power were critical in shaping United States policy. A contradictory analysis of Soviet intentions and actions by the Research and Analysis Branch of the Office of Strategic Services was apparently ignored. According to this analysis: By that time [the end of the war] she |Russia] will have suffered very severe economic strains from which she will not recover for several years; but whether or not she receives economic assistance from abroad, her recovery and further development promise to be rapid, and the sharp upward trend of her population is another favorable long-term factor of the greatest consequence. . . . Thus, Russia has every mark and characteristic of a rising power, destined to stand with America as one of the two strongest states in the world.54 In fact, no one took the time to work out a clear definition of exactly what the future power relationship between the United States and the Soviet Union would be. While seeking to establish a democratic government in Poland, American officials also never really addressed the question of the possibility of actually achieving their goal. 54 Research and Analysis Branch, Office of Strategic Services, May 11, 1945, National Archives, Record Group 226, R & A #2073. 221
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No one considered that the problems which had plagued Poland's earlier experience with democratic government would reappear. They recognized the chaos and confusion which pervaded Poland, but no one suggested that a democratic government simply was not feasible. They never seriously thought about what the future of Poland would look like and how American goals could be implemented. The assumption that the United States had nothing to lose but everything to gain in opposing Soviet action in Poland prevailed. As a result, the consequences of rising conflict between the Soviet and American governments were never considered. Finally, United States officials determined to oppose Soviet actions because they were convinced that to ignore what was happening in Poland would have serious repercussions on other American goals and concerns. Settlement of the Polish question had come to symbolize the existence of Allied unity. The ability of the Allies to resolve the Polish dispute would indicate their ability to cooperate on other postwar questions. Prior to a meeting between President Truman and Foreign Minister Molotov in April, Charles Bohlen and James Clement Dunn of the State Department informed the President that "the failure of the three principal Allies who have borne the brunt of the War to reach a just solution of the Polish problem will cast serious doubt upon our unity of purpose in regard to postwar collaboration." 55 Future relations between the United States and the Soviet Union gradually came to depend upon the manner in which the Polish question was resolved. American officials also believed that agreement to a "whitewash solution" of the Polish dispute would seriously undermine the public's support of United States participation in the postwar security organization. Success in San Francisco, where the United Nations Charter was 55 Memorandum for the President, from James Clement Dunn and Charles Bohlen, April 23, 1945, Records of Dept. of State, Decimal File 860C.01/4-2345. 222
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under consideration, and Senate ratification of the international organization treaty required a just settlement of the Polish problem. 56 The costs of failing to implement the Yalta agreement on Poland in terms of other United States goals argued for American opposition to Soviet violations. Did American public opinion actually require this policy or did these officials simply use this as a justification? Reports of public opinion were vague and inconclusive. In March, the Director of the Office of Public Affairs reported "that public opinion polls on the decisions at the Crimea Conference regarding Poland show so large a proportion of the public as having no fixed views on the matter that a real need for further information effort by the Department is indicated." 57 However, by June Secretary Stettinius could report increasing public concern over the deterioration of Soviet-American relations and conclude that "while an overwhelming majority still say they favor, and feel the necessity of cooperation, some stiffening of public opinion toward Russia has become evident as a iesult of Russia's 'default' on the Yalta agreement as regards Poland." 58 Yet, regardless of what public opinion polls revealed, State Department officials seemed to feel constrained by public opinion, especially by Polish-American opinion. Congressmen with large Polish-American constituencies continually urged the State Department in the spring not to approve a "whitewash" solution on Poland. Senator Rob56 I n a s t a t e m e n t of U n i t e d States policy t o w a r d P o l a n d p r e p a r e d for P r e s i d e n t T r u m a n in A p r i l 1945, t h e State D e p a r t m e n t m a i n t a i n e d t h a t " b e c a u s e of its effect on o u r r e l a t i o n s w i t h t h e Soviet U n i o n a n d o t h e r U n i t e d N a t i o n s a n d u p o n p u b l i c o p i n i o n in this c o u n t r y , t h e q u e s t i o n of t h e f u t u r e status of P o l a n d a n d its g o v e r n m e n t r e m a i n s o n e of o u r m o s t c o m p l e x a n d u r g e n t p r o b l e m s b o t h in t h e i n t e r n a t i o n a l a n d t h e d o m e s t i c field." H a r r y S. T r u m a n , Memoirs, Year of Decisions ( G a r d e n City: D o u b l e d a y & Co., 1955), 1, p . 15. 57 Secretary's Staff C o m m i t t e e M e e t i n g , M a r c h 9, 1945, R e c o r d s of D e p t . of State, L o t 122, Box 58. 58 Secretary of State S t e t t i n i u s to Oscar C o x , for P r e s i d e n t T r u m a n , " R e c e n t A m e r i c a n O p i n i o n o n U.S.-Soviet R e l a t i o n s , " J u n e 2, 1945, Oscar Cox P a p e r s , Box 99, F r a n k l i n D. Roosevelt L i b r a r y .
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ert Taft of Ohio personally asked Secretary Stettinius to oppose any provisional government which was under predominant Russian influence.59 Senator Brien McMahon of Connecticut informed Assistant Secretary Archibald MacLeish that he had made suggestions for United States policy toward Poland "simply because of the heat on the back of his neck" from his Polish-American electorate.60 Consensus in favor of a firm American stand on Poland pervaded the government. The same State Department officials, who had become personally committed to the establishment of a free and independent Poland, continued to hold responsibility for the definition of American policy."1 Neither President Roosevelt nor President Truman ever overruled the recommendations made by James Clement Dunn, H. Freeman Matthews, Charles E. Bohlen, and Elbridge Durbrow. Both Presidents were receptive to their recommendations for opposition to Soviet actions in Poland. Roosevelt was personally and strongly committed to seeing the Yalta agreements implemented. 62 In his last message to Prime Minister Churchill, President Roosevelt expressed his determination to remain firm: "I would minimize the general Soviet problem as much as possible be59 Letter Senator Robert Taft to Secretary of State Stettinius, March 24, 1945, Records of Dept. of State, Decimal File 860C.01/3-2445. eo Memorandum of a Conversation, by Assistant Secretary Archibald MacLeish, April 4, 1945, Records of Dept. of State, Lot 52-249. See also Memorandum of a Conversation, by Secretary Stettinius, with Congressmen of Polish Descent, April 9, 1945, Records of Dept. of State, Decimal File 860C.01/4-945. 6i See Meeting of the Secretary's Staff Committee, April 6, 1945, Records of Dept. of State, Lot 122, Box 58. During this meeting, "the Secretary mentioned in this connection that he had found that because the members of the Staff were so pressed, decisions were frequently being made at lower levels which should have been brought before the Committee. Mr. MacLeish said this point was particularly important. He referred in particular to recent actions in connection with the Polish situation, about which he felt that the Committee had not been given adequate information." 62 Interview with Charles E. Bohlen.
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cause these problems, in one form or another, seem to arise every day and most of them straighten out as in the case of the Bern meeting. We must be firm, however, and our course this far is correct." 63 Following Roosevelt's death, President Truman seemed particularly anxious to carry out all of the commitments and agreements made by Roose velt. 64 In addition, Ambassador Harriman and the newly desig nated United States Ambassador to Poland, Arthur Bliss Lane, both recommended a strong stand. Harriman sug gested that the generosity and acquiescence of the United States in the past had been misinterpreted by the Soviet Union as a sign of American weakness. Instead of backing down in the face of Soviet intransigence, Harriman urged that the United States not alter its commitment to the Yalta agreement. 65 Ambassador Lane argued that any deviation 63 President Roosevelt to Prime Minister Churchill, April 11, 1945, FR, 1945, v, p. 210. β* Memoranda of Conversations, between President Truman and Foreign Minister Molotov, April 22, 1945 and April 23, 1945, FR, 1945. v · PP- 235-3 6 - 256-58. 65 Ambassador Harriman to the Secretary of State, April 3, 1945, FR, 1945, v, pp. 196-98; Memorandum of Conversation, by Charles Bohlen, April 20, 1945, FR, 1945, v, pp. 231-34; Minutes of the Secre tary's Staff Committee, April 21, 1945, FR, 1945, v, pp. 842-46. Gar Alperovitz, Atomic Diplomacy: Hiroshima and Potsdam, pp. 2231, describes Harriman as being in the forefront of an attempt within the government to change United States policy toward Poland from cooperation with the Soviet Union to a policy of confrontation. Harriman's recommendations do not support Alperovitz's contention. On April 14, 1945, Harriman wrote that the United States should stand firm on the wording of President Roosevelt's message to Stalin April 1 (FR, 1945, v, p. 216). On June 8, 1945, following the agreements in Moscow, Harriman described Hopkins' policy as the same firm policy promoted by Roosevelt and Truman (FR, 1945, Potsdam, 1, p. 61). T h e change that Harriman recommended, if change it be, was in the United States tendency in the past to back down in the face of Soviet opposition to American policies and in the illusion that the Soviet Union would implement the Atlantic Charter principles in the near future. Harriman did not advocate a change in United States goals for Poland. He never recognized, as Alperovitz suggests, an> radical
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or compromise on our part would be viewed as a sign of weakness and would merely serve to encourage the Soviet government to make further demands or conditions. A retreat would be disastrous to the prestige and interests of the United States.66 Finally, Secretary of the Navy James V. Forrestal expressed the opinion to President Truman in April that if the Russians continued to display a rigid attitude on Poland, it was better to have a showdown now than later.67 Admiral Leahy doubted that it was "possible to exclude dominant Soviet influence from Poland," but thought that it might be "possible to give to the Government of Poland an external appearance of independence." 68 Thus, the personal sympathies of United States officials reinforced their analyses in favor of a firm stand in opposition to Soviet demands. Those military advisers, particularly General Marshall and Secretary Stimson, who expressed concern over the possibility of a break with the Soviet Union on Poland were ignored once they stated that no military reasons existed to prevent the maintenance of a firm United States policy. When faced with clear Soviet violations of the Yalta agreement on Poland, United States officials saw two choices: they could either contest or accept these violations. They decided to maintain their interpretation of the Yalta agreement and support the establishment of a representaalteration of United States policy from cooperation with the Soviet Union over Poland to confrontation and then to postponement of conflict until the demonstration of the atomic bomb. 66 Memorandum by the Appointed United States Ambassador to Poland, Arthur Bliss Lane, to the Acting Secretary of State, May 4, 1945, FR, 1945, v, p. 280. 67 M e m o r a n d u m of C o n v e r s a t i o n , by C h a r l e s B o h l e n , A p r i l 23, 1945, FR, 1945, v, p . 253. 68
William D. Leahy Diary, April 23, 1945, Library of Congress. See also Leahy Diary, March 18, 1945 and March 29, 1945.
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tive Polish government through the holding of free elec tions. They saw no costs in opposing Soviet actions in Po land, assuming that the Soviet Union would not risk a break with the United States on the Polish question. Even tually, they seemed to believe the Soviet Union would ac cept the United States interpretation of the Yalta agree ment. The only costs would be in not remaining firm. They could not agree to Soviet actions for fear the effect such a policy would have on other United States concerns, spe cifically the formation of an international organization and the establishment of postwar collaboration with the Soviet Union. Ill Once the decision was made to contest Soviet violations of the Yalta agreement, in what ways did American officials attempt to get Soviet acceptance of the United States inter pretation? Did these officials systematically try all the means available to challenge Soviet actions? No, the government never considered the use of military force to achieve Ameri can goals. An underlying assumption existed: the United States would not go to war with Russia over Poland. Harriman announced, "while we cannot go to war with Russia, we must do everything we can to maintain our position as strongly as possible in Eastern Europe." 6 9 "Doing everything" in fact meant strong diplomatic pressure on the Soviet government to change its policy combined with an unwillingness to admit that a settlement on United States terms was impossible. Through joint British-American appeals to Stalin, discussions between the American, British, and Soviet Foreign Ministers, and per sonal meetings between President Truman and Foreign Minister Molotov in Washington in April, the United ββ Minutes of the Sixteenth Meeting of the United States Delegation to the San Francisco Conference, April 25, 1945, FR, 1945, 1, p. 390.
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POLAND 1945 and the establishment of a government in Poland hostile to the Soviet Union; the Soviet Union intended to exercise total domination in Poland. By the end of April 1945, the deadlock in the rhetoric of the exchanges was as apparent as the impasse over the policy positions. Truman stated: "The United States and British Governments have gone as far as they can to meet the situation and carry out the intent of the Crimean decisions. . . ."T1 In reply, Stalin declared: "I am ready to fulfill your request and do everything possible to reach a harmonious solution, but you demand too much of me. In other words, you demand that I renounce the interests of security of the Soviet Union, but I cannot turn against my country." 72 At the same time, United States officials were unwilling to give up the possibility of resolving the Polish dispute. Roosevelt and Truman both sent messages to Churchill cautioning against a public announcement of a breakdown in the Polish negotiations. 73 On the advice of the State Department, Truman expressed to Churchill his determination to break the impasse and obtain Soviet acceptance of the Yalta agreement: I have very much in mind your observations in your no. [929?] to President Roosevelt on the danger of protracted negotiations and obstructionist tactics being utilized to consolidate the rule of the Lublin group in Poland and I recognize the compulsion you are under to speak in the House of Commons. I feel, however, that we should explore to the full every possibility before any public "i President Truman to Marshal Stalin, April 23, 1945, FR, 1945, v, P- 258. 72 M a r s h a l Stalin to P r e s i d e n t T r u m a n , A p r i l 24, J945, FR, 1945, v, p . 264. 73 P r e s i d e n t Roosevelt to P r i m e M i n i s t e r C h u r c h i l l , A p r i l 10, 1945,
FR, 1945, v, p. 209; President Truman to Prime Minister Churchill, April 13, 1945, FR, 1945, v, pp. 211-12.
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statement is made which could only be as matters now stand to announce the failure of our efforts due to Soviet intransigence. Once public announcement is made of a breakdown in the Polish negotiations it will carry with it the hopes of the Polish people for a just solution of the Polish problem to say nothing of the effect it will have on our political and military collaboration with the Soviet Union. 74 American officials refused to admit that United States goals in Poland would not be achieved.75 Differences over implementation of the Yalta agreement also provoked increasing intransigence among United States officials over other Polish issues. The United States refused even to consider Polish participation in the negotiations in San Francisco to establish an international organization. Despite Soviet insistence that the Warsaw government deserved to be invited because it exercised governmental authority in Poland and had the support of the overwhelming majority of the Polish people, United States " P r e s i d e n t Truman to Prime Minister Churchill, April 13, 1945, FR, 1945, v, pp. 211-12. 75 Gar Alperovitz, Atomic Diplomacy: Hiroshima and Potsdam, Chapters I—III, maintains that United States policy toward Poland during the first six months of 1945 changed from a policy of cooperation with the Soviet Union (Roosevelt's policy), to confrontation (State Department's policy), and then to a policy of postponement of conflict until after the demonstration of the atomic bomb (Secretary Stimson's policy). In fact, United States policy toward Poland was a combination of a commitment to the same goals which the government had been promoting since the beginning of the war; a continuation of American initiatives, begun at Yalta, to secure Allied agreement on these goals; and an unwillingness to alter these goals in the face of Soviet intransigence. By emphasizing one aspect of United States policy at different times during the spring of 1945, Alperovitz incorrectl> concludes that radical shifts in policy occurred. For a summary analysis of Gar Alperovitz's misuse of his sources and failure to present sufficient evidence to support his thesis, see Robert James Maddox, "Atomic Diplomacy: A Study in Creative Writing," Journal of American History, u x (March 1973), 925-34. 230
POLAND 1945 officials prevented the issuing of any invitation until a provisional government was formed in Poland in accordance with the Yalta agreement.76 In April, Soviet officials explained that the Soviet Union had transferred parts of German Silesia to Polish administration in order to secure the orderly establishment of civil administration in the areas following the retreat of the German armies.77 The United States Charge in the Soviet Union, George Kennan, prodded the State Department into action. He argued that to feign ignorance of Soviet actions would be interpreted by the Soviet government as sanctioning their unilateral actions. According to Kennan, "this sort of connivance on our part at Soviet attempts to mask the real nature of their activities in Eastern Europe creates a most deplorable impression on the Soviet mind and one which cuts smack across our present policy toward other questions involving Poland and Central Europe." 78 In response, the State Department informed the Soviet government that the United States opposed changes in the status of occupied enemy territory prior to consultation and agreement among the several United Nations concerned.79 During April 1945, the Soviet government also informed the United States that a great demand had arisen among the Poles to conclude a treaty of alliance with the Soviet Union. The Soviet government intended to meet these demands in the interest of placing the relations of the two bordering countries on a legal basis. Harriman quickly responded that the United States would prefer that such action be postponed. According to Harriman, the world "6 State Department statement on Poland, March 31, 1945, Lane Papers; Press Release, April 19, 1945, The Department of State Bulletin, XH (April 22, 1945), 725. 77 U n i t e d States C h a r g e G e o r g e K e n n a n to t h e Secretary of State, A p r i l 18, 1945, FR, 1945, v, p . 231. 78 C h a r g e K e n n a n t o t h e Secretary of State, May 4, 1945, FR, 1945, v, p . 278. 79 A c t i n g Secretary of State G r e w t o C h a r g e K e n n a n , May 8, 1945, FR, 1945, v, p . 289.
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POLAND 1945 would interpret Soviet unilateral action in concluding a treaty with the Warsaw government as an indication that the Soviet Union did not intend to carry out the Yalta agreement to reorganize the existing government in Poland.80 The State Department followed by expressing its opposition to a Soviet-Polish alliance and by requesting that the Soviet government defer such action until after the establishment of a new provisional government. 81 This opposition did not, however, prevent the Soviet government from signing a treaty of alliance with the Warsaw government on April 21, 1945.82 Finally, in April, reports reached the United States that prominent Polish leaders inside Poland had been arrested by Soviet authorities. Soviet denials of such reports initially led American officials to withhold protest. Then in May, following Soviet announcement of the arrest of sixteen Polish leaders for diversionist activities against the Red Army, Secretary Stettinius charged that these men were known to be patriots with outstanding records of resistance against the Germans. It was for this reason that some of these men had been recommended by the British and American governments for inclusion in the groups of Poles to be invited to form a new Polish government. Stettinius was appalled at the Soviet action and in disgust terminated further discussion of the Polish question at San Francisco until the Soviet government provided a full explanation. 83 These re80 Ambassador Harriman to the Secretary of State, April 16, 1945, FR, 1945, v, pp. 225-26. si Secretary of State Stettinius to Charge Kennan, April 17, 1945, FR, 1945, v, pp. 227-28. 82 C h a r g e K e n n a n t o t h e Secretary of State, A p r i l 2 1 , 1945, FR, 1945, v, p . 234. 83 Secretary of State S t e t t i n i u s t o C h a r g e Schoenfeld, A p r i l 12, 1945, FR, 1945, v, p . 210; M e m o r a n d u m of C o n v e r s a t i o n by C. B o h l e n , May 4, 1945, FR, 1945, v, p p . 281-83. O n M a y 5, 1945, t h e U n i t e d States g o v e r n m e n t issued a p u b l i c s t a t e m e n t e x p r e s s i n g t h e g r e a t c o n c e r n of t h e g o v e r n m e n t o n l e a r n i n g of t h e arrest of t h e Polish leaders a n d i n d i c a t i n g t h a t t h e g o v e r n m e n t h a d r e q u e s t e d a full e x p l a n a t i o n from
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POLAND 1945 lated Polish questions did not distract the attention of United States officials away from the primary goal of the government to implement the Yalta agreement on Poland. However, the differences between the United States and the Soviet Union now encompassed all questions raised as to the future of Poland. By May 1945, the deadlock over Poland had not been broken. George Kennan proposed that since there was no possibility that anything like a free Poland would be set up, the United States ought to state a clear position on which it could rest its case and withdraw from further ex changes with the Soviet government over Poland's future. He contended: If we join with the Russians in cooking up some facade government to mask NKVD control (and that is all they would agree to today) and then help them to put it across by recognizing it and sending our representatives there to play their part in the show, all the issues will be confused, and we shall have tacitly given the stamp of approval to the tactics which were followed by the Rus sians in March and April in connection with the work of the Commission. 84 Ambassador Harriman, who was still in Washington, re jected this suggestion outright. Harriman stated that "there [was] no tendency whatsoever here to back down on our position regarding the Warsaw Poles and again while we may not reach an agreement we are definitely not planning to agree to a whitewashed solution." 8 5 the Soviet government. The Department of State Bulletin, May 5, 1945, XIi (May 6, 1945), 850. β* Charge^ Kennan to the Secretary of State, May 14, 1945, FR, 1945, v, p. 296. Kennan's argument was not in favor of a change in United States goals toward Poland; rather, he argued that the government should take no further action to implement these goals. 85 Acting Secretary of State Grew to AMEMBASSY Moscow, Per sonal from Harriman to Kennan, May 20, 1945, Records of Dept. of State, Decimal File 740.00119 E.W./5-1445.
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During this same week in May, Prime Minister Churchill proposed that United States forces in Germany hold their positions and postpone their withdrawal to the American /one in order to enhance the American and British bargaining position with the Soviet Union. 86 Particularly, Churchill considered that American abandonment of this territory "would place a broader gulf of territory between us and Poland, and practically end our power to influence her fate."87 However, President Truman, upon the recommendation of the Joint Chiefs of Staff, rejected Churchill's proposal and stated that the withdrawal question was primarily a military matter. 88 Instead, the method chosen by United States officials in May to obtain Soviet agreement to the same American demands for Poland was to send President Roosevelt's personal adviser, Harry Hopkins, to Moscow for private conversations with Stalin. Hopkins' task was to re-establish cooperation between the two governments and to resolve differences which had arisen over Poland and the provisions of the United Nations Charter. 89 Upon his arrival, Hopkins met with Stalin to discuss the "question of the fundamental relationship between the United States and the Soviet Union." 90 Hopkins described how the American people had been in constant support of Roosevelt's policy of cooperation with the Soviet Union, but at present the public was seriously disturbed over the deterioration in relations between the two governments. A sense of bewilderment had arisen over the inability of the Allies to resolve the Polish question. Hopkins suggested that this 8 S Prime Minister Churchill to President T r u m a n , May 12, 1945, FR, 1945, Potsdam, 1, p p . 8-9. 8 7 W i n s t o n S. C h u r c h i l l , Triumph and Tragedy, p . 601. 88 H a r r y S. T r u m a n , Memoirs, 1, p p . 301-305. 89 F o r t h e origins of t h e H o p k i n s Mission, see R . S h e r w o o d , Roosevelt and Hopkins, p p . 883-87 a n d C h a r l e s E . B o h l e n , Witness to History, p . 215. H o p k i n s m e t w i t h Stalin i n Moscow from May 26, 1945 t o J u n e 6, 1945. 90 Memorandum of First Conversation, Marshal Stalin and Harry Hopkins, May 26, 1945, FR, 1945, Potsdam, 1, p. 26.
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deterioration in public opinion was so severe as to affect adversely all future relations between the two countries. Without the support of public opinion, Truman would find it impossible to carry out Roosevelt's policy of cooperation. 91 While avoiding any threat, Hopkins sought to impress Stalin with the gravity of the situation: the question of Poland per se was not so important as the fact that it had become a symbol of our ability to work out problems with the Soviet Union. . . . Poland had become a symbol in the sense that it bore a direct relation to the willingness of the United States to participate in international affairs on a world-wide basis and that our people must believe that they are joining their power with that of the Soviet Union and Great Britain in the promotion of international peace and the well being of humanity. 92 Stalin responded that recent actions by the United States government had produced the belief that the American attitude toward the Soviet Union had perceptibly cooled. Public opinion in the Soviet Union had to be considered as well as American public opinion. Stalin maintained that United States actions—the invitation of Argentina to the San Francisco Conference, insistence upon French membership in the Reparations Commission, the manner of curtailment of United States Lend-Lease aid, the arbitrary United States interpretation of the Yalta agreement on Poland, and the failure to include the Soviet Union in the disposition of the German Navy—seemed to indicate an unwillingness on the part of the United States government to cooperate in the postwar period with the Soviet Union. 93 91 Ibid., pp. 24-31. 82 Memorandum of Second Conversation, May 27, 1945, FR, 1945, Potsdam, 1, p. 38. 93 Ibid., pp. 32-33. For a description of the other subjects discussed by Hopkins during his meetings with Stalin in May 1945, see R. Sherwood, Roosevelt and Hopkins, pp. 883-912 and FR, 1945, Potsdam, 1, pp. 21-62.
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Following these introductory exchanges, Stalin and Hopkins reiterated the general positions of their two governments on the Polish question. 94 When this initial sparring over the Polish problem failed to offer an opportunity for overall settlement, Hopkins and Stalin then agreed to focus on devising an unofficial agreement for a list of Poles to be invited to Moscow for consultation regarding formation of an interim government.95 This willingness to work out an agreement on the specific question of the group of Poles to be invited to Moscow, without first achieving agreement on an overall interpretation of the Yalta agreement, broke the Allied deadlock over Poland. Differences between the two governments over the Poles to be invited were resolved. Of the six original names recommended by the British and United States Ambassadors in Moscow for invitation from London and inside Poland, Stalin now agreed to four: Mikolajczyk and Grabski from London, Witos and Zulawski from Poland. 96 The impasse was ended; consultation 94 Ibid., pp. 38-40. Memorandum of Fourth Conversation, Ma> 30, 1945, FR, 1945, v, pp. 301-306. 9« Roosevelt's suggestions to Stalin, February 6, 1945, at Yalta for the Poles to be invited for consultation with the Moscow Commission from inside Poland: Bishop Sapieha, Wincenty Witos, Zygmunt Zulawski, Professor Franciszek Bujak, Professor Stanislaw Kutrzeba. U.S. Proposal to the Moscow Commission, February 24, 1945: London: Stanislaw Mikolajczyk, Stanislaw Grabski, Tadeusz Romer Poland: Witos, Sapieha, Zulawski U.S. Proposal, March 14, 1945: London: Mikolajczyk, Grabski, Karol Popiel Poland: Witos, Zulawski, Kutrzeba, Wladslaw Kiernik, Alexander Moglinicki U.S. Proposal, April 16, 1945: London: Mikolajczyk, Grabski, Jan Stanczyk Poland: Sapieha, Witos, Zulawski Agreement, May 2, 1945: London: Mikolajczyk, Grabski, and one other London Pole Final Agreement, May 31, 1945: London: Mikolajczyk, Grabski or Stanczyk, Antoni Kolodzei Poland: Sapieha 01 Witos, Zulawski, Kutrzeba plus two non-part} men—Henryk Kolodziejski and Adam Krzyzanowski 95
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would be initiated in Moscow among these Poles to implement the Yalta agreement to establish an interim government for Poland prior to the holding of free elections. Harriman and Hopkins viewed this agreement as the best possible given the existing circumstances in Poland. The United States government had not given up its interpretation of the Yalta agreement and had succeeded in getting Mikolajczyk and other non-Warsaw Poles invited for consultation with the Moscow Commission. Initially, Hopkins and Harriman had sought to bargain United States acceptance of this agreement for Stalin's granting of amnesty for the sixteen Poles arrested in April by the Soviet government. However, Hopkins decided instead to suggest to Stalin that some concession was needed to allay the suspicions of American public opinion and to improve the chances for agreement among the various Polish leaders once they reached Moscow.97 When Stalin refused to cancel the scheduled public trials for the sixteen Polish leaders, President Truman took no further action.98 Through Hopkins' efforts, the goal which had eluded the Allies since Yalta appeared to have been attained. The dis97 Harry Hopkins to President Truman, June 3, 1945, FR, 1945, v, pp. 318-19; Ambassador Harriman to President Truman, June 9, 1945, FR, 1945, v, p. 335. President Truman concurred in Hopkins' decision not to make amnesty a condition for an agreement on Poland. But Truman expressed his hope that Stalin would agree to the release of the sixteen Poles, fearing "that if Stalin [did] not make some concession . . . on this point the otherwise favorable reaction, which will come when it is known that consultations are to begin, will be jeopardized in the eyes of a large part of American public opinion." President Truman to Harry Hopkins, June 5, 1945, FR, 1945, v, p. 326. 98 M e m o r a n d u m of a C o n v e r s a t i o n , by U n d e r Secretary G r e w , w i t h P r e s i d e n t T r u m a n , J u n e 18, 1945, G r e w P a p e r s , Vol. 7 (Conversations). G r e w r e c o r d e d " t h a t since H a r r y H o p k i n s h a d m a d e t h e s t r o n g est r e p r e s e n t a t i o n s t o M a r s h a l Stalin o n t h i s subject I t h o u g h t it w o u l d b e h i g h l y u n d e s i r a b l e for us t o take f u r t h e r steps at this t i m e w h i c h in all p r o b a b i l i t y w o u l d s i m p l y a n g e r t h e Soviet a u t h o r i t i e s a n d w h i c h m i g h t well t h e r e b y defeat its o w n objective. I said I felt very strongly t h a t we s h o u l d n o w let n a t u r e t a k e its course in t h e l i g h t of H o p k i n s ' earnest r e p r e s e n t a t i o n s to Stalin himself."
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cussions of the Moscow Commission with representative Polish leaders for formation of an interim Polish government were to begin. While pleased that Hopkins had been able to break through Stalin's and Molotov's suspicions and impress upon them the gravity of the situation which had developed in Soviet-American relations, Harriman cautioned: I am afraid Stalin does not and never will fully understand our interest in a free Poland as a matter of principle. He is a realist in all of his actions, and it is hard for him to appreciate our faith in abstract principles. It is difficult for him to understand why we should want to interfere with Soviet policy in a country like Poland, which he considers so important to Russia's security, unless we have some ulterior motive. He does, however, appreciate that he must deal with the position we have taken and, in addition, from all reports we have from inside Poland, he needs our assistance and that of Great Britain's in obtaining a stable political situation within that country." Hopkins went to Moscow to obtain Stalin's agreement to the same United States goals for Poland which the government had been promoting since the Yalta Conference. Hopkins offered no concessions and proposed no compromise. The agreement on the Poles to be invited to Moscow was interpreted by American officials, not as a compromise, but as a success for the original United States policy. What they learned was that if they stood firm, the Soviet government would give in. They never saw that of the proposals ironed out with the British government on Poland in March, they had not secured Soviet approval for Mikolajczyk's conditions for going to Moscow or more importantly acceptance of a general truce to prevent the consolidation of power by the Warsaw regime. 99 Ambassador Harriman to President Truman, June 8, 1945, FR, 1945, Potsdam, 1, p. 61.
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POLAND 1945 Further, they failed to recognize that Stalin also interpreted this agreement as a success for Soviet policy. The Soviet government neither altered its goals toward Poland nor gave up its ability to maintain in power the existing Warsaw government. Stalin and Hopkins had agreed only to a list of names of Poles to be consulted in the reorganization of the Warsaw government.100 Both governments felt that they had been successful; but, the overall conflict between the goals of the two countries had been neither faced nor resolved. Once the various Polish leaders met in Moscow, movement toward the formation of a Polish Government of National Unity was rapid. The Poles agreed quickly upon the composition of an interim government as the first step in fulfilling the Yalta formula. The government would include Prime Minister Bierut of the Warsaw government as President and former Prime Minister of the London government Mikolajczyk as Vice Prime Minister and Ministet of Agriculture. Introduced into the existing Warsaw government were four new members of the Peasant party and one member of the Socialist party.101 Harriman expressed his disappointment that Poles outside the Warsaw government received only five instead of seven ministerial posts and that the Ministry of Internal Security remained under Communist control. However, he believed that the Poles had been wise in accepting the best deal they could make on their own without seeking the direct assistance of the British and American governments.102 100 For this interpretation of the agreement by Stalin, see A. Ulam, Expansion and Coexistence, p. 386. 101 Ambassador Harriman to the Secretary of State, June 21, 1945, FR, 1945, v, pp. 353-54. io2 Ambassador Harriman to the Secretary of State, June 28, 1945, FR, 1945, Potsdam, 1, pp. 727-28. According to Harriman, "it is impossible to predict the trend of events in Poland but I believe that the stage is set as well as can be done at the present time and that if we continue to take a sympathetic interest in Polish affairs and are reasonably generous in our economic relations there is a fair chance that things will work out satisfactorily from our standpoint."
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During these Moscow discussions, Harriman sought to obtain certain assurances from Polish leaders that a representative government would be established through the holding of free elections. These Polish government officials, however, refused to agree to more than a statement that the basic agreement reached in Moscow would be maintained until the holding of free elections.103 Harriman reported that President: Bierut told me this morning that all the Poles concerned were determined to hold free elections in accordance with the Crimea decision but he thought that "it was not necessary to have any emphasis placed on it by the Allied Powers." I pointed out that it was most important in order to avoid any adverse public discussion of this question in the United States that the new Govt, reiterate what the former Provisional GOVT, as well as Mikolajczyk and his associates had clearly stated namely that the Crimea decision was accepted in its entirety. Bierut did not commit himself as to the exact language which would be used in the announcement but he appeared to appreciate the importance of a statement sufficiently broad to make clear the new govt's intention to carry out the Yalta decisions. I could not pin him down more definitely.104 Following the establishment in Warsaw of the Provisional Government of National Unity during the first week of July 1945 and the receipt of general assurances from Polish officials that the Yalta agreement would be implemented, !03 Ambassador Harriman to the Secretary of State, June 21, 1945, FR, 1945, v, pp. 353-54; Ambassador Harriman to the Secretary of State, June 23, 1945, FR, 1945, v, pp. 354-57. 10* Ambassador Harriman to the Secretary of State, June 27, 1945, Records of Dept. of State, Decimal File 860C.01/6-2745. Herbert Feis, Between War and Peace: The Potsdam Conference (Princeton: Princeton University Press, i960), p. 212, is mistaken when he states that Harriman advised that the United States should hold u p recognition until the provisional government gave assurances regarding the holding of free elections. 240
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the United States and Britain recognized the new Polish government.105 President Truman announced the extension of United States recognition as "an important and positive step" in fulfilling the decisions made by the Allies at Yalta on the future of Poland.106 IV Conflict between the United States and Soviet governments over the future of Poland was not, however, resolved by either the formation of a provisional government or the recognition of that government by the United States, the Soviet Union, and Britain. Reports from Poland continued to show that the Warsaw government, with Soviet support, had not altered its determination to exercise total political control. Following recognition of the new Polish government, the United States had theoretically two options. Either additional efforts could now be undertaken to see 105 T h e British government sought to postpone recognition in order to have more time to arrange the details of the liquidation of the London Polish government. At the last minute, the United States granted a two-day extension to July 4 and then decided to set the date for July 5, 1945 for fear of "repercussions here in Polish-American circles" if recognition were granted on American Independence Day. Acting Secretary of State Grew to Ambassador Harriman, June 30, 1945 and Secretary of State Stettinius to Ambassador Harriman, July 3, 1945, Records of Dept. of State, Decimal File 860C.01/6-3045 and 860.01/7-345. ioe Statement by the President, July 5, 1945, FR, 1945, Potsdam, 1, P- 735· Gar Alperovitz's description of United States policy toward Poland during 1945 is further suspect because he fails to discuss American recognition of the provisional government in July. If United States policy-makers indeed sought to postpone the confrontation over Poland, surely recognition of the provisional government would have been withheld until after the testing of the atomic bomb scheduled two weeks later. Instead, President Truman rejected the pleas of the Polish Ambassador that only de facto recognition be given and ignored the request of the Polish-American Congress for postponement of recognition. (See Telegram to the President, June 29, 1945, Harry S. Truman Papers.) Recognition was accorded immediately.
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established a truly democratic Poland through the holding of free elections, or the United States could withdraw from active involvement in Polish affairs since the Yalta agreement to create a provisional government, committed to the holding of free elections, had been implemented. These choices were not addressed. Promotion of the holding of free elections followed as the next logical step in United States efforts to achieve the establishment of a representative Polish government. No one considered that the creation of this reorganized Polish government represented the successful achievement of United States goals for Poland. No one proposed that the United States admit that it could do no more to implement the Yalta agreement; no one suggested that the United States stand aside and maintain a posture of noninvolvement in future developments in Poland. Finally, no one argued that the future of Poland was really not very important to the United States. President Truman, in announcing American recognition of the Provisional Government, affirmed United States support for the holding of free elections in Poland as a necessary step in carrying out the Yalta agreement.107 Ambassador Harriman warned that the Poles' success in reorganizing the Warsaw government should not be considered more than the first step in implementing the Yalta agreements. According to Harriman, the Poles were counting on the United States for continued interest in insuring free elections.108 Prior to the Heads of State meeting in July, the State Department defined the primary objective of United States policy to be the establishment by the Polish people of a truly democratic government. While recognizing that Soviet and Warsaw officials showed little sympathy for American goals, the Department concluded: "It would thus appear necessary that we maintain our vigilance and 107 Ibid.
108 Ambassador Harriman to the Secretary of State, June 21, 1945, FR, 1945, v, p. 354; Ambassador Harriman to the Secretary of State, June 23, 1945, FR, 1945, v, pp. 357-60.
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continue to pursue a firm and active policy regarding Poland" in order to achieve the holding of free and unfettered elections.109 Whereas in March the State Department rejected Churchill's proposal for sending American observers into Poland for fear of becoming involved in internal Polish affairs, now in June the Department recommended that the United States participate in the supervision of free elections in Poland, support actively those elements in the new government who opposed Poland becoming a "Soviet satellite," and press for the withdrawal of the Soviet Army from Poland.110 These officials determined that such a policy was both correct and supported by domestic political considerations: "The large population of Polish extraction in the United States will undoubtedly seek to make an internal American political issue of Polish affairs if free relations between the two countries are seriously impeded." 111 The decision to continue to promote the holding of free elections in Poland in July occurred without dissent, and this policy did not alter throughout 1945. The next logical question was how the United States would promote the holding of truly free elections in Poland. Again, without discussion, American officials initiated a campaign of public and private rhetoric affirming the United States commitment to the holding of such elections. Under Secretary Grew, in a letter to Senator Arthur Vandenberg, announced that the Yalta decisions would only be carried out once free and unfettered elections were held in Poland on the basis of universal suffrage and the secret ballot.112 Following his arrival in Warsaw, the United States Ambassador, Arthur Bliss Lane, continually informed Polish leaders of the United States commitment to 109 Briefing Book Paper, "Suggested United States Policy Regarding Poland," June 2g, 1945, FR, 1945, Potsdam, 1, p. 715. n o Ibid., pp. 714-16. i n Ibid., p. 715. 112 Under Secretary Grew to Senator Vandenberg, July 17, 1945, The Department of State Bulletin, xm (July 22, 1945), n o .
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POLAND 1945 the holding of free elections and criticized the political conditions existing in Poland, specifically police terrorism, the arrests of Polish political leaders, and total repression of the domestic press.113 The propaganda agencies of the United States government kept the people inside Poland informed of the continuing American desire for free elections. Following United States recognition of the new Polish government, the propaganda directive of the Office of War Information stated: We should express our satisfaction over the recognition and the fact that another step has been taken towards the fulfillment of the Yalta Agreement. A too enthusiastic tone should be avoided as the "free and unfettered elections" called for by the Yalta Agreement have yet to be carried out. Any reference in a statement accompanying the announcement of recognition or in subsequent press comment that recognition is predicated upon "the holding of free and unfettered elections as soon as possible on the basis of universal suffrage and secret ballot" should be emphasized.114 This emphasis on the need for "free and unfettered elections" was continued each week throughout the remaining months of 1945 until the Office of War Information was disbanded. 115 In contrast to this rhetoric, the government actually undertook only minimal action to promote the holding of u s Ambassador Lane to the Secretary of State, August 22, 1945, September 25, 1945, October 4, »945, December 22, 1945, FR, 1945, v, pp. 364-65, 376-79, 383-86, 434-45. 114 Office of War Information, Special Guidance on Poland, July 5, 1945, Records of Dept. of State, Lot 52-249. u s See Weekly Propaganda Directives on Poland, 1945, Washington National Records Center, National Archives, Record Group 208, Records of the Office of War Information, Office of the Director, Overseas Operations Branch.
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POLAND 1945 free elections in Poland. Prior to the meeting of the Heads of State of Britain, the Soviet Union, and the United States at Potsdam in July 1945, State Department officials objected to the British recommendation that the Allies establish the right of all Polish political parties to take part in future elections. They argued that it would be better to put off such specific initiatives until the United States Ambassador to Poland arrived in Warsaw. In a memorandum to the Director of the Office of European Affairs, Llewellyn Thompson stated that "upon the basis of Mr. Lane's reports we may wish at a later date to make some concrete proposal on this subject to the Soviets but any attempt to raise the matter here [Potsdam] in general terms would almost certainly result in a strong Soviet rebuff and would probably unduly arouse Soviet suspicions."116 During the actual discussions at Potsdam, neither President Truman nor Secretary Byrnes seemed particularly interested in British efforts to secure a reaffirmation of the Allied commitment to the holding of free elections on the basis of the Yalta Polish agreement. Only after British initiatives succeeded in gaining Soviet approval to a compromise statement did Truman agree to sign the communique. 117 While refusing to take part in the actual interchange on the wording of this communique, President Truman simply reminded both Stalin and Churchill that lie Memorandum by Second Secretary of Embassy in United Kingdom Llewellyn Thompson to Assistant Secretary Dunn, July 15, 1945, FR, 1945, Potsdam, i, p. 741. T h e Heads of State met in Potsdam, Germany, from July 17, 1945 to August 1, 1945. 117 T h e Potsdam Conference communiquo on Poland stated: "The three powers note that the Polish Provisional Government in accordance with the decisions of the Crimea Conference has agreed to the holding of free and unfettered elections as soon as possible on the basis of universal suffrage and secret ballot in which all democratic and anti-Nazi parties shall have the right to take part and to put forward candidates, and that representatives of the Allied press shall enjoy full freedom to report to the world upon developments in Poland before and during the elections." FR, 1945, Potsdam, 11, p. 1508.
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the United States was very much interested in Polish elections. According to Truman: There are six million Poles in the United States. A free election in Poland reported to the United States by a free press would make it much easier to deal with these Polish people. The President stated that it seemed to him that the Polish Provisional Government knew that the Three Powers would expect the press freely to report the elections and would expect this matter to be raised.118 Preoccupied with other questions at Potsdam, Truman did not undertake any effort to obtain agreement for specific Allied initiatives which might insure the holding of free elections. He never pursued the State Department's recommendation that the three powers agree to supervise the holding of free elections. In his report to the nation following the Potsdam Conference, Truman simply restated the United States commitment to the establishment of a representative and independent government in Poland.119 Following this Conference, the United States government never undertook any sustained action to insure the holding of free elections. Despite urgent pleas from Ambassador Lane that the United States not allow conditions in Poland to go unnoticed, no initiative occurred.120 During discussions in October and November 1945 among Polish officials regarding the scheduling of elections, American officials refused to recommend a specific date for fear of becoming involved in Polish internal affairs. Despite the State Department's preference for the holding of free elections as soon as possible before Soviet control of the country became complete, Secretary of State Byrnes merely reaffirmed the u s Plenary Meeting, July 21, 1945, FR, 1945, Potsdam, 11, p. 206. 119 President Truman's Report to the Nation on the Potsdam Conference, August 9, 1945, The Department of State Bulletin, xm (August t2, 1945), 211. !2o Ambassador Lane to the Secretary of State, August 18, 1945, Records of Dept. of State, Decimal File 7600.61/8-1845.
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United States commitment to the Yalta and Potsdam agreements and asked Lane to: take advantage of any suitable opportunity to remind the Polish Government that under the Yalta and Potsdam agreements it is pledged "to the holding of free and unfettered elections as soon as possible on the basis of universal suffrage and secret ballot in which all democratic and anti-Nazi parties shall have the right to take part and to put forward candidates" and, in your discretion, to point out that such elections would undoubtedly contribute materially to popular support in this country for any program of aid to Poland which might be under consideration. 121 In contrast, the British pressed for the holding of free elections in Poland at as early a date as possible.122 The trend of events in Poland toward a single list election and the consequent muzzling of opposition parties also failed to provoke any United States action. Byrnes initially stated that "while in principle the Department [did] not look with favor upon any limitation of political activities in Poland and [would] oppose any attempt to establish a unity front party system in Poland," it would not protest the limitation of the number of political parties. 123 Byrnes suggested that the remaining six parties seemed to be representative and experiences at the end of the last war had shown that fragmentation of parties generated political instability.124 Lane countered; a failure to protest this limitation on the number of Polish parties would leave the United States open to the charge of impeding the partici121 Secretary of State Byrnes to Ambassador Lane, November 2, 1945, FR, 1945, v, p. 399 [Drafted: HFM; Initialed: CEB; Signed: Byrnes]. 122 Ambassador Winant to the Secretary of State, November 1, 1945, Records of Dept. of State, Decimal File 860C.00/H-145. 123 Secretary of State Byrnes to Ambassador Lane, December 1, 1945, FR, 1945, v, p. 425 [Drafted: ED; Signed: DA]. 12* Ibid., pp. 425-26.
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POLAND 1945 elections could not be held as long as the Soviet army was in Poland.128 The only positive United States effort at all in the fall of 1945 to promote the holding of free elections was through the denial of American economic credits. In October, Ambassador Lane recommended that credits through the Export-Import Bank be withheld. Lane reported that Polish leaders inside and outside the government had expressed their belief that the granting of credits would be interpreted as American acquiescence in the nondemocratic and brutal practices which existed in Poland. He urged the United States to announce that the government would not extend credit to a Polish government which did not accord the people of Poland freedom of speech and did not hold free elections.129 Initially, the State Department approved Lane's recommendation and the Division of Foreign Economic Development deferred action.130 However, the State Department position was most confusing. While claiming that the Department in general believed that economic rather than political considerations should form the basis of ExportImport Bank credit negotiations, the Department informed Lane that the Bank would postpone all action on credits to Poland. Then, in place of a forthright statement outlining the American effort to bargain economic credits for free elections, the Department stated: This would not preclude attaching political considerations to granting of credits (urtel 482 Oct 27), but until final determination this point Dept prefers to avoid linking political questions with credits except for you to 128 Ambassador Lane to the Secretary of State, November 14, 1945, FR, 1945, v, p. 415. 129 Ambassador Lane to the Secretary of State, October 13, 1945, FR, 1945. v> PP- 388-90· 130 Memorandum by the Associate Chief of the Division of Foreign Economic Development to Under Secretary Acheson, October 25, 1945, FR, 1945, v, p. 392.
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imply that apart from the economic considerations, the granting of a credit may be seriously jeopardized if the record of the Polish Govt for the fulfillment of its obligations is impaired by a failure to adhere fully to its acceptance of the Yalta agreement and to its Potsdam commitment as to elections and its further Potsdam commitment as to the freedom of the Allied press. It would be appropriate to observe in this connection that if the policies of the Polish Govt should create conditions under which free and unfettered elections would be an impossibility, and this fact became known to the American people, under our system it could not be ignored by this Govt, when considering a Polish application for credits.131 Upon Mikolajczyk's subsequent request for American credits as the best assurance that Poland was in fact going to be independent and that the United States remained interested in the future of the country, the Department agreed to make available from surplus stocks certain types of goods, primarily trucks, bulldozers, and port machinery.132 Large scale credits were deferred on political grounds while limited types of equipment were made available. This action was indeed haphazard and no determined attempt was made to bargain for free elections as part of either one of these aid programs. During the fall of 1945, Soviet efforts to establish a friendly Communist regime in Poland now made fulfillment of American goals increasingly unlikely. Under these circumstances, the United States continued to expound its 131 Secretary of State Byrnes to Ambassador Lane, November 9, 1945, FR, 1945, v, pp. 411-12 [Drafted: T H H ; Initialed: HFM, CEB]. 132 Memorandum of Conversation, by Elbridge Durbrow, with Vice Prime Minister Mikolajczyk, November 8, 1945, FR, 1945, v, p. 400; Secretary of State Byrnes to Ambassador Lane, November 24, 1945, FR, !945. v . P- 4·9· According to Secretary Byrnes, such a program "without necessarily reducing Soviet influence in Poland, would tend to maintain a United States role there by letting the Polish people know that the United States has a real interest in Polish reconstruction, but would not necessarily contribute to the prestige of the present regime."
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POLAND 1945 commitment to the holding of free elections but initiated only minimal action to achieve this aim.133 By its action, the United States clearly accepted Soviet predominant political influence in Poland; but in its rhetoric, it continued to promote the same American goals in opposition to Soviet demands. V Why did the United States pursue such a low-key inactive policy toward Poland following recognition of the Bierut government in July 1945? The particular means by which the United States government would seek to promote the holding of free elections in Poland received little attention. For United States officials, the possibility of war with the Soviet Union over Poland remained unthinkable. They recognized that no military power was available to the United States in Europe to bargain for implementation of the Yalta agreement on Poland. Further, these officials seemed concerned to stay out of internal Polish affairs. Given these constraints, they merely continued their rhetoric in favor of the holding of free elections and undertook only minimal and often haphazard actions to secure this goal. The relation between the rhetoric and limited United States action was never discussed. No one suggested that if the United States did not have the means to insure the holding of free elections, the United States should abandon its public commitment. Reports from inside Poland throughout the fall of 1945 indicated that the achievement of American goals was most 133 If, as Gar Alperovitz suggests, United States policy toward Poland in the spring of 1945 aimed to postpone confrontation until the demonstration of the atomic bomb, it is curious that no forthright or sustained United States action toward Poland occurred either following the successful test at the Potsdam Conference or in the fall of 1945. Alperovitz does mention Ambassador Lane's efforts to bargain American credits for free elections. But this lever was the economic power of the United States and not the power of the atomic bomb.
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unlikely. Domination of the Polish government by Communist elements subservient to the Soviet Union, intimidation and terrorism inflicted upon the country through the security police, and the prolonged occupation of the Soviet Army made the prospect of truly free elections seem remote.134 At the same time, reports also revealed that the functioning Polish government still did not enjoy the support of more than five to twenty percent of the Polish people.135 Only through the holding of free elections would a truly representative government in Poland be established. So, despite the unfavorable political situation, American officials did not alter their commitment to the holding of free elections. No one argued that if the United States were not going to be successful in attaining these elections, the government should drop the issue. The hope existed that with luck free elections might be held. Besides, these officials believed that it would do no good to admit that free elections were impossible and thereby condone Soviet unilateral actions in imposing an unrepresentative regime upon Poland.136 They saw no reason to foreclose the possibility of achieving a goal by admitting that no probability existed to implement it. These officials apparently saw no costs in continuing their rhetoric in favor of the holding of free elections. They 134
Briefing Book Annex, "The New Polish Provisional Government of National Unity," July 6, 1945, FR, 1945, Potsdam, 1, p. 719; Ambassador Lane to the Secretary of State, August 18, 1945, Records of Dept. of State, Decimal File 7600.61/8-1845; Ambassador Lane to H. F. Matthews, September 6, 1945, Lane Papers. 135 Ambassador Lane to the Secretary of State, November 4, 1945, Records of Dept. of State, Decimal File 860C.01/11-445; Ambassador Lane to the Secretary of State, October 27, 1945, FR, 1945, v, pp. 39396. 136 Interviews with C. E. Bohlen, J. C. Campbell, E. Durbrow, H. F. Matthews, P. E. Mosely, L. Thompson. In a letter to the present writer, April 30, 1971, John C. Campbell stated: "Naturally we did not want to say that free elections were impossible at a time when we were doing our best to keep non-communist parties in the field and get fair treatment for them." 252
POLAND 1945 never reconsidered their assumption articulated in the spring of 1945 that the Soviet Union would not break on the Polish question. They never defined the relationship between the United States goal of free elections and Soviet demands for security and the establishment of predominant influence in Poland. American officials periodically communicated to the Soviet government their support for the maintenance of Soviet security through the creation of friendly governments in Eastern Europe. What they never admitted was that the very policy of promoting free elections precluded United States support for the establishment of Soviet predominant influence. The Soviet Union seemed to recognize in the weeks following the Yalta Conference that free elections and the creation of friendly governments were incompatible goals. American officials, however, failed to acknowledge that a public policy in favor of free elections meant that conflict with the Soviet Union was inevitable. These officials, therefore, never viewed the consequences of American policy in terms of rising conflict with the Soviet Union. No one asked whether the continuation of a policy in favor of free elections, given that it opposed Soviet goals and would lead to some sort of break with the Soviet Union, was a desirable course of action. No one discussed the effect of such a policy on overall Soviet-American relations. In particular, no one proposed during 1945 that the United States pursue a policy toward Poland similar to that maintained by the United States in response to Soviet incorporation in 1940 of the Baltic States. In 1940, the United States government initially affirmed its support in principle for the freedom of the Baltic peoples to determine their own political future and refused to recognize the legitimacy of Soviet actions. After the spring of 1942, however, the government refrained from public rhetoric or diplomatic pressure to achieve United States goals in the Baltic States. More importantly, United States officials specifically decided not to permit differences over the Baltic 253
POLAND 1945 States to disturb overall Soviet-American relations. According to the State Department Manual in December 1945, "in as much as the Soviet Government continues to insist that these States were duly incorporated into the Union of Soviet Socialist Republics and in view of the position we took in 1940 with regard to this matter, we have endeavored to steer a course which would prevent our different attitudes from disturbing American-Soviet relations." 137 A similar policy toward Poland during 1945 would not have required a public repudiation by the United States of the Yalta agreement but would have constituted an attempt to prevent the escalation of conflict between the Soviet and United States governments over Poland once it became clear that the United States did not have the means to prevent the establishment of predominant political influence. It is not clear that such a policy would have avoided conflict between the two governments. However, such an alternative policy was never even considered by American officials. United States policy in favor of the formation of a truly representative Polish government through the holding of free elections remained unchanged at the end of 1945. Conflict between the Soviet Union and the United States over Poland appeared to be irreconcilable. 137 Policy Manual, "Estonia, Latvia, Lithuania," Department of State, December 1, 1945, Records of Dept. of State, Decimal File 711.00/12-145.
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EIGHT
RUMANIA, BULGARIA, HUNGARY: CHALLENGES T O T H E YALTA AGREEMENTS I AT YALTA the United States, British, and Soviet governments defined a particular type of political future for Eastern Europe. In the Declaration on Liberated Europe, they agreed to promote jointly the formation of representative governments and the holding of free elections. However, in the weeks following the Conference, it became clear that implementation would be difficult in the ex-German satellite states of Rumania, Bulgaria, and Hungary. General political, economic, and social chaos enveloped the countries. Organized Communist parties were increasing their influence and dictatorial regimes were being established. Moreover, the Soviet Union was using the Allied Control Commissions and the occupying Red Army to enforce total Soviet political control. As in the case of Poland, the United States confronted the problem of how to respond to the existence of unrepresentative governments in Eastern Europe and to clear-cut Soviet violations of the principles of the Yalta agreement. Two choices existed: either the United States could ignore what was happening in these countries, and thereby accept a Soviet sphere of influence, or the United States could oppose Soviet actions. If the government chose to contest Soviet violations, decisions had to be made as to what means would be used to advance United States goals. The following means were potentially available: rhetoric in support of the principles of the Declaration on Liberated Europe, joint consultation between the British, Soviet, and American governments under the Declaration, withdrawal from 255
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participation in the Allied Control Commissions, withholding of recognition of unrepresentative governments, bargaining Lend Lease and financial aid to the Soviet Union, supervision by the United States of the holding of free elections, and the use of military force. In addition, a decision had to be taken as to whether to pursue American goals in close coordination with the British government or independently. In 1945, United States policy toward Rumania, Hungary, and Bulgaria was defined by the choices made among these alternatives. II From the time of Rumania's surrender in August 1944, that country had experienced a series of political crises. The leftist parties, merged under the National Democratic Front and riding on the prestige of the liberating Red Army, challenged the political power of the prewar Peasant and Liberal parties. The political situation from December 1944 until February 1945 was extremely fluid and confusing as the government of General Nicolae Radescu attempted to re-establish order and stability.1 1 Following the conclusion of the armistice agreements with Rumania, Bulgaria, and Hungary, an Allied Control Commission, chaired by the Soviet Union, was established in each of the countries. T h e Chief of the United States Military Representation on the Allied Control Commission in each country was an Army general officer— Brigadier General Cortlandt Van R. Schuyler in Rumania, Major General John A. Crane in Bulgaria, and Major General William S. Key in Hungary—who headed a delegation of four military officers. These military representatives on the Allied Control Commission reported directly to the Department of War. In addition, the United States sent a political mission of three Foreign Service officers, independent of the Control Commissions, to each of these countries. T h e chief Political Representatives, with the rank of Ministers, were Burton Y. Berry in Rumania, Maynard B. Barnes in Bulgaria, and H. F. Arthur Schoenfeld in Hungary. They were instructed to establish informal relations with local authorities and to inform the Department of State about political conditions in the indi-
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Then, in February, a most serious political crisis developed. The number of violent demonstrations in the country increased. An open clash occurred among the Liberal, Peasant, and leftist parties in the Radescu Cabinet. Conclusive evidence existed that the leftist parties were stockpiling arms in preparation for a coup d'etat. At the direction of the Soviet government, the Allied Control Commission ordered the demobilization of the Rumanian army and the disarming of the Rumanian police. The Radescu government became increasingly unable to maintain order; and, civil war appeared imminent. 2 The Chief United States Military Representative on the Allied Control Commission in Rumania, General Cortlandt Van R. Schuyler, was convinced that the Soviet Union was following a definite plan either to transform Rumania into an independent Communist state politically and economically subservient to the Soviet Union or to incorporate Rumania into the Soviet Union. Schuyler contended that the Soviet program aimed to promote the disintegration of the prewar political parties and the creation of a situation where only the leftist parties could maintain order. He maintained that "the stage [was] gradually being set for vidual countries. Although the political and military delegations reported to separate Departments in Washington, copies of their reports were circulated between the two Departments, and the representatives in the countries worked very closely together. For the reports of the United States Political Representative in Rumania, Burton Y. Berry, from his arrival in November 1944 until February 1945, see FR, 1944, iv, pp. 260-89 and FR, 1945, v, pp. 464-72. 2 T h e United States Representative on the Allied Control Commission in Rumania, General Cortlandt Van R. Schuyler, to the War Department, January 20, 1945 and February 16, 1945, Map Room, Box 15A, Roosevelt Papers; Representative Berry to the Secretary of State, February 9, 1945 and February 15, 1945, Records of Dept. of State, Decimal File 740.00119 Control (Rumania)/2-g45, 2-1545; Representative Berry to the Secretary of State, February 12, 1945, Records of Dept. of State, Decimal File 871.00/2-1245; Representative Berry to the Secretary of State, February 19, 1945, FR, 1945, v, pp. 470-72.
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what at the proper time will appear to be a natural transition to a Leftist government, based on 'popular demand.' " 3 On his own initiative, Schuyler proposed that the Allied Control Commission announce its intention to implement in Rumania the principles of the Yalta Declaration on Liberated Europe. Schuyler stated: Pursuant to this declaration, I feel it is the responsibility of the Allied Control Commission to insure the existence in Rumania of a coalition government in which all present parties are represented, until such time as free elections can be assured. Also, of course, it is our responsibility to assist the government to expedite the holding of such elections. Further, in view of the present state of serious political unrest, I feel that a public announcement of the attitude of the Armistice Control Commission in this matter would have a definitely stabilizing effect.4 Next, Schuyler recommended that firm action be taken by the Commission to avoid the outbreak of civil war and to maintain a representative coalition government until the holding of free elections.5 During the last week of February when Soviet Deputy Commissar for Foreign Affairs Andrey Vyshinsky arrived in Bucharest, Schuyler requested 3 General Schuyler to the War Department, February 20, 1945, Map Room, Box 15A, Roosevelt Papers. Prior to the full-scale eruption of the crisis, the British government proposed that the two governments approach the Soviet Union in order to head off the rumored coup. T h e State Department blocked this initiative, contending that the crisis had not materialized and such "matters should be treated as an internal Rumanian affair." Acting Secretary of State Grew to Representative Berry, February 3, 1945, FR, 1945, v, pp. 468-69. * Representative Berry to the Secretary of State, "Resume of the Allied Control Commission Meeting, February 14, 1945," February 15, 1945, Records of Dept. of State, Decimal File 740.00119 Control (Rumania)/ 2-1545. 5 General Schuyler to the War Department, February 20, 1945, Map Room, Box 15A, Roosevelt Papers and General Schuyler to the War Department, February 22, 1945, FR, 1945, v, p. 473.
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a meeting of the Commission to discuss the unsettled politi cal situation and to take action "in accordance with the principles set forth in the declaration on liberated Europe which was recently agreed upon by the President of the United States. . . ." 6 The War Department was not pleased by Schuyler's ini tiatives. The Operations Division and Assistant Secretary of War John J. McCloy felt that Schuyler had gone too far in trying to achieve Soviet agreement to implementation of the Yalta principles. While they hoped to see the estab lishment of a democratic government in Rumania, they were not prepared to oppose actively Soviet actions.7 How ever, the State Department firmly upheld Schuyler's initia tives. Moreover, following the Yalta Conference, the State Department was given major responsibility for the imple mentation of the Declaration on Liberated Europe. In a letter to Secretary of State Stettinius, Roosevelt stated: I desire that you, as Secretary of State, assume the re sponsibility for seeing that the conclusions, exclusive of course of military matters, reached at the Crimea Confer ence, be carried forward. In so doing, you will I know, wish to confer with other officials of this Government on β General Schuyler to the War Department, February 28, 1945, Map Room, Box 15A, Roosevelt Papers. 7 According to a memorandum from the Operations Division of the War Department: "Mr. McCloy feels, as we do, that Schuyler may be getting a little off base, and yet feels that the State Department would object most strenuously to any change in his instructions which would put a damper on him." The Operations Division drafted a message to Schuyler asking him to return home as soon as the situation permitted in order to discuss any change in the Soviet attitude toward Rumania resulting from action taken at the Yalta Conference. T h e memorandum added, "it should be emphasized that it is not desired that he take any affirmative action to obtain such information, as I am afraid he might write another letter to Soviet authorities asking them what change in their attitude to expect." Memorandum by General Hull, Operations Division, to General Craig, March 2, 1945, Records of the War Department, Operations Division, File OPD 336 Rumania Sec tion ) .
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matters touching upon their respective fields. I expect you to report to me direct on the progress you are making in carrying the Crimea decisions into effect in conjunction with our Allies.8 Therefore, in view of the State Department's approval of Schuyler's actions and this Presidential directive, the War Department decided not to persist in its objections. Those men in Washington most predisposed to grant the Soviet Union complete freedom in their actions in Eastern Europe withdrew from active participation in the formulation of American policy toward the countries of liberated Europe. Thinking that the problems arising in Rumania were primarily the result of Allied misunderstanding, the State Department sought to clarify the American interpretation of the Yalta Declaration: the Allies had agreed to promote the creation of truly representative governments in Eastern Europe. The Department informed the Soviet government of the strong United States commitment to the formation of an independent Rumanian state, the preservation of a coalition government representative of all political groups and social classes, and the holding of free elections. The Department further proposed that measures be taken to provide the Rumanian government with sufficient military force to restore order, to insure freedom of the press, and to encourage full discussion of the problems among members of the Allied Control Commission.9 8 Memorandum to Secretary of State Stettinius from President Roosevelt, February 28, 1945, President's Secretary's File, Stettinius Folder, Roosevelt Papers. In March, President Roosevelt issued a separate order to the Departments of War, Navy, and Treasury, and the Foreign Economic Administration entrusting the Secretary of State with primary responsibility for implementation of the Yalta decisions. Secretary's Staff Committee Meeting, March 12, 1945, Records of Dept. of State, Lot 122, Box 58. 9 Acting Secretary of State Grew to Representative Berry, February 24, 1945, FR, 1945, v, pp. 478-80 [Drafted: CKH; Initialed: JDH, JCD]; Acting Secretary of State Grew to Ambassador Harriman, February 27, 1945, FR, 1945, v, pp. 482-84 [Drafted: CKH; Initialed: LET, HFM, 260
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During the first week of March, the crisis in Rumania reached a climax. Upon his arrival in Bucharest, Vyshinsky asked King Michael to dismiss the Radescu government. When the King replied that he would undertake to discuss the situation with various political leaders, Vyshinsky issued an ultimatum that in two hours a public announcement would be made that the Radescu Cabinet had resigned. When the King picked Prince Stirbey, a former Rumanian Prime Minister and participant in the AlliedRumanian surrender talks, to form a government, the announcement was censored. Vyshinsky informed the King that Petru Groza was the Soviet choice. On March 6, 1945, the formation of a new Rumanian government, composed of fourteen out of eighteen members from the National Democratic Front with Communist control of the Ministries of Interior, Justice, War, and Communication, was proclaimed.10 Neither Schuyler's initiatives nor the State Department's declaration of United States goals had prevented the Soviet Union from intervening to remove the Radescu government. The Soviet government rejected any British-American interference in the internal affairs of Rumania. While announcing their support for the principles of the Declaration on Liberated Europe, Soviet officials reminded the United States of the importance of establishing in Rumania order and tranquility behind the lines of the Red Army. They contended that the inability of the Radescu government to maintain such order and Radescu's cooperation with "pro-Hitlerite elements" required Soviet action. A new government was needed to rid the country of the last vestiges of Nazism and to create democratic institutions in JCD]; Acting Secretary of State to Representative Berry, February 28, 1945, FR, 1945, v, pp. 485-86 [Drafted: CWC; Initialed: CEB, HFM, JCD; Signed: Grew]. 10 Representative Berry to the Secretary of State, February 28, 1945, March 1, 1945, March 2, 1945, and March 7, 1945, FR, 1945, v, pp. 487-89, 492-93, 5°2-5°5· 261
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accordance with the Yalta agreements. The Soviet government acknowledged its responsibility to inform the Allies of any actions which it took to carry out its duties under the Rumanian armistice but rejected further joint consultation about the Rumanian situation. 11 Subsequent exchanges between the Soviet and United States governments did not resolve these differences. The United States rejected Molotov's interpretation that the only consultation required under the Declaration on Liberated Europe was that the Allied Control Commission keep the Allies informed.12 The State Department issued a formal request to the Soviet government that "the three principal Allies should proceed immediately to consult together on the measures necessary to discharge with respect to Rumania their joint responsibilities set forth in the Crimea Declaration on Liberated Europe." 13 The Soviet Union dismissed these United States requests as unnecessary since the political crisis in Rumania had ended.14 Following the formation of the Groza government, Prime Minister Churchill recommended to President Roosevelt that the two governments express their distress over the developments in Rumania and urge Stalin to prevent an indiscriminate purge of anti-Communist Rumanians. While noting the limitations placed on British protests because of the Anglo-Soviet agreement on the Balkans in October 1944 and admitting that the "much more important issue of Poland" was under discussion, Churchill 11 People's Commissar for Foreign Affairs V. M. Molotov to Ambassador Harriman, February 27, 1945, and March 4, 1945, FR, 1945, v, pp. 484-85, 497-98. 12 Acting Secretary of State Grew to Ambassador Harriman, March 3, 1945, FR, 1945, v, pp. 495-97 [Drafted: JCC; Initialed: LET, CEB, HFM, JCD]. is Secretary of State Stettinius to Ambassador Harriman, March 12, 1945, FR, 1945, v, p. 510 [Drafted: CKH; Initialed: JCD, HFM, LET,
JG]. 1* Commissar Molotov to Ambassador Harriman, March 7, 1945 and March 17, 1945, FR, 1945, v, pp. 502, 516-17.
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thought that some joint action should be undertaken. 1 5 American officials, however, opposed the idea of a direct appeal to Stalin. They were particularly anxious not to prejudice the prospects of reaching a Polish settlement. 16 And they considered that "Rumania [was] not a good place for a test case. The Russians have been in undisputed con trol from the beginning and with Rumania lying athwart the Russian lines of communications it is moreover difficult to contest the plea of military necessity and security which they are using to justify their action." 1 7 President Roosevelt did mention to Stalin in a telegram on the Polish question that he did not understand why the Declaration on Lib erated Europe did not apply to Rumania; but, when Stalin ignored this comment, the question of Rumania was held in abeyance pending the results of the Polish negotiations. 18 is Prime Minister Churchill to President Roosevelt, March 8, 1945, FR, 1945, v, pp. 505-506. In this telegram Churchill alluded for the first time to the Anglo-Soviet agreement of October 1944: "We have been hampered in our protests against these [Rumanian] developments by the fact that, in order to have the freedom to save Greece, Eden and I at Moscow in October recognized that Russia should have a largely preponderant voice in Roumania and Bulgaria while we took the lead in Greece. Stalin adhered very strictly to this understanding during the 30 days of fighting against the Communists and ELAS in the city of Athens, in spite of the fact that all this was most disagree able to him and those around him." 16 According to the Stettinius Record, March 18, 1945-April 17, 1945, Records of Dept. of State, Harley Notter Papers, "We did not want to force an immediate showdown on Rumania because we felt the Polish situation presented a clearer issue." See also Memorandum by Charles E. Bohlen, April 19, 1945, FR, 1945, v, pp. 833-34. ι? President Roosevelt to Prime Minister Churchill, March 11, 1945, FR, 1945, v, pp. 509-10 [Drafted: CEB; Initialed: HFM, JCD; Ap proved by the President without change]. In this message, the Presi dent did not comment on Churchill's reference to the Anglo-Soviet agreement on the Balkans and thus continued to ignore its existence. is President Roosevelt to Marshal Stalin, April 1, 1945, FR, 1945, v, p. 194 [Drafted: CEB, Admiral Leahy; Approved by the President without change]. This action was supported by Ambassador Harriman: " I recognize that the Rumanian situation is in many ways secondary in importance to Poland and if we come to a point in our relations
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American officials did not abandon their commitment to the implementation of the Declaration on Liberated Europe. They interpreted Soviet intervention in establishing the unrepresentative Groza government as a direct violation of the Yalta agreement. They further recognized that the American public's support for the creation of an international organization would be seriously undermined if the Yalta principles were not implemented in Rumania. 19 Yet they postponed further actions in Rumania in order first to break the deadlock over Poland and thereby to promote Soviet acceptance of truly representative governments throughout all Eastern Europe. The primary focus of United States attention on Rumania was the political composition of the interim government. If a coalition government were maintained, then other goals—free press, free trade—were seen to follow. However, following the signing of the Rumanian armistice American officials were also upset by reports of the removal of American owned oil equipment to the Soviet Union. What seemed to bother American officials most was the failure of the Soviet government to consult the Allies prior to taking this unilateral action. These officials did not object to making this equipment available to the Soviet Union, but they considered that neither the Allied cause nor Soviet interests were served by the unilateral removal with the Soviet Government where we feel we must make a major issue I believe that we would be on firmer grounds to do so in connection with Poland. Also, a serious public issue over Rumania might prejudice our chances of a reasonable settlement regarding Poland. On the other hand, I heartily concur with the Department's firm position taken in regard to Rumania and agree we should not give in and not let the situation go by default. . . ." Ambassador Harriman to the Secretary of State, March 14, 1945, FR, 1945, v, pp. 511-12. Gabriel Kolko, The Politics of War, p. 406, misunderstands Harriman's position when he states that Harriman tried "without much success . . . to downgrade the Rumanian issue." 19 Secretary's Staff Committee Document, March 8, 1945, Doc. SC-7, Records of Dept. of State, Lot 122, Box 57.
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by one nation of the "essential means of production" of another. Once the Soviet Union pledged verbally that no more equipment would be removed, the United States initiated no further protests.20 What, then, were the characteristics of United States policy toward Rumania after Yalta? Foremost, the United States remained committed to the implementation of the Declaration on Liberated Europe. Harriman's report in April that Stalin may well have taken American opposition to Soviet intervention in Rumania to be inconsistent with the spirit of the spheres of influence agreement he reached with Churchill in the fall of 1944 produced no alteration in this commitment. 21 American officials denied that Stalin had been given a free hand in this part of the world. Moreover, they continually implied to Rumanian leaders that the United States would act to achieve its goals in Rumania. 22 The leader of the National Peasant party, Iuliu Maniu, periodically informed the American representatives in Rumania that the Soviet Union was moving toward total domination of the country and appealed to the British and American governments to inform him whether or not they 20 A c t i n g Secretary of State S t e t t i n i u s to C h a r g e K e n n a n , N o v e m ber 8, 1944, FR, 1944, iv, p p . 256-57; Secretary of State S t e t t i n i u s to A m b a s s a d o r H a r r i m a n , D e c e m b e r 18, 1944, FR, 1944, iv, p p . 283-86; A c t i n g Secretary of State G r e w t o R e p r e s e n t a t i v e Berry, F e b r u a r y 24, 1945, FR, 1945, v, p . 479. T h e Policy C o m m i t t e e of t h e D e p a r t m e n t of State r e c o m m e n d e d i n O c t o b e r 1944: " I n p r o t e c t i n g A m e r i c a n p r o p erty r i g h t s in R u m a n i a we s h o u l d m a k e clear o u r willingness t o a b a n d o n t h e p r e s e n t h o l d i n g s , as in t h e oil i n d u s t r y , for e x a m p l e , or to r e c o n s t r u c t at A m e r i c a n e x p e n s e these p r o p e r t i e s if t h e p r o p e r t y is to be used for t h e exclusive satisfaction of Soviet r e p a r a t i o n s claims, u n d e r t h e r e p a r a t i o n clause w h i c h t h e Soviet G o v e r n m e n t insisted o n i n c o r p o r a t i o n in t h e armistice a g r e e m e n t . " Policy C o m m i t t e e Docum e n t , O c t o b e r 23, 1944 (PC-8), A n n e x C.
21 Ambassador Harriman to the Secretary of State, April 8, 1945, FR, 1945, v, p. 1217. 22 A c t i n g Secretary of State G r e w t o A m b a s s a d o r H a r r i m a n , M a r c h 26, 1945, FR, 1945, v, p p . 522-24. See also M e m o r a n d u m by C h a r l e s B o h l e n , A p r i l 19, 1945, FR, 1945, v, p . 834.
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intended to prevent the imposition of Soviet control. Maniu pleaded that if spheres of influence did exist, he be told so that he could make the best deal possible for his country with the Russians.23 While refusing to indicate direct support for any political group for fear of involvement in the internal affairs of the country, United States officials regularly expressed their determination to see representative governments established in the countries of liberated Europe.2* Ill During the first months of 1945, American officials also became concerned over Soviet efforts to establish total political control in Bulgaria. Although the country was governed by the National Fatherland Front, composed of members of the Communist and Agrarian parties, Communists were gradually seizing complete power through the activities of the Communist-controlled Ministry of Interior, the Bulgarian police, and the Soviet Army. Communist infiltration of the Bulgarian army made it foolhardy to believe that any democratic elements might receive the support of the army in resisting Communist control. The severity of the penalties administered by the People's Courts in the war crimes trials confirmed Communist determination to eliminate all potential political opposition. 25 Soviet domination of the Allied Control Commission meant that the activities of the Commission were in effect an ex23
Representative Berry to the Secretary of State, December 9, 1944, FR, 1944, iv, pp. 279-S0; General Schuyler to the War Department, December 21, 1944, Map Room, Box 15A, Roosevelt Papers. 2 * Acting Secretary of State Grew to Representative Berry, March 2 9> J 945. FR· '945. v> PP- 525-26. 25 United States Political Representative in Bulgaria Maynard B. Barnes to the Secretary of State, December 8, 1944, December 15, 1944, January 8, 1945, February 2, 1945, FR, 1944, HI, pp. 500-501, 503 and FR, 1945, iv, pp. isg, 155-56.
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tension of the Russian military command. The Commission constituted a screen behind which the Russians made decisions with respect to all aspects of Bulgarian political, social, and economic life.26 In view of the deteriorating political situation, the United States Political Representative in Bulgaria, Maynard B. Barnes, and the United States Representative on the Allied Control Commission in Bulgaria, Major General John A. Crane, pleaded for a clearer delineation of American interests and goals in that country. Following conversations with various Soviet and Bulgarian officials in January 1945, Barnes recommended that he be authorized to convey informally the statement of "United States Interests and Policy in Eastern and Southeastern Europe and the Near East" formulated by the Policy Committee of the State Department in October 1944. According to Barnes, this statement would allay existing Soviet suspicions regarding United States aims in Bulgaria and apprise the Bulgarian population of United States intentions. 27 Next, Barnes urged that the United States government publicly express its concern for the future political development of Bulgaria.28 Finally, he suggested that the United States confirm its intention to implement the principles of the Declaration on Liberated Europe in Bulgaria. Barnes warned that the United States might well be compelled in Bulgaria to test Russian honesty with respect to the Yalta agreements or completely lose the reputation of a courageous people fighting for the ideals of the Atlantic Charter. Barnes explained that: 26 Representative Barnes to the Secretary of State, December 27, 1944, FR, 1944, in, pp. 510-11. 2? Representative Barnes to the Secretary of State, January 12, 1945, FR, 1945, iv, p. 143. For a discussion of the origins of this statement of "United States Interests and Policy in Eastern and Southeastern Europe and the Near East," in October 1944, see Chapter V, pp. 152-56. 28 Representative Barnes to the Secretary of State, January 25, 1945, FR, 1945, iv, p. 147.
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a clear and emphatic statement in connection with any definitive announcement of the holding of general elections in this country, that the American and British Governments are fully prepared to carry out their commitments under the declaration on liberated Europe in the sense that each party shall be free to select its own candidates without outside pressure, that the people shall be free to choose between candidates by secret ballot and that results arrived at by any contrary method will not be accepted as an expression of the will of the Bulgarian people, would affect election results for good far more than the presence of any number of American and British troops in this country.29 General Crane went even further. He reported that there existed no evidence of an American interest in Bulgaria and American prestige was at its lowest point. He suggested that either the United States announce to the world that the Yalta Declaration on Liberated Europe did not apply to Bulgaria or take positive action to achieve full United States participation on the Allied Control Commission and the holding of truly free elections.30 The State Department initially responded to this barrage of recommendations by the now familiar expedient of reaffirming the United States commitment to the implementation of the Yalta agreements.31 No specific action was 2 9 R e p r e s e n t a t i v e B a r n e s t o t h e Secretary of State, F e b r u a r y 20, 1945, R e c o r d s of D e p t . of State, D e c i m a l File 740.0011 E W / 2 - 2 0 4 5 . 30 T h e U n i t e d States R e p r e s e n t a t i v e o n t h e Allied C o n t r o l C o m m i s sion in B u l g a r i a , M a j o r - G e n e r a l J o h n A. C r a n e , t o t h e W a r D e p a r t m e n t , F e b r u a r y 27, 1945, M a p R o o m , Box 15A, Roosevelt P a p e r s .
3 1 Acting Secretary of State Grew to Representative Barnes, March 3, 1945, FR, 1945, iv, p. 169 [Drafted: CKH; Initialed: CWC, CEB, LET, HFM, JCD]. "The Department expects to see with respect to the former Axis satellite countries full implementation of the Crimea Declaration on Liberated Europe, announcing mutual agreement among the three principal Allies to concert their policies in helping these former enemy states to solve their pressing political and economic problems by democratic means and, where in their judgment conditions require,
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authorized; in fact, no mention was made of any of the suggestions made by either Barnes or Crane. Then, Barnes reported that the Communist party in Bulgaria intended to impose joint electoral lists in the upcoming election and thereby install a minority Communist government. According to Barnes, popular support for the Communist party was limited to no more than 250,000 out of a population of seven million. The Communist party was seeking to reverse its lack of popular support by imposing joint electoral lists in which Communist participation would be 50 to 60 percent.32 Finally during the last week in March, State Department officials acted. They calculated that since a Communist regime had not been established in Bulgaria, strong United States opposition to the electoral arrangements might succeed in thwarting Communist designs. Further, the efforts of the Moscow Commission to resolve the Polish dispute had reached an impasse. They no longer had to be worried, as they were in the case of Rumania, that an approach to the Soviet Union to implement the principles of the Declaration on Liberated Europe might prejudice the outcome of these Polish negotiations. Their earlier hopes had by then faded that an agreement to the formation of a representative government in Poland would lead to Soviet tolerance of representative governments in the other countries of Eastern Europe. In a direct approach to the Soviet government, the United States proposed that joint Allied consultation be initiated to insure that elections in Bulgaria would conform to the principles of the Declaration on Liberated Europe. The State Department considered free elections to be impossible where minority groups demanded that only a sinto assist these states to form interim governmental authorities broadly representative of the democratic elements." 32 Representative Barnes to the Secretary of State, March 2, 1945, FR, 1945, iv, pp. 167-68.
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gle Fatherland Front list be presented to the electorate. Individual lists, as proposed by the Agrarian party, were essential. The Department recommended to the Soviet government that assurances be given that all parties have the right to put forward individual programs and electoral lists and that full safeguards be instituted to protect the rights of the electorate. T o implement these proposals, either a committee of the three Allies should be formed, independent of the Allied Control Commission, or a special tripartite commission should be established to advise the Bulgarian government on electoral matters. As in Rumania, the State Department invoked the Yalta Declaration on Liberated Europe and proposed joint Allied consultation to secure the holding of free elections. In this case, however, the Department went even further and determined that the United States would participate in the supervision of the elections to insure that they were in fact free.33 Soviet Foreign Minister Molotov rejected this United States proposal for joint Allied consultation. Since the Bulgarian government had no intention of carrying out the elections in the near future, he concluded that no Allied action was required. Then, he added: Should the Bulgarian Government have in mind, however, to conduct Parliamentary elections, then in that case according to Soviet opinion there would be no need for foreign interference in the holding of such elections just as there was no need for such interference in the recent Finnish elections. T h e Soviet public would be dumbfounded if such interference were found necessary in Bulgaria especially after the successful conduct of elections in Finland without any foreign interference.34 33 A c t i n g Secretary of State G r e w t o A m b a s s a d o r H a r r i m a n , M a r c h 29, 1945, FR, 1945, iv, p p . 179-S1 [Drafted: C W C , C K H ; I n i t i a l e d :
LET, HFM, JCD, CWC]. 34 C o m m i s s a r M o l o t o v t o A m b a s s a d o r H a r r i m a n , A p r i l 11, 1945, FR, 1945, iv, p . 186.
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The United States did not pursue this issue further. State Department officials were also reluctant to initiate other actions to promote American goals. Although they objected to instructions being issued by the Allied Control Commission in Bulgaria without the prior knowledge of the American representative, they continued to accept Soviet domination of the Commission until the end of the war. They had made clear to Ambassador Harriman in a telegram in January 1945 that the United States was "not prepared at present to go so far as to refuse to participate in the armistice if our position in respect to the Control Commission [were] not accepted" and did "not desire to raise the question of Lend-Lease in connection with this discussion."35 The reasons why the Department was unwilling to take these steps were not given. Instead, State Department officials expressed the United States desire to participate in the Bulgarian Control Commission in a manner similar to that of the Soviet representative in Italy.36 Finally, the United States could not consider bargaining for implementation of American goals with its military forces since none existed in any of the ex-German satellite states. At the same time, these State Department officials did not alter their commitment to the implementation of the Declaration on Liberated Europe in Bulgaria. These officials determined that if the Fatherland Front took additional action to impose a single electoral list that the United States should at that time "press our request for consultation." 37 35 Secretary of State S t e t t i n i u s to AMEMBASSY i n Moscow, J a n u ary 3, 1945, R e c o r d s of D e p t . of State, D e c i m a l File 740.00119 C o n t r o l ( B u l g a r i a ) / 1 - 3 4 5 [Drafted: L E T ; I n i t i a l e d : J D H , H F M , J C D ] . 36 A c t i n g Secretary of State G r e w to R e p r e s e n t a t i v e Barnes, J a n u a r y 26, 1945, FR, 1945, iv, p p . 149-51 [Drafted: C W C ; I n i t i a l e d : J D H ] . T h e State D e p a r t m e n t expressed t h e h o p e t h a t G e n e r a l C r a n e w o u l d b e i n v i t e d to r e g u l a r a n d f r e q u e n i m e e t i n g s of t h e C o m m i s s i o n , w o u l d h a v e free access t o i n f o r m a t i o n a b o u t t h e activities of t h e C o m m i s s i o n , a n d w o u l d h a v e p r i o r k n o w l e d g e of i m p o r t a n t decisions. 37 M e m o r a n d u m by C h a r l e s B o h l e n , A p r i l 19, 1945, FR, 835·
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According to Charles Bohlen, "since such action is not only permissible but becomes an obligation under the Yalta Declaration on Liberated Europe, we are unable to comprehend why the invocation of the Declaration should be cause for misunderstanding. T h e American people fully expect that the Declaration will be given reality in the treatment of liberated and ex-enemy peoples."38 The seriousness with which the State Department continued to hold these Yalta principles is illustrated by the assurance given to French Foreign Minister Georges Bidault at this time "that, far from regarding the Declaration on Liberated Europe as QUOTE window dressing UNQUOTE, we are making and will continue to make every effort to give it reality. These efforts have the full support of the American press and public opinion." 39 Officials in Washington maintained during the weeks following the Yalta Conference a less than clearly thought through position somewhere between strong initiatives to achieve United States goals and acquiescence in Soviet violations of the principles of the Declaration on Liberated Europe in Rumania and Bulgaria. Following the removal of the Radescu government in Rumania and the efforts in Bulgaria to impose single electoral lists, the United States appealed for joint Allied consultation under the Yalta Declaration and even proposed American supervision of free elections in Bulgaria. Such initiatives, however, were all too quickly given up once Soviet objections were registered. T h e commitment to oppose Soviet actions appeared to be sufficient to prevent United States acceptance of Soviet unilateral determination of the political future of these countries but insufficient to sustain positive efforts to achieve United States goals. 38 Ibid. 39 Secretary of State S t e t t i n i u s t o t h e A m e r i c a n Embassy i n Paris, M a r c h 24, 1945, R e c o r d s of D e p t . of State, D e c i m a l File 740.0011 E W / 3-1345-
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IV By May 1945, reports from American political and military representatives in Bulgaria and Rumania confirmed that Communist party control of the two governments and Soviet actions in the name of the Allied Control Commissions were in direct violation of the principles set forth in the Declaration on Liberated Europe. Through direct intervention in the internal affairs of both Rumania and Bulgaria, the Soviet Union had succeeded in establishing governments totally unrepresentative of the wishes of the majority of the populations. 40 Soviet domination of the Control Commissions made the prospect of holding free elections seem very dim. General Schuyler reported that it was quite apparent "that Russia, through the Control Commission, [was] proceeding at a rapid pace to communize the Rumanian nation, perhaps with a view to its incorporation within the Soviet Union at a later date." 41 General Crane observed that "the ACC Bulgaria [was] completely dominated by the U.S.S.R. Russia, through the medium of the Allied Control Commission [was] proceeding to impose a Communist dominated government on Bulgaria despite the fact that this type of government [was] not desired by 40 Memorandum by General Schuyler for President Truman, May 3, 1945, FR, 1945, v, p. 541. "The present Rumanian government is a minority government imposed on the nation by direct Soviet pressure. This government is dominated by the Rumanian Communist Party which probably represents less than 10% of the Rumanian population." Memorandum by General Crane for President Truman, May 3, 1945, FR, 1945, iv, p. 206. "In reality, this government is completely dominated by the Communists who make up a small but well-organized party representing perhaps 10% of the population and who are backed up by the Russians in their every move." « Memorandum by General Schuyler to the War Department, " T h e Current Situation in Rumania," April 30, 1945, Records of the War Department, Operations Division, File OPD 336 Russia (Section V).
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an overwhelming majority of the population." 42 Further, the Groza government's replacement of local officials with Communists and censorship of all newspapers as well as the Bulgarian government's communization of the military and suppression of all freedom of speech made unlikely any movement toward democratic governments in the future.43 Although the situation in Hungary remained fluid, the Soviet government appeared to be pursuing similar policies as in Rumania and Bulgaria.44 These conditions within Rumania, Bulgaria, and Hungary combined with continuing Soviet rejection of Allied consultation to implement the principles of the Declaration on Liberated Europe provoked a top level review of United States policy toward the former German satellite states during the first week in May 1945. Generals Schuyler and Crane were called home to Washington for consultation. The questions facing the United States government were clear: should the United States maintain an interest in an area of the world where the Soviet government considered its interests to be paramount and by what means? General Schuyler delineated the various policy choices open to the United States government: (1) leave responsibility to the Soviet Union while maintaining United States participation in the Allied Control Commission on the present basis; (2) withdraw completely from the Control Commission and indicate that further responsibility for the supervision of activities in the countries rested entirely with the Soviet government; (3) announce the United States intention to see the full implementation of the Yalta agreement on liberated Europe backing this by military force if 42 Memorandum by General Crane to the War Department, "The Current Situation in Bulgaria," May 2, 1945, Records of the War Department, Operations Division, File OPD 336 Russia (Section V). 43 Memoranda by General Crane and General Schuyler, May 3, 1945, FR, 1945, v, pp. 541-42, FR, 1945, iv, p. 206. ** Memorandum for the President from the State Department, "The Present Situation in Hungary," May 4, 1945, Hull Papers.
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necessary; (4) insist upon the implementation of the Yalta agreement supporting this position by "diplomatic pressure."45 Generals Schuyler and Crane both argued that the present situations in Rumania and Bulgaria were intolerable and rejected United States recognition of a Soviet sphere of influence. At the same time, they opposed the use of military force to attain United States goals. Instead, they recommended that the United States continue to promote the principles of the Yalta agreement through "diplomatic pressure," a public statement of the political conditions inside Rumania and Bulgaria, and the threat of withdrawing economic and financial assistance from the Soviet Union. 46 According to General Schuyler, such actions "would certainly delay the present trend toward enforced communism in that country [Rumania] and might conceivably serve to re-establish Rumania both politically and economically as an independent nation." 47 In a memorandum to the War Department, General Schuyler delineated the reasons behind his recommendations. First, he rejected the use of military force because it did "not appear that the interest of the United States in Rumania is sufficiently vital to justify this course. It certainly should not be considered until all other efforts to achieve our ends have been exhausted." Second, Schuyler argued against either a continuation of present United States policy or a complete withdrawal from responsibility for the future of Rumania. While recognizing that these courses "would have the advantage of avoiding conflict with Russian interests and at the same time removing us from 45 M e m o r a n d u m by G e n e r a l Schuyler to t h e W a r D e p a r t m e n t , A p r i l 30. !94546 Ibid.; M e m o r a n d u m by G e n e r a l C r a n e t o t h e W a r D e p a r t m e n t , May 2, 1945. N e i t h e r G e n e r a l Schuyler n o r G e n e r a l C r a n e offered any suggestions for w h a t types of " d i p l o m a t i c p r e s s u r e " t h e U n i t e d States m i g h t use to achieve these goals. 47 M e m o r a n d u m by G e n e r a l Schuyler to t h e W a r D e p a r t m e n t , A p r i l 30. !945-
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involvement in further violations of policy as agreed upon at Yalta," Schuyler maintained that they would "encourage Russia to proceed along similar lines in other Balkan countries, in Hungary, in Poland, and perhaps in Austria and Germany" and "would also be highly prejudicial to American commercial and industrial interests in Rumania." 48 The Division of Southern European Affairs in the State Department recommended a similar United States policy. While acknowledging that the Soviet Union had "more direct" interests in Rumania and Bulgaria than the United States, the Division refused to concede complete freedom to the Soviet government to dominate these countries politically and economically. Their memorandum to President Truman stated: our interests and our responsibilities under the Crimea Declaration require us to take a strong stand vis-a-vis the Soviet Government in support of the principles of joint Allied action in the political sphere. We think that the Bulgarians and Rumanians themselves should be given an increasing responsibility and independence of action in their own affairs, both political and economic.49 The Division concluded that United States initiatives to end the restrictions on American personnel and to secure equality of economic opportunity would "serve our national interest and contribute to general peace and security, fulfilling at the same time the obligations publicly assumed through our participation in the Yalta Declaration." 50 In a meeting with President Truman and Under Secretary of State Joseph Grew, Generals Crane and Schuyler 48 Ibid. G e n e r a l Schuyler failed to d e l i n e a t e w h a t c o m m e r c i a l a n d i n d u s t r i a l interests t h e U n i t e d States h a d in R u m a n i a . 49 M e m o r a n d u m by A c t i n g Secretary of State G i e w to P r e s i d e n t T r u m a n , " A m e r i c a n I n t e r e s t s in B u l g a r i a a n d R u m a n i a , " M a y i, 1945, FR, 1945, iv, p p . 202-203 [Drafted: C W C ; I n i t i a l e d : H F M , S R ] . so Ibid.,
p . 203.
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first described political conditions in Rumania and Bulgaria. Then, they recommended that the United States continue to promote the principles of the Yalta Declaration through diplomatic pressure. In their discussions with the President, the alternative choices mentioned in their memoranda to the War Department of either accepting a Soviet sphere of influence by withdrawing from the Allied Control Commissions or using military force to promote United States goals were never mentioned. President Truman responded by asking why, under the circumstances, it would not be better for the United States to withdraw entirely from participation in the Allied Control Commissions. Under Secretary Grew replied that "he did not think we ought to allow the matter to go by default and that there was some advantage in retaining our representatives at least for the present." 51 Truman was apparently satisfied, for he raised no further objections to the recommendation that the United States continue to promote implementation of the principles of the Declaration on Liberated Europe in Rumania, Bulgaria, and Hungary. 52 V Having decided in May 1945 to contest Soviet violations of the Yalta agreement by diplomatic pressure, officials in Washington then seemed to lose interest in any initiatives to promote United States goals. Other issues occupied the attention of these men, specifically negotiations over the Polish question and the United Nations Charter. Suggestions made by the American representatives in Rumania, Bulgaria, and Hungary for United States action to ameliorate the political conditions in these countries were either si Memorandum of Conversation, by Acting Secretary of State Grew, with President Truman, General Schuyler, and General Crane, May 2, 1945, Records of Bept. of State, Decimal File 711.00/5-245. 52 Ibid. See also H. Truman, Memoirs, 1, p. 254.
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postponed or ignored. The meeting of the Heads of State, scheduled for the summer, seemed always to offer the next best opportunity for further United States action.53 A lack of urgency attended consideration of the difficulties arising over the functioning of the Allied Control Commissions. Prior to the defeat of Germany, the State Department refused to consider a British recommendation for a change in the operations of the Control Commissions in Bulgaria and Hungary. 54 In mid-May, the Department rejected as premature Crane's proposal that the government request the Soviet Chairman of the Commission in Bulgaria to transform the Commission into a representative body.55 Not until the final week in May did the State Department undertake to achieve the reorganization of the Allied Control Commissions, perhaps because of Barnes' warnings that the United States could delay no longer in forcing the issue in Moscow if the United States intended to retain a shred of respect in these countries.56 Ambassador Harriman was first authorized to take up the question of Allied participation in the Control Commission in Hungary. Two weeks later, similar proposals to insure tripartite participation on the Control Commissions in Rumania and Bulgaria were presented to the Soviet government. In these proposals, the United States sought a degree of participation in the Control Commissions in Eastern Europe equal to that given the Soviet representative in Italy.57 However, following the introduction of Soviet 53 The Heads of State of the British, Soviet, and United States governments met in Potsdam, Germany, from July 17, 1945 until August 1, 1945. 5* Ambassador Harriman to the Secretary of State, April 5, 1945, FR, 1945, iv, p. 183. 55 General Crane to the War Department, May 18, 1945, and Memorandum for the Record, May 18, 1945, Records of the War Department, Operations Division, File OPD 336 TS Section III. 56 R e p r e s e n t a t i v e B a r n e s t o t h e Secretary of State, May 10, 1945, 1945, iv, p . 211.
FR,
57 Secretary of State Stettinius to Ambassador Harriman, May 28, 1945, FR, 1945, Potsdam, 1, pp. 368-69, n. 5; Secretary of State Stet-
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counterproposals, the Department postponed consideration of this question until the meeting of the Heads of State. During these weeks, Representative Barnes in Bulgaria was most adamant in arguing that Soviet political and military domination made the establishment of a Communist minority government certain unless the United States obtained international supervision of the elections.58 According to Barnes: If we are in the poker game of world affairs, and I assume we are, then we should play the game to the best of our ability. I believe that we have more chips than any one at the table. Circumstances in this area suggest that we should play our cards close to the chest but that when we do have a good hand we should not fail to make a bet. It seems, that in the case of elections in Bulgaria we do have a good hand, not four aces but enough to justify a call or even to make a modest bet. If we refuse to play the cards that come our way it hardly seems that we have the right to stay in the game. At any rate, if we do not make a serious effort to bring forth a Govt in Bulgaria in which the democratic elements of the country are effectively represented, we cannot with very good face claim later that we did our best in Bulgaria to carry out our commitments under the armistice terms and the Yalta declaration of [on] Liberated Europe or to check the spread of totalitarian Govt.59 tinius to Ambassador Harriman, June 8, 1945, FR, 1945, Potsdam, 1, pp. 372-73, n. 6; Acting Secretary of State Grew to Ambassador Harriman, June 12, 1945, FR, 1945, iv, pp. 254-55. Gabriel Kolko, The Politics of War, p. 409, is mistaken when he argues that the United States aim in May 1945 was "to shatter the Italian precedent imposed on the ACCs as a step toward neutralizing Russian hegemony." 58 R e p r e s e n t a t i v e B a r n e s t o t h e Secretary of State, J u n e FR, 1945, iv, p p . 258-59. 59
16, 1945,
Representative Barnes to the Secretary of State, June 23, 1945, FR, 1945, Potsdam, 1, p. 383.
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Despite Barnes' urgent warnings that the United States would never be able to affect matters in this part of the world by a "diplomacy of silence and apparent inaction," the State Department never even replied.60 The United States Political Representative in Hungary, H. F. Arthur Schoenfeld, proposed that the United States inform the Soviet Union that the government would not view with indifference the institution of an electoral law in Hungary prior to thorough consultation among the Allies. Schoenfeld argued that administration of the elections without Allied participation would lead to nothing but the establishment of a left-wing minority government in Hungary. 61 The week before, the State Department had refused to comment on the participation of particular individuals in the Hungarian government for fear of intervening in the internal affairs of the country.62 Now, in response to Schoenfeld's pleas, the Division of Southern European Affairs merely stated: Dept is in general agreement with your view that three principal Allied Govts should concert their policies under Crimea Declaration to assure to Hungarian people exercise of their right to create democratic institutions of their own choice, and that joint action may be called for in connection with forthcoming elections in Hungary. We would not however press for actual supervision of elections by Allied representatives unless it should become apparent that Hungarian authorities intend to conduct them in a way which will not allow the people a free choice.63 eo Representative Barnes to the Secretary of State, July 9, 1945, FR, 1945, Potsdam, 1, pp. 403-404. «1 United States Political Representative in Hungary H. F. Arthur Schoenfeld to the Secretary of State, June 16, 1945, FR, 1945, iv, pp. 828-29. «2 Acting Secretary of State Grew to AMREP in Belgrade, June 12, 1945, Records of Dept. of State, Decimal File 864.00/6-845. 63 Acting Secretary of State Grew to Representative Schoenfeld, July 13, 1945, FR, 1945, iv, p. 834 [Drafted: JCC; Initialed: SR, JCD].
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General Schuyler in Rumania and Representative Barnes in Bulgaria suggested that the United States open trade and commercial relations with the two countries as a means of insuring their economic independence, and perhaps their political independence, in opposition to Soviet efforts to exercise total domination. 6 4 Again State Department offi cials failed to act. They did not even respond in May when the Soviet Union negotiated extensive trade and commer cial agreements with Bulgaria and Rumania, although these agreements virtually monopolized all Rumanian and Bulgarian exports and clearly violated American principles in favor of equal trade opportunities in Eastern Europe. 6 5 A description of exclusive Soviet trade practices in the Balkans, prepared by Elbridge Durbrow, Chief of the Divi sion of Eastern European Affairs, did not change the opin ion of the Director of the Office of European Affairs that "what can be done about it at the present stage, it is diffi cult to say."66 The Department also never threatened to withdraw economic and financial assistance to Russia to achieve Soviet compliance with the Yalta agreements as Generals Schuyler and Crane had recommended in May.67 64 M e m o r a n d u m by G e n e r a l Schuyler, M a y 3, 1945, FR, 1945, v, p . 543; R e p r e s e n t a t i v e Barnes to t h e Secretary of State, M a r c h 20, 1945, R e c o r d s of D e p t . of State, D e c i m a l File 611.7431/3-2045. 65 Representative Berry to the Secretary of State, May 17, 1945, FR, 1945, v, pp. 544-45; Memorandum by the Division of Southern Euro pean Affairs, Cavendish W. Cannon, May 21, 1945, Records of Dept. of State, Decimal File 874.00/5-2145. ββ Memorandum by Chief of the Division of Eastern European Af fairs, Elbridge Durbrow, "Soviet Policy of Tying up Economic Activi ties in the Balkans," May 30, 1945, FR, 1945, v, pp. 852-53. Certain revisionist historians, specifically G. Alperovitz and G. Kolko, argue that United States policies toward Eastern Europe were motivated by a desire to maintain free trade. These writers, however, ignore that the United States failed to take any action in response to Soviet efforts to monopolize trade with the former German satellite states in the spring of 1945. 67 G. Alperovitz, Atomic Diplomacy: Hiroshima and Potsdam, pp. 35-39, suggests that the termination of United States Lend-Lease aid to the Soviet Union in May 1945 aimed to force the Soviet Union to 281
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VI This period of relative inactivity, however, did not mean that the United States had abandoned its opposition to Soviet actions in Rumania, Bulgaria, and Hungary. During the last week of May, Marshal Stalin proposed that the Allied governments recognize immediately the governments of Rumania, Bulgaria, and Finland to be followed in the near future by recognition of the Hungarian government. Stalin maintained that the Rumanian and Bulgarian con tribution to the Allied victory over Germany and Finland's movement toward fulfillment of the armistice terms indi cated that the time was right for the re-establishment of diplomatic relations. 68 Ambassador Harriman urged that Stalin's suggestion be accepted: "The above views are based on the feeling that we will find it difficult to get the Russians to agree to any real tripartite basis for action in the Control Commissions for the coming period and that we can therefore be no worse and possibly better off by handling as many ques tions as possible directly with the Govts concerned." 69 The Division of Eastern European Affairs, however, objected. The Chief of this Division, Elbridge Durbrow, explained: accede to American political goals in Eastern Europe. Whether the termination of Lend-Lease aid had as its goal a showdown with the Soviet Union or was simply the result of bad timing and a legalistic interpretation of Truman's order by the Foreign Economic Adminis tration is beyond the knowledge of the present writer. However, the conclusion of George C. Herring, "Lend-Lease to Russia and the Ori gins of the Cold War, 1944-1945," Journal of American History, LVI (June 1969), 113: " T h e r e is no evidence whatever that the Ma> 11 decision [termination of Lend-Lease] was designed to drive the Rus sians from Eastern Europe," corresponds with the information avail able to the present writer. ββ Marshal Stalin to President Truman, May 27, 1945, FR, 1945, v, pp- 547-4869 Ambassador Harriman to the Secretary of State, May 30, 1945, FR, 1945. v> P- 548·
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i. Except for Finland, the governments functioning in these countries are not in any sense of the word "democratic" as we interpret it. . . . 4. Since the Rumanian, Bulgarian and Hungarian governments are in no sense "democratic" our recognition of these governments would not only give our stamp of approval to them but we would be in effect telling the world that we thought they were really democratic governments. 5. Mr. Harriman's point that since we cannot have effective tripartite control areas through the ACCs, we should recognize the governments in order that we could deal directly with them, apparently assumes that these governments are free agents and sovereign to act on their own. Through Communist control we would find, if we recognized them, that we were in reality dealing only with a branch of the Kremlin. 6. If we should recognize any of these governments there would be absolutely no reason why we should not recognize the Warsaw regime which was also set up by the Soviet government. The same applies to the Renner government in Austria. 7. Since we have very definite evidence to the effect that none of the three Balkan governments represents in any way the will of the majority of the people in these countries we would go against our basic tradition of only recognizing governments which we feel represent the people concerned. 8. By recognizing these governments we would automatically kill any hope of the real democratic elements in those countries that some day representative regimes may be set up there. In other words our recognition would mean our full acquiescence in the Soviet thesis that these are democratic governments. 9. By recognizing these governments we would admit publicly, by indirection at least, that the Soviet Union can run things to suit itself in all areas east of the Stettin283
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Trieste line where the Soviet Government is now maintaining a complete news blackout and is in the process of establishing a complete economic blackout.70 In a note to the Director of the Office of European Affairs, H. Freeman Matthews, Durbrow added, "We have made too much of a fuss about getting a Democratic Government in Poland to through [sic] it all down the drain by this move." 71 President Truman approved the State Department's recommendation that relations be re-established with Finland but not with the unrepresentative governments of Bulgaria and Rumania. In a message to Stalin, Truman suggested joint Allied consultations under the Declaration on Liberated Europe as the means to achieve the goal of re-establishing normal relations with these governments.72 When Stalin refused to approve a preference being shown to Finland, Truman deferred further discussion until the Potsdam Conference.73 Yet, by this response, the United States government reaffirmed its commitment to the formation of representative governments in liberated Europe and announced that recognition would be withheld until such governments were established. Having just rejected Stalin's proposal for recognition of the Rumanian and Bulgarian governments, State Depart™ Memorandum by the Chief of the Division of Eastern European Affairs, Elbridge Durbrow, May 30, 1945, Records of Dept. of State, Decimal File 864.01/5-3045. 71 Ibid. 72 P r e s i d e n t T r u m a n t o M a r s h a l Stalin, J u n e 2, 1945, FR, 1945, v, p . 550 [Drafted: E D ; A p p r o v e d w i t h o u t c h a n g e by T r u m a n ] . I n this message T r u m a n s t a t e d : " I h a v e b e e n d i s t u r b e d t o find g o v e r n m e n t s w h i c h d o n o t accord t o all d e m o c r a t i c e l e m e n t s of t h e p e o p l e t h e r i g h t s of free e x p r e s s i o n , a n d w h i c h i n t h e i r system of a d m i n i s t r a t i o n a r e , i n m y o p i n i o n , n e i t h e r r e p r e s e n t a t i v e of o r r e s p o n s i b l e t o t h e will of t h e p e o p l e . " 73 M a r s h a l Stalin t o P r e s i d e n t T r u m a n , J u n e 9, 1945, FR, 1945, v, p p . 554-55; P r e s i d e n t T r u m a n t o M a r s h a l Stalin, J u n e 19, 1945, FR, 1945, P o t s d a m , 1, p . 182.
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ment officials were equally unsympathetic when in June the British recommended that negotiations be undertaken to supplant the armistice agreements with formal peace treaties with the three former German satellite states. After Yalta the British had been content to allow the United States to take the initiative in promoting the principles of the Declaration on Liberated Europe. Now the British government proposed alternative tactics to American efforts to reorganize the Allied Control Commissions. The British argued that it appeared useless to ask the Russians again to take radical steps to regularize the position of the British and American representatives on the Control Commissions and that it was totally unrealistic to believe that they would agree to tripartite control. Despite the immediate disadvantages of negotiating peace treaties with unrepresentative governments, the British concluded that it was necessary to accept these in order to create conditions in which democratic governments would later emerge. The conclusion of peace treaties and the consequent dismantling of the Control Commissions and withdrawal of Soviet troops might normalize political conditions and ameliorate Soviet domination in these countries.74 The State Department simply refused to consider the conclusion of peace treaties with such nondemocratic governments. 75 Recommendations solicited from the American representatives in these countries reinforced this opposition. Representative Schoenfeld in Hungary believed the Allied Control Commission, with tripartite Allied participation, to be the best available means to insure the holding of free elections. He objected to the British contention that 7* Ambassador Winant to the Secretary of State, June 11, 1945, FR, 1945, iv, pp. 827-28; Ambassador Winant to the Secretary of State, June 26, 1945 and July 13, 1945, FR, 1945, Potsdam, 1, pp. 393-94, 408-10. 75 Memorandum by the Division of Southern European Affairs, John C. Campbell, June 11, 1945, Records of Dept. of State, Decimal File 740.00119 E.W./6-445; Acting Secretary of State Grew to Ambassador Winant, June 23, 1945, FR, 1945, Potsdam, 1, p. 381.
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no improvement in the functioning of the Allied Control Commission could be obtained from Soviet authorities. 76 General Schuyler in Rumania disagreed with the British assumption that the conclusion of peace treaties would lead to the withdrawal of Soviet troops. He argued that the minority Rumanian government would probably still require Soviet military assistance to maintain its authority in the countryside. Further, the Soviet desire to insure strict compliance of the armistice provisions and opposition to any coup against the present Communist government would also support the continued presence of Soviet troops. Despite the limited nature of American and British participation on the Allied Control Commission, Schuyler remained convinced that the mere presence of the two delegations had improved the general political and economic situation. He concluded that participation in a peace treaty with the present Rumanian government would be tantamount to recognition and as such would constitute a distinct violation of the principles agreed upon by the Allies at Yalta.77 Representative Barnes in Bulgaria had no such faith in the possibility of the Allied Control Commission becoming an effective instrument in securing free elections in Bulgaria. Yet he also urged that the United States delay the signing of peace treaties as a lever to promote the establishment of a representative government.78 Everyone agreed, although for different reasons, that the United States should not sign peace treaties with the unrepresentative governments in Rumania, Bulgaria, and Hungary. The United States government thereby determined to bargain recognition and the signing of peace treaties for implementation of the principles of the Declara76
Representative Schoenfeld to the Acting Secretary of State, June 25, 1945, FR, 1945, Potsdam, 1, pp. 387-88. 77 General Schuyler to the War Department, June 28, 1945, FR, 1945. Potsdam, 1, pp. 394-95. 78 Representative Barnes to the Acting Secretary of State, June 23, 1945, FR, 1945, Potsdam, 1, pp. 382-84.
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tion on Liberated Europe. In response, the British again agreed to support United States efforts to achieve the reorganization of the Allied Control Commissions and Soviet acceptance of the Yalta principles but reserved the right to introduce these peace treaty proposals if Stalin rejected the American initiatives at Potsdam.79 During the months between the meetings of the Heads of State at Yalta and Potsdam, the United States remained committed to implementation of the principles of the Declaration on Liberated Europe. The United States continued to oppose clear Soviet violations of the Yalta agreement in Rumania, Bulgaria, and Hungary. While refusing to bargain economic credits, to withhold Lend-Lease shipments, or to consider the use of military force to attain American goals, the Department of State sought joint Allied consultation to implement the Yalta Declaration and determined that diplomatic recognition would be withheld and peace treaties would not be signed until truly representative governments were established. While admitting that recognition of these governments might contribute to an easing of relations with the Soviet Union at the moment, the Department concluded that "it might well encourage the repetition of the same process in countries farther to the west."80 Prevention of conflict between the United States and the Soviet Union over Rumania, Bulgaria, and Hungary was not deemed so important as to argue for United States approval of Soviet actions in these countries. No one argued that if the United States were not able to achieve these goals, the United States should withdraw completely from further involvement. 79 Ambassador Winant to the Secretary of State, July 13, 1945, FR, 1945, Potsdam, 1, p. 410. so Briefing Book Paper, "Recommended Policy on the Question of Establishing Diplomatic Relations and Concluding Peace Treaties with the Former Axis Satellite States," June 29, 1945, FR, 1945, Potsdam, 1, PP- 357-62·
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I FOR United States officials in July 1945, the political future of Rumania, Bulgaria, and Hungary seemed still to hang in the balance. At least they were not ready to renounce their desire to see representative governments established. They were determined to promote the holding of free elections despite Soviet efforts in these countries to achieve total political control. Conflict between United States goals and Soviet insistence upon the formation of friendly governments therefore continued. In an effort to resolve this conflict, a series of seemingly unending meetings of the Foreign Ministers of the United States, Britain, and the Soviet Union were convened during the remaining months of 1945. Once again the United States searched for language and actions to settle Allied differences and to define a mutually acceptable political future for Rumania, Bulgaria, and Hungary. During the first meeting of the Potsdam Conference in July, President Truman presented the State Department proposal for implementation of the Yalta Declaration on Liberated Europe. The proposal read: 1. The three Allied Governments should agree on necessity of the immediate reorganization of the present governments in Rumania and Bulgaria, in conformity with Clause (c) of the third paragraph of the Yalta Declaration on liberated Europe. 2. That there be immediate consultation to work out any procedures which may be necessary for the reorgani288
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zation of these governments to include representatives of all significant democratic elements. Diplomatic recognition shall be accorded and peace treaties concluded with those countries as soon as such reorganization has taken place. 3. That in conformity with the obligations contained in Clause (d) of the third paragraph of the Declaration on liberated Europe, the three governments consider how best to assist any interim governments in the holding of free and unfettered elections. Such assistance is immediately required in the case of Greece, and will in due course undoubtedly be required in Rumania and Bulgaria, and possibly other countries. 1 Although the Polish precedent was not mentioned, in effect the United States government was suggesting a Bulgarian and Rumanian settlement along lines similar to that of Poland. Following the presentation of the American proposal, discussion focused on the provisions for the establishment of representative governments and the holding of free elections. The Soviet delegation immediately opposed any Allied interference in the reorganization of the governments of Rumania and Bulgaria. Instead, the delegation recommended that the Allies recognize the governments of Bulgaria, Rumania, Hungary, and Finland on the basis of their significant contribution to the Allied defeat of Germany. Molotov insisted that Allied supervision of the holding of 1 Proposal by the United States Delegation, July 17, 1945, FR, 1945, Potsdam, 11, p. 644. This proposal failed to mention Hungary. State Department officials apparently considered that political conditions inside Hungary did not require Allied action, since they had dropped the phrase included in their Briefing Book recommendation for the reorganization of the Rumanian and Bulgarian governments: "and should it become necessary in Hungary." See Briefing Book Paper, "Recommended Policy on the Question of Establishing Diplomatic Relations and Concluding Peace Treaties with the Former Axis Satellite States," FR, 1945, Potsdam, 1, p. 362.
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free elections was unnecessary. Instead, he suggested that the attention of the Conference be directed toward improvement of the violent and chaotic situation in Greece, and not toward the calm and peaceful conditions existing in Eastern Europe. 2 British officials countered by charging that Molotov's statements about Greece were a travesty of fact. In Greece, all political parties would have the opportunity to participate in the elections, while in Bulgaria only a single list of candidates would be presented to the voters. Eden claimed that "this did not meet the British idea of democracy."3 Between these charges and countercharges, Secretary Byrnes continually affirmed the American commitment to implementation of the spirit of the Yalta agreements. He explained that the United States government had no interest in Rumania and Bulgaria except that the governments represent the people, permit representatives of the Allied press to observe freely, and continue friendly relations with the Soviet Union. While disliking the idea of having to supervise elections in Eastern Europe, the United States considered such action to be necessary to insure that free elections were held. And, until truly free elections occurred, the United States could not recognize any government in Eastern Europe. 4 Following these initial exchanges, the American delegation modified its original proposal. The provision for reorganization of the Rumanian and Bulgarian governments was omitted. The United States now emphasized the need for the Allies to approve measures to enable them to become informed about conditions inside the countries of Eastern Europe, to provide for Allied observation of the elections, and to facilitate the entrance of members of the 2
Proposal by the Soviet Delegation, July 20, 1945, FR, 1945, Potsdam, 11, p. 698; Meeting of the Foreign Ministers, July 20, 1945, FR, 1945, Potsdam, 11, pp. 150-55. 3 Meeting of the Foreign Ministers, July 20, 1945, FR, 1945, Potsdam, 11, pp. 150-52. Hbid., pp. 151-55. 290
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world press.6 Molotov, however, continued to oppose any Allied supervision of elections in Eastern Europe. 6 At this point, differences over the Rumanian and Bul garian proposals became intertwined with discussions about Allied policy toward Italy. 7 Having no objection in prin ciple to the United States proposals for improvement of conditions in Italy, the conclusion of a peace treaty, and the admission of Italy into the United Nations, Stalin ob jected to a special status being accorded the Italian govern ment. Since the United States and the Soviet Union recog nized the Italian government even though there existed no freely elected government, Stalin questioned why similar recognition could not be accorded the former German satel lite states in Eastern Europe. 8 A repetitious series of debates followed over whether the Italian question should be linked to Eastern European questions, with President Truman each time proposing that consideration be postponed or referred to the Foreign Ministers. 9 The basic issue in dispute continued to be Allied recog nition of the governments of Rumania, Bulgaria, and 5 Proposal by the United States Delegation, July 21, 1945, FR, 1945, Potsdam, 11, pp. 646-47. β Meeting of the Foreign Ministers, July 22, 1945, FR, 1945, Potsdam, π, p. 228. ' Proposal by the United States Delegation, "Policy Toward Italy," July 17, 1945, FR, 1945, Potsdam, 11, p. 1080. 8 Plenary Meeting, July 20, 1945, FR, 1945, Potsdam, 11, p. 173. » President T r u m a n seemed to want to avoid confrontation and continually refused even to participate in the debates between Church ill and Stalin. When Truman proposed in the meeting on July 21, 1945 (FR, 1945, Potsdam, 11, p. 207) that the question of the recogni tion of the satellite states be passed over, Churchill became irritated and pointed out that time was passing and "many papers had been passed over." Interestingly, this discussion followed Secretary Stimson's report to President T r u m a n of the successful testing of the atomic bomb in the United States. Although Stimson in his Diary, July 81, 1945, and Winston Churchill in Triumph and Tragedy, pp. 637-41, have recorded that the President seemed tremendously fortified by the news and increased his opposition to Stalin, T r u m a n again postponed consideration of the Eastern European questions.
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Hungary. 10 Secretary Byrnes announced that President Truman had made clear "there could be no question, so far as the United States is concerned, of recognition under existing conditions and that, therefore, the United States would not recognize these governments." 11 An impasse was reached. Neither the Soviet nor the United States government appeared willing to compromise its position. Byrnes, however, was not ready to admit that some agreement, even if very general, could not be drafted.12 He personally undertook to prevent an open break between the Allies on this issue. In light of Soviet objections, he dropped pressure for Allied supervision of free elections. He proposed that differences over the establishment of a free press in Eastern Europe be studied by a special subcommittee. Finally, to break the impasse over Allied recognition of the former Axis governments in Eastern Europe, Byrnes recommended acceptance of Molotov's proposal that "the three Governments agree to consider each separately in the immediate future the establishment of diplomatic relations with Finland, Rumania, Bulgaria, and Hungary." 13 Byrnes^TOlution was to leave to the individual Allied governments the question of recognition and to abandon joint Allied responsibility for determining the conditions upon which such action would be undertaken. Churchill instantly objected. He charged that Molotov's proposal "did not reflect what they had been saying." According to Churchill, such a statement "would be covering with words, which would be read by the whole world, a difficulty which had not been removed around the conference table. He thought that the President had said he 10 Plenary Meetings, July 21, 1945 and July 24, 1945, FR, 1945, Potsdam, 11, pp. 207, 359. 11 Meeting of the Foreign Ministers, July 22, 1945, FR, 1945, Potsdam, 11, p. 231. 12 For Secretary Byrnes' recollections of these Potsdam meetings, see J. Byrnes, Speaking Frankly, pp. 67-87. 13 Plenary Meeting, July 24, 1945, FR, 1945, Potsdam, 11, p. 363.
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would not recognize the present governments of Bulgaria and Rumania." Truman admitted that he did not intend to recognize these governments; he was only agreeing to examine the question. Churchill countered "that this in no way removed the disagreement and that it would mislead the public." He considered that the implication of any such statement would be that there would be immediate recognition of the governments and this was not the position of either the United States or British governments.14 When these differences threatened to obstruct any agreement among the Allies, Byrnes proposed that the questions of peace treaties and recognition of the former German satellite states be dropped completely. Byrnes stated that he initially put forward the proposal on Italy because he thought there would be no disagreement. Now this proposal had become entangled with Allied differences over recognition of the Rumanian, Bulgarian, and Hungarian governments. Byrnes sought to withdraw it so that the many more important matters still pending before the Conference, e.g., reparations, disposal of the German fleet, and the western frontier of Poland, might be settled.15 Ultimately, as the only way to resolve all the outstanding differences among the Allied governments at Potsdam, Byrnes proposed a package deal to include concessions from each government on the Polish western frontier, the reparations arrangements for Germany, and the procedures for concluding peace treaties with Italy, Finland, Bulgaria, Hungary, and Rumania. With respect to recognition of these governments, Byrnes proposed that "the three Governments agree to examine each separately in the near future, in the light of conditions then prevailing, the establishment of diplomatic relations with Finland, Rumania, Bulgaria, and Hungary to the extent possible prior to rati1* Ibid., pp. 363-64. 15 Meeting of the Foreign Ministers, July 27, 1945, FR, 1945, Potsdam, 11, p. 427.
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fication of peace treaties in the countries." 1 6 In addition, Byrnes included a statement in favor of freedom of the press in these Eastern European countries. 17 The three governments quickly approved this package proposal. Agreement on this vaguely worded statement on recognition did not reflect any modification in the previous positions of the Allied governments, but it did prevent a public break on the question of the political future of East ern Europe. The Potsdam Conference communique in cluded no reference to the desirability of reorganizing the governments of Rumania or Bulgaria, the necessity of joint Allied consultation and supervision of the holding of free elections, or even the Allied commitment to the principles of the Declaration on Liberated Europe. 1 8 The only refer ence at all to democratic governments in Eastern Europe was in the statement: "The conclusion of Peace Treaties with recognized democratic governments in these States will also enable the Three Governments to support applica tions from them for membership in the United Nations." 1 9 is For the United States package proposal, see FR, 1945, Potsdam, 11, p. 630 and Meeting between Byrnes and Molotov, July 30, 1945, FR, 1945, Potsdam, 11, pp. 480-83. A discussion of these issues and a description of the bargaining which produced Allied approval of Byrnes' package can be found in H. Feis, Between War and Peace: The Potsdam Conference, pp. 185-99, 221 ~34> 253-71. ι? T h e United States proposal stated: " T h e three Governments ex press the desire that in view of the changed conditions resulting from the termination of the war in Europe, representatives of the Allied press will enjoy freedom to report to the world upon developments in Rumania, Bulgaria, Hungary and Finland." is T h e final communique of the Potsdam Conference, issued on August 2, 1945, can be found in FR, 1945, Potsdam, 11, pp. 1499-1514. 19 Secretary Byrnes first introduced this statement during the Ple nary Meeting, July 24, 1945. Stalin remarked "that the words 'respon sible and democratic governments' should be deleted as it served to discredit these countries." FR, 1945, Potsdam, 11, p. 360. It next ap peared in the United States proposal on Admission to the United Nations, July 27, 1945. It is this proposal that Byrnes offered to with draw during the meeting of the Foreign Ministers, July 27, 1945. Dur ing the Heads of State discussion of this statement, July 28, 1945,
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Parallel discussions about the functioning of the Allied Control Commissions in Rumania, Bulgaria, and Hungary produced an equally vague statement. Prior to the Potsdam Conference, the Soviet Union had instituted certain changes in the procedures of the individual Allied Control Commissions. The new procedures called for regular meetings of the Commissions, the issuing of directives only after the agreement of all the representatives on the Commissions, and free movement of all Allied representatives in the countries.20 At Potsdam, Stalin, therefore-, announced his unwillingness to discuss the functioning of the Allied Control Commissions in Eastern Europe and attacked the lack of tripartite representation on the Control Commission in Italy. Byrnes criticized Stalin for failing to consult with the British and American governments prior to the announcement of changes in the Allied Control Council procedures but admitted that the United States wanted nothing more than what was given the Soviet representative in Italy. Although the United States delegation at Potsdam initially sought "genuine" tripartite participation in the Control Commissions and despite reports from the American representatives on these Control Commissions that few changes had actually been instituted in the functioning of the Commissions, Byrnes did not undertake to modify these revised Soviet procedures. When Molotov insisted that the references in the United States proposal "for regular and fredebate focused on Soviet insistence that the word "responsible" be replaced by "recognized." The statement finally appeared in the package proposal presented by Byrnes, July 30, 1945, and was included in the final communique. Although the Allied leaders never discussed at Potsdam what they meant by the term "democratic," this statement was later interpreted by.non-Communist leaders in Eastern Europe as a reaffirmation of the Allied commitment to the Declaration on Liberated Europe. 20 Representative Schoenfeld to the Secretary of State, July 13, 1945, FR, 1945, iv, pp. 834-35.
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quent meetings of the three representatives, improved facilities for the British and American representatives, and prior joint consideration of the directives" be deleted, Byrnes agreed.21 Finally, resolution of Allied differences over Soviet removal of oil equipment from Rumania was deferred. The three governments agreed to form two bilateral committees, one Anglo-Soviet and the other Soviet-American, to determine the facts of the situation. The initial American and British proposals for Allied action to compensate the British and United States for losses sustained in the removals were never acted upon. 22 Allied conflict over the political future of Rumania, Bulgaria, and Hungary was clearly not resolved during the Potsdam discussions. None of the governments showed any willingness to back down from their previous positions. The United States refused to admit that the principles of the Declaration on Liberated Europe were not applicable to the former German satellite states; the Soviet Union blocked any Allied interference in the internal affairs of these countries. Further, the statements, proposals, and accusations revealed no desire on the part of the governments to bargain out a compromise for the political future of these countries. Neither side proposed a modification in its Eastern European policy in return for changes in the policy of the other. Although the question of the political futures of Italy and of Eastern Europe became intertwined, no trade-off between the governments' respective policies toward these countries was proposed. Given the impossibility of resolving the conflict, Secre21 Proposal by the United States Delegation, July 31, 1945, FR, 1945, Potsdam, 11, p. 732; Meeting of the Foreign Ministers, August 1, 1945, FR, 1945, Potsdam, 11, pp. 554-56. For the statement in the Potsdam communique on Allied Control Commission procedures, see FR, 1945, Potsdam, 11, p. 1511. 22 P l e n a r y M e e t i n g , J u l y 19, 1945, FR, 1945, P o t s d a m , 11, p . 130; M e e t i n g s of t h e F o r e i g n M i n i s t e r s , J u l y 22, 1945, J u l y 24, 1945, a n d A u g u s t 1, 1945, FR, 1945, P o t s d a m , 11, p p . 235, 328, 547-48.
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tary Byrnes undertook to prevent a public break. He systematically withdrew all recommendations for implementation of the principles of the Declaration on Liberated Europe to which the Soviet Union objected. He finessed every issue on which the possibility of a break existed. Despite the urgent recommendations for positive and forceful United States action by American representatives in these countries, American officials at Potsdam did not sustain pressure for Allied supervision of the holding of free elections. Although President Truman announced during the Conference that the United States would not back down from its commitment to implement the Yalta agreements, the Declaration on Liberated Europe was not even mentioned in the final Potsdam communique. Instead, the communique avoided addressing the major questions in dispute. The statement on recognition of the Rumanian, Bulgarian, and Hungarian governments glossed over continuing conflict, and the approval of Soviet procedures for the Allied Control Commissions constituted British-American sanction of Soviet domination. 23 Nevertheless, United States officials refused to admit publicly that the Allies had failed to reconcile their differences over Eastern Europe at Potsdam. They carefully maintained the facade that agreement had been achieved. In his report to the nation, President Truman interpreted the Potsdam agreements as a reaffirmation of the Allied commitment to implement the principles of the Declaration on Liberated Europe. He announced that Allied, as opposed 23 G. Alperovitz in Atomic Diplomacy: Hiroshima and Potsdam, pp. 127-87, argues that United States policy shifted from cooperation with the Soviet Union to confrontation following the successful testing of the atomic bomb. Despite Secretary Stimson's allusions to the need to go into the Potsdam Conference with the "master card" in hand (Stimson Diary), the successful testing of the bomb did not produce a new or tougher policy of opposition to the Soviet Union's Eastern European policy at Potsdam. Instead of a policy of confrontation, United States policy could better be characterized as a policy of postponement of conflict.
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to individual, responsibility for the problems of Eastern Europe continued and never mentioned the unresolved conflict. According to Truman: At Yalta it was agreed, you will recall, that the three governments would assume a common responsibility in helping to reestablish in the liberated and satellite nations of Europe governments broadly representative of democratic elements in the population. That responsibility still stands. We all recognize it as joint responsibility of the three governments. It was reaffirmed in the Berlin declarations on Rumania, Bulgaria, and Hungary. These nations are not to be spheres of influence of any one power. They now are governed by Allied Control Commissions composed of representatives of the three governments which met at Yalta and Berlin. These Control Commissions, it is true, have not been functioning completely to our satisfaction; but improved procedures were agreed upon at Berlin. . . . The American Delegation was much disturbed over the inability of the representatives of a free press to get information out of the former satellite nations. The three governments agreed at Berlin that the Allied press would enjoy full freedom from now on to report to the world upon all developments in Rumania, Bulgaria, Hungary and Finland. 24 Thus, the United States commitment to the establishment of representative governments in Eastern Europe was affirmed even though no proposals had in fact been approved 24
Report of President Truman to the Nation, August 9, 1945, The Department of State Bulletin, xm (August 12, 1945), 211-12. Special efforts were made by the propaganda agencies of the United States government to broadcast this speech by the President into the countries of Eastern Europe. See Weekly Propaganda Directives on Rumania, Bulgaria, Hungary, August 10, 1945, Washington National Records Center, National Archives, Record Group 208, Records of Office of War Information, Office of Director, Overseas Operations Branch.
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at Potsdam to insure implementation of United States principles. II During the week following the Potsdam Conference, political tensions began to rise in Rumania. Opposition party leaders and King Michael had taken the Potsdam communique announcement that the Allied Foreign Ministers would meet in London to begin negotiations for the conclusion of peace treaties "with recognized democratic governments" as an indication of the firm intention of the Allies to implement the principles of the Declaration on Liberated Europe in Rumania. Reports indicated that they were making plans to provoke a government crisis and to force the removal of the unrepresentative Groza Cabinet. 25 At the same time, the Soviet government announced its decision to recognize the existing Rumanian government. The State Department took this opportunity to express the United States determination not to recognize the unrepresentative Groza regime. The Acting United States Political Representative in Rumania, Roy M. Melbourne, was instructed to inform Rumanian political leaders in general terms of the United States commitment to implementation of the Yalta declaration, dissatisfaction with the Groza government, and desire that the Rumanians undertake to establish a truly representative government prior to Allied recognition. The State Department informed Melbourne: Should opposition leaders approach you . . . , you may be guided in your statements by the consideration that 25 In reporting the developing political crisis, Acting United States Political Representative in Rumania Roy M. Melbourne concluded that unless significant governmental changes occurred in Rumania, all hope for implementation of American goals would be lost. "Groza government will continue by default and expressed American political desires for Rumania will be buried beneath Soviet initiative." August 7, 1945, FR, 1945, v, pp. 562-64.
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it is not our purpose to discourage such leaders in their attempts to secure freedom of expression for all democratic groups or to present their case to the Rumanian people and to world opinion for a more representative Govt. Without replying directly to questions which may be put to you concerning your Govt's attitude toward a particular plan of action, you may let it be known in general terms that this Govt hopes to see established in Rumania, through the efforts of the Rumanians themselves, and if necessary with the assistance of the three Allied Govts as provided in the Crimea Declaration on Liberated Europe, a more representative regime, and that the US Govt looks forward to the establishment of diplomatic relations with a Rumanian Govt in which all important democratic parties are represented or which issues from free elections.26 Then, on August 19, 1945, following conversations with Melbourne and Rumanian opposition party leaders, King Michael asked for Groza's immediate resignation and notified the Prime Minister "that he would initiate individual conferences with party leaders to discuss the advisability of changing the government [and] said that he considered it necessary in view of the expressed American attitude toward the Groza Govt, and since a peace treaty would only be concluded with a recognized democratic regime."27 26 Secretary of State Byrnes to A c t i n g R e p r e s e n t a t i v e M e l b o u r n e , A u g u s t 11, 1945, FR, 1945, v, p p . 565-66 [Drafted: J C C ; I n i t i a l e d : E D , H F M , SR, J C D ] . I n t h e W e e k l y P r o p a g a n d a Directive of t h e Office of W a r I n f o r m a t i o n , A u g u s t 10, 1945, " C a u t i o n : D o n o t by any m e a n s i m p l y t h a t t h e U n i t e d States h a s c h a n g e d its views a b o u t t h e c h a r a c ter of t h e p r e s e n t R u m a n i a n G o v t . " W a s h i n g t o n N a t i o n a l R e c o r d s C e n t e r , N a t i o n a l Archives, R e c o r d G r o u p 208, R e c o r d s of t h e Office of W a r I n f o r m a t i o n , Office of t h e D i r e c t o r , Overseas O p e r a t i o n s B r a n c h .
27 Acting Representative Melbourne to the Secretary of State, August 19, 1945, Records of Dept. of State, Decimal File 871.00/8-1945. The King's confidence was shaken by Groza's refusal to resign and then the British government's decision not to offer any encouragement since it could not protect opposition leaders. But, following an interview
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When Groza refused to resign, the King invoked the Declaration on Liberated Europe and appealed to the three Allied Representatives on the Allied Control Commission for aid in the formation of a more representative regime in Rumania. Taking into consideration the requirement of the Berlin Conference that peace treaties would be signed only with "recognized democratic governments," the King saw himself obliged: to call upon the Government of the Union of Soviet Socialist Republics, the Government of the United States and the Government of Great Britain, requesting them, in conformity with the decisions which they had taken together at the Crimea Conference and in the application of the common responsibilities which they have proclaimed, to have the kindness to give their assistance with a view towards forming a government which, according to the report of the Conference of Berlin, may be recognized by the three principal Allied Powers, thereby placing Rumania in a position to conclude the treaties of peace and to be admitted into the organization of the United Nations. 38 Despite strong Soviet pressure to alter his course, King Michael remained determined to obtain Allied assistance in establishing a representative government.29 The State Department's reaction was most restrained. Secretary Byrnes appealed to the British and Soviet governments for joint Allied consultation under the Declaration with Melbourne in which Melbourne reviewed his instructions and explained that Truman's address to the nation after Potsdam indicated that the United States intended "to attain a position of equality with the Russians," the King decided to remain firm in his plan to obtain Groza's resignation. 28 G e n e r a l Schuyler t o t h e W a r D e p a r t m e n t , A u g u s t 2 1 , 1945,
FR,
1945. v · P- 575· 29 A c t i n g R e p r e s e n t a t i v e M e l b o u r n e to t h e Secretary of State, A u g u s t 22, 1945, FR, 1945, v, p p . 585-86.
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on Liberated Europe to resolve the Rumanian political crisis and expressed his hope that the Representatives on the Allied Control Commission would "refrain from any action which might complicate the solution of this problem." 30 In addition, the State Department and the Office of War Information approved Melbourne's recommendation that the Voice of America make available inside Rumania, where political censorship reigned, the King's appeal and President Truman's report to the nation following the Potsdam Conference.31 The Department, however, refused to issue a statement to the King reaffirming the United States intention to seek the establishment of a representative government in Rumania. Representative Melbourne was informed: Principal concern of US Govt at present juncture is, as you know, to keep the road open to a solution of Rumanian political crisis which will be acceptable to all three Allied Govts. We hope no action will be taken which might seem to give ground for Soviet suspicion that crisis was brought about by "Anglo-American intervention." Contact with Rumanian political leaders should be avoided at present stage.32 so Secretary of State Byrnes to Ambassadors Winant and Harriman, August 21, 1945, FR, 1945, v, pp. 582-83 [Drafted: SR; Initialed: HFM; Signed: Byrnes]. 31 Memorandum of a Conversation, International Information Division, August 28, 1945, FR, 1945, v, pp. 598-99. Weekly Propaganda Directive for Rumania, August 24, 1945: "Give heavy play to Secretary Byrnes statement that this government is prepared to consult with Great Britain and USSR concerning the situation in Rumania, and to King Michael's note to the Big Three asking for assistance in the formation of a government which may be recognized by the Three Powers." Washington National Records Center, National Archives, Record Group 208, Records of the Office of War Information, Office of the Director, Overseas Operations Branch. 32 Secretary of State Byrnes to Acting Representative Melbourne, August 25, 1945, FR, 1945, v, p. 594 [Drafted: JCC; Initialed: HFM,
JCD]. 302
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Melbourne's recommendation that General Schuyler ask the Allied Control Commission to intervene to secure Groza's resignation was rejected. 33 The State Department was most concerned to constrain General Schuyler's actions in the Allied Control Commission meetings. During discus sions of the Commission following Michael's note to the Allied governments, General Schuyler was permitted only to request that the Allied Control Commission refrain from any act which might complicate the situation or increase the possibility of local disturbances or bloodshed. 34 When the Soviet Chairman of the Commission, General Susaikov, accused the American Representatives of deliberately pro voking the political crisis, Schuyler stated: Like Air Vice-Marshal Stevenson, my part has been only to receive a message from the King, which I was in formed had previously been delivered to General Susai kov. I am of course entirely familiar, and have been all along, with the activities of the United States Representa tive to Rumania and his associates. These activities have been confined to the furnishing of information to lead ing Rumanians as to the attitude of the United States Government toward the Rumanian situation. This atti tude has been announced publicly, and there is no secret about it. 3 5 General Susaikov's reply that " I reject the statements of both the Air Vice-Marshal and General Schuyler on the grounds that the Allied Control Commission is the first body which should be advised of anything transpiring in Rumania" ended the meeting. 36 33 Secretary
o£ State
Byrnes
to Acting
Representative
Melbourne,
A u g u s t 2 t , 1945, R e c o r d s of D e p t . of State, D e c i m a l File 871.00/8-2045. 34 N o t e for
t h e R e c o r d , O p e r a t i o n s Division, A u g u s t 23, 1945, Na
t i o n a l Archives, R e c o r d s of t h e W a r D e p a r t m e n t , O p e r a t i o n s R e c o r d G r o u p 165, File OPD
3^5 TS Section
Division,
V.
35 A c t i n g R e p r e s e n t a t i v e M e l b o u r n e to t h e Secretary of S t a t e , A u g u s t 23. 1945. F R . 1945. v> PP- 5 9 0 - 9 1 · 3β Ibid., p . 591.
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Thus, the United States government continued rhetoric in favor of the holding of free elections, called for joint Allied consultation, but took no strong action to force the Soviet Union to agree to the King's demand for Groza's resignation. In response, the Soviet government rejected any joint consultation about the political situation in Rumania. Soviet officials maintained that such action would constitute interference in the internal affairs of a sovereign state and was unnecessary since the Groza government was democratic and enjoyed the confidence of the Rumanian people. Molotov further charged that the United States had deliberately provoked the political crisis in Rumania and insisted that: the submission by the King of these messages was called forth by the statements which were made to the Rumanian King by the American and British representatives, insisting on the resignation of the Rumanian Government headed by Petre Groza, and stating in that connection that their Governments would not conduct with the Groza government negotiations concerning the conclusion of a peace treaty.37 Irritated by Soviet intransigence, Byrnes called for British and Soviet support of the King's constitutional request for the resignation of the Groza government and for the working out of an arrangement whereby Groza would continue on an interim basis pending formation of a government by constitutional processes. Moreover, he strongly denied Soviet accusations that the United States had been responsible for the Rumanian crisis: These Reps took no action until requested by the King to forward to their Govts the communication to which Mr. Molotov refers. It is understood that the Soviet Rep performed a similar function and this Govt has been 37 Ambassador Harriman to the Secretary of State, September 3, 1945, FR, 1945, v, pp. 603-604.
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informed further that Gen Susaikov has been conferring with Rumanian political leaders on the subject of proposed changes in the Groza Govt. It is true that the American and Brit political Reps had previously informed Rumanian authorities and political leaders of the views of their Govts with respect to the Groza regime. These views have been communicated to the Soviet Govt, have been made public, and were naturally transmitted to Rumanian authorities in clarification of the position of these Govts as a result of the tripartite conference in Berlin.38 Charges and countercharges mounted between the two governments. The Soviet Union continued to oppose the dismissal of the Groza government, to reject joint consultation prior to the meetings of the Council of Foreign Ministers scheduled for September, and to accuse the United States of taking unilateral action in Rumania to provoke the political crisis.39 To United States officials, this Soviet position was "entirely unacceptable." 40 The Soviet arguments that the Groza government was established without Soviet interference and was representative of the people were a travesty of the facts. The United States continued to consider that the Groza government was not sufficiently representative of democratic opinion to warrant the conclusion of a peace treaty.41 When the Foreign Ministers convened in London in September to draft peace treaties with the former German satellite states of Europe, discuses Secretary of State Byrnes to Ambassadors Winant and Harriman, September 4, 1945, FR, 1945, v, pp. 607-608 [Drafted: SR; Initialed: HFM; Signed: Byrnes]. 39 A m b a s s a d o r
Harriman
t o t h e Secretary of State, S e p t e m b e r
10,
1945. FR. !945. v, P P . 614-15. 40 A c t i n g Secretary of State A c h e s o n to Secretary of State Byrnes, in L o n d o n , S e p t e m b e r 12, 1945, FR, 1945, v, p . 618.
41 Ibid., pp. 618-19. T h e Council of Foreign Ministers was established by the Soviet, British, and United States governments at the Potsdam Conference, and the first session of the Council was held in London from September 11, 1945 until October 1, 1945.
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sions to resolve Soviet, British, and American conflict over the political future of Rumania had reached an impasse. Ill During these same weeks in August 1945, a political crisis also developed in Bulgaria. Representative Barnes reported again from Bulgaria, where elections were scheduled for the end of the month, that Communist terrorism through out the countryside and the recently promulgated electoral law made unlikely the holding of truly free elections. In deed, the elections would only confirm in power the Communist-dominated minority government. Barnes in sisted that Allied intervention in Bulgaria was essential "if Bulgaria is not to witness on August 26 a Hitlerite plebi scite staged to confirm control of the country by Commu nists and their stooges."42 The British were especially concerned about the deterio rating political situation in Bulgaria. The British govern ment informed the State Department of its intention to state publicly British objection to the Bulgarian electoral law and inquired if the United States were prepared to take similar action. 43 At the same time, Ambassador Harriman recommended that if the American and British govern ments were unwilling to take actions to forestall the totali tarian elections in Bulgaria, the government should inform the American public of the character of the Bulgarian elec tions and the nature of the Communist dictatorship. 4 1 The State Department, however, was not ready either to undertake strong initiatives to insure the holding of free elections or admit that the United States could do no more 42 Representative Barnes to the Secretary of State, July 25, 1945, FR, 1945, Potsdam, 11, p. 717. 13 Memorandum by Assistant Secretary James C. Dunn, August 9,
"945. F R · !945. IV> Ρ· 2 8 1 · a Ambassador Harriman to the Secretary of State, August 9, 1945, FR, 1945, iv, p. 281.
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to promote its goals in Bulgaria. While acknowledging that the scheduled elections would not return a representative government, the Department argued that it was "preferable not to take a stand in opposition to the electoral law specifically."45 Instead, in a note to the Bulgarian government, which was made public, Secretary Byrnes affirmed once again the United States commitment to the establishment of representative governments in the liberated countries of Europe. Seizing upon the statement of the Potsdam communique on the conclusion of peace treaties with "recognized democratic governments," Byrnes stated: The US Govt is desirous of recognizing and of establishing diplomatic relations with a Bulgarian government which will be adequately representative of all democratic opinion in that country as soon as conditions in Bulgaria give evidence that the free expression of political views and the free exercise of political rights are sufficiently safeguarded. However, we cannot overlook the preponderance of current evidence that a minority element in power in the country is at present endeavoring by the use of force and intimidation to prevent the effective participation in the scheduled elections of a large democratic section of the electorate. In the absence of full and unhampered participation in the election of all democratic elements a situation would seem likely to result so as to preclude the formation of a fully representative government.46 45 Memorandum by Assistant Secretary Dunn, August 9, 1945, FR, 1945, iv, p. 281. In a note to British Charge John Balfour, August 20, 1945, Secretary Byrnes stated: " T h e United States government prefers to base its attitude in this matter on the general situation existing in Bulgaria rather than to express specific disapproval of particular provisions of the electoral machinery established there." FR, 1945, iv, p. 297·
*e Secretary of State Byrnes to Representative Barnes, August 11, 1945, FR, 1945, iv, p. 283 [Drafted: WB, SR; Initialed: ED, HFM, CEB, JCD; Signed: Byrnes].
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Throughout the summer of 1945, Representative Barnes had urged positive United States steps to improve the Bulgarian situation and to force postponement of the scheduled elections. Out of frustration, he had written to the State Department: I feel very strongly that the time has come when Dept. must tell me what, if anything, the US Govt is really prepared to do about local political and election situation. If for some reason we can not make a stand against measures that will force total disintegration of democratic elements in this country I believe that I and the local leaders who have been resisting the Communists should be told the facts.47 Then the Potsdam communique was published, the President delivered his report to the nation, and the State Department notified the Bulgarian government of the United States commitment to the Declaration on Liberated Europe. Barnes interpreted these successive actions as positive confirmation of the American intention to enforce the holding of free elections.48 He, therefore, recommended that General Crane be authorized to ask the Soviet Chairman of the Bulgarian Control Commission to discuss the deteriorating Bulgarian political situation. 49 Frustrated by the failure of the State Department even to reply to his proposal, Barnes, on his own initiative, asked General Crane to raise the question of the tense Bulgarian political situation in a meeting of the Control Commission. General Crane agreed and made the following oral statement to the Commission: We have come by virtue of the two notes on the present electoral situation in Bulgaria which our respective 47 Representative Barnes to the Acting Secretary of State, Jul) 31, 1945, FR, 1945, Potsdam, 11, p. 734. 48 Representative Barnes to the Secretary of State, August 4, 1945 and August 11, 1945, FR, 1945, iv, pp. 274, 282. 49 Representative Barnes to the Secretary of State, August 16, 1945, FR, 1945, iv, pp. 289-91.
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Governments have passed to Bulgarian Government and with which we have supplied you copies. The situation appears to us to have reached an impasse. This is an important matter. . . . Therefore we suggest for your consideration that you summon as early as possible a conference in presence of both of us and such advisers as we may wish to bring, of the Prime Minister, party leaders and leaders of the opposition with a view to producing a formula for future procedure which will be acceptable to all.50 Next Barnes urged Crane to inform the Soviet Chairman of the Allied Control Commission that it was the desire of the governments of the United States and United Kingdom to have the election postponed until the question could be considered by the Control Commission.51 Finally, General Crane, upon Barnes' recommendation, informed the Commission of the United States desire to see the present Bulgarian government reorganized and the scheduled elections postponed until assurances could be given that truly free elections would be held.52 As soon as the State Department learned of Barnes' initiatives, the Department countermanded this unauthorized and forceful action. For the first time, Barnes received an immediate reply from Washington. Secretary Byrnes stated: Dept. is not making representations to Moscow nor can it support your action in requesting Gen Crane to make the communications to the Chairman ACC . . . , nor your own letter to MinFonOff set forth in latter message. Instructions . . . authorized you to inform the members of Bulgarian Government of our attitude toward situa50 R e p r e s e n t a t i v e B a r n e s t o t h e Secretary of State, A u g u s t 22, 1945, FR, 1945, iv, p . 303.
51 Representative Barnes to the Secretary of State, August 22, 1945 and August 23, 1945, FR, 1945, iv, p p . 304-305. 52 R e p r e s e n t a t i v e B a r n e s t o t h e Secretary of State, A u g u s t 23, 1945, FR, 1945, iv, p . 305.
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tion existing in Bulgaria but before taking further steps Dept. should have been consulted. The views expressed in Deptel 260, August 18 did not contemplate our making specific request for postponement of elections and Dept. has consistently felt the formation of a representative democratic Government in Bulgaria is matter for Bulgarians to undertake and in absence of pertinent provisions in armistice not for consideration by ACC.53 The State Department refused to authorize any action, beyond vague statements of the continuing United States commitment to the principles of the Declaration on Liberated Europe, to ameliorate what it viewed to be the unsatisfactory political situation in Bulgaria. This reluctance to approve strong action did not alter even when Barnes' unauthorized initiatives succeeded. State Department officials were indeed pleased by the Bulgarian government's announcement that the August elections would be postponed.54 Yet they did not become emboldened and determine to oppose actively Soviet political control of the country.55 They rejected arguments by the Brit53
Secretary of State Byrnes to Representative Barnes, August 24, 1945, FR, 1945, iv, pp. 308-309 [Drafted: WB; Initialed: HFM, JCD; Signed: Byrnes]. In a reply to the Department, Barnes expressed his dismay at the Department's censure. He said that he had gone back through all of his instructions. "Obviously the purpose of expressing the views of the US Government was to forestall rigged elections and consequent formation of a government that US could not recognize." August 25, 1945, FR, 1945, iv, p. 312. 5i Representative Barnes to the Secretary of State, August 24, 1945, FR, 1945, iv, pp. 309-10. Why the Soviet government instructed Bulgarian officials to postpone these elections is not clear. Representative Barnes believed it to be a response to the firm opposition of the American government and interpreted it as an indication that the Russians could be brought to cooperate with the United States and Britain in Eastern Europe. 55 This success should not hide the fact that the State Department had not authorized Barnes' action. Gar Alperovitz, Atomic Diplomacy: Hiroshima and Potsdam, pp. 211-12, is mistaken when he argues that 310
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ish government and Representative Barnes that the United States follow this success with firm action to achieve a revision of the electoral law. The State Department informed Barnes: while Dept. agrees with British that postponement of elections is not of itself assurance that democratic processes will be followed in future in Bulgaria, we feel that moral effect of postponement not only in Bulgaria but also throughout Balkans will contribute greatly toward development of events in that direction and we consequently are anxious that no subsequent steps be taken which might distract from that victory. Accordingly, we believe great caution will have to be exercised in conduct of further discussions and we will wish to be consulted before Gen Crane makes any specific proposals which might constitute or lead to commitments on behalf of this Govt.56 No one in the State Department argued that the United States should learn from the success of Barnes' initiatives in Bulgaria and undertake more active protests against Soviet actions throughout Eastern Europe. Again the United States government had been content merely to reaffirm its commitment to the principles of the the United States government pursued a conscious policy of direct intervention in the internal political affairs of Bulgaria in order to prevent Soviet domination. In the original note to the Bulgarian government in August, the United States did not demand postponement of the elections or a revision of the electoral statute and neither the State Department nor President Truman supported Barnes' initiatives. Alperovitz' thesis that the United States, having postponed a confrontation with the Soviet Union over Eastern Europe until the demonstration of the atomic bomb, then took the initiative, simply does not correspond to the facts. 56 Secretary of State Byrnes to Representative Barnes, August 30, 1945, FR, 1945, iv, pp. 316-17 [Drafted: WB, SR; Initialed: JDH, HFM, JCD].
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Declaration on Liberated Europe. 5 7 American officials, by refusing to take stronger initiatives, in fact acquiesced in Soviet actions inside Bulgaria. However, they never admit ted to the Soviet government that the United States had not authorized Barnes' initiatives, had not intended to press for the postponement of the Bulgarian elections, and was not considering supervision of future elections or initiatives to revise the existing electoral law. Thus, they did nothing to alter what may have been the Soviet interpretation of the postponement in August: that the United States gov ernment intended to oppose actively Soviet efforts to estab lish total political control. T o summarize, conflict between the United States and Soviet governments over the political future of Rumania and Bulgaria, which had not been resolved at Potsdam, only increased during August. The vaguely worded Pots dam agreements, combined with statements by American officials affirming the intention of the United States to im plement the principles of the Declaration on Liberated Europe, were seized upon by opposition leaders and the American representatives in these countries as indications that the United States would in fact act to implement these goals. In Rumania, King Michael initiated action to re move the unrepresentative Groza government; in Bulgaria, Representative Barnes requested the postponement of the scheduled elections. Although the United States govern ment denied any responsibility for these political crises, King Michael did not act until he heard from Representa tive Melbourne that the United States would not recognize the Groza government. In Bulgaria, Representative Barnes did not ask for postponement until he learned of the public statements of President Truman and Secretary Byrnes de scribing the unsatisfactory political conditions in that country. Further, following the postponement of elections in Bulgaria, Secretary Byrnes never informed the Soviet " Secretary of State Byrnes to Representative Barnes, August 25, 1945. F R · !945. IV> Ρ· 3 1 1 · 312
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government that he did not support Barnes' initiatives. Regardless of the intention, United States rhetoric in favor of the principles of the Declaration on Liberated Europe was instrumental in the outbreak of the political crises in Rumania and Bulgaria in August 1945. The efforts of King Michael and Representative Barnes to implement these principles in effect challenged Soviet attempts to exercise predominant political power in the countries through the existing governments. IV By the time of the meeting of the Council of Foreign Ministers in September 1945, conflict over the political future of Rumania and Bulgaria could not be ignored. The deteriorating political situations in Bulgaria and Rumania, combined with the uncoordinated American and British responses in August, led the British government to suggest that the attention of the Foreign Ministers in London be focused on the question of the future of Eastern Europe as a whole. The British argued that the existence of totalitarian governments under Soviet control in all of the countries except Czechoslovakia demanded Allied consideration: Thus it would seem evident that the time has come to decide whether or not to acquiesce in this bloc of countries remaining indefinitely in the Soviet sphere of influence. It is therefore important to consider the objectives it is desired to achieve in this area, the steps to be taken to effect them and the lengths to which action to such end might go.58 The British Deputy Under Secretary of State, Sir Orme Sargent, informed Ambassador Winant that "now more than ever coordinated action in the Balkans and in Eastern and Central Europe between US and British was essential. 58 The British Embassy to the Department of State, August 24, 1945, FR, 1945, 11, p. 102.
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Timing of any action should be carefully considered. What should above all be avoided are promises, express or implied, to the peoples of these areas which it might be found could not be carried out." 59 During the remaining months of 1945, what was United States policy toward the former German satellite states? Did these British suggestions provoke a rethinking of this policy? Did anyone suggest that the United States alter its commitment to the establishment of representative governments, or even worry about the escalating conflict with the Soviet Union over Eastern Europe? The Soviet government initiated discussions in London by introducing proposals for concluding peace treaties with the enemy states of Europe based on the existing armistice agreements.60 The British and United States governments objected. Cavendish W. Cannon, Political Adviser to the United States Delegation at London, argued that the effect of such proposals would be to reserve to the Soviet government all the advantages of the surrender instrument and continue the conditions of the armistice period without leaving even nominal American participation under the Allied Control Commission.61 The alternative United States and British proposals for conclusion of peace treaties provided for withdrawal of all Allied military forces and the promulgation of a bill of rights which would guarantee freedom of speech, of religious worship, of language, and of political belief.62 However, before any serious negotiations could get under way, arguments over recognition of the 59 Ambassador Winant to the Secretary of State, August 23, 1945, Records of Dept. of State, Decimal File 870.00/8-2345. 60 Proposals by the Soviet Delegation for Peace Treaties with Hungary, Bulgaria, Rumania, September 12, 1945, FR, 1945, 11, pp. 147-50. 6i Memorandum by Cavendish W. Cannon to the Secretary of State, September 14, 1945, FR, 1945, 11, pp. 182-85. 62 Proposals by the United States Delegation for Peace Treaties with Bulgaria and Rumania, September 19, 1945, FR, 1945, 11, pp. 263-67. See also Meetings of the Council of Foreign Ministers, September 20, 1945 and September 21, 1945, FR, 1945, 11, pp. 276-83, 298-300.
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Rumanian and Bulgarian governments reappeared and halted further peace treaty discussions. Prior to the formal meetings of the Council, Secretary Byrnes and Soviet Foreign Minister Molotov met informally to discuss the conflicts which had arisen in August over Rumania and Bulgaria.63 However, instead of adjusting the differences, these meetings were characterized by mounting threats and accusations. Again, the Soviet demand for the creation of friendly governments in Eastern Europe challenged the United States interest in the formation of representative governments. Byrnes, seeing no contradiction in these two goals, proposed that their differences be resolved on the basis of the Polish precedent. He suggested an agreement that would lead to the reorganization of the unrepresentative Groza government in Rumania, to assurances for the holding of free elections in both Rumania and Bulgaria, and finally to United States recognition of these governments. Molotov rejected the Polish precedent as inapplicable. He argued that such a change in the Rumanian government might lead to civil war and in any case the situations were quite different. Poland was an ally, and there had existed two separate Polish governments. Molotov stated that the Soviet Union would not tolerate hostile governments in Eastern Europe and that no reorganization of either the Bulgarian or Rumanian government would be permitted until after the holding of elections. Then Molotov accused the United States government of supporting anti-Soviet groups in these countries. Why, asked Molotov, did the United States recognize the Italian government when free elections had not been held in Italy? Why did the United States not ask for the reorganization of the unrepresentative Greek government? He concluded that the United States refusal to recognize the governments of «3 For the Memoranda of these Conversations between Byrnes and Molotov, September 16, 1945, September 19, 1945, September 20, 1945, see FR, 1945, n, pp. 194-202, 243-47, 267-69.
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Rumania and Bulgaria represented a direct affront to the Soviet Union and its desire to see established friendly Eastern European governments. Byrnes assured Molotov of American support for the creation of friendly governments in Eastern Europe but explained that the United States could not recognize these Eastern European governments or conclude peace treaties until free elections had been held in the spirit of the Yalta Declaration. He maintained that the situation in Italy was totally different since that government was representative and imposed no restrictions on political life. With respect to Greece, the United States had agreed to participate in the supervision of the scheduled elections precisely to insure that a representative government was established. Despite Molotov's objection, Byrnes issued a public statement making clear that United States participation in working out a peace treaty could not be construed as an indication of United States willingness to recognize the present Rumanian or Bulgarian governments. The bitter debate which characterized the private exchanges between Byrnes and Molotov continued in the formal meetings of the Council. Molotov accused the United States of hiding its real reason for opposition to the Rumanian and Bulgarian governments. He contended that no doubt existed that the Rumanian government was more democratic than either the Italian, Spanish, or Greek governments. Yet the United States maintained relations with Italy and Spain and had agreed that the Greek government could hold elections prior to the reorganization of the government. Molotov asked: was not the reason why the American Government was opposed to this Government [Groza] because it was friendly to the Soviet Union? No one required the United States to like what it did not like. That was its right, and it was free to say so. But this was not the question. The United States accused the Rumanian Govern316
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ment of being undemocratic and refused to have any dealings with it. This did not correspond with the facts. The Rumanian Government was liked by the Rumanian population, but not by the American Government. What should be done? Should they overthrow it because it was not liked by the United States Government and set up a government that would be unfriendly to the Soviet Union? 6 4 Byrnes rejected Molotov's accusations and restated the United States commitment to the implementation of the Yalta and Potsdam agreements. In despair Byrnes con cluded that "they did not and could not agree." 65 This impasse led British Foreign Minister Ernest Bevin to offer a compromise. He stated that it seemed to be the fate of the Eastern European countries to provoke differ ences among the large states. T o avoid further conflict, Bevin proposed that: The Council hereby invoke the Yalta Agreement and agree to consult together regarding the question of the Roumanian Government, the holding of elections, and the steps to be taken to secure the free and unfettered decisions of the people in the choice of their Government. The Council accordingly resolve to appoint a Commis sion to examine the whole problem on the spot and make recommendations to the Council for decision. Meanwhile, steps shall be taken to remove censorship and give free access to representatives of the Press.66 Molotov first objected to the need for new reports on con ditions in Rumania or the establishment of yet another commission and then denounced the French proposal that Allied representatives in these countries undertake a special β* Meeting of the Council of Foreign Ministers, September 21, 1945, FR, 1945, 11, p. 292. 66 05 Ibid., p. 297. Ibid., p. 304.
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investigation of conditions for the Council. Molotov con cluded: "he thought he was among friends but he was on the defense. An offense was being conducted against him except [especially?] on the subject of Rumania." 6 7 Even Secretary Byrnes' announcement of the United States intention to recognize the Hungarian government did not alter Molotov's contention that the United States government opposed all governments in Eastern Europe friendly to the Soviet Union. American officials in London considered political conditions in Hungary to be at least better than they were in either Bulgaria or Rumania, de spite Representative Schoenfeld's reports that the prospect of holding free elections without Allied supervision was very dim. These officials believed that recognition of the Hungarian government would emphasize and give added validity to the United States refusal to do business with the Rumanian and Bulgarian governments. 88 Byrnes informed the British and Soviet Foreign Ministers that the United States would accord recognition if the Hungarian govern ment pledged itself to the holding of free elections in ac cordance with the Yalta agreement. 69 Three days later, the Provisional Hungarian government gave "full guarantee to the Government of the United States that free and untrammeled elections" would be held for the establishment of a representative government. 70 The United States govern ment, thereupon, recognized the Hungarian government «τ Ibid., p. 306. 68 M e m o r a n d u m
by
the
Division
of
Southern
European
Affairs,
Cloyce K. H u s t o n , to t h e U n d e r Secretary of S t a t e , S e p t e m b e r 27, 1945, R e c o r d s of D e p t . of S t a t e , D e c i m a l F i l e 711.64/9-2745;
Memorandum
by t h e Secretary of t h e Mission i n H u n g a r y , Leslie Squires, to R e p r e s e n t a t i v e Schoenfeld, O c t o b e r 11, 1945, FR,
1945, iv, p p . 886-87.
69 M e e t i n g of t h e C o u n c i l of F o r e i g n M i n i s t e r s , S e p t e m b e r 21, 1945, FR,
1945, 11, p . 293; R e p r e s e n t a t i v e Schoenfeld to t h e H u n g a r i a n M i n
ister of F o r e i g n Affairs, S e p t e m b e r 27, 1945, FR,
1945, iv, p . 875.
70 R e p r e s e n t a t i v e Schoenfeld t o t h e Secretary of S t a t e , S e p t e m b e r 25, 1945, FR,
1945, iv, p . 877.
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upon the condition that free and untrammeled elections would be held. 71 In the case of Rumania and Bulgaria, discussions once again failed to resolve the differences. The actual breakdown of the Conference on procedural questions simply reflected the underlying conflict over the recognition and conclusion of peace treaties with the Rumanian and Bulgarian governments.72 In his report to the nation, Secretary Byrnes declared publicly what he had been saying to MoIotov in London. The United States government continued to support the establishment of interim governments in Europe broadly representative of the democratic elements in the country and refused to recognize the existing governments in Rumania and Bulgaria, not as a manifestation of hostility to the Soviet Union, but because of their unrepresentative character.73 The conflict between the Soviet Union and the United States, glossed over at Potsdam, was now public and explicit.74 71 "Press Release—Hungary," September 29, 1945, The Department of State Bulletin, xm (September 30, 1945), 478. During the first week of November 1945, elections were held in Hungary; the Communist Party won 70 seats and the non-Communist Smallholders Party received 246 seats in the national Parliament. Representative Schoenfeld reported that "there has been no evidence that election was anything but free and untrammeled." Representative Schoenfeld to the Secretary of State, November 9, 1945, FR, 1945, iv, p. 904. 72 For Memoranda of the Conversations and communications between the Heads of State on the procedural questions raised, September 22-30, 1945, see FR, 1945, 11, pp. 313-15, 331, 381-84, 487-88. 73 Secretary of State Byrnes, "Report on the First Session of the Council of Foreign Ministers," October 5, 1945, The Department of State Bulletin, xm (October 7, ig45), 507-12. 7* Both John Gaddis, The United States and the Origins of the Cold War 1941-1941], p. 246, and Gar Alperovitz, Atomic Diplomacy: Hiroshima and Potsdam, pp. 194-225, argue that following the demonstration of the atomic bomb against Japan, United States policy-makers pursued "atomic diplomacy" to obtain political concessions in Eastern Europe. Evidence for their argument includes: (a) the fact that the United States had tested and used the atomic bomb; (b) Byrnes' state-
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V Diplomatic inactivity followed the breakdown of the London Conference in October. Inside Rumania and Bulgaria, the existing governments, with the aid of the Soviet Union, sought to consolidate their power and to achieve local solutions to the unresolved questions about their future. In Bulgaria, elections were now rescheduled for November, ments, recorded in Stimson's Diar>, September 4, 1945, that he wanted to have the implied threat of the bomb in his pocket during the upcoming Foreign Ministers meetings; and (c) Soviet propaganda statements accusing the United States of brandishing its atomic power. These authors, however, fail to consider what the actual United States atomic capability was during the months following the Japanese surrender. Although most information about the exact capabilities is still classified, some evidence is available. According to Leslie R. Groves, Now It Can Be Told, The Story of the Manhattan Project (New York: Harper & Row, 1962), the Alamogordo test used up the entire immediate supply of plutonium (p. 309). The first bomb dropped on Japan was used without prior test "because the production of U-235 was so slow, even compared to plutonium, that we could not afford to use it in a test" (p. 305). Immediately following the dropping of the second bomb on Japan, no additional combat bomb was available, although the next bomb was reported to be ready for delivery "momentarily" (p. 352). Richard G. Hewlett and Oscar E. Anderson, Jr., The New World 1939/1946 (University Park, Pa.: T h e Pennsylvania State University Press, 1962), p. 321, report that by the summer of 1945 production of combat weapons was five months behind schedule. Finally, Zbigniew Brzezinski, "How the Cold War was Played," Foreign Affairs, Li (October 1972), 183-84, states that "because of lags in production and the termination of some atomic facilities, the U.S. atomic stockpile by 1947 was well under 100 bombs. . . ." Certainly the existence of the bomb influenced other statesmen's perceptions of United States power. However, in the fall of 1945, it is unlikely that the President or the Secretary of State would have altered their whole negotiating posture toward Eastern Europe and pursued something called "atomic diplomacy" simply because the United States now had one or two atomic bombs in its stockpile. Byrnes' diplomacy can be more accurately described as seeking the same goals through the same means as had been employed in the past. 320
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and the minority government pursued the same methods of intimidation and obstruction of opposition groups as in the past. The constitutional crisis continued in Rumania with the Groza government bypassing the King and imposing its control across the countryside. During these weeks, no pressure arose within the United States government for a change in United States policy. The conflict between the Soviet and American goals for Eastern Europe was obvious. According to Cloyce Huston of the Division of Southern European Affairs, United States action had the appearance of being unfriendly and had not unnaturally irritated Soviet officials." Reports from these countries also revealed the increasing unlikelihood that United States goals would be implemented. Yet no one suggested that the United States alter its commitment to implement the Yalta principles or refrain from further rhetoric in favor of the creation of representative governments. Indications that the British were increasingly ready to accept the existence of a Soviet sphere, since nothing could be done to prevent it, did not produce similar thinking in the State Department. 76 Cloyce Huston concluded that the policies and principles of the Atlantic Charter and the Crimea Declaration were "right and good, and [were] endorsed by the American people; they accordingly should not, and need not, be changed."77 Consequently, President Truman and Secretary Byrnes continued to affirm the determination of the United States government to help the defeated states of Europe to establish peaceful democratic governments. While admitting that in some cases it would "= Memorandum from the Division of Southern European Affairs, Cloyce Huston, to the Office of European Affairs, October 24, 1945, Records of Dept. of State, Decimal File 711.61/10-2445. "6 Charge in the United Kingdom Waldemar Gallman to the Secretary of State, October 18, 1945, FR, 1945, v, p. 897. " Memorandum from Cloyce Huston to the Office of European Affairs, October 24, 1945. 321
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be impossible to prevent the forceful imposition of governments in Eastern Europe, Truman proclaimed that the United States would never recognize such governments.78 The only United States diplomatic initiative in October was the dispatch of an independent and neutral observer to report on political conditions inside Rumania and Bulgaria. In seeking to fulfill the Potsdam obligation "to examine each separately in the near future, in light of conditions then prevailing, the establishment of diplomatic relations" with Rumania and Bulgaria, Secretary Byrnes chose Mark Ethridge, editor of the Louisville Courier-Journal, to provide the State Department with an unbiased evaluation of the political situation in these countries. In theory, Ethridge's reports would form the basis for future United States policy decisions.79 Upon arriving in Bulgaria, Ethridge quickly concluded that the Fatherland Front government was not "representative" as defined by the Yalta agreement and that free elections could not be held under the existing electoral law.80 However, Ethridge was not content merely to report these conditions; he undertook to use his influence to insure the participation of all democratic parties in the elections and the formation of a truly representative government.. The so-called neutral observer thus became an advocate of the reorganization of the Bulgarian government and the broadening of the representation of the Agrarian and Socialist parties. 81 78
Address by President Truman, October 27, 1945, The Public Papers of Harry S. Truman, 1945 (Washington, D.C.: U.S. Government Printing Office, 1961), p. 434. See also Address by Secretary of State Byrnes, October 31, 1945, The Department of State Bulletin, xm (November 4. 1945). 7 0 9 - n · 7
9 Secretary of State Byrnes to R e p r e s e n t a t i v e B a r n e s , O c t o b e r 12, 1945, FR, 1945, iv, p p . 346-47. so R e p r e s e n t a t i v e B a r n e s to t h e Secretary of State, O c t o b e r 29, 1945, FR, 1945, iv, p p . 354-56. 8 I Ibid., a n d R e p r e s e n t a t i v e B a r n e s to t h e Secretary of State, N o v e m b e r 11, 1945, FR, 1945, iv, p p . 369-70. A c c o r d i n g t o M a r k E t h r i d g e a n d
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Next Ethridge persuaded the State Department to allow him to present his observations about the Bulgarian situation directly to the Soviet government. The State Department enthusiastically approved an Ethridge initiative to promote a rapprochement between the two governments and to convince the Soviet Union that the United States did not desire a political or moral victory in Bulgaria.82 According to Secretary Byrnes: If it is pointed out to Soviets that on basis of Ethridge's conclusion . . . as things now stand conditions there are not such that we will be able to recognize and conclude a peace treaty with the present unrepresentative Govt nor a Govt resulting from the scheduled elections in which large democratic elements of the electorate will not participate, the Soviet Govt might be disposed to explore with us possible steps which could be taken in the circumstances. I cannot believe that the alternative which would seem to be the continuance for an indefinite period of the present unsettled international status of Bulgaria will appear any more desirable to the Soviets than it does to us.83 The Department instructed Ethridge to reiterate the United States desire for the establishment of an interim Cyril Black, "Negotiating on the Balkans, 1945-1947," in R. Dennett and J. Johnson, Negotiating With the Russians (Boston: World Peace Foundation, 1951), p. 185, "The assignment was originally envisaged as one of reporting rather than of negotiating, for the central function of dealing with the Soviet Government was naturally retained by the Secretary. Yet it soon became clear that the fact-finding tasks of the mission could be a powerful instrument of pressure, and in the course· of the investigation direct discussions were held with Vyshinsky at Moscow." 82 Representative Barnes to the Secretary of State, October 29, 1945, FR, 1945, iv, pp. 354-55· 83 Secretary of State Byrnes to A m b a s s a d o r H a r r i m a n , for E t h r i d g e , N o v e m b e r 6, 1945, FR, 1945, iv, p p . 363-64 [Drafted: W B ; I n i t i a l e d : SR, E D , H F M , D A ; Signed: Byrnes].
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government in Bulgaria representative of all democratic elements and the holding of free elections.84 During Ethridge's discussions in Moscow, the possibility of a solution never even arose. Soviet officials claimed that the Fatherland Front was representative of the Bulgarian people and reiterated Soviet unwillingness to tolerate interference in the internal affairs of that country. They impressed upon Ethridge their belief that an Allied request for postponement of the Bulgarian elections would be unjustifiable intervention. 85 Consequently, the State Department decided to publicize its statement to Bulgarian leaders that a representative government could not possibly emerge from the scheduled elections and reaffirmed the United States intention not to recognize or negotiate a peace treaty with the unrepresentative Fatherland Front regime.86 The Department, however, did not request the postponement of the elections. When the Bulgarian Foreign Minister gave vague promises for a reorganization of the government, further action was then deferred until the meeting of the Allied Foreign Ministers to be held in December.87 Following the election of all 276 Fatherland Front deputies, Barnes reported: "Thus has been confirmed once again effectiveness, for electoral purposes, of Communist dominated 'single-front' formula especially when backed by party militia and Red Army. With these sweeping figures it is clear that opposition would 8 ^ Ibid. It is not clear whether State Department officials had any real hope that the Ethridge trip to Moscow would be a success. The\ apparently saw nothing to lose by the effort to resolve the conflict over Bulgaria in Moscow. In the event of failure, the effort could provide a justification for continued non-recognition of the Bulgarian government.
85 A m b a s s a d o r
Harriman
to t h e Secretary of State, N o v e m b e r
1945. FR. !945. IV - PP- 374-7586 Press R e l e a s e — B u l g a r i a , N o v e m b e r 16, 1945, The State Bulletin,
0/
x m ( N o v e m b e r 18, 1945), 791-92.
87 R e p r e s e n t a t i v e 1945, FR,
Department
14,
B a r n e s to t h e Secretary of State, N o v e m b e r
1945, iv, p p . 387-89.
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have been stupid to file lists and attempt organized campaign." 88 Finally, Mark Ethridge traveled to Rumania to report on existing political conditions there and to determine if they met the criteria for United States recognition. Instantly, he concluded that the Rumanian situation was far more urgent than that in Bulgaria because of total Soviet control of the Communist party and increasing Soviet economic exploitation of the country. Once again, he sought to change the opinions of various Communist officials in favor of the holding of free elections and the formation of a representative government. However, his efforts were to no avail. Ethridge was equally unsuccessful in resolving the existing Allied differences over Rumania. 89 In spite of his depressing reports delineating all the conditions which undermined any hope for the formation of representative governments, the total failure of his own efforts to ameliorate the situations, and his conclusion that United States goals would almost certainly not be achieved, Ethridge ended his trip by recommending a continuation of previous United States policy toward Rumania and Bulgaria.90 Ethridge stated: Confronted with this Soviet attitude in Rumania and Bulgaria, the United States is faced with the alternatives of continuing its policy of adherence to the position taken at Yalta and Potsdam or of conceding this area as a Soviet sphere of influence. Its present policy is presumably founded on two principles: namely, that the peace will be secure only if based on truly representative governments in all countries with western political tradi88 R e p r e s e n t a t i v e Barnes t o t h e Secretary of State, N o v e m b e r 19, 1945, FR, 1945, iv, p . 389. 89 Representative Berry to the Secretary of State, November 26, 1945, FR, 1945, v, pp. 627-31. 90 M e m o r a n d u m by M r . M a r k E t h r i d g e , Special R e p r e s e n t a t i v e of t h e Secretary of State, D e c e m b e r 7, 1945, FR, 1945, v, p p . 633-37. C o p y sent t o P r e s i d e n t T r u m a n , J a n u a r y 11, 1946.
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tions, and to concede a limited Soviet sphere of influence at the present time would be to invite its extension in the future. Unless the United States is prepared to abandon these two principles it must take the necessary steps to ensure their eventual application. While certain local and temporary advantages may be gained by direct American intervention in Rumania and Bulgaria, it should be recognized that no significant improvement can be expected in these two countries without a change in Soviet policy. It should further be recognized that the only sound criteria of a change in the Soviet attitude would be the holding of free elections under conditions similar to those obtaining in the recent elections in Finland, Hungary and Austria. From past experience it is clear that measures short of free elections, such as broadening the base of the present governments through cabinet reconstructions, the withdrawal of Soviet occupation troops, et cetera, would provide no sound guarantee that Soviet policy had been altered. 91 Ethridge's conclusions and recommendations were readily approved by members of the State Department and served to convince these men that their previous policies had been correct. Without debate, the Department determined to continue to oppose Soviet violations of the Yalta agreement. According to the State Department Manual in December: The fact that we have been unable to bring the Soviet Government to live up to the principles of this Declaration [on Liberated Europe] does not mean we should cease our efforts directed toward its implementation. We should, under all circumstances, avoid any action which would appear to accept any "democratic" incipient totalitarian regimes in these countries. . . .92 9
1 Ibid., p. 637. 2 Policy Manual, "Soviet Union," Department of State, December 1, 1945, Records of Dept. of State, Decimal File 711.00/12-145. 9
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The Deputy Director of the Office of European Affairs, John D. Hickerson, maintained: Although a final, satisfactory adjustment of the Rumanian and Bulgarian problems may seem remote in the absence of a general agreement with regard to this area, it is, nevertheless, felt that we must maintain our position of adhering to the principles publicly proclaimed as the result of both the Yalta Conference and the Potsdam discussions. Since to concede a limited Soviet sphere of influence even in this area of strategic importance to the USSR might be to invite its extension to other areas, our continued reiteration of the principles that a firm and lasting peace can only be achieved if the people of the liberated areas can exercise the right of self-determination seems the only course open to us at this time.93 Again, no one suggested that if these goals could not be implemented the United States should give up its public commitment and acquiesce in a Soviet sphere of influence. VI Having not abandoned all hope for Soviet acceptance of American goals in Eastern Europe, Secretary Byrnes, without consulting the British government, proposed still another meeting of the Foreign Ministers, this time in Moscow, and arranged for the reconvening of the Council of Foreign Ministers in December.94 Initial discussions focused on resolving the differences over the procedures to be followed in negotiating peace treaties with all the defeated states of Europe. Finally, after a week of debate, the Foreign Ministers reached agreement on this issue, and they 93 Memorandum by the Deputy Director of the Office of European Affairs, John D. Hickerson, to the Secretary of State, December 10, 1945, FR, 1945, iv, pp. 407-408 [Drafted: SR; Initialed: ED, JDH, JCD]. a* J. Byrnes, Speaking Frankly, p. 109; FR, 1945, 11, pp. 578-85.
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turned their attention at last to the political future of Rumania and Bulgaria.95 Byrnes proposed again that the unrepresentative governments be reorganized to include members of all democratic parties. Molotov objected. An election had been held in Bulgaria, and the United States and British governments were themselves responsible for the failure of Rumania to hold free elections. Molotov refused to tolerate any Allied interference in the internal affairs of these countries. No sign of compromise appeared on either side.96 Byrnes next sought to convince Stalin personally of the necessity of Soviet agreement to implement the provisions of the Yalta agreements in Rumania and Bulgaria. Byrnes reiterated the United States intention to withhold recognition until the establishment of representative governments. When Stalin suggested that the Allies might give "friendly advice" to the Bulgarian parliament to include some members of the loyal opposition in the new government and to the Rumanian government to add two statesmen from the National Liberal and National Peasant parties, Byrnes seized upon this as a means of breaking the impasse. Byrnes was willing to accept this proposal if a statement reaffirming Allied support for the protection of civil liberties and the holding of free elections were included in the final communique of the Conference.97 After further haggling over the particular wording of the agreement, the three Foreign Ministers agreed to still another commission, composed of Ambassadors Harriman and Clark-Kerr and Deputy Soviet Commissar for Foreign Affairs Vyshinsky, which would consult with Rumanian officials about the inclusion of two members of the opposition parties in the existing government. In effect, the three s>5 For the debates over the procedures for drawing up the peace treaties with the former German states, see FR, 1945, 11, pp. 610-718. 96 M e e t i n g of t h e C o u n c i l of F o r e i g n Ministers, D e c e m b e r 22, 1945, FR, 1945, 11, p p . 728-34. 97 M e m o r a n d u m of a C o n v e r s a t i o n b e t w e e n Secretary Byrnes a n d M a r s h a l Stalin, D e c e m b e r 23, 1945, FR, 1945,11, p p . 752-56.
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governments approved a plan which was remarkably similar to the Yalta agreement on Poland. With respect to Bulgaria, the Soviet government took upon itself to give friendly advice to the government to include additional representatives in the new government to be formed.98 Yet once again the agreements in Moscow on Rumania and Bulgaria only glossed over continuing conflict. The United States remained committed to the creation of representative governments. Soviet efforts to establish predominant political influence through the formation of friendly governments had not been blocked. Neither the Soviet nor American government had compromised their overall goals. Secretary Byrnes, in his report to the nation following the Conference, acknowledged the continuing wide divergence of viewpoints between the Soviet and American governments. Byrnes rejected the Soviet contention that the Rumanian and Bulgarian governments were acceptable and announced continued United States opposition both to those governments' exclusion of important democratic groups and to the oppressive way in which they exercised their powers." President Truman's initial reaction to the Moscow Conference was irritation at Secretary Byrnes' failure to keep him informed of the proceedings of the Conference. Byrnes signed the Moscow communique and scheduled his report to the nation before informing Truman of the contents of the agreements. In a memorandum which he read to Byrnes upon his return, Truman expressed his anger at Byrnes' independent action. Then, in commenting on the Moscow accords on Rumania and Bulgaria, Truman affirmed his own unwillingness to recognize the existing unrepresentative governments in these countries. According to Truman: as Communique of the Moscow Conference, December 27, 1945, FR, 1945, 11, pp. 821-22. 99 "Report by the Secretary of State on the Meeting of Foreign Ministers, December 30, 1945," The Department of State Bulletin, xm (December 30, 1945), 1034.
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For the first time I read the Ethridge letter this morning. It is full of information on Rumania and Bulgaria and confirms our previous information on those two police states. 1 am not going to agree to the recognition of those governments unless they are radically changed. . . . I do not think we should play compromise any longer. We should refuse to recognize Rumania and Bulgaria until they comply with our requirements. . . .100 Thus, President Truman expressed his determination to continue to promote the same goals which had characterized United States policy toward Eastern Europe since Yalta. After 1945, the United States did not alter this policy in favor of the holding of free elections in Rumania and Bulgaria even though the State Department saw little possibility of effectively challenging Soviet actions. The United States did not extend recognition to the Rumanian government until two members of the opposition parties were admitted into the Groza Cabinet in January 1946 and this government gave assurances that free elections would be held.101 When the pledge of free elections was ignored and carefully controlled elections in November 1946 produced a Communist government, the United States reaffirmed its support for the creation of a representative Rumanian 100
H. Truman, Memoirs, 1, pp. 551-52. Dean Acheson in Present at Creation, My Years in the State Department (New York: W. W. Norton & Company, 1969), p. 136, describes this meeting between Byrnes and Truman: "The President's report was even more vivid than the one published in his memoirs, and included the memorandum which he reports having written out and read." 1 0 1 Representative Berry to the Acting Secretary of State, January 9, 1946, Secretary of State Byrnes to Acting Secretary of State Acheson, January 15, 1946, FR, 1946, vi, pp. 561-62, 569-72. For the United States public announcement of recognition of the Rumanian government, see The Department of State Bulletin, xiv (February 17, 1946), 256-57-
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government.102 In Bulgaria, the United States pursued a policy of nonrecognition of the Fatherland Front regime until October 1947 in order to promote the reorganization of the Bulgarian government and the holding of free elections.103 American officials sought to maintain intact the commitment of the United States to implementation of the Declaration on Liberated Europe. VII Prior to the London meeting of the Council of Foreign Ministers, the British government had asked the State Department certain questions about United States policy toward Eastern Europe. Was the United States willing to acquiesce in the establishment of a Soviet sphere of influence, and if not what steps would the government undertake to achieve United States goals? Although American officials never formally replied, by their actions in Potsdam, London, and Moscow they answered these questions. The United States refused to approve Soviet actions in violation of the Yalta Declaration on Liberated Europe. While they were unwilling to undertake any strong initiatives to promote the holding of truly free elections in Bulgaria or to resolve the Rumanian constitutional crisis, they continued to insist upon the formation of representative governments in opposition to Soviet demands for the establishment of friendly Communist governments in Eastern Europe. They 102 For Representative Berry's reports of the Rumanian election in the fall of 1946 and the United States reactions, see FR, 1946, vi, pp. 632-66. 10s Acting Secretary of State Acheson to Representative Barnes, January 12, 1946, Memorandum by Ambassador Harriman to the Secretary of State, January 16, 1946, and Acting Secretary of State Acheson to Representative Barnes, October 24, 1946, FR, 1946, vi, pp. 47-48, 5759, 160; Acting Secretary of State Acheson to Representative Barnes, January 18, 1947, FR, 1947, iv, p. 140.
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stubbornly refused to recognize these governments until assurances were given that free elections would be held. By the end of 1945, conflict between the United States and the Soviet Union over the existence of unrepresentative governments in Rumania and Bulgaria appeared irreconcilable. The Moscow Conference in December was the last time the Foreign Ministers of the United States, Britain, and the Soviet Union convened with any hope or expectation that the conflict could be resolved. After this Conference, the Soviet Union even gave up pretending to concert its policies in Eastern Europe with Britain and the United States. Subsequent Foreign Ministers meetings, which culminated in the signing of peace treaties with Bulgaria, Rumania, and Hungary in February 1947, were characterized by efforts to achieve propaganda victories. In signing the peace treaties, the three governments simply agreed to disagree and to dismantle the Allied Control Commissions. According to Philip E. Mosely, a member of the United States delegation responsible for drafting these peace treaties, "the defeat of the American effort to assure to the nations of East Central Europe the enjoyment, in some degree, of the right of self-determination—an effort begun belatedly at Yalta—was sealed within the same year at Moscow."104 Further, conflict over Eastern Europe had spilled over during the fall of 1945 into other areas, namely questions relating to the political futures of Greece, Italy, and Japan. Perhaps most importantly, this unresolved conflict had provoked a re-examination by American officials of all their ideas about the Soviet Union and the future of SovietAmerican relations. In the summer of 1945, State Department officials had opposed recognition of the unrepresentative governments in Eastern Europe for fear of encouraging similar Soviet actions elsewhere. Now these same officials were viewing these Soviet actions in establishing total politi°4 Philip E. Mosely, The Kremlin and World Politics, Studies in Soviet Policy and Action (New York: Random House, i960), p. 217.
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ical control in Eastern Europe, not as isolated cases, but as clear indications of future Soviet intentions in the Balkans, the Eastern Mediterranean, and even in other parts of the world. In his report on conditions in Rumania and Bulgaria, Mark Ethridge stated: "It should be emphasized, however, that the strong position which the Soviet Government is establishing in Bulgaria and Rumania will doubtless be used as a means of bringing pressure to bear on Greece, Turkey and the Straits, and could be converted without great effort into a springboard for aggression in the Eastern Mediterranean region."105 The Deputy Director of the Office of European Affairs, John D. Hickerson, concurred. Soviet preoccupation with "friendly" regimes was "part of a larger scheme for the establishment of a security zone throughout the Balkans and the Eastern Mediterranean." 106 Elbridge Durbrow, Chief of the Division of Eastern European Affairs, linked Soviet unilateral actions in establishing the Groza government, in refusing to hold democratic elections in Bulgaria and Yugoslavia, and in imposing unilateral trade arrangements in Eastern Europe with Soviet obstruction of the formulation of a unified Allied policy on Germany and Soviet attempts to dominate Manchuria and Korea.107 Following the Moscow Conference, President Truman associated Soviet policy in Rumania and Bulgaria with Soviet actions in Iran, Poland, and the Baltic States. T o counter this presumed Soviet policy, Truman called for a firm stand against Soviet occupation of Iran, internationalization of the Black Sea Straits, maintenance of complete United States control of Japan and the Pacific, rehabilitation and creation of a strong central government in China 105 Memorandum by Mr. Mark Ethridge, December 7, 1945, FR, 1945, v, p. 637. ioe Memorandum by the Deputy Director of the Office of European Affairs, John D. Hickerson, to the Secretary of State, December 10, 1945, FR, 1945, iv, p. 407. 107 Memorandum by the Chief of the Division of Eastern European Affairs, Elbridge Durbrow, November 27, 1945, FR, 1945, v, p. 925.
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and Korea, the return of United States ships from Russia, and the settlement of the Russian Lend Lease debt.108 By the end of 1945, conflict between the United States and the Soviet Union over Eastern Europe had escalated to the point where United States officials read Soviet actions in this part of the world as an indication of Soviet intentions to expand outside of Eastern Europe and of Soviet methods of domination and control around the world. 108 H. Truman, Memoirs, 1, pp. 551-52.
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I CHAOS, political and economic instability, and social unrest continued to plague Yugoslavia and Czechoslovakia during 1945. Political developments in these two countries, however, did not receive the same attention from American officials as those in Poland or the former German satellite states of Eastern Europe. Both Czechoslovakia and Yugoslavia were Allies and therefore questions of representation on Allied Control Commissions or the conclusion of peace treaties were not raised. In contrast to Poland, the Tito government in Yugoslavia and the Benes government in Czechoslovakia carefully cultivated the friendship of the Soviet Union, so that no conflict developed over the composition of these governments. As in the other liberated states of Eastern Europe, the United States sought to implement the principles of the Declaration on Liberated Europe. How and with what success did the State Department seek to promote in these countries during 1945 the establishment of representative governments?
II In the fall of 1944, two important agreements for the political future of Yugoslavia were concluded. The President of the Partisan National Committee of Liberation inside Yugoslavia, Marshal Tito, and the Prime Minister of the Royal Yugoslav government-in-exile in London, Dr. Ivan Subasic, signed an agreement committing themselves to the reorganization of an interim government and the eventual
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establishment of a constitutional democracy in Yugoslavia. The new Cabinet would be composed of six members of the Subasic government and twelve members of Tito's National Committee. They further decided that the Yugoslav monarch, King Peter, would not be permitted to return to the country until the Yugoslav people had expressed their will as to the continuation of the Monarchy. The King, with the approval of Tito, would appoint a Regency Council to rule in his absence. Then in a supplemental agreement in December, Tito and Subasic determined that elections would be held within three months following the liberation of the country. Until these elections could be held for a Constituent Assembly, legislative power would be exercised by the Partisan Anti-Fascist Council. 1 In October, Prime Minister Churchill and Marshal Stalin concluded an informal spheres of influence arrangement for shared Anglo-Soviet responsibility for the political future of Yugoslavia. According to a memorandum by the Deputy Director of the Office of European Affairs which summarized the Churchill-Stalin conversations on the Balkans, "the chief point of discussion [appeared] to be Yugoslavia with some fifty-fifty arrangement for that area in 1 Ambassador to the Yugoslav government-in-exile Richard Patterson to the Secretary of State, December 16, 1944, FR, 1945, Yalta, pp. 25154. Fearing that civil war would erupt throughout Yugoslavia between supporters of the government-in-exile and Tito's resistance forces once the war ended, Marshal Tito and Prime Minister Subasic began discussions in June 1944 for the establishment of a unified Yugoslav government. No one in the State Department seemed particularly surprised at the relative ease with which Tito and Subasic concluded their negotiations for the creation of a new government, since the October agreement in effect legalized Tito's position of supreme authority in the country. For reports of these Tito-Subasic meetings, see Memorandum by the Deputy Director of the Office of European Affairs, H. Freeman Matthews, August 18, 1944 and Report by Major Charles Thayer, from the Independent American Military Mission to Marshal Tito, November 4, 1944, FR, 1944, iv, pp. 1397-99, 14 1 ?- 8 0 -
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prospect."2 Ambassador Winant reported that Churchill had attempted to establish a position of influence equal to that of the Soviet Union in Yugoslavia in order to maintain the British relationship with Greece and to protect British Mediterranean interests.3 Following the signing of the Tito-Subasic agreements, the State Department expressed its satisfaction with the principles enunciated but refused to offer an opinion on the prospects for actually implementing these principles, since "so much [would] depend on the good will, mutual respect, and cooperation" of the persons involved. The Department further declined to discuss the particulars of the agreements due to the general nature of the language and the technicalities of Yugoslav law. Instead, the Department reaffirmed the United States hope that the people of Yugoslavia would be permitted to work out their own form of government free from foreign interference. In concluding, the Department acknowledged that "a misuse of the broad authority implicit in the provisions might well serve to circumvent the democratic processes of government." 4 In a meeting of the Secretary's Staff Committee, James Clement Dunn described the Department's policy and explained: that the greatest difficulty with Yugoslavia is that everyone seems to be leaving the Serbs out of account. Half of the population and the greatest fighters in the country are Serbs and they may cause trouble. There is still 2
Memorandum from the Deputy Director of the Office of European Affairs, H. Freeman Matthews, to the Secretary of State, October 16, 1944, FR, 1944, iv, p. 1018. • 3 Ambassador Winant to the Secretary of State, October 12, 1944, FR, 1944, in, p. 452. * T h e Department of State to the British Embassy, December 23, 1944, FR, 1945, Yalta, p. 256. See also Secretary of State Stettinius to Ambassador Patterson, December 23, 1944, FR, 1944, iv, pp. 1443-44 [Drafted: CWC].
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hope that the situation may work out without an uprising on the part of the Serbs but neither the British nor the Russians have taken them into consideration. 5 The State Department responded to the Churchill-Stalin agreement on the Balkans, as previously described, by trying to ignore completely the existence of any secret spheresof-influence arrangements. The Department, nevertheless, was irritated by the bargains which had been struck by the two governments and in December expressed its "uncertainty [as to] whether an important part of the problem [Yugoslavia] may not be connected with understandings between the British and Soviet governments with regard to their respective interests in Southeastern Europe, as a factor interwoven with the controversies among the Yugoslavs themselves."6 State Department officials sought to maintain a posture of noninvolvement in the complex internal politics of Yugoslavia and to avoid entanglement in British-Soviet efforts to establish spheres of influence in the Balkans. They further recognized the very limited effect United States 5 Secretary's Staff Committee Meeting, December 26, 1944, Records of Dept. of State, Lot 122, Box 58. State Department officials were worried that civil war would engulf Yugoslavia after the war. They believed that most of the Serbs had supported General Mihailovich's resistance organization rather than Marshal Tito's and that Serbian loyalty to King Peter was very high. In fact, State Department intelligence was somewhat in error. According to Hugh Seton-Watson, The East European Revolution, 3d ed. (New York: Frederick A. Praeger, !956). p. 130, n. 3, "It has often been suggested that whereas Mihailovic's forces consisted of Serbs, those of Tito were mostly Croats, Slovenes or Macedonians. Only the first part of the statement is true. T h e first partisan forces, in Serbia in 1941, consisted almost entirely of Serbs. T h e truth is that both the strongest supporters and the strongest enemies of Tito were Serbs. T h e war against the Axis invaders was also a Serbian civil war." 6 Secretary's Staff Committee Document, "American Position as Regards the Negotiations for a Unified Federal Yugoslav Government," December 23, 1944, Records of Dept. of State, Lot 122, Box 57.
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actions would have on political developments in this part of the world. Tito's Partisans were in effective control of the liberated areas of the country, had built up a powerful political organization, and were consolidating their political power over a demoralized and war-weary population/ In the Briefing Book Paper on Yugoslavia, prepared for the Yalta Conference, the State Department observed: All indications point to the intention of the Partisans to establish a thoroughly totalitarian regime, in order to maintain themselves in power. The Tito-Subasic agreement, now awaiting the King's approval in London, would transfer the effective powers of government to the Tito organization, with just enough participation of the Government in exile to facilitate recognition by other governments.8 Colonel Charles Thayer, Commander of the Independent American Military Mission to Marshal Tito, informed the State Department that it would be unfortunate "if the impression were permitted to gain currency that we might in any way short of military measures alter the present course of events in Yugoslavia. . . . there is not the slightest evidence that any form of pressure from United States would increase the chances of the population to express itself freely in a genuine election. . . ."9 Following the conclusion of the Tito-Subasic agreements, the British government undertook to obtain King Peter's approval for the reorganization of a Tito-Subasic government in Belgrade. The British felt that the King should agree, since Tito was in de facto control of the country and ~> Briefing Book Paper, "Principal Yugoslav Problems," Januar> 1945, FR, 1945, Yalta, pp. 262-63. s Ibid., p. 262. 9 T h e Commander of the Independent American Military Mission to Marshal Tito, Colonel Charles Thayer, to the State Department, January 11, 1945, FR, 1945, v, p. 1209, n. 15.
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had made a considerable concession in accepting the Regency Council.10 However, King Peter was not ready to sign an agreement which he interpreted to be tantamount to his abdication. He insisted that he be allowed to choose the Regents without interference from Marshal Tito. It was his constitutional right to appoint the Regents, and he refused to give up his constitutional responsibilities. Further, he objected to the unrestricted legislative power given to the Partisan Anti-Fascist Council and was concerned that under the Tito-Subasic agreements the only Yugoslav political party represented in the Parliament prior to the holding of elections would be Tito's. 11 While impressed by the King's legal arguments, the British government felt that the King's position was totally unrealistic. 12 When Peter issued a public communique in January 1945 presenting his objections to the TitoSubasic agreements, the British threatened to invite Subasic to proceed to Belgrade over the King's objections. If Peter's approval were not given, it would be presumed.13 King Peter nevertheless ignored British arguments and proposed a meeting between himself and Tito to resolve their differences. The British responded by threatening to extend de facto recognition of a Tito-Subasic provisional government.14 However, before the British could act, King Peter dismissed Subasic, issued a communique calling for the crea10 T h e views of the British government regarding the Tito-Subasic agreements were reported to the State Department, November 29, 1944, FR, 1944, iv, pp. 1425-26. 11 Ambassador Patterson to the Secretary of State, November 21, 1944 and December 22, 1944, FR, 1944, iv, pp. 1423, 1442-43. 12 Letter from the American Embassy in London to H. Freeman Matthews, January 19, 1945, Records of Dept. of State, Decimal File 860H.01/1-1945. is Ambassador Patterson to the Secretary of State, January 11, 1945, FR, 1945, Yalta, p. 258. 1* Ambassador Patterson to the Secretary of State, January 17, 1945 and January 21, 1945, FR, 1945, v, pp. 1179-80, 1182.
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tion of a constitutional Regency, and refused to give his consent to the scheduled departure of the Yugoslav government from London. 15 In disgust, the British government proposed to the American and Soviet governments that the three Allies put the Tito-Subasic agreements into force and inform Tito that if he would concert with Subasic in the formation of a new government, the three Powers would extend immediate recognition. 16 During these British efforts in January to obtain King Peter's approval of the Tito-Subasic agreements, the State Department struggled to design a policy which would maintain a posture independent of the British and Soviet governments and at the same time avoid United States intervention in the internal affairs of Yugoslavia. The Department refused either to force the King to accept the agreements or to support the King in his opposition.17 The British government, King Peter, and Prime Minister Subasic were informed that the United States desired joint Allied cooperation in resolving the problems of Yugoslavia and remained committed to the right of the Yugoslav people to choose their own government, free from foreign interference. The United States was particularly anxious to see Allied diplomatic missions established in Belgrade to report on political conditions inside Yugoslavia.18 When the Brit15 Ambassador Patterson to the Secretary of State, January 23, 1945, FR, 1945, v, pp. 1184-85. 16 T h e British Embassy to the Department of State, January 23, 1945, FR, 1945, v, pp. 1186-87; Prime Minister Churchill to Marshal Stalin, January 14, 1945, Corr., 1, p. 297. Stalin had already agreed to an immediate reorganization of the Yugoslav government and the extension of full diplomatic recognition. Marshal Stalin to Prime Minister Churchill, January 16, 1945, Corr., 1, p. 298. IT Secretary of State Stettinius to Ambassador Patterson, January 7, 1945, FR, 1945, v, p. 1174 [Drafted: CWC; Initialed: JCD, HFM, JG]. 18 Secretary of State Stettinius to Ambassador Patterson, January 17, 1945, FR, 1945, v, pp. 1180-81 [Drafted: CWC; Initialed: JCD, HFM; Signed: Stettinius]. T h e United States had military missions assigned to the two major resistance groups in Yugoslavia but no diplomatic
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ish government suggested that the continued failure of the United States to announce its support for the agreements had been influential in Peter's refusal to approve the Regency, the State Department announced: we have gone rather far in the instructions which have already been issued to Mr. Patterson to express to both King Peter and Dr. Subasic our interest in a solution of the Yugoslav problem along the lines of the Tito-Subasic agreement, and to inform them of our intention to reestablish our mission in Yugoslavia as soon as possible. It seems to us that it would be out of place for this Government to exert any further pressure in this matter. 19 At the end of January when the British proposed that the three Allies extend diplomatic recognition without reservation to a reorganized Tito-Subasic government, the State Department finally agreed to extend de facto recognition to such a government upon the understanding that a plebiscite would be held in Yugoslavia for the "free and democratic choice of the eventual government." 20 The Department, however, refused to go beyond provisional recognition and insisted that the new government be considered an interim one until the holding of free elections. In a meeting of the Secretary's Staff Committee on January 24, 1945, the question of United States policy toward Yugoslavia was debated at great length: Mr. Grew emphasized that the most important consideration leading to this decision was our desire to keep mission responsible for reporting systematically on political developments inside the country. 1 ^ T h e British Embassy to the Department of State, January 23, 1945, FR, 1945, v, p. 1186; Memorandum from the Division of Southern European Affairs, C. W. Cannon, to John D. Hickerson, James Clement Dunn, and Acting Secretary of State Grew, January 27, 1945, Records of Dept. of State, Decimal File 860H.01/1-2745. 2o Memorandum of a Telephone Conversation, by Under Secretary Grew, with British Ambassador Halifax, January 23, 1945, FR, 1945, v, p. 1185.
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step with our allies and avoid the danger of losing our voice in Yugoslav affairs which might be the consequence of standing aloof at this juncture, and Mr. Dunn stressed our desire to have our diplomatic mission established in the country at the same time as those of our allies. . . . Mr. Pasvolsky asked what sort of government is being built up in the liberated part of Yugoslavia. There have been rumors that a rudimentary soviet system (like the original soviet system in Russia) was being built up under which there is a government at the top but local officials are elected rather than appointed. These officials are elected primarily on the recommendation of the Party and the Party is controlled by Marshal Tito. There was general agreement that Yugoslavia would probably be governed by a one-party system. Mr. Grew acknowledged that there seems to be no way in which we can avoid a thoroughly totalitarian government in Yugoslavia, but that if we can stay out now there is no way we can help at all. Mr. MacLeish asked how this could be reconciled with the President's statements about representative governments in liberated countries. Mr. Grew pointed out in reply that the Tito-Subasic Agreement did provide for such a government and that our position is that we assume this agreement will be carried out. Mr. Dunn added that Yugoslavia is temporarily under a military government and until that phase is over we can recognize this government de facto without putting ourselves in the position of approving violations of these principles. 21 Increasing British and Soviet pressures for full recognition of a reorganized Yugoslav government did not alter United States insistence upon provisional recognition. Acting Secretary of State Grew replied to Halifax's argument that the continued failure of the United States to accord 21 Secretary's Staff Committee Meeting, January 24, 1945, Records of Dept. of State, Lot 122, Box 58.
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full recognition would lead to a rift between the Allies: "we would like to go along with the British just as far as possible but that in our thinking this is a pretty serious matter to go into blindly when we have to consider the Atlantic Charter and the way our people feel about it.. . ."22 In a telegram to Ambassador Harriman, Grew explained that "it would be difficult for us to foreclose our position with respect to expected developments in Yugoslavia by a commitment at this time which might be at variance with the declared policy of this Government toward liberated countries in general. . . ."23 The Chief of the Division of Southern European Affairs, Cavendish W. Cannon, spelled out additional reasons for United States insistence upon provisional recognition. First, Yugoslavia had not been completely liberated from German control and Soviet armies still occupied parts of the country. In the liberated areas, Tito's Partisans exercised complete political control without reference to the opinions of other elements of the population, particularly the Serbs. Under such conditions, the United States did not consider full recognition of any government to be warranted. 24 Second, the United States sought not to become entangled in British-Soviet machinations in the Balkans: We must not proceed under the illusion that the "three principal Allies" can possibly act on anything like an equal basis in Yugoslavia. This is a cardinal point. Far more important than the presence of Soviet armies and Tito's avowed communist affiliations—since these are 22 M e m o r a n d u m of C o n v e r s a t i o n , by U n d e r Secretary G r e w , w i t h British A m b a s s a d o r H a l i f a x , J a n u a r y 27, 1945, FR, 1945, v, p . 1191, n- 55· 23 A c t i n g Secretary of State G r e w t o A m b a s s a d o r H a r r i m a n , J a n u ary 29, 1945, FR, 1945, v, p p . u g o - 9 1 [Drafted: C W C ] . 24 M e m o r a n d u m by t h e Chief of t h e Division of S o u t h e r n E u r o p e a n Affairs, C a v e n d i s h W . C a n n o n , J a n u a r y 29, 1945, FR, 93·
344
1945, v, p p . 1192-
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open facts and can be dealt with accordingly—is the fact that neither the Soviet Government nor the British have shown any genuine interest in the Yugoslavs themselves in this crisis, but have found Yugoslavia to be the ground where their respective policies for Southeastern Europe are being played out. . . . The Soviet Government has shown no particular interest in learning what the United States thinks about the Yugoslav situation. It frankly has not asked for a common policy. It has its plans and is willing to go ahead. The British are trying to keep even with the Russians, and one cannot but feel that their anxiety to have us go along is in large part a design to prepare a facade of "Allied" action, to cover the interplay of British and Soviet political forces in the Balkans, and distribute the responsibility when the general public later learns of the real conditions within Yugoslavia and the type of administration the Avnoj [Parliament] expects to set up. 25 In a message to Secretary of State Stettinius, Under Secretary Grew explained: "As regards Yugoslavia, we had to be very careful not to get into a position where the British could convey the impression that we were supporting the King and on the other hand, avoiding a situation in which Russia and Great Britain could go ahead with their plans and leave us out on a limb." 26 State Department officials recognized the unlikelihood that a truly democratic government would be established in Yugoslavia. Yet they refused to give up completely their interest in the political future of the country. Even if American actions failed to secure a representative government, they saw no reason to give up trying. They only saw costs in renouncing United States support for the principles of the Atlantic Charter. They determined to bargain provi25 Ibid., p . 1193. 26 L e t t e r from U n d e r Secretary G r e w t o Secretary of State S t e t t i n i u s , J a n u a r y 30, 1945, G r e w P a p e r s , Vol. 123 (Letters).
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sional recognition of the reorganized Tito-Subasic government for the establishment of a representative government and the holding of free elections. During the Yalta Conference in February, Churchill sought to obtain Stalin's agreement to the establishment of such a representative government in Yugoslavia. Although obviously uninterested in the issues under discussion, Roosevelt did finally approve Churchill's proposal that the British, Soviet, and American governments recommend to Dr. Subasic and Marshal Tito that "the Agreement between them should be put into effect immediately and a new Government should be formed on the basis of that Agreement."27 Following the promulgation of the Yalta Declaration on Liberated Europe, the State Department informed the Yugoslav government-in-exile that the Declaration applied to Yugoslavia and expressed the hope of the United States government that Tito and Subasic would reach an early agreement "in accordance with these principles and in a spirit of mutual understanding." 28 At the end of February, the major obstacle to the reorganization of the Yugoslav government was the dispute between Tito and King Peter over the composition of the Regency Council. The King insisted that it was his constitutional right to name the Regents, while Tito refused to approve two of the King's initial appointments. 29 Finally in March, after discussions with Tito, Subasic informed the King that he really had no alternative but to accept Tito's 27 Yalta C o m m u n i q u e on Yugoslavia, February 11, 1945, FR, 1945, Yalta, p. 975. T h e Communique also recommended that the new Yugoslav government extend the membership of the Anti-Fascist Assembly of National Liberation to include members of the last Yugoslav Parliament who had not collaborated with the enemy and that the legislative acts passed by this provisional Assembly be subject to subsequent ratification by the Assembly to be elected after the war. 28 A c t i n g Secretary of State Grew t o A m b a s s a d o r Patterson, F e b r u ary 26, 1945, FR, 1945, v, p . 1202. 29 Memorandum Prepared in the Division of Southern European Affairs, "The Yugoslav Negotiations," February 9, 1945, FR, 1945, v, PP- 1195-96·
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choices; and the King acquiesced.30 At last, a united Yugoslav government was created with Marshal Tito as the Prime Minister and Dr. Subasic as Foreign Minister. The United States government extended provisional recognition, and the United States Ambassador to the Yugoslav government, Richard Patterson, traveled to Belgrade. Ill During the spring and summer of 1945 reports from Yugoslavia described the ruthless suppression of democratic nonpartisan opinion, the demoralization and elimination of all opposition leadership, the destruction of personal freedom, and the pervasive influence of Soviet power and control. While conditions inside Yugoslavia made a farce and mockery of the Yalta agreements, the internal political situation received very little attention from American officials. In May, these officials were preoccupied with the possibility of a military clash between British and American forces and Tito's Partisans in the disputed areas of Venezia Giulia and Trieste in northeastern Italy. The United States desire to establish an Allied Military Government throughout the area, in order to postpone territorial settlements until after the war, challenged Tito's efforts to impose civil administration over all the areas liberated by the Partisans. The State Department reacted with increasing firmness to Tito's obstinacy, and the War Department made plans to use American and British military forces to pressure the Partisans to withdraw. Finally, at the end of May, Tito backed down. However, American officials were extremely irritated by Tito's arrogant attitude and Soviet backing of Tito's claims. They became increasingly unsympathetic to the Yugoslav government and to the obvious Soviet inten30 Alexander C. Kirk, Political Adviser, Allied Force Headquarters at Caserta, to the Secretary of State, February 29, 1945 and Ambassador Patterson to the Secretary of State, March 4, 1945, FR, 1945, v, pp. 1203-1206. The Regency Council members finally agreed upon were Mr. Dusan Sernec, King Peter's choice, and Srdjan Budisavljevic and Ante Mandic, Tito's choices.
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tions to dominate Yugoslavia in the same way as the other states of Eastern Europe. 31 During the Potsdam Conference in July, the Allied Heads of State did discuss political conditions in Yugoslavia. Prior to the Conference, the State Department recommended that the three powers consider Tito's failure to implement the principles of the Declaration on Liberated Europe and issue a declaration affirming their support for the right of the Yugoslav people to enjoy the free exercise of democratic processes. The Department hoped that the Heads of State would seek to impress upon Tito the necessity of his holding truly free and democratic elections.32 At Potsdam, the British government proposed that the Allies issue a statement recalling that recognition of the Yugoslav government had been extended on the basis of the Yalta and Tito-Subasic agreements and expressing the Allied expectation that these agreements would be fully implemented. 33 Marshal Stalin responded that the Yalta agreements had been carried out in Yugoslavia. He, therefore, opposed any discussion of the Yugoslav question without the participation of Yugoslav leaders. Prime Minister Churchill replied by denouncing the Yugoslav government's failure to hold free elections, to reorganize the Parliament, or to insure freedom of speech or press. President Truman, on the other hand, insisted that their discussions focus on the serious issues which required decisions by the Heads of State. In disgust, Truman stated that: he was here as a representative of the United States to discuss world affairs. He did not wish to sit here as a court 31 For the various United States responses to events in Venezia-Giulia during May 1945, see FR, 1945, iv, pp. 1104-92; Records of Dept. of State, Decimal File 740.00119 Control (Italy); and the Stimson Diary. 32 Briefing Book P a p e r , " A p p l i c a t i o n of C r i m e a D e c l a r a t i o n o n Yugoslavia," J u l y 5, 1945, FR, 1945, P o t s d a m , 1, p p . 826-27. 33 P r o p o s a l of t h e British D e l e g a t i o n , J u l y 19, 1945, FR, 1945, Potsd a m , 11, p . 1209.
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to settle matters which will eventually be settled by the United Nations Organization. If we do that, we shall become involved in trying to settle every political difficulty and will have to listen to a succession of representatives, de Gaulle, Franco, and others. He did not wish to waste time listening to complaints but wished to deal with the problems which the three Heads of Government had come here to settle. If they could not do that their time was wasted.34 Truman's statement led Churchill to observe that "the President's predecessor had attached importance to this matter [the implementation of the Declaration on Liberated Europe] and, if I recall correctly, much of the drafting of this declaration had been done by the Americans." Churchill added that he would have thought that the United States would have wished to insure that it was carried out. In reply, Truman stated that "he desired to see the Yalta declaration carried out. Insofar as the United States is concerned, I intend to carry it out to the letter." 35 However, he opposed any invitation to the Yugoslav leaders to discuss the Yugoslav question at Potsdam.36 In the face of Soviet and American objections, the British government dropped the question entirely. No mention of Yugoslavia at all appeared in either the Potsdam communique or the President's subsequent Report to the Nation. Truman displayed a singular lack of interest in Yugoslav problems despite Subasic's request that the Allies publicly restate their commitment to the implementation of the Tito-Subasic agreements and reports from Yugoslavia that the opposition parties were too weak to bring about the fulfillment of the 34 P l e n a r y M e e t i n g , J u l y 19, 1945, FR, 35 Ibid.,
1945, P o t s d a m , 11, p p . 127-29.
p . 129.
36 M e m o r a n d u m
by C h a r l e s Yost, S e c r e t a r y - G e n e r a l of t h e
United
States D e l e g a t i o n at t h e Berlin Conference, " Y u g o s l a v i a , " A u g u s t 8, 1945, F.R, 1945, P o t s d a m , 11, p p . 1212-13.
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Yalta agreements without outside aid from the great powers. 37 During the summer of 1945, American officials simply continued to restate the United States hope for the forma tion of a representative Yugoslav government. In a note to King Peter in July, President Truman reaffirmed the United States commitment to implement the Yalta Decla ration in Yugoslavia.38 Ambassador Patterson periodically informed Marshal Tito and other Yugoslav officials of the United States determination to see representative govern ments established in liberated Europe. In August, follow ing the publication of the Potsdam communique, the Direc tive of the Office of War Information for Yugoslavia stated: "Make clear that in spite of the fact that the Berlin [Pots dam] Report did not mention Yugoslavia, the three con ferees are still committed to the Yalta agreement including the recommendations to Yugoslavia."39 However, in con trast to the American representatives in Rumania, Bul garia, and Hungary at this time, the American representa tives in Yugoslavia were not pressuring for United States initiatives. Yugoslav opposition leaders were reportedly still attempting to work out their problems domestically. Therefore, no more specific action was undertaken to im plement American goals. IV Then in October 1945, the scheduling of elections and the resignation of Dr. Subasic from the Tito Cabinet pro s' United States Charge in Yugoslavia Harold Shantz to the Secretary of State, July 27, 1945
and July 29, 1945, FR,
1945,
Potsdam, 11, pp.
1209-12. 38 P r e s i d e n t T r u m a n to K i n g P e t e r I I , J u l y 2, 1945, FR,
1945, ν, ρ
1241. 39 W e e k l y Washington
Propaganda National
Directive,
Records
"Yugoslavia,"
Center,
G r o u p 208, R e c o r d s of Office of W a r Overseas O p e r a t i o n s B r a n c h .
350
National
August Archives,
10,
1945,
Record
I n f o r m a t i o n , Office of D i r e c t o r ,
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voked a political crisis and forced State Department offi cials to pay attention to political developments in Yugo slavia. Opposition party leaders had decided not to submit lists of their candidates once it became clear that Tito was intent upon using his dictatorial powers to control the out come of the upcoming elections. Furthermore, the electoral law doomed to failure any opposition efforts to provide a political alternative to the Tito government. In protest against the totally unsatisfactory political situation in Yugoslavia, Dr. Subasic resigned. 40 The United States Charge in Yugoslavia, Harold Shantz, saw the developing political crisis as the right moment for American action. Shantz recommended that the United States publicly announce that political conditions in Yugo slavia made impossible the holding of free elections and that postponement of these elections was essential if the principles of the Declaration on Liberated Europe were to be implemented. In addition, he proposed that the United States inform Tito that unless new electoral provi sions were issued guaranteeing the participation of all groups in the political process, the United States would withdraw its recognition of the Tito government. 41 Upon his return to Belgrade from Washington, Ambassador Pat terson agreed and suggested that it was now more than ever incumbent upon the United States to tell Tito and the world that the United States expected fulfillment of the Yalta agreements. 42 Ί" Ambassador Patterson to the Secretary of State, October 9, 1945, FR, 1945, v, pp. 1262-63. «ι Charge Shantz to the Secretary of State, September 27, 1945, FR, 1945. v, pp. 1259-61. 42 Ambassador Patterson to the Secretary of State, October 13, 1945, FR, 1945, v, pp. 1267-68. Having received no specific instructions from Washington, Ambassador Patterson in a conversation with Tito took the opportunity to reaffirm the United States "desire to have [the] Yalta declarations carried out in [the] spirit as well as [the] letter." Ambassador Patterson to the Secretary of State, October 19, 1945, FR, 1945, v, p. 1271.
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The State Department seized upon Subasic's departure from the government to propose that the British and Soviet governments join with the United States in recommending to Tito and Subasic that no effort be spared in seeking to resolve their differences and to re-establish a united interim Yugoslav government. Secretary Byrnes further stated: that the absence of such a unified administration might prejudice the validity, as a free and untrammeled expres sion of the will of all democratic elements of the people, of any elections conducted under the aegis of one faction of the electorate. Consequently, the US Govt further sug gests that, pending the outcome of the negotiations pro posed above, the Soviet, Brit, and US Govts also urge upon Marshal Tito that the elections now scheduled for Nov 11 be postponed to a later date. 4 3 While affirming the American desire to see the principles of the Declaration on Liberated Europe implemented and requesting the postponement of the scheduled elections, the Department rejected the British proposal that Subasic's letter of resignation be published in order to reveal the totally unsatisfactory political situation in Yugoslavia. Ac cording to the State Department, such a step would be the first step in a chain which might lead the three powers— or if the Soviet government disagreed, the two powers— to issue a public statement expressing their dissatisfaction with Tito's failure to carry out the Tito-Subasic agree ments. While such a statement might eventually be necessary: 43 Secretary of State Byrnes to Ambassadors Harriman and Winant, October 17, 1945, FR, 1945, v, p. 1271 [Drafted: WB, CKH; Initialed: HFM, J D H , CEB; Signed: Byrnes]. According to a memorandum from the Division of Southern European Affairs, October 15, 1945, "We have tried to avoid the appearance of giving Outside help' to Subasic which he does not desire at this stage. . . ." Records of Dept. of State, Decimal File 860H.01/10-1545.
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we have expressly avoided the accusation that Tito has failed to carry out the agreement inasmuch as we have felt that the Russian reaction to such a statement would merely be a denial of the truth of our evidence. It has been our idea that we are more likely to obtain Soviet cooperation by an approach on the grounds of the admit ted fact that the basis of cooperation in a unified govern ment by both Tito and Subasic adherents has been termi nated by Subasic's resignation. 44 The Soviet government rejected the American proposal. According to Molotov, no grounds existed for Allied inter ference in the implementation of the Tito-Subasic agree ments or the scheduled Yugoslav elections. 45 The State Department then proposed that the British and United States governments send parallel notes to Tito suggesting that political conditions in Yugoslavia were inimical to the exercise of democratic processes, expressing the hope that negotiations between Tito and Subasic would succeed in re-establishing a united interim government, and re questing that the elections scheduled for November 11 be postponed. 46 British officials objected to further interference in the internal affairs of Yugoslavia, including a request for post ponement of the scheduled elections. They argued that postponement would not necessarily improve the situation as there were no guarantees that future elections would not be held in the same manner. Instead, the British govern ment preferred to point out that elections held according -14 Memorandum from the Division of Southern European Affairs, Cloyce Huston, to the Office of European Affairs, October 19, 1945, Records of Dept. of State, Decimal File 860H.01/10-3045. 4 ·ί Ambassador Harriman to the Secretary of State, October 22, 1945, FR, 1945, v, p. 1274. 46 Secretary of State Byrnes to Ambassador Winant, October 26, 1945, FR, 1945, v, pp. 1274-75 [Drafted: WB, CKH; Initialed: ED, HFM, CEB; Signed: Barnes].
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to the present plan would not represent accurately the opinions of the Yugoslav people with the consequence that relations with the new government would suffer from a lack of prestige internationally. 47 State Department officials agreed to delete the reference to the postponement of elections but opposed any language which might imply that if the scheduled elections were held the government would withdraw recognition. They did not wish to obligate themselves to any specific action in advance.48 Ultimately, the British and American governments sent a very general communication to Tito expressing their dissatisfaction with existing political conditions in Yugoslavia and charging the Yugoslav government with a failure to implement the Yalta Declaration on Liberated Europe. They omitted, however, any specific requests for action by Tito to implement the principles of this declaration. 49 The State Department initially wanted to do more than the British government was willing to approve to promote the holding of free elections but was unwilling to undertake the actions recommended by the American representatives in Belgrade and in the end did nothing at all. While the United States awaited Tito's reply, elections were held in Yugoslavia. Tito's National Front candidates received over 80 percent of the vote.50 When Tito did reply, by denying the British and American charge that the principles of the Yalta Conference had not been implemented, the United States did not respond. Ambassador Patterson reported that the elections had been carried out in an orderly manner and that methods of intimidation in advance " Ambassador Winant to the Secretary of State, October 30, 1945, FR, 1945, v, p. 1276. 48 Secretary of State Byrnes to Ambassador Winant, November 1, 1945, FR, 1945, v, p. 1279 [Drafted: WB, CKH; Initialed: ED, HFM, CEB, DA; Signed: Byrnes]. 49 A m b a s s a d o r P a t t e r s o n to t h e Yugoslav M i n i s t e r of F o r e i g n Affairs, M a r s h a l T i t o , N o v e m b e r 6, 1945, FR, 1945, v, p p . 1281-82. 50 Ambassador Patterson to the Secretary of State, November 13, 1945, FR, 1945, v, p. 1284.
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had made action to insure a favorable outcome on election day unnecessary. Tito's political power in Yugoslavia was confirmed.51 Tito's subsequent announcement in November abolishing the Monarchy and establishing the Republic of Yugoslavia raised the question of the continuation of United States de facto recognition of the Tito government, since the United States Ambassador's letters of credence were to the Royal Yugoslav Government. Ambassador Patterson was convinced that United States recognition of the Tito regime, maintained in power through terror and police force against the wishes of the people, could only undermine American prestige and give rise to the interpretation that the United States was abandoning the principles for which it had fought the war. Patterson contended that recognition would not increase United States influence in Yugoslavia and would serve only as an outward indication of American approval of the regime and its methods. Withdrawal of recognition would encourage the opposition and reinforce the United States commitment to the principles of the Declaration on Liberated Europe. 52 Patterson's arguments, however, did not alter the State Department's opinion that no useful purpose would be served by the United States completely turning its back on Yugoslavia. The Division of Southern European Affairs maintained: Such course of action might also subject us to adverse criticism as evidencing a preference for the monarchy which is of course not the case. Given the character of the Serbian people it seems not too unreasonable to hope that in time their personal traditions of freedom and sense of individualism will effect modifications in the present reign of terror and evolve toward a more repre51 Foreign Minister Tito to Ambassador Patterson, November 19, 1945, FR, 1945, v, pp. 1286-87. 52 A m b a s s a d o r P a t t e r s o n to t h e Secretary of State, N o v e m b e r 1945, FR, 1945, v, p p . 1292-94.
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sentative form of government. On the other hand, it is not considered that we should fortify the Tito regime through unrestricted grants of material support. 5 3 The State Department, thus, recommended instead that financial loans and credits be withheld until political con ditions in Yugoslavia corresponded more closely to the principles of the Declaration on Liberated Europe."'4 In May 1945, the Department had deferred a Yugoslav request for United States assistance until a more representative government was established. 55 In October, Byrnes re sponded with coolness to a Yugoslav request for a $300 million loan because of the unsatisfactory political situa tion in Yugoslavia.5''· Now in December, the Department determined that the United States would bargain financial assistance for the creation of a truly representative govern ment in Yugoslavia. The State Department announced that recognition would be continued with the reservation that formal diplo matic relations did not imply approval of the policies of the Tito regime and that the United States remained com mitted to the establishment of a representative government in Yugoslavia through the holding of free elections. 57 In a note to the Yugoslav government, the United States stated: Mindful of the obligations which it assumed at Yalta, the United States Government has consistently made 33 Memorandum by the Acting Chief of the Division of Southern European Affairs, Samuel Reber, to the Secretary of State, November 24, 1945, FR, 1945, v, p. 1290. 5+ Ibid. 53 Memorandum of a Conversation, by Acting Secretary of State Grew, with Dr. Subasic, May 30, 1945, FR, 1945, v, pp. 1234-36. 56 Secretary of State Byrnes to Ambassador Patterson, October 12, 1945, FR, 1945, ν, p. 1266. " According to a report from Ambassador Patterson, the British government had also decided to continue its recognition of the Yugo slav government but its recognition would be without qualification. Ambassador Patterson to the Secretary of State, December 5, 1945, Records of Dept. of State, Decimal File 860H.01/12-545.
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known its attitude that the people of Yugoslavia are entitled to expect the effective implementation of the guarantees of personal freedom, freedom from fear, liberty of conscience, freedom of speech, liberty of the press and freedom of assembly and association contained in the agreement between Marshal Tito and Dr. Subasic underlying the Yalta Declaration and to have an opportunity to express their will in a free and untrammeled election. In view of the conditions existing in Yugoslavia, it cannot be said that those guarantees of freedom have been honored nor that the elections conducted on November 11 provided opportunity for a free choice of the people's representatives. In the circumstances the United States Government desires that it be understood that the establishment of diplomatic relations with the present regime in Yugoslavia should not be interpreted as implying approval of the policies of the regime, its methods of assuming control or its failure to implement the guarantees of personal freedom promised its people.58 These decisions to recognize the Yugoslav government but to withhold financial assistance were made by the same officials in the State Department who had formulated American policies toward the other countries of Eastern Europe during 1945. President Truman was continually preoccupied with other questions and was not even consulted prior to the recognition of the republican Yugoslav government in December. According to Admiral Leahy: "Truman informed me that his first knowledge of formal recognition of the Yugoslav government was obtained from newspapers and that matters were not discussed with him." 59 58 " U n i t e d States N o t e t o t h e Yugoslav G o v e r n m e n t , R e l e a s e d t o t h e Press D e c e m b e r 22, 1945," The Department of State Bulletin, xm ( D e c e m b e r 23, 1945), 1021. T h e U n i t e d States i n f o r m a t i o n agencies b r o a d c a s t t h e t e x t of t h i s n o t e inside Yugoslavia, a n d t h e A m e r i c a n Embassy in Belgrade distributed copies. 59 W i l l i a m D . L e a h y Diary, J a n u a r y 4, 1946, L i b r a r y of Congress.
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In summary, during 1945 the United States government sought to ameliorate the unsatisfactory political situation inside Yugoslavia by promoting the principles of the Decla ration on Liberated Europe. In reaction to Tito's obvious violation of these principles, the United States first sought to bargain full recognition of the Tito regime for the crea tion of a representative government. In October, through a direct appeal to Stalin to use his influence with Tito, the State Department requested postponement of the scheduled single list elections. Finally, in December the Department determined to withhold economic and financial assistance pending the formation of a representative government. State Department officials maintained their rhetoric in favor of the holding of free elections and used the means available to bargain for implementation of the principles of the Dec laration on Liberated Europe, albeit with no success. V Political conditions in Czechoslovakia were very different in 1945 from those in the other countries of Eastern Eu rope. The Czechoslovak government-in-exile under Presi dent Benes had successfully steered a course avoiding con flict with any of the three major Allied governments. The Czech government, established first in Kosice and then in Prague following its liberation, included representatives from all political parties in the country. Of all the countries in Eastern Europe, Czechoslovakia had the best established tradition of representative government, and Benes was per sonally committed to the creation of democratic institu tions. In Czechoslovakia, the real possibility existed that the goals which the United States had been struggling to achieve in the rest of Eastern Europe would actually be attained. 6 0 β» Gabriel Kolko, The Politics of War, pp. 410-11, mistakenly argues that in the spring of 1945 the United States "increasingly put Czecho slovakia in the same category as Poland and Rumania in illustrating
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Peculiar also to Czechoslovakia was the fact that United States troops liberated parts of the country from German control. At the end of hostilities with Germany in May 1945, these forces occupied territory in the western part of Czechoslovakia along a line west of Karlsbad, south through Pilsen, and southeast to the Austrian frontier. 61 During the last week of April, the British government sought to persuade the United States to authorize General George Patton to move farther east into Czechoslovakia in order to liberate Prague before the arrival of the Soviet Army. While acknowledging that military considerations must take priority, British Foreign Minister Eden maintained: In our view the liberation of Prague and as much as possible of the territory of western Czechoslovakia by United States troops might make the whole difference to the postwar situation in Czechoslovakia and might well influence that in nearby countries. On the other hand, if the western Allies play no significant part in Czechoslovakia's liberation that country may go the way of Yugoslavia.62 the thrust of Soviet expansion. . . . In the Western view the Czechs not only moved too close to Russia, either willingly or by necessity, but their plans for a postwar domestic economy and political life Washington and London found extremely unattractive, and this be came the basis of future difficulty with the Americans in particular." In the Potsdam Briefing Book on Czechoslovakia, June 23, 1945, the State Department stated: "Relations between the United States and Czechoslovakia remain excellent as they have been in the past." FR, 1945, iv, p. 463. «ι Memorandum by Acting Secretary of State Grew to President Tru man, May 14, 1945, FR, 1945, iv, p. 453; Memorandum from the Opera tions Division to General Handy, "Background Notes for Discussion of Situation in Pilsen and Prague," June 12, 1945, Records of the War Department, Operations Division, File OPD 336 TS Section IV. β2 Secretary of State Stettinius to Acting Secretary of State Grew, "Memorandum from Foreign Minister Eden," April 28, 1945, FR, 1945, iv, p. 445; Prime Minister Churchill to President Truman, April 30, 1945, FR, 1945, iv, p. 446.
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1945
The State Department supported the British proposal. In a memorandum to the President, Acting Secretary of State Grew requested that American troops liberate Prague. According to Grew, the United States was confronted by major political problems with the Soviet Union over Aus tria and Czechoslovakia. United States military forces in Prague would "give us a strong bargaining position with the Russians" and would put the United States in a "posi tion of equality in both Austria and Czechoslovakia in dealing with the Soviet Government. Otherwise the Soviet Government will probably continue as it has done to the present to disregard our protests with respect to both Aus tria and Czechoslovakia."63 However, the fast-moving military events, previous mili tary plans for American troops to move north and south along the Elbe, the unwillingness of both General Marshall and General Eisenhower to allow political considerations to interfere with military operations, and the request of the Soviet commander that Soviet troops be permitted to liberate Prague combined to halt the American Army at the Elbe. 6 4 According to the Political Adviser on the staff of General Eisenhower, Robert Murphy: "it could have been a comparatively simple matter for the US Third Army to have penetrated deeply into Czechoslovakia and to have taken Prague. . . . In the absence of a directive however General Eisenhower's strategy laid emphasis on facilitating the occupation of southern Germany and western Austria, thus paving the way for the longer term occupation." 6 5 63 Memorandum for the President from the Department of State, May 5, 1945, FR, 1945, iv, p. 449. β* Forrest G. Pogue, "Why Eisenhower's Forces Stopped at the Elbe," World Politics, iv (April 1952), 356-68; Forrest G. Pogue, United States Army in World War II, The War Department, The European Theater of Operations: The Supreme Command, Office of the Chief of Military History, Department of the Army (Washington, D.C.: U.S. Govern ment Printing Office, 1961), pp. 468-69. 65 Political Adviser Robert Murphy to the Secretary of State, May 11, 1945, FR, 1945, iv, p. 451. Gabriel Kolko's discussion of these events
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1945
President Truman admitted that while it would have been desirable for the United States to hold the big cities of Berlin, Prague, and Vienna, the United States had to con sider that after the defeat of Germany, "there still remained Japan" and United States military forces would have to be transferred as quickly as possible to the Pacific.66 Military, not political, considerations determined the location of United States military forces in Czechoslovakia at the time of the German surrender in May. This subordination of political to military considera tions, however, did not mean that following the defeat of Germany the existence of these American troops inside Czechoslovakia was ignored. The State Department learned from the War Department that United States forces were being withdrawn under the general order to make "local adjustments." In a memorandum to President Truman, Acting Secretary Grew proposed that the United States "hold the line in Czechoslovakia that our troops now oc cupy" for the same political reasons that the Department had recommended American liberation of Prague. 67 Truin The Politics of War, pp. 411-13, portia>s the United States decision not to liberate Prague as arising out of American displeasure with the Communist supported uprising in the cit>. Kolko provides no evidence for this proposition and fails to acknowledge that political reasons in fact led the State Department to recommend American liberation of the city and military considerations ultimately prevented it. ββ H. Truman, Memoirs, 1, p. 217. «" Memorandum b> Acting Secretary of State Grew to President Truman, May 14, 1945, FR, 1945, iv, p. 453. Under Secretary Grew at this time wrote a paper for his own private use expressing his views on Soviet postwar aims and intentions. According to Grew, "Alread\ Russia is showing us—in Poland, Rumania, Bulgaria, Hungary, Aus tria, Czechoslovakia and Yugoslavia—the future world pattern that she visualizes and will aim to create. With her certain stranglehold on these countries, Russia's power will steadily increase and she will in the not distant future be in a favorable position to expand her con trol, step by step, through Europe. . . . A future war with Soviet Russia is as certain as anything in this world can be certain. It ma\ come within a ver> few years. We shall therefore do well to keep up
361
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1945
man agreed and instructed the War Department to postpone further withdrawals. 68 Reports from Czechoslovakia indicated that the occupation of the country by American and Soviet armies appeared to be the only major obstacle to the establishment of an independent and democratic Czech state and the holding of free elections. Although the Soviet government still retained administrative authority and exercised a great deal of political influence in the country through its occupation forces, Benes was personally very popular among the Czech people and was committed to the holding of free elections as soon as the Allied armies were withdrawn. Benes informed the American political representatives in Czechoslovakia that he hoped United States forces would be maintained until a simultaneous withdrawal of Soviet and American forces could be arranged.69 During June, the Communist members of the Czech government, under orders from Moscow, forced Benes to seek the withdrawal of all United States forces. However, Benes informally told the American representatives that he personally favored the retention of these troops until the Soviet Army withdrew completely.70 In reply then to the formal Czech request for American withdrawal, the United States government expressed its sympathetic interest in the democratic development of the country and its regret that the presence of the two Allied armies was hindering ecoour fighting strength and to do everything in our power to strengthen our relations with the free world." Joseph C. Grew, Turbulent Era, A Diplomatic Record of Forty Years 1904-1945, Vol. 11, ed. Walter Johnson (Boston: Houghton Mifflin Co., 1952), p. 1446. 68 General Marshall to General Eisenhower, June 13, 1945, Records of the War Department, Operations Division, File OPD 336 TS Section IV. 68 United States Charge in Czechoslovakia A. W. Klieforth to the Secretary of State, June 5, 1945, FR, 1945, iv, pp. 455-57. TO Charge Klieforth to the Secretary of State, June 24, 1945, FR, 1945, iv, p. 464.
362
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1945
nomic reconstruction. T h e United States looked forward to the day when assistance from the Allied armies would no longer be necessary and when both armies would be withdrawn. 7 1 This policy of maintaining United States forces in Czech oslovakia received wide support from American officials during the summer of 1945. T h e War Department did not object on military grounds to the State Department requests. 72 T h e United States Charge in Czechoslovakia, A. W. Klieforth, maintained that an American presence was required to bolster the development of representative institutions in Czechoslovakia. He argued that a United States withdrawal would result in "a serious, almost irrepa rable, loss to American reputation and 'western' prestige, not only in Zecho [Czechoslovakia] but throughout eastern Europe." 7 3 A unilateral withdrawal would be interpreted as a sign of weakness and would undermine United States arguments in favor of multilateral action in world affairs. Moreover, the increasing Czech resistance to Soviet pres sures would be greatly threatened by a United States with drawal and the subsequent decline of Western influence.74 In commenting on the Soviet inspired Czech request for complete United States withdrawal, Ambassador Harriman stated: I consider it would have an adverse effect on our rela tions with Russia if we were to yield to this demand. Russians are extremely sensitive to considerations of prestige and any move on our part which is interpreted by them as a sign of weakness or vacillation with respect "
Secretary of State Byrnes to Charge Klieforth, Jul}
6, 1945,
FR,
1945, iv, pp. 472-73 [Drafted: F T W ; Signed: Grew]. 72 M e m o r a n d u m f r o m t h e Office of t h e Assistant Secretary of W a r , J o h n J . McCloy, J u l y 5, 1945, FR, 1945, iv, p . 472, n . 48. 73 C h a r g e K l i e f o r t h t o t h e Secretary of S t a t e , J u l y 6, 1945, FR, 1945, iv, p . 473. τ* Ibid.,
p p . 473-74· 6
33
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AND CZECHOSLOVAKIA
1945
to any one of their actions often finds reflection of their attitude in numbers of other fields not immediately af fected by action in question. 75 By July 1945, neither internal considerations within Czechoslovakia nor any major problems of military secu rity required the presence of United States military forces inside Czechoslovakia. Further, these troops clearly were retarding the political and economic reconstruction of the country. However, the United States government refused to withdraw these occupation forces without a simultane ous withdrawal of Soviet forces. United States military oc cupation of Czechoslovakia was continued throughout the summer of 1945 in order to encourage the establishment of representative political institutions. According to the State Department Briefing Book Paper on Czechoslovakia pre pared for the Potsdam Conference, "a simultaneous with drawal [was] necessary to prevent Czechoslovakia from coming under the apparent control of any one Allied power." 76 Then in the fall of 1945, domestic pressure arose for the rapid reduction and demobilization of American forces in Europe. The War Department proposed that the 42,000 American soldiers remaining in Czechoslovakia be with drawn immediately. 77 Robert Murphy, General Eisenhow er's Political Adviser, argued that no overriding political necessity existed for the maintenance of United States troops in Czechoslovakia. The State Department, however, sought again to postpone the military withdrawal sched"5 Ambassador Harriman to the Secretary of State, July 11, 1945, FR, 1945, iv, p. 476. "β Memorandum on Czechoslovakia, Prepared by the Department of State for the Potsdam Conference, June 23, 1945, FR, 1945, iv, pp. 463-64. " Secretary of State Byrnes to the United States Ambassadoi in Czechoslovakia Laurence Steinhardt, August 31, 1945, FR, 1945, iv, pp. 485-86.
364
YUGOSLAVIA AND CZECHOSLOVAKIA
1945
ules. In a letter to Secretary of War Stimson, Acting Secretary of State Dean Acheson reiterated the important political considerations involved in a decision to withdraw United States troops. While sympathetic to the desires for a prompt return to the United States of as many soldiers as possible, Acheson contended that the presence of United States occupation forces in Czechoslovakia represented a manifestation of our interest in the restoration of democratic institutions. 78 Acheson stated: Further important factors are: (i) The presence in Czechoslovakia of large numbers of Soviet troops which, although the Soviet Government has on several occasions expressed its intention to expedite their withdrawal, still remain, and (2) the imminence of elections in Czechoslovakia which may determine the degree to which that country is able to maintain a Government which is democratic and fully able to stand on its own feet, a result toward which both this Government and the Soviet Government are pledged to assist in liberated nations. Our objective is the withdrawal of all foreign forces from the country and the holding of fair and free elections.79 In order to avoid creating the impression that the United States had disinterested itself in the affairs of this part of Europe, Acheson asked the War Department to maintain American forces until the Department could explore the possibility of obtaining Soviet agreement to the prompt and simultaneous withdrawal of all Allied forces.80 Next the State Department undertook to persuade President Benes to request formally the withdrawal of Soviet and American troops from Czechoslovakia. The Division of Central European Affairs preferred a Czech request to a direct United States communication to the Soviet Union. 78 Acting Secretary of State Acheson to Secretary of W a r Stimson, September 17, 1945, FR, 1945, iv, p . 493. 79 Ibid. so Ibid., pp. 493-94.
365
YUGOSLAVIA AND CZECHOSLOVAKIA
1945
However, if Benes refused, the Division proposed that the United States seek Soviet approval for a simultaneous and complete withdrawal on the grounds that Czechoslovakia was a member of the United Nations and the presence of two Allied armies was "inconsistent with our policy in the liberated states."81 President Benes continued to express his hope for the simultaneous withdrawal of all Allied military forces, but he reported that the Communist members of his government did not favor a reduction of Soviet forces prior to the holding of elections. Benes therefore preferred not to request Soviet withdrawal for fear of provoking dissension within his government. Instead, he proposed that the United States inform the Soviet government of its planned withdrawal schedule. If the Soviet Union failed to initiate a similar plan, then the United States should give the widest possible publicity to the United States endeavor to arrange the withdrawal of all Allied forces from Czechoslovaki a.82 The State Department approved the Benes plan and proposed to Secretary of State Byrnes, who was then in London at the meeting of the Council of Foreign Ministers, that a message be sent to Stalin informing him of the United States withdrawal schedule. The Department did not really think that the Soviet Union would withdraw from Czechoslovakia but felt that nothing would be lost by undertaking such an initiative. 83 Secretary Byrnes held up the message to Stalin, however, because of the problems which had arisen in London between the United States si Memorandum from the Division of Central European Affairs, David Harris, to the Chief of the Office of European Affairs, H. F. Matthews, September 7, 1945, Records of Dept. of State, Decimal File 860F .01/9-745. 82 Ambassador Steinhardt to the Secretary of State, September 14, 1945, FR, 1945, iv, pp. 490-92. 8 S Acting Secretary of State Acheson to Secretary of State Byrnes in London, September 19, 1945 and September 28, 1945, FR, 1945, iv, PP- 494-96-
366
YUGOSLAVIA AND CZECHOSLOVAKIA
1945
and the Soviet Union over recognition of the Rumanian and Bulgarian governments.84 By the middle of October, the War Department became quite insistent that American troops be withdrawn from Czechoslovakia. The new Secretary of War, Robert Patterson, argued that maintaining these forces after November 15 would prevent the demobilization of over 30,000 men and would disrupt the troop movement schedules throughout Europe. 85 Robert Murphy again maintained that there appeared to be small profit, if any, in the continuation of United States military occupation of Czechoslovakia since the radius of these forces' influence on Czech thinking was exceedingly limited. Further, he could not think of any reason which could be given to the United States Congress for the continued presence of American forces. Murphy remarked: "we could hardly say that we considered them necessary to offset the political effect of the USSR and its forces of occupation" since the Czech government and Army were ready and able to assume that responsibility.86 General Eisenhower concurred in the need for immediate United States withdrawal. 87 Secretary of War Patterson insisted that if troops were to be retained beyond November 15, this decision must have President Truman's approval. 88 84 Secretary of State Byrnes to Acting Secretary of State Acheson, October 1, 1945, FR, 1945, iv, p. 496, n. 80. In the middle of October, Secretary Byrnes requested a further delay until another message could be sent to Marshal Stalin on the question of the future procedures of the Council of Foreign Ministers. See Meeting of the Secretaries of War, Navy, and State, October 16, 1945, FR, 1945, iv, pp. 496-97. S5 Secretary of War Robert Patterson to Secretary of State Byrnes, October 15, 1945, Records of the War Department, Operations Division, File OPD 336 Czechoslovakia Section I; Secretary Patterson to Secretary Byrnes, October 26, ig45, FR, 1945, iv, pp. 502-503. se Memorandum to General Eisenhower from United States Political Adviser Robert Murphy, October 16, 1945, FR, 1945, iv, pp. 500-501. 87 General Eisenhower to General Marshall, October 17, 1945, FR, 1945, iv, pp. 498-99. »8 Secretary Patterson to Secretary Byrnes, October 26, 1945, FR> 1945, iv, p. 503.
367
YUGOSLAVIA AND CZECHOSLOVAKIA
1945
At last, Secretary Byrnes approved the request to the Soviet government for simultaneous Allied military withdrawal from Czechoslovakia. In a message to Stalin, President Truman suggested that the continued presence of Allied troops was proving to be a great drain on the Czech economy and was delaying the normal recovery and rehabilitation of the country. Truman stated: "I therefore desire to withdraw the American forces from Zecho [Czechoslovak] territory by December i, 1945. In the absence of a similar intention on the part of the Soviet Govt, there will still remain in Zecho a large number of Red army soldiers. I should therefore like to propose to you that the Red army be withdrawn simultaneously with our forces."89 Within a week, Stalin agreed to an arrangement for the simultaneous withdrawal of all Allied forces from Czechoslovakia. By December 1, 1945, all Soviet and American troops had left.90 The United States policy of maintaining troops in Czechoslovakia to obtain the simultaneous withdrawal of Soviet forces was a success. When elections were held in Czechoslovakia in May 1946, Ambassador Steinhardt reported that the vote expressed "the will of the people in a democratic manner." 91 Where United States military forces existed, they were used to promote the same goals as the government had been pursuing in all the countries of Eastern Europe. 89 P r e s i d e n t T r u m a n to M a r s h a l Stalin, N o v e m b e r 2, 1945, FR, iv, p p . 506-507.
1945,
90 Marshal Stalin to President Truman, November 9, 1945, FR, 1945, iv, p. 508; Ambassador Steinhardt to the Secretary of State, December 6, 1945, FR, 1945, iv, p. 509, n. 1. 9i Ambassador Steinhardt to the Secretary of State, May 27, 1946, FR, 1946, vi, p. 199.
368
ELEVEN
CONCLUSIONS
I FROM 1941 until 1945 conflict escalated between the United States and the Soviet Union over the political future of Eastern Europe. As noted in the "Introduction," this conflict was perhaps the single most important cause of the beginning of the Cold War. Recognition of the critical importance of this Eastern European issue has not, however, been accompanied by agreement among historians about the role American policy played in the development of the conflict. One group of historians, while assuming that United States interest in the establishment of representative governments in Eastern Europe was prompted by the desire to insure postwar peace, portrays the United States as a passive respondent to Soviet initiatives in Eastern Europe, always ready to accommodate Soviet interests, up to the point of condoning Soviet methods of terror and domination. They place responsibility for the development of conflict over Eastern Europe upon the Soviet Union and its determination to impose minority Communist regimes. Another group of historians argues that United States promotion of representative governments was motivated by the desire to obtain economic markets in Eastern Europe and to obstruct the rise of the Left throughout Europe. These men describe how the United States actively sought through atomic diplomacy and the withholding of economic credits to prevent the establishment of a Soviet sphere of influence. They conclude that United States actions threatened vital Soviet security interests and precipitated the conflict which developed over Eastern Europe.
369
CONCLUSIONS
It is now possible to reflect upon these interpretations and to discover how an initial American commitment to the Atlantic Charter principles in 1941 gradually developed into explicit confrontation between the United States and the Soviet Union over Eastern Europe. First, what was United States policy toward the six countries of Eastern Europe from 1941 to 1945 and over which issues did conflict escalate? Second, with what degree of deliberate calculation did the United States decide to oppose Soviet actions in Eastern Europe? Third, who were the men responsible for the definition of this United States policy? Fourth, what interests, expectations, and assumptions influenced their policy choices? Finally, what conclusions can be drawn from this description of the development of United States policy about the origins of Soviet-American conflict over Eastern Europe from 1941 to 1945? II Even before the entrance of the United States into the Second World War, the government committed itself to certain principles upon which peace would be constructed. During the summer of 1941, officials in the State Department became concerned over reports that the British and Soviet governments were concluding secret territorial and political arrangements for the future of Eastern Europe. These officials feared that such secret deals would undermine efforts after the war to establish a stable peace. Believing that British and French secret wartime agreements with Italy had contributed to President Wilson's failure to write a lasting peace after World War I, they were determined to learn from Wilson's experiences. Out of these concerns grew the Atlantic Charter principles framed by President Roosevelt and Prime Minister Churchill in August 1941. Territorial settlements based upon the wishes of the peoples concerned and respect for the right of all peoples to determine freely the composition of their governments at
37°
CONCLUSIONS
the conclusion of hostilities became the political war aims of the United States government. After undertaking this commitment, the United States government confronted the difficult task of maintaining a diplomacy of principle while at the same time responding to ongoing events in Eastern Europe. To insure the implementation of the Atlantic Charter principles, the United States first sought to persuade its Allies to postpone resolution of the difficult political and territorial questions in Europe until after the war. It opposed such activities as: British and Soviet efforts to draw postwar Soviet frontiers in the Anglo-Soviet Treaty of 1942, Polish and Soviet unilateral attempts from 1941 until 1944 to define the political future of Poland, and British proposals during 1944 for a compromise settlement of the Polish dispute on the basis of the Curzon Line. Second, the United States sought to avoid involvement in the internal problems of these countries by refusing to apply pressure to force a change in the composition of the London Polish government or to intervene in the domestic political intrigues enveloping Yugoslavia. Postponement and noninvolvement fitted the general American view that the Allies should fight now and negotiate later, pursue military force now and policy later. Only after the war would the United States be able to insure that the Atlantic Charter principles would be implemented. Such a policy assumed implicitly, if not explicitly, that there were no costs to waiting, that the United States would not be confronted with faits accomplis which would seriously obstruct achievement of these principles, and that the United States could remain neutral between competing Allied political and territorial demands during the war. In fact, the effect of these policies was to abdicate responsibility for developments in Eastern Europe until 1945 and to place the United States in opposition to Soviet demands in Poland for the reorganization of the London government and the establishment of the Curzon Line frontier.
371
CONCLUSIONS
It is important to note that on these particular issues conflict developed in the first instance between the United States and the Soviet Union, not on the merits of the issues in dispute, but rather as a result of American determination to postpone all political settlements until after the war and to avoid involvement in the internal affairs of the Eastern European countries. The United States government also adamantly opposed the creation of spheres of influence in Europe. Americans considered spheres of influence to be part of balance-ofpower diplomacy and were convinced that a divided Europe would provide an unstable foundation upon which to build peace after the war. They believed that both peace and the satisfaction of British and Soviet interests in Europe could be achieved through the formation of an international organization and implementation of the Atlantic Charter principles. Through this policy, however, the United States directly challenged British and Soviet efforts to divide Eastern Europe into spheres of influence. By 1945, a peace founded upon implementation of the Atlantic Charter principles appeared threatened by Allied conflict over Poland and obvious Soviet intentions to establish predominant influence in all the countries of Eastern Europe. The policy of postponement and the posture of noninvolvement no longer appeared adequate to insure the creation of representative governments in Eastern Europe after the war. Consequently, President Roosevelt took the initiative at Yalta to insure postwar Allied cooperation and to achieve British and Soviet reaffirmation of their commitment to the implementation of the Atlantic Charter principles. And he thought he had been successful. The agreement on Poland ended the specific disputes over the Curzon Line frontier and the composition of the London Polish government. The potential conflict between the American commitment to implement the Atlantic Charter principles and the Soviet intention to create friendly governments in Eastern Europe appeared to be resolved through Allied 372
CONCLUSIONS
promulgation of the principles of the Declaration on Liberated Europe. The three governments accepted joint responsibility for the postwar problems of Eastern Europe. The agreements at Yalta were, however, only a facade. Soviet actions during the spring of 1945 to establish total political control through the creation of minority Communist governments in Eastern Europe clearly violated the Yalta principles. In response, the United States invoked the Declaration on Liberated Europe and called for Allied consultation to resolve the misunderstandings and to clarify the interpretations of the Yalta agreements. The Soviet government, however, rejected the American request for joint consultation and affirmed its opposition to any Allied interference in the internal affairs of these countries. Further exchanges were to no avail. Political conditions inside the countries of Eastern Europe made a farce of the Yalta Declaration. The government saw two choices: the United States could either contest Soviet violations or else accept the creation of minority Communist governments in Eastern Europe. With little debate as to the consequences of its choice for future Soviet-American relations, the United States decided to oppose Soviet unilateral determination of the political future of Eastern Europe. Having made this choice, State Department officials appraised the available means by which United States goals would be pursued. Most importantly, no one seriously considered either the threat or use of military force against the Soviet Union to insure the establishment of representative political institutions in Eastern Europe. An unchallenged assumption existed: American interests in Eastern Europe were not so vital as to require the use of American military force. Further, Allied military decisions taken in 1943 and 1945 precluded the United States from having military forces in any of the Eastern European countries except Czechoslovakia. No American military forces existed in Eastern Europe to confront Soviet military power. The United States also did not use all the nonmilitary
373
CONCLUSIONS
means which were available to bargain for the creation of representative governments. State Department officials still opposed United States involvement in the internal affairs of the Eastern European countries. Obviously, the American commitment to free elections and the formation of representative governments constituted involvement in the internal affairs of these countries. Yet, for fear of "involvement in the internal affairs of these countries," the United States refused to pressure local Eastern European leaders strongly for the establishment of political institutions and procedures that would have advanced the cause of freely elected governments. What motivated this restraint is unclear—perhaps the tendency to view these nations as formal legal entities into whose affairs one did not lightly interfere. Following the Yalta Conference, the United States never pressed strongly for Allied supervision of elections anywhere in Eastern Europe. In the case of Poland, the United States rejected British proposals to delineate the Presidential powers in the interim government and failed to protest the trend toward a single-list election in the fall of 1945. The United States also refused to push for inclusion of specific opposition leaders in the governments of Rumania and Bulgaria and opposed initiatives to revise the electoral laws in Bulgaria, Yugoslavia, and Poland or to change the election dates in Bulgaria and Poland. The United States also failed to exert direct pressures on the Soviet Union to promote the creation of representative political institutions in Eastern Europe. The United States was not prepared to bargain Lend-Lease aid or to threaten to withhold financial credits from the Soviet Union and never even asked for the withdrawal of Soviet troops from Poland and the three ex-German satellite states. Nor did the United States ever initiate any action to block the conclusion of trade agreements between the Soviet Union and the Eastern European countries, even though these agreements violated the American commitment to free trade and
374
CONCLUSIONS
established predominant Soviet economic influence in these countries. The exercise of this restraint did not mean, however, that the United States did nothing to foster the formation of representative governments in Eastern Europe. The United States adamantly refused to condone Soviet actions in these countries and continually called for the holding of free elections. The government propaganda agencies kept the peoples of Eastern Europe informed of the unchanging United States commitment to the implementation of the principles of the Declaration on Liberated Europe. Furthermore, the United States sought to bargain in some manner for the implementation of these principles in each of the countries of Eastern Europe. Recognition of the governments of Poland, Yugoslavia, and Hungary was granted only upon the condition that free elections would be held. Economic and financial assistance to the Polish and Yugoslav governments was deferred pending the holding of such free elections. In the cases of Bulgaria and Rumania, recognition and the conclusion of peace treaties were postponed in order to force a change in the unrepresentative character of these governments. In Czechoslovakia, where American occupation troops were present, the United States used the presence of these troops to achieve the simultaneous withdrawal of Soviet troops and thereby to encourage the growth of democratic political institutions. These actions notwithstanding, the net effect of United States policy was to accept for all practical purposes Soviet political and economic domination of these countries. The United States, however, refused to approve publicly Soviet unilateral determination of the political future of Eastern Europe. By the end of 1945, conflict between the United States demand for the creation of representative political institutions and Soviet insistence upon the establishment of minority Communist governments appeared irreconcilable. Neither government showed any willingness whatsoever to
375
CONCLUSIONS
propose or even consider a compromise solution. Conflict was no longer confined simply to Eastern European questions but was spilling over into other areas: Greece, Italy, and Japan. After the Moscow Conference in December 1945, the two governments never again even pretended to concert their policies toward this part of the world. Out of the early and vague American commitment to the Atlantic Charter principles conflict had developed. Two concerns characterized American policy toward Eastern Europe throughout the war: maintenance of Allied unity and implementation of the Atlantic Charter principles. American officials considered that they could achieve both through the formation of the United Nations organization. When this possibility seemed to disappear, they took the initiative to reconcile the two. To prevent a public break in Allied collaboration, President Roosevelt at Yalta and Secretary of State Byrnes at Potsdam finessed every issue which threatened to obstruct agreement. United States diplomacy toward Eastern Europe was characterized by the continuing effort to put off or gloss over the conflict in the hope that the Russians might alter their policies and for fear of having to admit to the American people that Soviet-American cooperation had broken down. American officials were continually satisfied to reach an agreement in principle without spelling out the steps in its execution. Consequently, all actions which might possibly have insured success for United States goals were given up, e.g., definition of the powers of the Polish Presidency, Allied supervision of the holding of free elections, and the reorganization of the Rumanian and Bulgarian governments. Simultaneously, American officials remained committed to the implementation of the Atlantic Charter principles and refused to admit that they would not be successful. They understood that such an admission would avoid conflict with the Soviet Union over Eastern Europe; however, prevention of conflict with the Soviet Union was never con-
376
CONCLUSIONS
sidered the most important United States objective. They refused to accept publicly Soviet unilateral determination of the political future of Eastern Europe, and as a result they failed to achieve either goal, cooperation with the Soviet Union or implementation of the Atlantic Charter principles. Ill This description of the development of United States policy in terms of choices considered and decisions taken should not mask the fact that American officials did not plan in advance or spend a great deal of time formulating specific responses to Soviet actions in Eastern Europe. The degree of deliberate calculation behind United States actions was very small. These officials undertook an initial commitment to certain principles and then continued to promote them without thinking very carefully about what they were doing or why. While similarities in policies toward the six countries may be apparent from hindsight, these officials never defined a clear or coherent policy toward Eastern Europe as a whole. Eastern Europe was very much a peripheral issue throughout the war, and what policy did exist was largely the result of an accretion of daily telegrams. When the Atlantic Charter principles were drafted, no one discussed the feasibility of achieving their implementation or the possibility of obtaining Soviet agreement. Many modifications or applications of these principles to a particular country went largely unnoticed. For example, in July 1944, the State Department determined that the United States would not recognize a new Polish government, even if the Soviet Union did, until it was proven to be truly representative of the Polish people. Genuine elections or reports from American observers were designated as the means for deciding the representativeness of
377
CONCLUSIONS
the new government. Then before long the criterion of free elections for United States recognition was extended to all the countries of Eastern Europe. Further, the decision to contest Soviet violations of the Yalta agreements occurred with little debate. The various means to insure implementation of American goals were only undertaken after long delays and then often very haphazardly. The outbreak of political crises or the initiation of discussions among the Heads of State or Foreign Ministers were often the sole motivation for American action. United States policy toward Eastern Europe developed in a highly incremental manner; it was not the result of a deliberate and highly self-conscious series of choices. IV Who were the men responsible for the accretion of telegrams which came to define United States policy toward Eastern Europe? A general lack of interest or knowledge about conditions in Eastern Europe pervaded the American public and government. The remoteness and chaos of this region, combined with competing events and issues, led to little sustained interest. The individual questions in dispute in Eastern Europe never seemed terribly important. During the war, the events in Eastern Europe were not considered to be as crucial as from hindsight it might appear they should have been. Reports of American public opinion indicated little concern for the political future of the countries of Eastern Europe. Similarly, Congressional attention, when centered on foreign policy questions, tended to focus on efforts to establish a new international organization. Within the executive branch, few officials exhibited a continuing interest with Eastern European problems. Presidents Roosevelt and Truman seemed always preoccupied with other questions. In the case of certain foreign policy problems during the war, a highly placed American official, for personal reasons,
378
CONCLUSIONS
would watch over the developments even when a crisis did not exist: Admiral Leahy and the problem of Vichy France and De Gaulle; Under Secretary Grew and developments in Japan; Secretary Stimson and the Philippines; Secretaries Hull and Stettinius and the creation of the United Nations. No highly placed official undertook to monitor the problems of Eastern Europe in a similar way. Further, Eastern European questions were continually defined as "postwar" problems. Certain American officials viewed their government service as terminating with the end of the war: Secretaries Stimson and Hull, Under Secretary Grew, and even President Roosevelt. Having returned or remained in government service as a duty to their country during the war, these men were not very interested in postwar planning. Eastern European problems were often put aside. The War Department did not participate in the formulation of the American diplomatic initiatives to implement the Atlantic Charter principles. Periodically, this Department would be brought in to consider military questions relating to Eastern Europe—the Warsaw uprising, the armistice arrangements for Rumania, Bulgaria, and Hungary, and the timing of the withdrawal of American occupation forces from Czechoslovakia. Although the military situation in Eastern Europe was ultimately crucial in determining the types of governments which emerged in Eastern Europe, the War Department never exhibited any continuing interest in overall United States Eastern European policy. Almost by default, responsibility for the day-to-day formulation of American responses to Soviet actions in Eastern Europe rested with the Department of State. Specifically, a few men in the Office of European Affairs—James Clement Dunn, H. Freeman Matthews, Cavendish W. Cannon, Charles E. Bohlen, and Elbridge Durbrow—designed United States policy. These five men were considered the State Department experts on Russia and the Eastern European countries. Matthews had earlier served in Hungary,
379
CONCLUSIONS
Cannon in Bulgaria, Bohlen in Czechoslovakia and the Soviet Union, and Durbrow in Poland, Rumania, and the Soviet Union. Following the war, these men had distinguished careers in the Foreign Service; all became Ambassadors; and Charles E. Bohlen became Ambassador to the Soviet Union. Although the United States had little previous experience with positive foreign policies toward Eastern Europe, the policy which these men in the State Department defined toward Eastern Europe from 1941 until 1945 received remarkably widespread support throughout the American government and public. Very little opposition arose to the policy of postponement, and consensus developed quickly around their unceasing efforts to implement the Atlantic Charter principles. President Roosevelt was content to let these State Department officials formulate this policy and only overruled them once, on their recommendation for the establishment of an Emergency High Commission for Europe. President Truman relied totally on State Department recommendations in the spring of 1945 and gave Secretary of State Byrnes wide latitude in designing United States Eastern European policy during the summer and fall. Conventional interpretations of wartime policy-making in the United States government, which portray Roosevelt restricting the State Department to planning for the postwar world, do not accurately describe policy-making in the case of Eastern Europe. Here, the policy problems were not believed to be especially critical, Roosevelt himself had little interest, the War Department was infrequently consulted, and the State Department played the most crucial role. V Following an initial commitment to certain general principles in 1941, State Department officials determined to promote the formation of representative governments in East380
CONCLUSIONS
ern Europe through the holding of free elections and to oppose Soviet efforts to establish a sphere of influence. This policy grew out of their desire to satisfy the wishes of the President and American public opinion, their ideas about how peace should be constructed after the war, their tendency to link individual questions in Eastern Europe with other issues, their assumptions about the desirability and feasibility of creating democratic governments, and their strong personal commitment to implementation of the Atlantic Charter principles. In seeking to define an American policy toward Eastern Europe which would satisfy the President and American public opinion, State Department officials combed Presidential speeches and public opinion reports to find clues as to what the President and public desired. Although Roosevelt's and Truman's ideas about United States policy toward Eastern Europe were very vague, they were both determined not to become militarily involved in Eastern European problems. Reports of American public opinion compiled by the State Department also indicated little support for strong American initiatives which might involve the United States in a war with the Soviet Union. Following the defeat of Germany, strong domestic pressures developed for the removal of United States troops from Europe and the demobilization of the army. During 1945, State Department reactions to suggestions from the American representatives in the Eastern European countries for more forceful initiatives were definitely restrained because neither military force nor public support existed for any strong actions which might lead to war. However, no similar constraint operated on the continuation of rhetoric and diplomatic pressure for the creation of representative governments through the holding of free elections. President Roosevelt continually supported initiatives to promote the right of the peoples of liberated Europe to choose their own form of government. President Truman seemed determined to carry out the commitments 381
CONCLUSIONS
made by Roosevelt during the war. Reports of public opinion also revealed approval for American efforts to see democratic governments established in Eastern Europe. State Department references to the importance of maintaining the integrity of the Atlantic Charter principles and of opposing Soviet violations of the Yalta agreements reflected a genuine fear that public opinion would not tolerate a renunciation of the United States commitment to these principles. Whenever the Polish issue was raised, State Department officials and the two Presidents were particularly worried about the effect any change in the American demand for the formation of an independent and democratic Poland would have on the Polish-American population. This domestic political consideration seemed to be constantly on the minds of American officials. At each meeting of the Heads of State, Roosevelt and Truman alluded to the Polish-American vote. During 1944, prior to the Presidential election, President Roosevelt was particularly anxious not to enter into any public agreements on Poland's future for fear of undermining his Polish-American support. In the spring of 1945, officials in Washington expressed their unwillingness to consider the possibility of a "whitewash solution" on Poland for fear of domestic repercussions. The Polish-American vote was clearly a very important factor in the determination of United States Eastern European policy. At the same time that these officials perceived public opinion to be a real constraint on any initiatives to alter the United States commitment to a democratic Poland, they tended to select out of public opinion reports those statements which would provide support for the continuation of previous United States policy. They often seized upon indications of a decline in public trust in the Russians arising out of Soviet unilateral actions in Eastern Europe rather than periodic reports that public opinion really showed little interest in Eastern European problems and 382
CONCLUSIONS
in 1944 was not opposed to a compromise Polish solution based on the Curzon Line. State Department officials never undertook to educate the American public about the difficulties facing the United States in seeking to implement the Atlantic Charter principles. The Presidents and the State Department did spend a great deal of time trying to convince the public of the importance of United States participation in a postwar international organization. However, their arguments always emphasized that the condition of American participation would be international acceptance of the Atlantic Charter principles. What education of public opinion occurred during the war tended therefore to reinforce the commitment of the United States to implementation of these principles. In addition, the speeches by American officials in describing United States policy toward Eastern Europe tended to raise extraordinarily high hopes for the possibility of achieving United States goals. Overly optimistic reports were given, particularly following the wartime Allied conferences. Secretary Hull applauded the success of the Moscow Conference in 1943 as the end of power politics and the inauguration of world peace based on the Atlantic Charter principles. President Roosevelt announced following the Yalta Conference that the Allies had reaffirmed their unqualified support for the implementation of these principles in liberated Europe. President Truman reiterated the United States commitment to these principles following the Potsdam Conference, despite the failure of the Allies even to mention them in the final communique. Each report of success was soon followed by sharp disillusionment among the American public when the particular problems reappeared, often in more serious forms. The speeches and resulting disillusionment had the effect of creating further constraints on the possible modification of the existing United States commitment to free elections and the self-determination of peoples in Eastern Europe. 383
CONCLUSIONS
A second critical influence on the development of United States policy toward Eastern Europe were the ideas held by most Americans about how peace should be constructed after the war. State Department officials never considered Eastern Europe as a geographic region to be politically or militarily very important to the United States and never defined any United States security interest in these countries. Yet, they refused to tolerate the creation of minority Communist governments and the establishment of a Soviet sphere of influence in this part of the world. Why? American officials were convinced that international cooperation based on implementation of the Atlantic Charter principles and creation of an international organization had to replace balance-of-power diplomacy and the division of the world into spheres of influence. They remembered that two previous world wars had started in Eastern Europe following efforts by competing powers to establish spheres of influence there. The weakness of these states, which had invited great power competition between Germany and Russia in the past, now threatened to bring Britain and the Soviet Union into conflict after this war. State Department officials particularly feared that Anglo-Soviet competition in Eastern Europe would undermine postwar Allied cooperation and might even lead to a war in which the United States would be called upon to rescue Great Britain. Peace would be served by the formation of truly representative governments, not separate spheres of influence. Ironically, by these very peace policies the United States was brought into conflict with the Soviet Union over the political future of all of Eastern Europe. The way State Department officials invariably linked the individual questions in Eastern Europe with other issues was a third major influence on the development of United States policy. During the first three years of the war, they discussed the Polish-Soviet dispute primarily in terms of its effect on the Allied war effort. They continually expressed the fear that Soviet unilateral diplomacy in Eastern 384
CONCLUSIONS
Europe would undermine the whole cause of international collaboration. They came to consider the Allied ability to resolve their differences in Eastern Europe on the basis of the establishment of representative governments as a test case of future Soviet-American cooperation. They believed that acceptance of Soviet violations of the Yalta principles would provoke a return to isolationist sentiment on the part of the American public and weaken support for United States participation in a postwar international organization. Soviet actions in Poland and the rest of Eastern Europe became the measure for what the Soviets might intend to do in Western Europe and elsewhere, and the State Department concluded that acceptance of a Soviet sphere of influence could invite further Soviet expansion. Certain assumptions held by State Department officials about the desirability and feasibility of establishing democratic governments in Eastern Europe were also influential in determining their policy recommendations. The desirability of implementing the Atlantic Charter principles was always assumed, never questioned. These officials believed that these principles were right and were endorsed by the American people. Committed to a diplomacy of principle, these officials never doubted the utility of continuing to press for their implementation. No one ever suggested that democratic governments might not be the best thing for these countries. In the same way, the feasibility of applying these principles to political problems in Eastern Europe was never seriously questioned. State Department officials, even those who had served in Eastern European countries prior to the war, assumed free elections could be held and democratic political institutions established. They considered that the traditional parties which existed in all the Eastern European countries during the interwar period would provide the foundation for the creation of representative governments. Their references to the chaos and problems erupting throughout Eastern Europe were not followed by sugges385
CONCLUSIONS
tions that representative governments might be impossible to establish under these conditions. Rather they often portrayed the situations in Eastern Europe as analogous to the conditions facing the United States Founding Fathers. Out of those chaotic times grew democratic institutions in the United States. These officials saw the exile governments as representatives of the brave little countries in the world which needed to be given a chance to forge their own destiny, free from foreign intervention. They tended to ignore arguments such as Stimson's that democratic principles were not applicable outside a few Anglo-Saxon countries. They categorically rejected statements by Communist officials in the Eastern European countries that such elections were either impractical or impossible. State Department officials hoped to see created in Eastern Europe liberal democratic states. They did not seek the return of the prewar reactionary regimes. They pressed for representation of party leaders from the center and leftwing peasant parties in these countries. They were not convinced that they would be successful in achieving the formation of these governments. Nevertheless, they saw no reason to give up their hope for free elections. They considered nothing could be gained by foreclosing the possibility of success by admitting failure in advance. They were determined there should never be a single doubt that the United States had stood up for the right of the people along the Soviet border to determine their own destinies. Moreover, they saw real risks in condoning Soviet actions in Eastern Europe. This would give a stamp of approval to their terrorist methods, thereby killing the hopes of all democratic elements inside these countries, and would encourage the Soviets to proceed along similar lines in countries other than Eastern Europe. The American goal was to insure the right of the peoples of Eastern Europe to choose their own form of government, and in theory at least the right to elect a Communist government. However, in fact, American officials were never 386
CONCLUSIONS
confronted with the possibility that free elections would return Communist governments in Eastern Europe and thereby legitimize Soviet actions. Reports clearly indicated that if free elections were indeed held, the existing Sovietsponsored regimes would be ousted. Therefore, a policy in favor of free elections could have been designed to challenge directly Soviet actions in Eastern Europe. This was not, however, the case. This policy was not undertaken as a conscious effort to defeat any particular government, except those that were unrepresentative. If the effect was clearly anti-Soviet, this was not the primary motivation behind the policy. Finally, the development of United States policy toward Eastern Europe was influenced by the fact that these State Department officials became personally committed over time to the implementation of these Atlantic Charter principles and were unreceptive to suggestions for change. They had no interest in diluting the President's commitment to these principles and by their rhetoric tied the President further to that commitment. During 1944 when Roosevelt expressed sympathies for the Curzon Line frontier and the reorganization of the London Polish government, the State Department successfully blocked any modification of United States public policy toward Poland. Suggestions made by American officials serving in Moscow and the Eastern European capitals for a change in United States policy were continually rejected. George Kennan despaired of ever achieving a truly free Poland and argued that it would be best for the government to state its case and avoid further involvement in the question. Representatives Barnes and Berry in Bulgaria and Rumania urged Washington to face the issues squarely and undertake stronger initiatives to implement the principles of the Declaration on Liberated Europe. Residing in these countries, these men saw clearly the difficulties involved in implementing United States principles but failed either to lessen the State Department's commitment to them or to
387
CONCLUSIONS
provoke stronger actions to promote their implementation. Similarly, British pressures for a more realistic approach in terms of compromise agreements and spheres of influence arrangements continually fell on deaf ears. British attempts to dampen the idealistic American appeals for implementation of the Atlantic Charter principles and specific proposals to insure implementation of these principles, e.g., Allied supervision of elections, failed to produce a significant alteration of United States policy. State Department officials liked the policy they had defined and were determined to see the principles upheld. Once committed to the Atlantic Charter principles, State Department officials saw only costs—in terms of American public opinion, the reconstruction of postwar peace, and the possibility of success for other United States goals—in not maintaining the integrity of these principles in Eastern Europe. But as a result of upholding these principles, the United States was drawn into explicit confrontation with the Soviet Union over the political future of all of Eastern Europe.
VI What conclusions can be drawn from this description of the development of United States policy about the origins of Soviet-American conflict over Eastern Europe from 1941 to 1945? It is important to note first that this conflict did not arise in an environment of ignorance and false expectations about the Soviet Union. American officials understood Soviet intentions to establish predominant influence in Eastern Europe, knew what actions the Soviets were taking in the Eastern European countries, and recognized the limitations placed upon American initiatives to promote United States goals. After Yalta, no one doubted that friendly governments in Eastern Europe meant minority Communist governments. Misperception of Soviet ambi388
CONCLUSIONS
tions or actions in Eastern Europe was not the cause of conflict. Conflict also did not issue from a United States attempt to construct a balance of power in Europe to meet the establishment of Soviet military and political predominance in Eastern Europe. United States policy toward Eastern Europe from 1941 to 1945 was not motivated by the same kind of balance-of-power considerations which later prompted the Truman Doctrine, the Marshall Plan, or the North Atlantic Treaty. The development of this conflict further cannot be ascribed to a group of men conspiring to obtain economic markets for American commerce. The United States never sought to prevent the establishment of Soviet economic predominance in Eastern Europe and defined no vital economic interests in this part of the world. Finally, conflict did not develop from a specific United States determination to contain the Bolsheviks and all other revolutionary or leftist movements. Military, economic, or right-wing interests did not lurk behind United States rhetoric in favor of the holding of free elections. United States policy toward Eastern Europe was less devious and less coherent than this, and the conflict which developed was neither planned nor calculated. In fact, American officials framed the Atlantic Charter principles and undertook efforts to insure the creation of representative governments in Eastern Europe without recognizing that Soviet-American conflict would be the result. They never saw in advance the effect certain United States policies would have. Despite Soviet insistence upon friendly governments and reports that if truly free elections were held the Soviet-sponsored governments would be ousted, American officials did not realize that their policies might seem to threaten the vital security interests of the Soviet Union. They tended to define Soviet security interests in terms identical with those of the United States: implementation of the Atlantic Charter principles, the disarmament 389
CONCLUSIONS
of Germany, and the formation of an international organization. No one considered that conflict between major Soviet and American interests was inevitable given the United States commitment to representative governments and the Soviet demand for the establishment of predominant influence. They assumed that the holding of free elections would not preclude the creation of friendly governments. Since American officials neither undertook consciously to thwart Soviet security interests nor believed they were, they were completely unprepared for the firmness of Soviet opposition to free elections in Eastern Europe and the conflict which later developed. Following the Yalta Conference, American officials were shocked and irritated when the Soviet Union violated the principles agreed to in the Declaration on Liberated Europe. They thought they had Soviet agreement to the formation of representative governments in Eastern Europe. They never considered, however, that the Soviet government may have often thought that they had achieved United States approval for their goals in Eastern Europe— e.g., Roosevelt's statements at Teheran, the vagueness of the Declaration on Liberated Europe, and the deletion of all references to the Yalta agreements in the Potsdam communique. Then, to the possible surprise and irritation of the Soviets, United States rhetoric in favor of free elections would reappear with still another proposal for implementation of the Atlantic Charter principles. American officials also never saw the possibility that United States actions in Eastern Europe might raise false hopes and expectations among the peoples of these countries. Opposition party leaders pleaded that if spheres of influence did exist they should be told, so they could make the best deal possible with the Russians for their countries. The United States always replied that the government remained committed to the principles of the Atlantic Charter. American officials did not worry about the gap between the ideal United States pronouncements and their limited ac390
CONCLUSIONS
tions to implement United States goals and were quite unprepared for later charges of American irresponsibility and betrayal. Particularly, State Department officials failed to see in advance the influence which United States rhetoric in support of the principles of the Declaration on Liberated Europe would have in provoking the political crises in Rumania and Bulgaria in August 1945. It was a surprise to State Department officials when opposition leaders and the American representatives in these countries misunderstood United States rhetoric for an intention to take strong initiatives to see these principles were implemented. What is more interesting is that these officials never considered the possibility that the Soviet Union might also have mistaken the rhetoric for specific United States intentions to act boldly, perhaps militarily, to prevent Soviet domination. American officials never recognized that they might have contributed by their actions to the development of SovietAmerican conflict over Eastern Europe between 1941 and 1945. They, therefore, never undertook initiatives which might have ameliorated the differences which had arisen. They never attempted to communicate to the Soviet Union exactly what they could and could not tolerate in terms of Soviet actions in Eastern Europe. These officials regularly acknowledged to themselves that the Soviet Union would exercise "predominant" influence in Eastern Europe after the war and that the Soviet Union had "more direct" interests in this part of the world than the United States. They never defined, however, what they meant by these statements. More importantly, they neither informed the Soviet Union of their willingness to recognize Soviet "predominant" interest in Eastern Europe nor undertook to clarify for the Soviet Union exactly what United States intentions were in Eastern Europe. This failure to communicate the specific nature of American goals resulted in no serious effort being undertaken by either government to work out a possible compromise between Soviet and American inter-
391
CONCLUSIONS
ests in Eastern Europe. When during 1945 the conflict increased and these differences over Eastern Europe became intertwined with conflict over other issues, particularly Greece, Italy, and Japan, no one proposed that the United States agree to Soviet demands in Eastern Europe in return for a political-diplomatic quid pro quo on one or another of these issues. American officials never seriously considered the possibility of pursuing a policy toward Eastern Europe similar to that maintained toward the Baltic States following their incorporation into the Soviet Union in 1940. While not recognizing the legitimacy of Soviet actions and upholding their commitment to the right of the Baltic peoples to determine their own form of government, the United States refrained from diplomatic pressure, silenced rhetoric in favor of the self-determination of the Baltic peoples, and endeavored to prevent the obvious differences between the governments from disturbing overall Soviet-American relations. The origins of Soviet-American conflict over Eastern Europe are not to be found in American misperception of Soviet intentions or American efforts to insure economic markets or obstruct the rise of the Left, but rather in the unchanging American commitment to the Atlantic Charter principles. American efforts beginning in 1941 to insure the people of liberated Europe the right to determine freely their own political future directly challenged Soviet efforts to establish predominant political influence in the countries along the Soviet western border; and conflict between the United States and the Soviet Union over Eastern Europe seriously escalated. United States policy toward Eastern Europe has been explained here in terms of the priorities of the men who formulated it, the alternative policies they considered, and the ideas they held. How might the particular characteristics of the conflict which developed have differed, for example, if American officials had learned a different lesson from 392
CONCLUSIONS
Woodrow Wilson's experiences at Versailles, if President Roosevelt had paid more attention to Eastern European issues, or if certain alternative policies had been pursued? Conflict over the establishment of representative governments in Eastern Europe in 1945 arose in an environment of suspicion and hostility created by United States efforts during the first three years of the war to postpone all territorial and political settlements—a policy which had the effect of seeming to oppose specific Soviet demands for a new Polish frontier. If American officials had learned from Wilson's experiences that political settlements will inevitably take place during a war, then they might have acted earlier to approve Soviet frontier demands and to promote the kinds of postwar political arrangements they preferred in Eastern Europe. Or, if President Roosevelt had been paying more attention to the Polish question, he might have pragmatically decided prior to the Yalta Conference to accede publicly to Soviet demands for the Curzon Line and the reorganization of the Polish government. Such earlier initiatives to resolve Soviet-American differences over Poland would not have had to overcome mounting Soviet suspicions of United States interests or change policies to which the United States and the Soviet Union had become committed over time; and, they might have been successful. In 1945, when it became clear that the Soviet Union was intent upon the creation of minority Communist governments throughout Eastern Europe, the United States might have pursued two alternative policies to the one chosen. American officials could have defined clearly for the Soviet Union what they hoped the political future of Eastern Europe would look like and spelled out precisely why they opposed Soviet actions. They could have undertaken to assuage Soviet fears of a resurgent Germany by announcing that American military forces would remain in Europe following the war. If this did not produce Soviet agreement to the holding of free elections, then the United States could have undertaken sustained efforts, using all available
393
CONCLUSIONS
bargaining leverage, e.g., Lend-Lease aid and postwar reconstruction assistance, to insure the establishment of truly representative governments. Such a policy might have led the Soviet Union to view its interests as best served by a different policy toward Eastern Europe, and conflict might have been averted. A more plausible United States policy to avoid the development of Soviet-American conflict would have been for the United States to abandon its opposition to the establishment of minority governments in Eastern Europe. American officials could have ceased their rhetoric in favor of the holding of free elections and clearly informed the Soviet Union that the United States did not intend to threaten Soviet security interests in this part of the world. The Soviet Union might not then have felt the need to enforce such complete political control over Eastern Europe, at least not so rapidly. The Soviets might have tolerated Benes-type governments in the other states of Eastern Europe. American officials might not have then begun to interpret Soviet actions as indications of aggressive tendencies around the world. Solutions to the differences over Germany, Italy, and Japan might have been made easier if these questions had not become intertwined with the conflict over Eastern Europe. Of course, the questions of whether conflict over Eastern Europe would have been avoided or the postwar SovietAmerican relationship altered by the abandonment of the policy of postponement prior to Yalta, by stronger United States opposition to Soviet actions in Eastern Europe, or by acceptance of a Soviet sphere of influence cannot be answered by an examination of United States policy alone. The Soviet Union also had choices to make; and, until Soviet archives are opened and the interests and assumptions which influenced Soviet policy are known, any discussion of how things might have developed differently will be necessarily incomplete and inconclusive. What is, however, certainly clear is that the ideas held 394
CONCLUSIONS
by American officials about how peace should be constructed after the war—an end to balance-of-power diplomacy and the creation of representative governments—precluded United States acceptance of a Soviet sphere of influence in Eastern Europe or willingness to live in a divided Europe in 1945. They could not approve Soviet efforts to establish predominant political influence in this part of the world through the imposition of minority Communist regimes. Consequently, as early as 1942 Soviet unilateral policies in Eastern Europe provoked perceptions of rising Soviet aggressiveness. With growing conflict, American officials increasingly viewed Soviet actions in Eastern Europe, not as isolated events, but as indications of Soviet intentions around the world. Fears developed about the possibility of Soviet expansion into Western Europe. Soviet methods and tactics for the establishment of control in Eastern Europe were read as indications of techniques for world revolution. Soviet-American conflict over the political future of Eastern Europe undermined Allied cooperation around the world, and the Cold War began.
395
APPENDIX
T H E ORGANIZATION OF T H E DEPARTMENT OF STATE
UNITED STATES POLICY TOWARD EASTERN EUROPE
'942-1943
Secretary of State Cordell Hull Under Secretary of State Sumner Welles (until September 1943) Edward Stettinius Assistant Secretary of State Adolf A. Berle, Jr. Adviser on Political Relations James Clement Dunn Division of European Affairs Chief: Ray Atherton (Acting) until summer 1943 H. Freeman Matthews Assistant Chief: Loy Henderson (1942) John D. Hickerson (1943) Members concerned with Eastern European and Soviet Affairs: Charles E. Bohlen Elbridge Durbrow 1()44 (State Department Reorganization Secretary of State Cordell Hull Under Secretary of State Edward Stettinius Assistant Secretary of State Adolf A. Berle, Jr.
397
in January)
APPENDIX
Office of European Affairs Director: James Clement Dunn Deputy Director: H. Freeman Matthews Division of Eastern European Affairs (including the Soviet Union) Chief: Charles E. Bohlen Assistant Chief: Elbridge Durbrow Division of British Commonwealth Affairs Chief: John D. Hickerson Division of Southern European Affairs Chief: Cavendish W. Cannon Office of Eastern and African Affairs Director: Wallace S. Murray Deputy Director: Paul H. Ailing Division of Near Eastern Affairs Chief: Gordon P. Merriam Member: Foy D. Kohler 1945 (State Department Reorganization
in December 1944)
Secretary of State Edward R. Stettinius (until July) James F. Byrnes Under Secretary of State Joseph C. Grew (until July) Dean Acheson Special Assistant to the Secretary of State for International Organization Leo Pasvolsky Special Assistant to the Secretary of State (White House Liaison) Charles E. Bohlen Assistant Secretary of State for Public and Cultural Relations Archibald MacLeish Assistant Secretary of State for European, Near Eastern, African and Far Eastern Affairs James Clement Dunn 398
APPENDIX
Office of European Affairs Director: H. Freeman Matthews Deputy Director: John D. Hickerson Division of Eastern European Affairs (including the Soviet Union) Chief: Elbridge Durbrow Member: Llewellyn E. Thompson, Jr. Division of Southern European Affairs Chief: Cavendish W. Cannon (until April) Cloyce K. Huston Members: William Barbour John C. Campbell Samuel Reber Division of Central European Affairs Chief: James W. Riddleberger Members: David Harris Charles W. Yost F. T. Williamson
399
BIBLIOGRAPHY
I. UNPUBLISHED MANUSCRIPTS
A. United States Government Records of the War Department, General and Special Staffs, Civil Affairs Division, National Archives, Record Group 165. i94!-i945Records of the War Department, General and Special Staffs, Office of the Chief of Staff, National Archives, Record Group 165, 1941-1945. Records of the War Department, General and Special Staffs, Operations Division, National Archives, Record Group 165, 1941-1945. Records of the Department of State, National Archives, Record Group 59, Decimal File, 1941-1945. Records of the Department of State, National Archives, Record Group 59, Harley Notter Papers. Advisory Committee on Postwar Foreign Policy (Political Subcommittee, Subcommittee on Territorial Problems, Subcommittee on European Organization, Inter-Divisional Committee on Russia and Poland, Subcommittee on Security Problems), Policy Committee, Country-Area Committee, Postwar Programs Committee, Stettinius Record, 1942-1945. Records of the Department of State, National Archives, Lot 52-249. Records of the Department of State, National Archives, Lot M-88. Records of the Department of State, National Archives, Lot 122, Secretary's Staff Committee. Records of the Department of State, National Archives, Bohlen Collection. 401
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Records of Office of Strategic Services, National Archives, Record Group 226, 1941-1945. Records of the Office of War Information, Washington National Records Center, National Archives, Record Group 208, Office of the Director, Overseas Operations Branch, Weekly Propaganda Directives, 1945. Records of the Secretary of War and the Under and Assistant Secretaries, National Archives, Record Group 107, 1 94 1 -!945B. Private Papers Oscar S. Cox, Papers, 1941-1945, Franklin D. Roosevelt Library, Hyde Park, New York. Joseph E. Davies, Diary and Papers, 1941-1945, Library of Congress. Joseph C. Grew, Papers and Letters, 1944-1945, Houghton Library, Harvard College. William D. Hassett, Papers, 1941-1945, Franklin D. Roosevelt Library, Hyde Park, New York. Harry L. Hopkins, Papers, 1941-1945, Franklin D. Roosevelt Library, Hyde Park, New York. Cordell Hull, Papers, 1941-1945, Library of Congress. Arthur Bliss Lane, Papers, 1944-1945, Sterling Library, Yale University. William D. Leahy, Diary, 1941-1946, Library of Congress. Breckinridge Long, Diary and Papers, 1941-1944, Library of Congress. Isador Lubin, Papers, 1941-1945, Franklin D. Roosevelt Library, Hyde Park, New York. Leo Pasvolsky, Papers, 1942-1945, Library of Congress, and Office File, National Archives, Records of Department of State. Joseph Patterson, Papers, 1945, Library of Congress. Franklin D. Roosevelt, Papers, 1941-1945, Franklin D. Roosevelt Library, Hyde Park, New York. 402
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Samuel I. Rosenman, Papers, 1941-1945, Franklin D. Roosevelt Library, Hyde Park, New York. Samuel I. Rosenman, Papers, 1945, Harry S. Truman Library, Independence, Missouri. Henry L. Stimson, Papers and Diary, 1941-1945, Sterling Library, Yale University. Harry S. Truman, Papers, 1945, Harry S. Truman Library, Independence, Missouri. C. Interviews Charles E. Bohlen, November 4, 1971. John C. Campbell, November 11, 1970. Elbridge Durbrow, September 9, 1970. H. Freeman Matthews, September 10, 1970. Philip Mosely, September 23, 1970. Llewellyn Thompson, September 8, 1970. II. PUBLISHED SOURCES
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Pogue, Forrest C. United States Army in World War II, The War Department, The European Theater of Operations: The Supreme Command, Office of the Chief of Military History, Department of the Army, Washington, D.C: U.S. Government Printing Office, 1954. Public Papers of the Presidents of the United States, Harry S. Truman, 194$. Washington, D.C: U.S. Government Printing Office, 1961. U.S. Congressional Record. Vol. LXXXIX. U.S. The Department of State Bulletin, 1942-1945, Vols. VI-XIIl.
U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1941, General: The Soviet Union. Vol. 1. Washington, D.C.: U.S. Government Printing Office, 1958. U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1942, Europe. Vol. in. Washington, D.C: U.S. Government Printing Office, 1961. U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1943, General. Vol. 1. Washington, D.C: U.S. Government Printing Office, 1963. U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1943, The British Commonwealth, Eastern Europe, The Far East. Vol. in. Washington, D.C: U.S. Government Printing Office, 1963. U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1943, The Conferences at Cairo and Tehran. Washington, D.C.: U.S. Government Printing Office, 1961. U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1944, The British Commonwealth and Europe. Vol. in. Washington, D.C.: U.S. Government Printing Office, 1965. U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1944, The Conference at Quebec. Washington, D.C.: U.S. Government Printing Office, 1972. 404
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U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1944, Europe. Vol. iv. Washington, D.C : U.S. Government Printing Office, 1966. U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1944, The Near East, South Asia, and Africa: The Far East. Vol. v. Washington, D.C: U.S. Government Printing Office, 1965. U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1945, General: Political and Economic Matters. Vol. 11. Washington, D.C: U.S. Government Printing Office, 1967. U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1945, Europe. Vol. iv. Washington, D.C: U.S. Government Printing Office, 1968. U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1945, The Conference of Berlin (The Potsdam Conference). Vols. 1 and 11. Washington, D.C.: U.S. Government Printing Office, i960. U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 194$, The Conference at Malta and Yalta. Washington, D.C: U.S. Government Printing Office, 1955. U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1945, Europe. Vol. v. Washington, D.C: U.S. Government Printing Office, 1967. U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1946, Eastern Europe; The Soviet Union. Vol. iv. Washington, D.C: U.S. Government Printing Office, 1972. U.S. Department of State. Foreign Relations of the United States, Diplomatic Papers, 1946, Eastern Europe: The Soviet Union. Vol. vi. Washington, D.C: U.S. Government Printing Office, 1969. U.S. Department of State. Postwar Foreign Policy Preparation, 1939-1945. Washington, D.C.: U.S. Government Printing Office, 1950. 405
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B. Memoirs and Diaries Acheson, Dean. Present at the Creation, My Years in the State Department. New York: W. W. Norton and Co., i9 6 9· Blum, John Morton. From the Morgenthau Diaries, Years of War, 1941-1945. Boston: Houghton Mifflin Co., 1967. Bohlen, Charles E. Witness to History 1929-1969. New York: W. W. Norton & Co., Inc., 1973. Byrnes, James F. Speaking Frankly. New York: Harper & Brothers, 1947. Churchill, Winston S. The Second World War, The Grand Alliance. Boston: Houghton Mifflin Co., 1950. ———. The Second World War, The Hinge of Fate. Boston: Houghton Mifflin Co., 1950. . The Second World War, Closing the Ring. Boston: Houghton Mifflin Co., 1951. . The Second World War, Triumph and Tragedy. Boston: Houghton Mifflin Co., 1953. Deane, John R. The Strange Alliance, The Story of Our Efforts at Wartime Cooperation with Russia. New York: The Viking Press, 1947. Eden, Anthony. The Memoirs of Anthony Eden, Earl of Avon, The Reckoning. Boston: Houghton Mifflin Co., i9 6 5· Grew, Joseph C. Turbulent Era, A Diplomatic Record of Forty Years 1904-1945. Vol. n. Edited by Walter Johnson. Boston: Houghton Mifflin Co., 1952. Harriman, W. Averell. America and Russia in a Changing World, A Half Century of Personal Observation. Garden City: Doubleday & Co., 1971. Hull, Cordell. The Memoirs of Cordell Hull. Vol. 11. New York: The Macmillan Co., 1948. Kennan, George F. Memoirs 1925-1950. Boston: Little Brown and Co., 1967. Leahy, Fleet Admiral William. I Was There, The Personal Story of the Chief of Staff to Presidents Roosevelt and 406
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Truman Based on His Notes and Diaries Made at the Time. New York: McGraw-Hill Book Co., 1950. Maiskey, Ivan. Memoirs of a Soviet Ambassador, The War: z 939~43- New York: Charles Scribner's Sons, 1968. Millis, Walter (ed.). The Forrestal Diaries. New York: The Viking Press, 1951. The Public Papers and Addresses of Franklin D. Roosevelt, The Tide Turns, 1943. Compiled by Samuel I. Rosenman. New York: Harper 8c Brothers, 1950. The Public Papers and Addresses of Franklin D. Roosevelt, Victory and the Threshold of Peace, 1944-1945. Compiled by Samuel I. Rosenman. New York: Harper & Brothers, 1950. The Public Papers of Harry S. Truman, 1945. Washington, D.C: U.S. Government Printing Office, 1961. Roosevelt, Elliot. F.D.R. His Personal Letters, 1928-1945. Vol. H. New York: Duell, Sloan and Pearce, 1950. Rosenman, Samuel I. Working with Roosevelt. London: Rupert Hart-Davis, 1952. Sherwood, Robert E. Roosevelt and Hopkins, An Intimate History. 2nd ed. revised. New York: The Universal Library, Grosset Sc Dunlap, 1950. Stettinius, Edward R., Jr. Roosevelt and the Russians: The Yalta Conference. Edited by Walter Johnson. Garden City: Doubleday Sc Co., 1949. Stimson, Henry L. and Bundy, McGeorge. On Active Service in Peace and War. New York: Harper Sc Brothers, !947Truman, Harry S. Memoirs, Year of Decisions. Vol. 1. Garden City: Doubleday Sc Co., 1955. Vandenberg, Arthur H., Jr. (ed.). The Private Papers of Senator Vandenberg. Boston: Houghton Mifflin Co., !952Welles, Sumner. Seven Decisions that Shaped History. New York: Harper & Brothers, 1950. . Where are We Heading? New York: Harper Sc Brothers, 1946. 407
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C. Secondary Works Alperovitz, Gar. Atomic Diplomacy: Hiroshima and Potsdam, The Use of the Atomic Bomb and the American Confrontation with Soviet Power. New York: Vintage Books, 1965. Bohlen, Charles E. The Transformation of American Foreign Policy. New York: W. W. Norton & Co., 1969. Burns, James MacGregor. Roosevelt: The Soldier of Freedom. New York: Harcourt Brace Jovanovich, Inc., 1970. Campbell, John C. The United States in World Affairs. New York: Harper & Brothers, 1947. Chiechanowski, Jan. Defeat in Victory. Garden City. Doubleday & Co., 1947. Clemens, Diane Shaver. Yalta. New York: Oxford University Press, 1970. Dennett, Raymond, and Johnson, Joseph E. Negotiating With the Russians. Boston: World Peace Foundation, !95 1 · Divine, Robert A. Roosevelt and World War II. Baltimore: Penguin Books, Inc., 1970. Emerson, William R. "F.D.R. (1941-1945)," in Ernest R. May (ed.). The Ultimate Decision, The President as Commander in Chief. New York: George Brazillier, i960. Feis, Herbert. Between War and Peace, The Potsdam Conference. Princeton: Princeton University Press, i960. . Churchill Roosevelt Stalin, The War They Waged and the Peace They Sought. Princeton: Princeton University Press, 1957. . From Trust to Terror, The Onset of the Cold War, 1945-1950. New York: W. W. Norton 8c Co., Inc., 1970. Ferrell, Robert H. and Bemis, Samuel Flagg (eds.). The American Secretaries of State and Their Diplomacy. Vols. XII-XIV. New York: Cooper Square Publishers, Inc., 1964. Fleming, D. F. The Cold War and Its Origins, 1917-1960. Vol. i. Garden City: Doubleday & Co., 1961. 408
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Gaddis, John Lewis. The United States and the Origins of the Cold War, 1941-194J. New York: Columbia University Press, 1972. Gardner, Lloyd C. Architects of Illusion, Men and Ideas in American Foreign Policy 1941-1949. Chicago: Quadrangle Books, 1970. Graebner, Norman A. (ed.). An Uncertain Tradition, American Secretaries of State in the Twentieth Century. New York: McGraw-Hill Book Co., 1961. Groves, Leslie R. Now It Can Be Told, The Story of the Manhattan Project. New York: Harper & Row, 1962. Halle, Louis. The Cold War as History. New York: Harper & Row, 1967. Hart, B. H. Liddell. History of the Second World War. London: Cassell & Co., 1970. Herz, Martin F. Beginnings of the Cold War. Bloomington: Indiana University Press, 1966. Hewlett, Richard G. and Anderson, Oscar E., Jr. The New World, 1939/1946. University Park: The Pennsylvania State University Press, 1962. Horowitz, David (ed.). Containment and Revolution. Boston: Beacon Press, 1967. . The Free World Colossus, A Critique of American Foreign Policy in the Cold War. New York: Hill and Wang, 1965. Kennan, George F. American Diplomacy 1900-1950. New York: Mentor Books, 1951. Kertesz, Stephen D. Diplomacy in a Whirlpool, Hungary Between Nazi Germany and Soviet Russia. Notre Dame: University of Notre Dame Press, 1953. Kolko, Gabriel. The Politics of War, The World and United States Foreign Policy 1943-1945. New York: Random House, 1968. LaFeber, Walter. America, Russia, and the Cold War, 1945-1966. New York: John Wiley 8c Sons, Inc., 1967. 409
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Lane, Arthur Bliss. I Saw Poland Betrayed, An American Ambassador Reports to the American People. New York: The Bobbs-Merrill Co., 1948. McNeill, William H. Survey of International Affairs 19391946, America, Britain, and Russia, Their Cooperation and Conflict, 1941-1946. London: Oxford University Press, 1953. Ministry of Foreign Affairs of the U.S.S.R. Correspondence Between the Chairman of the Council of Ministers of the U.S.S.R. and the Presidents of the U.S.A. and the Prime Ministers of Great Britain During the Great Patriotic War of 1941-1945. 2 Vols. Moscow: Foreign Languages Publishing House, 1957. Mosely, Philip E. The Kremlin and World Politics, Studies in Soviet Policy and Action. New York: Random House, i960. Neumann, William L. After Victory, Churchill, Roosevelt, Stalin and the Making of the Peace. New York: Harper & Row, 1967. Roosevelt, Elliott. As He Saw It. New York: Duell, Sloan, and Pearce, 1946. Rostow, W. W. The United States in the World Arena, An Essay in Recent History. New York: Harper Sc Brothers, i960. Rozek, Edward J. Allied Wartime Diplomacy, A Pattern in Poland. New York: John Wiley & Sons, Inc., 1958. Seton-Watson, Hugh. The East European Revolution. 3rd ed. New York: Frederick A. Praeger, 1956. Shulman, Marshall. Beyond the Cold War. New Haven: Yale University Press, 1966. General Sikorski Historical Institute. Documents on PolishSoviet Relations, 1939-1945. Vols. 1-11. London: Heinemann, 1967. Smith, Gaddis. American Diplomacy During the Second World War, 1941-1945. New York: John Wiley 8c Sons, Inc., 1967. 410
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Ulam, Adam B. Expansion and Coexistence, The History of Soviet Foreign Policy 1917-1967. New York: Praeger, 1968. Van Dyke, Vernon. "American Support of Free Institutions in Eastern Europe." Yale Institute of International Studies. Memorandum #28. August 10, 1948. Werth, Alexander. Russia At War, 1941-1945. New York: E. P. Dutton & Co., 1964. Williams, William A. The Tragedy of American Diplomacy. 2nd ed. revised. New York: Dell Publishing Co., 1962. Wilmot, Chester. The Struggle for Europe. New York: Harper & Row, 1952. Woodward, Sir Llewellyn. British Foreign Policy in the Second World War. Vol. 11. London: Her Majesty's Stationery Office, 1971. Zawodny, J. K. Death in the Forest: The Story of the Katyn Massacre. Notre Dame: University of Notre Dame Press, 1962. D. Periodicals and Articles Brzezinski, Zbigniew. "How the Cold War Was Played," Foreign Affairs, Li (October 1972), 181-209. Davis, Forrest. "Roosevelt's World Blueprint," Saturday Evening Post, ccxv (April 10, 1943), 20-21, 109-10. Graebner, Norman A. "Cold War Origins and the Continuing Debate," Journal of Conflict Resolution, xin (March 1969), 124-32. Maddox, Robert James. "Atomic Diplomacy: A Study in Creative Writing," The Journal of American History, Lix (March 1973), 925-34. Maier, Charles S. "Revisionism and the Interpretation of Cold War Origins," Perspectives in American History, iv (!97°). 313-47· Mastny, Vojtech. "Stalin and the Prospects of Separate Peace in World War II," The American Historical Review, Lxxvii (December 1972), 1365-88. 411
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Perlmutter, Oscar William. "Acheson and the Diplomacy of World War II," The Western Political Quarterly, xiv (December 1961), 869-911. Pogue, Forrest G. "Why Eisenhower's Forces Stopped at the Elbe," World Politics, iv (April 1952), 356-68. Richardson, J. L. "Cold-War Revisionism: A Critique," World Politics, xxiv (July 1972), 579-612. Schlesinger, Arthur, Jr. "Origins of the Cold War," Foreign Affairs, XLVI (October 1967), 22-52. Wright, Theodore P. "The Origins of the Free Elections Dispute in the Cold War," The Western Political Quarterly, xiv (December 1961), 850-64.
412
INDEX
Acheson, Dean, 365 Advisory Commission on Postwar Foreign Policy (US), 68, 70-76, 80-82, 85 Agrarian party (Bulgaria), 266, 270, 322 Allied Control Commission (Bul garia), 268, 270; election post ponement, 308-309; Truman on, 298; USSR dominance, 168, 266-67, 271; US and, 187, 278 Allied Control Commission (Hun gary): Truman on, 298; USSR dominance, 169-70; US and, 187, 278 Allied Control Commission (Ru mania); Groza resignation issue, 301-303; Truman on, 298; USSR dominance, 167, 267; US and, 187, 257-60, 262, 278 Allied Control Commissions: dis mantling, 332; and Potsdam Conference, 295-97, Truman on, 298; USSR dominance of, 16770, 255-56, 266-67, 271, 278, 282-83, 285-87; USSR revisions, 295-97; a n d US, 187, 257-60, 262, 273-74. 277-78. 282-83, 285-87, 295-97. 314 Alperovitz, Gar: ix, 6; on atomic diplomacy, 297η, 319η; on Bulgarian policy, 310η; on Lend Lease policy, 281η, 282η, on Polish policy, 176η, 225η, 230η, 24m, 25m; on Rumanian pol icy, 310η Anglo-Soviet Treaty (1942), 18-37, 101η, 371 Arciszewski, Tomasz, 123-24, 181
413
armistice agreements Hungary, Rumania),
(Bulgaria, 165-71
Armstrong, Hamilton Fish, 70η, 197 Atherton, Ray, 66 Atlantic Charter: and Baltic States, 19-21, 25-27, 31, 72-73; and Declaration of the United Nations, 18; and Declaration on Liberated Europe, 175, 186; and disarmament, 26; drafting, 1417; and international organiza tion, 84, 87; and Polish issue, 5 6 -57. 59. 72. 89, 93, 125-26, 132-35, 177-78; and public opinion, 86, 198, 381-83, 388; and spheres of influence, 129, 140-41, 144, 153, 171-72, 384-85; and self-determination, 178, 196, 198, 370; and territorial settle ments, 19-22, 57, 62, 76, 83, 8789, 370-71; and USSR security interests, 27-28, 135, 389-90, 392; US commitment to, 8, 293 1 · 37. 40, 376-77. 388; and Yalta Conference, 188, 190; and Yugoslavia, 164, 344-45 Atomic diplomacy, 3, 319η, 369 Austria, 276, 283, 326, 360 Balkans: Anglo-Soviet agreement, 144-59, 262; as USSR security zone, 333; US military in, 78-80, 145-46, 149, 152; US policy, 145-59. See a ' s o Eastern Europe; specific country Baltic States, 333; and Great Brit ain, 19-21, 25-32; Hull's protec torate proposal, 32; USSR
INDEX Baltic States (cont.) incorporation, 19-23, 26-28, 3032, 34, 64, 253-54, 392; and US, 19-32, 72-73, 253-54, 392; Welles proposal, 31-32, 34. See also specific country Barnes, Maynard B., 256η; on Allied Control Commissions, 278; and Bulgarian elections, 268-69, 279-80, 286, 306-13, 324; on Bulgarian trade, 281; and Declaration on Liberated Eu rope, 267, 387 Benes, Edvard, 335, 395; free election commitment, 362; gov ernment in exile, 160, 358; troop withdrawal issue, 362, 365-66 Berle, Adolf, 72; Baltic States issue, 31-32; opposition to spheres of influence, 32, 153-54; on terri torial commitments, 11-12 Berlin Conference. See Potsdam Conference Berry, Burton Y., 256η, 387 Bessarabia, 71-73, 81 Bidault, Georges, 272 Biddle, Anthony: and spheres of influence, 68; USSR-Poland con flict, 50, 57 Bierut, Boleslaw, 239, 251; free elections issue, 240, 248; and Presidential powers proposal, 208 Bohlen, Charles E., 379-80; Dec laration on Liberated Europe, 272; on Emergency High Com mission proposal, 173-74; on Polish policy, 95η, 131, i8gn, 190, 21m, 222, 224; on spheres of influence, 135-37, '57> o n USSR foreign policy, 154 boundaries: 1921, USSR-Poland, 60; 1941, USSR, 19, 27, 38, 59, 62, 69, 72, 107; and citizenship
414
disputes, 42, 53-54; Finland, 19, 22; Poland-USSR conflict, 38-43, 5!-54- 57. 59-6 1 - 72-73. 125-26, 177; Poland, western frontier, 293; Ribbentrop-Molotov line, 42, 51, 59-60; Riga frontier, 60, 71-73, 81. See also Curzon line Bowman, Isaiah: on territorial settlements, 80-81, 84; on USSR security zone, 134-35; on US Polish policy, 98 Bukovina, 71-72 Bulgaria, 380; Allied Control Commission, 168, 187, 266-68, 270-71, 278, 297-98, 308-309; armistice agreement, 165, 16768, 379; Communist party in, 266, 269, 273; and Declaration on Liberated Europe, 274, 279, 308, 310, 312-13, 391; Ethridge mission, 322-26, 330, 333; Fa therland Front, 266, 270-71, 322, 324, 331; free elections issue, 268-72, 280-91, 294, 306-13, 31516, 320, 322-25, 327, 330-31, 374; Moscow Conference (1945), 328-30; peace treaty issue, 29394. 323-24. 332. 375; Potsdam Conference, 3, 288-95, 297-98; recognition issue, 3, 282-84, 287, 291-94. 315-19. 33i; Red Army in, 266, 324; repression in, 266, 274; and spheres of influence arrangement, 150, 158, 298; trade agreements, 281; USSR control, 64, 266-77, 288, 297, 312-13. See also Eastern Europe Bullitt, William: on Balkan front, 79-80; on territorial settlements, 82; on USSR war aims, 64-65 Byrnes, James, 4; and Allied Con trol Commission changes, 29596; and Bulgaria, 309-10, 312, 397; Czechoslovakia occupation,
INDEX 366η, 368; and Emergency High Commission proposal, 174-75; Ethridge mission, 322-23; free elections policy, 245-47, 29°>
citizenship: USSR-Poland con flict, 42, 52-56, 59 Clark-Kerr, A.: Moscow Commis sion, 183, 202-203; Poland-USSR conflict, 55, 202-203; Rumanian Commission, 328 Clemenceau, Georges, 179 Comintern, 65 Communist party (Bulgaria), 266, 269, 273 Communist party (Rumania),
2
97. 3°9- 10 > 3 ^ , 3!5- ι 6 > 35 2 · 397; Groza government crisis, 304; and Hungary, 318; London Conference, 315-16, 318; Mos cow Conference (1945), 327-29; peace treaties, 293-94; Polish policy, 245-47; Potsdam Con ference, 290, 292, 295-97, 376· recognition policy, 292-94, 31519, 321; and Yugoslavia aid, 352, 356 Cadogan, Alexander, 13-14 Cannon, Cavendish W., 314, 344, 379-80 Carpathian Mountains, 71-72 censorship: in Bulgaria, 274; in Rumania, 302 China, 333; and Yalta Confer ence, 192 Churchill, Winston, 29, 32; AngloSoviet Yugoslav agreement, 33638, 346; Atlantic Charter, 1316, 27, 370; Balkan recognition, 292-93; and Baltic States, 32; Katyn massacre, 45-47; Mediter ranean policy, 92«, 93η; Moscow Commission, 204-10; Polish policy, 45-47, 50, 89-92, 93η, ιοο-ioi, 138, 178-80, 204-10, 212-13, 224, 229-34; and Ruma nia, 262-63; spheres of influence policy, 92η, 93«, 144, 147-51, 157-59; and territorial settle ments, 12-13, 20; Warsaw up rising, 110-11, 113; Yalta Con ference, 178-80; and Yugoslavia, 187, 348-49. See also Great Britain Ciechanowski, Jan, 130
273. 325 Council of Foreign Ministers, 313, 327, 331, 366. See also London Conference; Moscow Conference (1945) Cox, Oscar, 103, 129 Crane, John Α., 256η; on Bulgaria, 267-69, 273-76, 278,308-309,311; on US economic aid, 281 Crimea Conference. See Yalta Con ference Curzon line: Roosevelt acceptance, !77> 192-95. 199. 387. 398; USSR demand, 20, 60-61, 73, 89-105, 193; US policy, 60-61, 71, 73, 120-21, 124-26, 137, !92-95. 201, 371-72, 383. See also boundaries; Poland Czechoslovakia, 72, 164, 380; Allied occupation, 162, 359-68, 373. 375. 379; ^ e elections, 362, 365, 368; Great Britain commit ment, 14; Prague liberation, 359-61; USSR sphere of influ ence, 11-12, 160-61; USSR treaty, 1943, 160-61. See also Eastern Europe
415
Davies, Joseph: and anti-Bolshe vism, 66; USSR-Poland conflict, 44, 57, 82, 98 Declaration on Liberated Europe: agreement, 184-86; and BuI-
INDEX Declaration on Liberated Europe: agreement (cont) garia, 267-73, 2 79- 3°8> S1O, 31213, 391; Emergency High Com mission proposal, 199; Potsdam Conference, 288-89, 294> 296-97; Rumania, 258-62, 264-65, 273, 299-3°!. 3 1 S. 39 1 : a n d USSR spheres of influence, 255, 274, 326-27, 331, 373; US recognition policy, 284, 286-87; Yugoslavia, 346, 348-49, 351-52, 354-56, 358 Declaration by the United Na tions, 186; and Anglo-Soviet treaty, 1942, 34; and Atlantic Charter, 18 DeGaulle, Charles, 379 disarmament: and Atlantic Char ter, 15, 26 Divine, Robert, 3 Dubrow, Elbridge, 379-80; Polish issue, 224; on USSR policy, 8485, 333; on USSR trade, 281, 333; on US recognition policy, 282-84 Dulles, John F., 4 Dumbarton Oaks Conference, 174 Dunn, James Clement: PolandUSSR conflict, 107, 119-20, 131, 222, 224; on Yugoslavia, 337-38, 343 Eastern Europe, 4; and Cold War origins, 3-9; democratic prin ciples in, 385-86; federation proposal, 73-74; and inter national organization proposals, 84-88; opposition leaders in, 299- 3° 8 · 328-30. 390-9 1 ; USSR security interests, 27-28, 134-35, 388-95; USSR sphere of influ ence, 62-70; USSR territorial demands, 19-37; USSR trade agreements, 281, 333, 374-75;
416
US military in, 77-80, 165, 170, •99. 27 1 . 373; US policy plan ning, 70-76, 87-88, 378-88; US recognition policy, 289-94, 297; Yalta Conference, 192-95, 198201. See also Balkans; specific country Eden, Anthony, 78; Anglo-Soviet Treaty, 18-20, 34, 36; Czecho slovakia occupation, 359; Poland-USSR conflict, 89-90, 94, 131, 177; Potsdam Confer ence, 290; USSR territorial demands, 27, 33 Eisenhower, Dwight D., 79; Czechoslovakia, Allied occupa tion, 360, 364, 367 Emergency High Commission for Europe, 173-76, 200, 380 Estonia: Welles compromise, 31. See also Baltic States Ethridge, Mark, 322-26, 330, 333 European Advisory Commission, 165, 174 Export-Import Bank, 249 Feis, Herbert, ix, 5, 18η, 32η, 3571, 48η, son, 115η, 155η, 177η, 184«, 240η, 294" Finland: elections, 270, 326; free press, 298; Potsdam Conference, 293; USSR territorial demands, 19, 22, 30, 81; US recognition policy, 282-84, 292; Welles proposal, 31 Forrestal, James V., 226 Four Freedoms, 86 Four Nation Declaration, go, 94; and spheres of influence, 141 Fourteen Points, 86 France: London Conference, 31718; Reparations Commission, 235 Free elections: Atlantic Charter,
INDEX 198; in Bulgaria, 268, 279, 28991, 294, 306-13, 315-16, 318, 325,
327-32, 374; in Czechoslovakia, 362, 365, 368; a n d Declaration on Liberated E u r o p e , 255; and democratic traditions, 385-87; in H u n g a r y , 280, 285, 318; in Italy, 315; L o n d o n Conference issue, 315-16, 318-19; Moscow Commission, 202, 208, 211; Moscow Conference (1945), 328; a n d peace treaties, 285-87, 29394. 299-301, 307. 365, 375;
in
P o l a n d , 173, 178-80, 183-84, 202, 208, 211, 213-14, 240-51; P o t s -
d a m agreement, 293-94, 297; R u m a n i a , 260, 299-301, 315-16,
318, 325-30, 332; a n d USSR security interests, 389, 393; US
87; a n d Anglo-Soviet talks, 1942, 18-37, 37i; and Balkans, 78-79, 262, 285-86; a n d
Baltic
S t a t e s , 19-21, 25-32; a n d B u l -
garia, 306, 310-11; Curzon line, 90-91, 96, 371; Czechoslovakia, Allied occupation, 359; Czechoslovakia-USSR alliance, 161; free elections issue, 180, 184, 245, 247. 290, 348-49, 353-54;
and
Greece, 290, 337- Katyn massacre, 45-47; L o n d o n Conference, 313-14; M e d i t e r r a n e a n interest, 92n-93n, 337; Moscow Commission, 202-12; Moscow Conference (1945), 327; oil e q u i p m e n t in R u m a n i a , 296; Poland, government f o r m a t i o n , 227-29, 234, 238-39, 241; P o l a n d ,
p o l i c y , 108-109, 179-80, 267-72, 279-80, 288-92, 294, 297, 374-
75. 381, 383- 385-87; and US recognition policy, 285-86, 31519. 328-32. 375-78; Yalta Conference, 186; in Yugoslavia, 348, 3V-53' 356 Free G e r m a n Committee, 65, 67 Frontiers. See b o u n d a r i e s Gaddis, J o h n , 132", g i g n G e r m a n Silesia, 231 G e r m a n y , 4, 24, 65, 78, 164, 234, 276, 360, 381, 384, 393-94; Katyn massacre, 44-47; separate peace consideration, 51-52; surrender, 361; Yalta Conference, 192 Good N e i g h b o r policy (US), 153 governments-in-exile: US policy, 74-75, 119, 386. See also Poland (government in exile) Grabski, Stanislaw, 236 Graebner, Norman, 3 Great Britain, 192; a n d Allied Control Commissions, 278, 28541
interim government, 178-80, 183-84, 202-12; Poland, Presidential powers proposal, 208, 211, 374; Poland-USSR conflict, 45-47. '77-78, 234, 245, 247-48; Polish citizenship issue, 51, 5556; postwar c o m m i t m e n t s , 1115; Potsdam Conference, 290; recognition policy, 292-93, 314; separate peace fear, 18, 27, 33; spheres of influence, 141-59, 313-14, 321, 331, 384, 388;
territorial settlements, 12-13, 20-21, 24-37, 3 7 ° ; W a r s a w u p -
rising, 110-11; Yalta Conference, 177-80, 183-87; and Yugos l a v i a , 11, 14, 339-46, 348-49,
352-54; Yugoslavia, Anglo-Soviet a g r e e m e n t , 336-38, 344-45. See
also Churchill, W i n s t o n ; E d e n , Anthony Greece, 376, 392; free elections in, 289-90, 315-16; a n d
Great
Britain, 337; Potsdam Conference, 289-90; spheres of influ-
INDEX Greece (cont.) ence arrangement, 144, 147-48, 150-51, 158; and USSR security interest, 332-33 Grew, Joseph, 379; Czechoslovakia, Allied occupation, 360-61; Polish question, 219, 243; post war predictions, 36m-362n; on spheres of influence, 217; Yugo slav interim government, 342-45 Groza, Petru, 261, 274, 300-301, 321. See also Rumania Halifax, Lord Edward, 131; and territorial settlements, 25-27; and Yugoslavia recognition, 343 Harriman, Averell, 271; armistice agreements, 167-69; and Bul garia, 168, 306; Czechoslovakia, Allied occupation, 363-64; free elections issue, 168, 242, 306; and Hungary, 169, 278; Moscow Commission, 202, 204-207, 210; Polish question, 96-98, 100, 103, 106-107, 118, 122-23, 1 2 D ~ 28, 183, 212-13, 215, 219-20, 225, 227; and Rumania, 167, 265, 328; and spheres of influence, 157-58, 216-21; on territorial expansion, 117-18; US recog nition policy, 282-83; Warsaw uprising, 111, 113-17; Yalta Conference, 183 Hickerson, John D., 148; on Emergency High Commission, 173; on spheres of influence, 327, 333 Hitler, Adolf, 30, 45 Hopkins, Harry, 33, 129, 157; and Declaration on Liberated Eu rope, 190; trip to Moscow (May 1945). 234-38 Horowitz, David, 6, 176η Hull, Cordell: on Anglo-Soviet
418
Treaty, 34; and anti-Bolshevism, 66; Balkan protectorate pro posal, 32; Four Nation Declara tion, 90; Moscow Conference (1943). 9°. 94. ML 3 % o n Munich agreement, 161; Polish question, 48, 54-55, 95, 99, 105106, 126-27, 130, 133; on spheres of influence, 63, 141, 145, 147, 151-52; on United Nations, 379; Warsaw uprising, 113-14 Hungary, 165, 274, 276; Allied Control Commission, 187, 283, 296-98; Anglo-Soviet agreement, 158; armistice, 168-70, 379; elections in, 280, 285, 318, 326; free press issue, 294, 298; peace treaty, 293-94, 332; Potsdam Conference, 3, 292-95, 297-98; recognition issue, 283, 292-94, 297, 318-19, 375; Yalta Confer ence, 187. See also Eastern Europe Huston, Cloyce, 166, 321 International organization: and Emergency High Commission proposal, 173-74; Polish partici pation, 230-32; proposals for, 85-88; and public opinion, 8586, 127, 198, 383; and spheres of influence, 141, 143, 147-49, 151, !53. »56. !88, 214, 372; and territorial settlements, 120-21, 127, 227. See also United Nations International Red Cross: Kat^n massacre, 45-47
Iran, 333 Isolationism: in US, 6, 15-17. See also public opinion (US) Istria, 14 Italy, 78, 146, 332, 370, 376, 392, 394; Allied Control Commission,
INDEX 271, 278, 295; armistice, 165, 170; free elections issue, 315-16; Potsdam Conference, 291, 293, 296
peace treaty discussion, 314-16,
Katyn massacre, 44-47, 49, 56 Kennan, George: German Silesia, 231; Polish issues, 233, 387 Klieforth, A. W., 363 Kolko, Gabriel: on Czechoslovakia, 358«, 359«, 360η, 36m; on East ern Europe policy, 6, 154η, 176η, 279η,28ιη Korea, 334
319 Long, Breckinridge: Polish issue, 130-31; and spheres of influ ence, 147-48, 152 Lublin government (Poland): composition of, 176-83, 195, 215, 228-30, 233; establishment of, 92-93; free elections issue, 173, 178-80, 183-84, 202, 208, 211, 213-14, 240-51; Harriman on, 117; and Moscow Commission, 202-10, 212; USSR recognition, 93, 102, 123-24; US nonrecognition, 123-25, 176-77; US recognition of, 240-41; Yalta Conference, 189. See also Po land; Poland (government-inexile) Lwow, Poland, 91, 103, 121-22, 177
LaFeber, Walter, 3 land reform: in Poland, 210, 215 Lane, Arthur Bliss: Polish issue,
MacLeish, Archibald: on Atlantic Charter, 198; Polish policy, 224; Yugoslavia interim government,
225, 243-49 Latvia: Welles proposal, 31. See also Baltic States Leahy, William, 379; Polish issue, 226; on recognition policy, 3; on spheres of influence, 141-42, 151; on Warsaw uprising, 112; on Vichy France, 379; Yugo slavia recognition, 357 Lend Lease, 14, 64; as bargaining tool, 256, 271, 28m, 282η, 287, 374, 395; Bulgarian issue, 271; curtailment, 235; USSR and, 64. 334 Liberal party (Rumania), 256 Lithuania: Welles proposal, 31. See also Baltic States Litvinov, M., 29 London Conference, 313-20; free election issue, 315-16, 318-19;
343 Maisky, Ivan, 36 Maniu, Iuliu, 265-66 Marshall, George C : Czechoslo vakia, Allied occupation, 360; Polish issue, 219, 226; Warsaw uprising, 112 Marshall Plan, 389 Matthews, H. Freeman, 379; on Poland, 224, 284; on spheres of influence, 145; on Yalta Con ference, 191 McCloy, John J., 259, 363η McMahon, Brien, 224 McNeill, William, 5 Mediterranean: Great Britain interests, 92η, 93«, 337; USSR interests, 333 Melbourne, Roy M., 299-300, 302-
Japan, 332-33, 361, 376, 379, 392, 394; Yalta Conference, 192 Joint Chiefs of Staff (US), 111 Joint Intelligence Committee of the Joint Chiefs of Staff (US), 69
419
303
INDEX Michael, King, 165; Groza govern ment, 261, 299-304, 312-13, 321 Mikolajczyk, Stanislaw, 236-37; Curzon line, 91-93, 120; free elections issue, 248; and London government, 91, 123, 131; Lub lin government composition, 181, 215; Lwow question, 12122; Moscow Commission, 204, 206-208, 236-38; Moscow visit, 92-93, 109; in Polish Govern ment of National Unity, 239-40, 250; US visit, 103-106; Yalta agreement, 207-208 Molotov, V. M.: Allied Control Commission revisions, 295; Anglo-Soviet Treaty, 34-37; and Bulgaria, 270; Declaration on Liberated Europe, 187; Four Nation Declaration, 94; on free elections, 270, 289, 291, 328; and Greece, 290; Groza government crisis, 304, 316-17; Moscow Com mission, 202, 205-206, 211; Mos cow Conference (1943), 94; Moscow Conference (1945), 328; Polish policy, 180-81, 183, 205206, 211, 222, 227; Potsdam Conference, 292; Roosevelt meeting, 1942, 36-37; and Ru mania, 262; recognition issue, 292, 315-18; Warsaw uprising, 116; Winant conversation, 3436; Yalta Conference, 180-81, 183 Monroe Doctrine, 143 Moscow Commission, 233, 269; composition of, 202-206, 212; free election impasse, 202-203, 208, 211; interim government at tempt, 204-205, 237-38; Miko lajczyk role, 204, 206-208, 23638; and political truce, 209-10; 420
presidential council proposal, 205, 8o8, 211, 374 Moscow Conference (1943), 98, •43· 383; and collective security, 94; Four Nation Declaration, 90, 141; Polish question, 90, 126 Moscow Conference (1945), 33233. 376; and free election issue, 328, 330; peace treaty issue, 327; recognition issues, 328-30 Mosely, Philip E., 332 Munich agreement, 28, 161 Murphy, Robert: Czechoslovakia, Allied occupation, 360, 364, 367 Murray, Wallace, 146-48 National Democratic Front (Rumania), 256, 261 National Fatherland Front (Bulgaria), 266, 270-71, 322, 324. 33 1 National Front (Yugoslavia), 354 National Liberal Party (Ruma nia), 328 National Peasant Party (Ruma nia), 265-66, 328 nationalism: in Eastern Europe, 68-69 North Atlantic Treaty Organiza tion (NA TO), 389 Office of Strategic Services (OSS): Eastern Europe policy pro posals, 82-83; on USSR war aims, 64, 67-68 Office of War Information, Propa ganda Directives on Poland, 244; on Rumania, 298η, 300η, 302«; on Yugoslavia, 350 Pan-Slav movement, 65, 68 Partisan movements: Tito's Yugo slav, 65, 164, 339, 347; USSR use of, 67-68
INDEX Partisan National Committee of Liberation (Yugoslavia), 336 Pasvolsky, Leo: on Emergency High Commission, 174; on territorial settlements, 119; and Yugoslav interim government, 343 Patterson, Richard, 342, 347, 350; US Yugoslavia recognition, 342, 347- 35 1 - 355; Yugoslavia elec tions, 350, 354 Patterson, Robert, 367 Patton, George, 359 Peace treaties: Bulgaria, 286, 319, 332; and Declaration on Liber ated Europe, 286-87; and free elections issue, 285-87, 293-94, 299-301, 307. 3 l 6 > 375; Great Britain policy, 285-87, 314; Hungary, 286, 332; London Conference, 314-16, 319; Mos cow Conference (1945), 327; Potsdam Conference, 289, 29394, 299, 307; Rumania, 286, 299301, 304-305, 319; USSR policy, 314, 316, 319; and United Na tions membership, 294, 301; US policy, 285-87, 294, 314, 316, 323-24, 375 Peasant party (Poland), 239 Peasant party (Rumania), 256-57 Peter, King: Tito-Subasic agree ment, 339-42, 345-47; Truman communication, 350 Poland: Churchill-Stalin agree ment, 92η, 93η; free elections issue, 173, 178-80, 183-84, 18990, 197, 213-14, 374; German Silesia, 231; Great Britain and, 11-15. 5'> 55-5 6 . 177-80, 183-84, 202-12, 227-29, 234, 238-39, 245, 247-48; interim government proposals, 177, 195, 202-12; Katyn massacre, 45-47; land re
421
form, 210, 215; Moscow Com mission, 202-12; political re pression, 209-10, 215, 232-33, 237, 252; Presidential committee proposal, 181-82, 184, 199, 208, 211, 374; Red Army in, 103, 117, 164, 179-80, 182, 248-49; relief activities, 38, 40-42, 52, 54-56; San Francisco Conference, 23032; Underground, 92, 103, 11017, 138; USSR alliance, 1945, 231-32; USSR citizenship dis pute, 39-42, 58-59; US policy influences, 64-65, 382-85; US recognition policy, 107-109, 123-25, 240-41, 251, 375, 377; Warsaw uprising, 92, 110-17, 379; Yalta agreement, 172-84, 188-90, 195, 207-208. See also boundaries; Curzon line; East ern Europe; Lublin govern ment; Poland (government-inexile); Polish Government of National Unity Poland (government-in-exile): composition of, 49-51, 53-54, 58-59- 89-93, 97- 99-105. 118, 121, 137, 201, 371-72; free elec tions issue, 105, 108-109, 111; Katyn massacre, 45-47; Lwow question, 121-22; MikolajczykRoosevelt visit, 103-106; and Moscow Commission, 202-204, 206-208, 212; political prisoners issue, 39-40; USSR boundary conflict, 38-43, 51-54, 57, 59-61, 89-105; and United Nations, 230; US policy, 39-61, 75, 11921, 193, 387; Yalta Conference, 178, 180-81, 189. See also bound aries; Curzon line; Lublin gov ernment; Poland; Polish Gov ernment of National Unity
INDEX Polish Committee of National Liberation. See Lublin government Polish Government of National Unity: formation, 182-83, 23940; free election issue, 241-51; US credits, 249-50; US recognition, 251 Polish Underground: and Red Army, 92, 103, 138; Warsaw uprising, 110-17 Potsdam Conference, 376, 383, 390, 396; and Allied Control Commissions, 295-97; a n d Bulgaria, 3, 288-94; Declaration on Liberated Europe, 288-89, 294, 29697; Finland, 289, 292; free elections issue, 245-46, 28g-go, 292, 294, 297; Hungary, 3, 289, 29293; Italy, 291, 296; peace treaties, 287, 289, 293-94, 299. 301, 307; press freedom issue, 290-92, 294; recognition issue, 3, 289-94; Rumania, 3, 288-94; spheres of influence, 298; Yugoslavia, 348-50 Presidential committee proposal (Poland), 181-82, 184, 199, 208,
! » . 374 press, freedom of: in Eastern Europe, 290, 292, 294, 298 public opinion (Great Britain): and Atlantic Charter, 15; Moscow Commission, 204-205 public opinion (US): anti-Bolshevik, 66; Atlantic Charter, 86, 198, 381-83, 388; Declaration on Liberated Europe, 272; and Eastern Europe, 193, 378, 38082; education of, 383; international organization, 85-86, 127, 198, 383; isolationism, 6, 15-17; Lwow question, 121; Po-
land policy, 45, 58, 95, 121, 12731, 138, 173-75, 183, 194, 222-24, 235-44, 246, 382; and self-determination, 196-97; and spheres of influence, 128-29; territorial settlements, 13; US occupation forces, 199-200; Warsaw uprising, 115 Radescu, Nicolae, 256-57, 261 Red Army: in Bulgaria, 266, 324; in Poland, 103, 117, 164, 179-80, 182, 215, 248-49, 252; as political tool, 164-65, 255; in Rumania, 256-61 Reparations Commission, 235, 293 Ribbentrop, Joachim von, 51 Ribbentrop-Molotov Pact (1939), 28, 39, 51 Riga line, 38, 60, 71-73. See also boundaries Riga, Treaty of, 38 Roosevelt, Franklin D., 64, 66, 379, 390, 393; Atlantic Charter, 1317, 175-78, 184, 188, 193, 370; on Balkans, US troops in, 78; on Baltic States, 77; and Bulgaria, 187; Curzon line, 94-95, 99-105, 118, 125, 137, 177, 192-95, 199, 387, 393; Declaration on Liberated Europe, 175, 184-87, 259; Eastern Europe policy, 378-82; and Emergency High Commission proposal, 174-75, 380; and Hungary, 187; international organization, 86, 188, 192; Katyn massacre, 45-46; Lublin government, 123-24, 176, 189, 210; Lwow question, 121-22, 177; Mikolajczyk visit, 103-106; Molotov visit, 1942, 36-37; Poland (government-tn-exile), 43, 45-46, 48, 103-106, 181, 193;
422
INDEX Poland, interim government, 177-79, 182-84, 188-90, 195; Polish policy, 44, 130, 172-84, 188-90, 212-13, 224-25; and Rumania, 187, 263; and spheres of influence, 141, 144, 148-52, 157-58; Teheran Conference, 390; territorial settlements, 12-15, 25-28, 60, 177, 188, 19295. 298, 370-72, 393; Warsaw uprising, 110-13, 1 1 G; Yalta Conference, 172-84, 188-90, ig2, 376; and Yugoslavia, 187, 346 Rosenman, Samuel, 190 Rostow, Walter W., 5 Rumania, 313, 380; Allied Con trol Commission, 167, 187, 25760, 262, 267, 273, 278, 298, 301303; Anglo-Soviet talks, 1942, 20, 30; armistice agreement, 165-67, 379; censorship in, 302; Com munist party in, 273, 325; and Declaration on Liberated Eu rope, 260-61, 264-65, 299-301, 313, 391; Ethridge mission, 322, 325-26, 333; free elections issue, 289-92, 294, 300, 315-16, 325-27, 330, 374; Groza government, 262, 264, 299-306, 312-13, 31516, 320-21, 330, 333; Moscow Conference (1945), 328-30; National Liberal party, 328; National Peasant party, 328; oil equipment issue, 296; peace treaty, 293-94, 301, 304-305, 332, 375; Potsdam Conference, 3, 288-98; Radescu government, 256-61, 272; recognition issue, 282-84, 286-87, 289-93, 297> 300, 304, 328-30; Red Army in, 164-65, 256-61; and spheres of influence arrangements, 20, 30, 144, 147-48, 150-51, 158; trade
4*3
agreements, 281; USSR control, 64, 257-66, 273-77, 299: 30!-3o6; Yalta Conference, 187, 259-60. See also Eastern Europe San Francisco Conference, 230-32, 235 Sargent, Sir Orme, 313 Schoenfeld, H. F. Arthur, 256η, 28o, 285 Schuyler, Cortlandt Van R., 256η; on economic aid, 281; on Ruma nia, 257-61, 274-76, 281,286,303 Second front: Allied landings, 104; Balkans proposal, 78; and territorial settlements, 33-34; and USSR-Poland conflict, 49, 51; Winant-Molotov coversation, 35 secret agreements. See spheres of influence; territorial settlements self-government: in Atlantic Charter drafting, 17, 196, 198; Declaration on Liberated Eu rope, 186; and governments in exile, 74-75; US policy, 95, 15556, 178 Shantz, Harold, 351 Sikorski, Wladyslaw, 43, 45, 47, 50, 53 Smith, Gaddis, 6 Socialist party (Bulgaria), 322 Socialist party (Poland), 239 Spain, 316 speech, freedom of: and Atlantic Charter, 16; in Bulgaria, 274 spheres of influence, 255; AngloSoviet Balkan agreement, 14452, 262, 265-66; Anglo-Soviet Yugoslav agreement, 336-38, 345-46; and armistice agree ments, 170-71; and Atlantic Charter, 171, 384-85, 388; BaI-
INDEX spheres of influence (cont.) kan issue, 275-77; Declaration on Liberated Europe, 255, 274, 326-27, 331, 373; Ethridge mission, 325-27; Great Britain policy, 388; and international organization, 141, 143, 147-49, !51. 153. !56. 188, 372; public opinion, 128-29; Truman on, 298; USSR in Eastern Europe, 255. 274, 325-27, 331-34, 373, 384-85, 394-95; USSR security interests, 27-28, 134-35, 333. 388-95; US opposition to, 12829. 140-59. ·72, 3 6 9. 372- See also territorial settlement Stalin, Josef, 32, 77; and Allied Control Commissions, 295; Anglo-Soviet Treaty, 1942, 1922, 37; Anglo-Soviet Yugoslav agreement, 336-38, 346; and Bulgaria, 328; Curzon line, 9092. 94-95. 99-103. 179. 193; Czechoslovakia, Allied occu pation, 366, 368; on free elec tions, 328, 348; and internation al organization, 86; and Italy, 291; Katyn massacre, 45-47; and Moscow Commission, 210; Mos cow Conference (1945), 328; Polish issue, 41, 44, 50, 54-57, 179, 190, 215, 227-29, 234-39; recognition policy, 282-84, 328; and Rumania, 262-63, 265; sec ond front, 33-34; separate peace consideration, 52; and spheres of influence, 65, 67, 69; terri torial demands, 1942, 25, 27, 29, 33; US recognition policy, 282, 284; Warsaw uprising, 110-11, 115; Yalta Conference, 179, 19091; and Yugoslavia, 348, 358 Stalingrad, battle of, 164 Standley, William H.: and USSR-
424
Poland conflict, 42-44, 53-55, 57; on USSR territorial aims, 63-64, 67 Steinhardt, Laurence, 368 Stettin-Trieste line, 283-84 Stettinius, Edward R., Jr., 379; on Emergency High Commission proposal, 174; Lublin govern ment, 124, 177; MikolajczykRoosevelt meeting, 105-106; Poland, interim government, 181-82; Poland, repression in, 232; Poland, US public opinion, 131-32, 198, 223-24; and Ruma nia, 259; and spheres of influ ence, 147; Yalta Conference, 181-82; and Yugoslavia, 345 Stimson, Henry L., 379; on Bal kan front, 78; Czechoslovakia, Allied occupation, 365; on East ern Europe democratic tradi tions, 386; Polish policy, 133-34, 216η, 218η, 219, 226 Stirbey, Prince, 261 Subasic, Dr. Ivan: resignation, 350-53; in Tito government, 336-37. 339-43. 346-47. 349. 357· See also Yugoslavia Taft, Robert, 223-24 Teheran Conference, 126, 390; Polish issue, 90, 92, 94-95, 99 territorial settlements, 14; AngloSoviet Balkan agreement, 14458, 262, 265-66; Anglo-Soviet talks, 1942, 19-21, 24-36; AngloSoviet Yugoslav agreement, 33638, 345-46; Atlantic Charter, 15; Great Britain policy, 12-13, 20-21, 24-37, 370; US policy, 12-15, 25-28, 60, 177, 188, 19295. 298, 370-72, 393; Yalta Con ference, 177. See also spheres of influence
INDEX Thayer, Charles, 339 Thompson, Llewellyn, 197, 245 Tito, Josip Broz: elections issue, 351-57; interim government, 336-47; and monarchy, 355; and Partisans, 64, 164, 339; terri torial settlement issue, 347; US aid, 356, 358 trade: and Atlantic Charter draft ing, 16; USSR-Eastern Europe, 281, 333, 374-75 Trieste, 347 T r u m a n Doctrine, 389 Truman, Harry S, 234; and Bul garia, 277, 288-89, 312; Czecho slovakia, Allied occupation, 36162, 367-68; Declaration on Liberated Europe, 277, 297-98; Eastern Europe policy, 378, 38081; free elections policy, 242, 245-46, 349; and Hungary, 277, 289; and Italy, 291; Moscow Conference (1945), 329-30; Po lish policy, 217-20, 222, 224-27, 242, 245-46; Potsdam Confer ence, 245-46, 288-89, 291, 348, 383; recognition policy, 284, 289, 292-93, 321-22, 329-31; and Rumania, 277, 288-89; a n t · USSR territorial aims, 4, 33334; US occupation forces, 361; and Yugoslavia, 349-50, 357 Turkey, 333 Ulam, Adam, 3, 96η, 386η Union of Polish Patriots, 44, 65, 67 Union of Soviet Socialist Repub lics (USSR): Allied Control Commissions, 167-70, 255-56, 266-67, 271, 273-74, 277-78, 28283, 285-87, 295-97; Anglo-Soviet Balkans agreement, 144-52, 15659, 262, 265-66; Anglo-Soviet
425
talks, 1942, 18-37, 37 1 '' AngloSoviet Yugoslav agreement, 33638, 344-45; armistice agree ments, 165-70; and Atlantic Charter, 27-28, 135, 389-90, 392; Balkan security zone, 333; and Baltic States, 19-23, 26-28, 30-32, 34. 64. 253-54. 392; and Bulgar ia, 64, 266-77, 288, 297, 312-13; Curzon line, 20, 60-61, 73, 89105, 193; Czechoslovakia, Allied occupation, 359-68, 375; Czecho slovakia treaty, 1943, 160-61; Ethridge mission, 323-24, 326; free election policy, 245, 269-70, 272-73, 280, 289-92, 315-17. 323-24, 326, 328, 348, 353; Free German Committee, 65, 67; German invasion of, 38; and German Silesia, 231; interna tional organization proposals, 84-86; Japan war, 192; Katyn massacre, 44-47; liberation forces, 164-66; London Confer ence, 314-16, 319; Mediterra nean interests, 333; Moscow Commission, 202-12; Moscow Conference (1945), 328-29; peace treaties, 314-16, 319; Po land, 1945 alliance, 231-32; Poland boundary, 20, 38-43, 5154. 57. 59-61. 73, 193-95; Po land (government-in-exile), 3861; Poland, interim government, 202-206, 210-12, 236-39; Poland, Lublin government, 90, 103, 123-24; Polish citizenship issue, 40-42, 58-59; Polish prisoners in, 39; Polish relief activities, 38, 40-42, 52, 54-56; and Rumania, 64. 144-54. 156-59. 257-66,27377, 299, 301-306; security in terests, 27-28, 134-35, 253, 333, 388-95; separate peace consid-
INDEX U n i o n of Soviet Socialist R e p u b l i c s (cont.) eration, 51-52; spheres of influence, 255, 274, 325-27, 33134, 384-85, 394-95; trade agreem e n t s , 281, 333, 374-75; U n i o n of Polish Patriots, 44, 65, 67; US policy studies, 11-12, 62-88, 117-18, 216-18; a n d US Polish policy, 251-54; US recognition policy, 289; Warsaw uprising, 110-17; Yalta Conference, 19093, 201, 223, 227-28, 235, 277, 286-87; a n d Yugoslavia, 343-47, 353. See also Curzon line; Molotov, V. M.; Stalin, Josef U n i t e d Nations, 294, 349, 379; Atlantic C h a r t e r principles, 376; a n d peace treaty issue, 294, 301; P o l a n d m e m b e r s h i p , 230-31; San Francisco Conference, 23032. 235 U n i t e d Nations C h a r t e r , 222, 277 U n i t e d States: a n d Allied Control Commissions, 273-74, 277-78, 282-83, 285-87; Anglo-Soviet talks, 1942, 18-37; Anglo-Soviet Yugoslav agreement, 162-63, 336-38, 344-45; armistice agreements, 165-70; atomic power, 3, 6, 319", 32on, 369; Balkan military involvement, 78-80, 145-46, 149, 152; Balkans recogn i t i o n , 288-94, 297; a n d Baltic States, 19-32, 34, 72-73, 77, 25354, 392; B o w m a n policy proposal, 80-81, 84; buffer states proposal, 66; a n d Bulgaria, 26672, 306-13; Curzon line policy, 95-97. 99-105,120-21, 124-26, 137. 177. 192-95. 383; Czechoslovakia, Allied occupation, 162, 359-68, 375, 379; Eastern Eu426
rope, military in, 77-80, 165, 170, 199, 271, 273; Eastern Eur o p e policy p l a n n i n g , 3-9, 70-77, 369-70, 378-88; E t h r i d g e mission, 322-27; free elections issue, 105, 108-109, 111, 179-80, 24154, 267-72, 288-92, 294, 297, 374-75. 378. 381. 383. 385-87; governments-in-exile policy, 108-109, n g ; L o n d o n Conference, 314-16, 319; Moscow Commission, 202-12; M u n i c h agreem e n t , 161; oil e q u i p m e n t in R u m a n i a , 296; a n d peace treaties, 285-87, 314-16, 319, 375; Poland (government-in-exile), 39-61, 105, 108-109, 111,k118-26, 130-32; P o l a n d , i n t e r i m governm e n t , 177-84, 195, 202-12, 22839; P o l a n d , L u b l i n g o v e r n m e n t , 123-25, 176-77, 196; P o l a n d , USSR control, 212-27, 231-32; Polish citizenship issue, 51-57, 59; Polish G o v e r n m e n t of National Unity, 239-54; Polish relief workers issue, 41-42, 52, 5456; P o t s d a m agreement, 296, 376; recognition policy, 108-109, 118-19, 121-33, 282-87, 314-19, 328-32, 342-48, 375-78; a n d R u m a n i a , 256-66, 299-306, 31213, 315-19; separate peace fears, 51-52; spheres of influence policy, 128-29, 140-59. 369. 372 394-95; territorial settlement policy, 11-15, l 8 - 3 7 . 56-57. 5 9 61, 117-21, 130-31, 177, 188, 192-95. 298, 370-72, 393; USSR, policy studies of, 62-88; a n d USSR security interests, 27-28, 134-35. 253. 333. 388-95; W a r saw u p r i s i n g , 110-17; Yalta Conference, 176-87, 376; a n d
INDEX Yugoslavia, 163-64, 336-37, 33948, 346-47. 351-53. 355-58· See also Atlantic Charter; public opinion (US); Roosevelt, Franklin; Truman, Harry S Vandenberg, Arthur, 243 Venezia Giulia, 347 Versailles Conference, 12-13, 179 Voice of America, 302 Vyshinsky, Andrey: and Rumania, 258, 261, 328; Warsaw uprising, 114-16 Warsaw Poles. See Lublin government Warsaw uprising, 92, 110-17, 379 Welles, Sumner: Atlantic Charter drafting, 14, 16-17; Baltic States proposal, 31-32, 73; on international organization, 85; Poland-USSR conflict, 50, 60; and territorial settlements, 13, 25-28, 83 Williams, William Appleman, 6, 159". ! 7 6 " Willkie, Wendell: Stalin meeting, 41-42; USSR-Poland conflict, 57 Wilson, Woodrow, 12, 86, 370, 393 Winant, John: on Anglo-Soviet Yugoslav agreement, 337; London Conference, 313; Molotov conversation, 34-36; Warsaw uprising, 115 Witos, Wincenty, 236 Yalta Conference: Declaration on
Liberated Europe, 184-87, 190, 195. »99. 2 ° ' . 373; J a P a n decision, 192; Moscow Commission, 202-204, 206-208, 211-12; Poland issue, 212-16, 218, 223-31, 233. 235-44, 255, 372; Rumanian issue, 259-60, 262-64; TitoSubasic government, 346; USSR in, 4, 190-93, 201, 223, 227-28, 235, 277, 286-87, 373; and US, 176-87, 200-201, 372, 376 Yugoslavia, 77; Anglo-Soviet agreement, 162-63, 336-38, 34445; and Atlantic Charter, 164; Declaration on Liberated Europe, 346, 348-49, 351-52, 35456, 358; elections in, 197, 348, 351-56, 374; government in exile, 1 ^S, 336-37; Great Britain postwar commitment, 11-12, 14; monarchy in, 339-42, 345-47. 350, 355; Partisan Anti-Fascist Council, 336, 340; Partisans, 164, 339-40. 344, 347; Potsdam Conference, 348-49; recognition issue, 163, 342-48, 355-57, 375'· Regency Council, 336, 340, 342, 346-47; Serb population, 337-38, 344; and spheres of influence, 150, 158; Tito-Subasic government, 336-37, 339-43, 346-48, 350-53; USSR and, 64-65, 34347. 353; Yalta Conference, 187, 228
Zulawski, Zygmunt, 236
427
Books Written Under the Auspices of the Institute of War and Peace Studies, Columbia University
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States Policy
(Prentice-Hall,
Donald J. Puchala and Richard L. Merritt, Western European Perspectives on International Affairs (Praeger, jointly with the Yale Political Data Program, 1968). William T. R. Fox, The American Study of International Relations (University of South Carolina Press, 1968). Louis Henkin, How Nations Behave (Praeger, jointly with the Council on Foreign Relations, 1968). Robert L. Rothstein, Alliances and Small Powers (Columbia University Press, 1968). William Zimmerman, Soviet Perspectives on International Relations, 1956-1967 (Princeton University Press, jointly with the Russian Institute 1969). Michael H. Armacost, The Politics of Weapons Innovation: The Thor-Jupiter Controversy (Columbia University Press, 1969). Dankwart A. Rustow, ed., Philosophers and Kings (Houghton Mifflin Company, jointly with the American Academy of Arts and Sciences, 1969). Leland M. Goodrich, Edward Hambro and Anne Simons, Charter of the United Nations: Commentary and Documents, 3rd. ed. (Columbia University Press, 1969). Alan James, The Politics of Peace-Keeping (Praeger, 1969). Mark Zacher, Dag Hammarskjold's United Nations (Columbia University Press, 1969). Roger Hilsman, The Politics of Policy Making in Defense and Foreign Affairs (Harper 8c Row, 1971). Steven L. Spiegel, Dominance and Diversity: The International Hierarchy (Little, Brown & Company, 1972). Robert L. Rothstein, Planning, Prediction and Policy-making in Foreign Affairs (Little, Brown & Company, 1972). Louis Henkin, Foreign Affairs and the Constitution (Foundation Press, 1972). Robert F. Randle, The Origins of Peace (Free Press, 1973). William T. R. Fox and Warner R. Schilling, eds., European Security and the Atlantic System (Columbia University Press, '973)Warner R. Schilling, William T. R. Fox, Catherine M. Kelleher, and Donald J. Puchala, American Arms and a Changing Europe: Dilemmas of Deterrence and Disarmament (Columbia University Press, 1973). Leland M. Goodrich and David A. Kay, eds., International Organization: Politics and Process (University of Wisconsin Press, 1973)·
Library of Congress Cataloging in Publication Data Davis, Lynn Etheridge, 1943The Cold War begins: Soviet American conflict over Eastern Europe. Bibliography: p. 1. United States—Foreign relations—Russia 2. Russia—Foreign relations—United States 3. United States—Foreign relations—Europe, Eastern. 4 Europe, Eastern—Foreign relations—United States I. Title. E183.8.R9D38 327.73Ό47 73-2476 ISBN 0-691-05217-4
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Electronics | Free Full-Text | Hybridizing of Whale and Moth-Flame Optimization Algorithms to Solve Diverse Scales of Optimal Power Flow Problem
The optimal power flow (OPF) is a practical problem in a power system with complex characteristics such as a large number of control parameters and also multi-modal and non-convex objective functions with inequality and nonlinear constraints. Thus, tackling the OPF problem is becoming a major priority for power engineers and researchers. Many metaheuristic algorithms with different search strategies have been developed to solve the OPF problem. Although, the majority of them suffer from stagnation, premature convergence, and local optima trapping during the optimization process, which results in producing low solution qualities, especially for real-world problems. This study is devoted to proposing an effective hybridizing of whale optimization algorithm (WOA) and a modified moth-flame optimization algorithm (MFO) named WMFO to solve the OPF problem. In the proposed WMFO, the WOA and the modified MFO cooperate to effectively discover the promising areas and provide high-quality solutions. A randomized boundary handling is used to return the solutions that have violated the permissible boundaries of search space. Moreover, a greedy selection operator is defined to assess the acceptance criteria of new solutions. Ultimately, the performance of the WMFO is scrutinized on single and multi-objective cases of different OPF problems including standard IEEE 14-bus, IEEE 30-bus, IEEE 39-bus, IEEE 57-bus, and IEEE118-bus test systems. The obtained results corroborate that the proposed algorithm outperforms the contender algorithms for solving the OPF problem.
Hybridizing of Whale and Moth-Flame Optimization Algorithms to Solve Diverse Scales of Optimal Power Flow Problem
by
Mohammad H. Nadimi-Shahraki 1,2,* ,
Ali Fatahi 1,2 ,
Hoda Zamani 1,2 ,
Diego Oliva 5
1
Faculty of Computer Engineering, Najafabad Branch, Islamic Azad University, Najafabad 8514143131, Iran
2
Big Data Research Center, Najafabad Branch, Islamic Azad University, Najafabad 8514143131, Iran
3
Centre for Artificial Intelligence Research and Optimisation, Torrens University Australia, Brisbane 4006, Australia
4
Yonsei Frontier Lab, Yonsei University, Seoul 03722, Korea
5
Departamento de Innovación Basada en la Información y el Conocimiento, Universidad de Guadalajara, CUCEI, Guadalajara 44430, Mexico
*
Authors to whom correspondence should be addressed.
Electronics 2022 , 11 (5), 831; https://doi.org/10.3390/electronics11050831
Received: 31 January 2022 / Revised: 26 February 2022 / Accepted: 1 March 2022 / Published: 7 March 2022
(This article belongs to the Special Issue 10th Anniversary of Electronics: Recent Advances in Artificial Intelligence )
The optimal power flow (OPF) is a practical problem in a power system with complex characteristics such as a large number of control parameters and also multi-modal and non-convex objective functions with inequality and nonlinear constraints. Thus, tackling the OPF problem is becoming a major priority for power engineers and researchers. Many metaheuristic algorithms with different search strategies have been developed to solve the OPF problem. Although, the majority of them suffer from stagnation, premature convergence, and local optima trapping during the optimization process, which results in producing low solution qualities, especially for real-world problems. This study is devoted to proposing an effective hybridizing of whale optimization algorithm (WOA) and a modified moth-flame optimization algorithm (MFO) named WMFO to solve the OPF problem. In the proposed WMFO, the WOA and the modified MFO cooperate to effectively discover the promising areas and provide high-quality solutions. A randomized boundary handling is used to return the solutions that have violated the permissible boundaries of search space. Moreover, a greedy selection operator is defined to assess the acceptance criteria of new solutions. Ultimately, the performance of the WMFO is scrutinized on single and multi-objective cases of different OPF problems including standard IEEE 14-bus, IEEE 30-bus, IEEE 39-bus, IEEE 57-bus, and IEEE118-bus test systems. The obtained results corroborate that the proposed algorithm outperforms the contender algorithms for solving the OPF problem.
Keywords:
optimization
;
metaheuristic
;
whale optimization algorithm
;
moth-flame optimization
;
optimal power flow problem
Graphical Abstract
1. Introduction
The most fundamental component of a power system is the ability to provide power demand at the lowest possible operational cost while adhering to various technological, economic, and certain system constraints [ 1 ]. The optimal power flow (OPF) plays a vital role as an important tool to discover the optimal decision variables of a power network to minimize intended objectives. Since the introduction of the OPF problem by Carpintier in 1962 [ 2 ], many researchers proposed various approaches including quadratic programming [ 3 ], nonlinear programming [ 4 ], interior point [ 5 ], and Newton algorithm [ 6 , 7 ] to solve this nonlinear and non-convex problem. However, these traditional approaches cannot provide competitive results in the case of multi-objective nonlinear functions as they mostly sink into the local optimum. Hence, designing optimizers with effective search strategies which can deal with such complexities and provide competitive results is still an open issue for solving the OPF problem.
Metaheuristic algorithms are a subset of stochastic algorithms that have been employed for solving complex problems such as feature selection [ 8 , 9 , 10 , 11 , 12 ], engineering [ 13 , 14 , 15 , 16 , 17 , 18 , 19 , 20 , 21 , 22 , 23 , 24 , 25 , 26 ], community detection [ 27 , 28 , 29 , 30 ], and continuous optimization [ 31 , 32 , 33 , 34 , 35 , 36 , 37 ] problems. Metaheuristic algorithms employ stochastic techniques to discover the promising areas by exploring the search space in early iterations and improve solutions quality by exploiting the promising areas in the final iterations. The main categorization of the metaheuristic algorithms is depending on the source of inspiration which divides them into the evolutionary and the swarm intelligence (SI) algorithms [ 38 ]. The evolutionary algorithms mostly mimic natural biological evolution and reproduction to improve the randomly generated solutions. Genetic algorithm (GA) [ 39 ], differential evolution (DE) [ 40 ], and evolution strategies (ES) [ 41 ] are prominent optimizers inspired by evolutionary concepts. As the evolutionary approach has proven to be a promising procedure, many researchers proposed improved versions of GA and DE algorithms for solving various problems [ 42 , 43 , 44 , 45 ].
The collective and cooperative behavior of biological organisms including fishes, birds, terrestrial animals, and insects is the basis of developing SI algorithms to solve optimization problems. The particle swarm optimization (PSO) [ 46 ] is a well-known SI algorithm that mimics the navigation behavior of bird flocks’ for generating solutions in optimization tasks. Dorigo et al. [ 47 ] simulated the collective behavior of some ants in nature by proposing the ant colony optimization (ACO) algorithm. The krill herd (KH) algorithm [ 48 ] is a successful simulation of the herding behavior of krill individuals which consists of three phases including krill random diffusion, foraging activity, and movement. The grey wolf optimizer (GWO) proposed by Mirjalili et al. [ 49 ] is also a SI algorithm based on the pack hierarchy approach to organizing the wolves based on their strength and responsibilities into four groups. The chimp optimization algorithm (ChOA) [ 50 ] mimics the social and sexual behavior of chimps to solve optimization problems. Starling murmuration optimizer (SMO) [ 51 ] is a recently proposed SI algorithm that models the stunning murmuration of starlings to solve the continuous and engineering optimization tasks. The SMO algorithm proposes a dynamic multi-flock and three search strategies including whirling, diving, and separating to provide the proper diversity throughout the population and strike a balance between search strategies.
The moth-flame optimization (MFO) [ 52 ] is a novel SI algorithm that simulates the spiral movement of moths around the light sources at night to perform optimization. Among numerous metaheuristic algorithms, the MFO stands out for its ease of use and low computational complexity. As a result, the MFO is used to solve a broad range of real-world problems, such as feature selection [ 53 , 54 , 55 , 56 , 57 , 58 ], and constraint engineering problems [ 59 , 60 , 61 , 62 , 63 , 64 , 65 , 66 ]. The MFO algorithm has an interesting concept of flames to preserve the best solutions, also it has an efficient global search strategy to explore the search space. However, the MFO suffers from weak exploitation and imbalance between search strategies which prevents it from converging toward the promising zone. Conversely, the whale optimization algorithm (WOA) [ 67 ] mathematically modeled the humpback whales’ hunting behavior using three search strategies. The search strategies proposed in WOA provide sufficient exploitation for different optimization tasks [ 68 , 69 , 70 , 71 , 72 , 73 , 74 , 75 ]. However, they cannot satisfy the needs of the exploration during the complex optimization tasks. Although many metaheuristic algorithms including MFO and WOA have been used to address the OPF problem, they are mostly not scalable or not suitable for handling multi-objective cases.
Therefore, this study is devoted to proposing an effective hybridizing of WOA with a modified MFO algorithm (WMFO) for solving the OPF problem. In this algorithm, first, a population partitioning mechanism is introduced to divide a population between search strategies. Then, the proposed WMFO algorithm is evolved using the WOA and modified MFO movement strategies. A greedy selection operator is considered as the acceptance criteria of the new positions by comparing their previous fitness and the new ones. Moreover, a randomized boundary handling method is used to return the solutions that have violated the permissible boundaries of search space. Moreover, to bypass the local optimum traps, a self-memory mechanism is defined for each search agent to preserve the best so far experience. Finally, the performance of the proposed WMFO algorithm is evaluated to solve diverse power system scale sizes including the standard IEEE 14-bus, IEEE 30-bus, IEEE 39-bus, IEEE 57-bus, and IEEE 118-bus test systems. The simulation results are compared to seven prominent optimization algorithms including PSO [ 46 ], GWO [ 49 ], MFO [ 52 ], WOA [ 67 ], Levy-flight moth-flame optimization (LMFO) [ 76 ], chimp optimization algorithm (ChOA) [ 50 ], and moth-flame optimizer with sine cosine mechanisms (SMFO) [ 77 ]. According to the test results, WMFO outperforms other comparative algorithms in solving different power system scale sizes in both single and multi-objective cases of the OPD problem. The main contributions of this study are summarized as follows.
Proposing an effective hybridizing of WOA with a modified MFO to solve OPF problems with diverse power system scale sizes.
Proposing a population partitioning mechanism to divide a population between search strategies.
Introducing a modification of the canonical MFO using a self-memory mechanism to preserve the best so far experience.
Applying a randomized boundary handling method to return the solutions that have violated the permissible boundaries.
Applying a greedy selection operator to assess the acceptance criteria of new solutions.
The experiments’ results prove that the WMFO provides the best results in solving different scales of standard IEEE test systems compared to competitor algorithms.
The paper is organized as follows. A literature overview of the related works is included in Section 2 . The formulation and objective functions of the OPF problem are presented in Section 3 . The moth-flame and whale optimization algorithms are presented in Section 4 . The proposed WMFO algorithm is comprehensively presented in Section 5 . A rigorous evaluation of the effectiveness of the WMFO on the OPF problem is provided in Section 6 . Statistical analysis is presented in Section 7 . Ultimately, Section 8 summarizes the conclusions and suggests future works.
2. Related Works
The optimal power flow (OPF) problem is formulated as a complex nonlinear nonconvex constrained optimization problem with different objectives and a variety of IEEE bus test systems [ 78 ]. Many traditional methods, such as quadratic programming [ 79 ], linear and nonlinear programming [ 4 , 80 ], and Newton algorithm [ 6 ] have been applied to solve the OPF problem. Although, these methods are not suitable for solving practical systems due to the characteristics of nonlinear functions such as value-point effect and prohibited operating zones. Moreover, increasing the number of system buses intensifies the mentioned complexities and leads the algorithm toward sinking in local minimum solutions [ 81 , 82 ].
Recently, many metaheuristic optimization algorithms such as particle swarm optimization (PSO) [ 83 ], ant colony optimization (ACO) [ 84 ], shuffled frog leaping (SFL) [ 85 ], differential evolution (DE) [ 86 ], biogeography-based optimization (BBO) [ 87 ], gravitational search algorithm (GSA) [ 88 ], firefly algorithm (FA) [ 89 ], teaching-learning-based optimization (TLBO) [ 90 ], grey wolf optimizer (GWO) [ 91 ], ant lion optimizer (ALO) [ 92 ], moth-flame optimization (MFO) [ 93 ], crow search algorithm (CSA) [ 94 ], salp swarm algorithm (SSA) [ 95 ], Levy spiral flight equilibrium optimizer (LSFEO) [ 96 ], and jellyfish search optimizer (JS) [ 97 ], have been applied as significant problem solvers to cope with the weaknesses of the traditional algorithms in solving the OPF problem benchmarks. Moreover, many researchers applied metaheuristic algorithms to solve real power systems [ 98 , 99 ].
Sivasubramani et al. [ 100 ] proposed a multi-objective harmony search (MOHS) algorithm to solve the OPF problem. To identify the Pareto optimum front, the MOHS algorithm uses a rapid elitist non-dominated sorting and crowding distance. Then, a fuzzy-based mechanism is performed for selecting a compromise solution from the Pareto set. Improved particle swarm optimization (IPSO) [ 101 ] proposed a pseudo-gradient and the constriction factor to direct the particle’s velocity. The purpose of the pseudo-gradient is to identify the particle’s orientation so that they may swiftly converge to the best solution. Sinsuphan et al. [ 102 ] presented the improved harmony search method (IHS) by proposing a modification of the pitch adjustment rate to solve OPF problems with five standard IEEE test systems including 6-bus, 14-bus, 30-bus, 57-bus, and 118-bus. A hybrid algorithm based on a modified imperialistic competitive algorithm and teaching-learning algorithm named MICA–TLA [ 103 ] is proposed for solving the OPF problem. The results of the simulation were tested on the IEEE 30-bus and IEEE 57-bus test systems with various objective functions. In another study, Ghasemi et al. [ 78 ] introduced three modified techniques of the imperialistic competitive algorithm (ICA) based on three new actions that may occur to any colony for solving the OPF problem. The introduced techniques were justified in different cases of the IEEE 57- bus test system. Radosavljevic et al. [ 104 ] proposed a hybridization of particle swarm optimization and gravitational search algorithms (PSOGSA) to find a proper solution in power systems. The PSOGSA takes advantage of the social thinking of the PSO and the local search ability of the GSA.
An improved artificial bee colony (IABC) [ 105 ] optimizer is developed by orthogonal learning (OL) to empower the exploitation ability of the canonical ABC in solving the OPF problem. Fatima Daqaq et al. [ 106 ] brought up a multi-objective backtracking search algorithm (MOBSA) to solve the OPF problem. The MOBSA can solve the highly constrained objectives and find the best solution from all Pareto optimal solution set using a fuzzy membership technique integrated into the BSA algorithm. Li et al. [ 107 ] proposed a boosted adaptive differential evolution (JADE) with a self-adaptive penalty constraint management approach (EJADE-SP) to find the best solution to the OPF issue. The EJADE-SP algorithm used the crossover rate sorting mechanism to let individuals inherit more good genes, and re-randomizing parameters to sustain the population diversity and the effectiveness of the search. Furthermore, to speed up convergence, the EJADE-SP employs a dynamic population reduction method and a self-adaptive penalty constraint management technique to cope with various constraints. Nadimi et al. [ 108 ] brought up the improved grey wolf optimizer (I-GWO) using dimension learning-based hunting (DLH) search strategy. The DLH strategy maintains the diversity and equilibriums between local and global searches by constructing a neighborhood for each wolf. In [ 109 ], the slime mold algorithm (SMA) is used to solve the multi-objective OPF. The SMA mimics the oscillation mode of slime mold in nature and utilizes adaptive weights to mimic the process of providing positive and negative feedback in slime mold propagation waves.
Meng et al. [ 110 ] introduced a crisscross search-based grey wolf optimizer (CS-GWO) to solve IEEE test systems including 30-bus and 118-bus. The CS-GWO algorithm improved the hunting operation in GWO by incorporating a greedy operator and the horizontal crossover operator was then used to refine the positions of the top three wolves. Moreover, to preserve population variety and prevent premature convergence, the vertical crossover operator is used. Abd el-Sattar et al. [ 111 ] proposed an improved salp swarm algorithm (ISSA) for improving the movement strategies in canonical SSA to solve different OPF problems including 30, 57, and 118-bus test systems. ISSA utilizes a random mutation strategy to improve the exploration process and an adaptive process to enhance the exploitation process. In [ 112 ], a boosted whale optimization algorithm named EWOA-OPF is developed to boost the global search capability of the WOA in solving the OPF problem by employing Levy motion in the encircling phase and utilizing Brownian motion to work with a canonical bubble-net attack. Kahraman et al. [ 113 ] proposed an effective method by introducing a crowding distance-based Pareto archiving strategy to solve the multi-objective OPF problem. Akdag et al. [ 98 ] introduced the improved Archimedes optimization algorithm (IAOA) using the dimension learning-based strategy to build a neighborhood and spread the information flow between search agents.
3. Optimal Power Flow Problem
The optimal power flow (OPF) is considered a strategic instrument for designing and operating of power networks. The primary objective of OPF is to minimize a predefined objective function, such as the active power generation cost while satisfying the inequality and equality requirements of the system within the specified limitations. The OPF issue is shown mathematically in the following.
3.1. OPF Problem Formulation
The OPF is a non-convex and nonlinear problem that can be represented mathematically as follows:
M
i
n
F
(
x
,
u
)
Subjected
to
g
(
x
,
u
)
=
0
,
p
=
1
,
2
,
…
,
m
h
(
x
,
u
)
≤
0
,
p
=
1
,
2
,
…
,
j
(1)
where
u
is a vector that represents the independent (control) variables,
F
is the objective function to be optimized,
x
is the vector of dependent (state) variables,
g
and
h
are the equality and inequality constraints,
m
and
j
indicate the number of equality constraints and the number of inequality constraints, respectively. Moreover, the state variables of OPF represented in Equation (2) consist of slack bus power
P G
1
, load bus voltage
V L
, transmission line loading
S l
, and generator reactive power output
Q G
,
x
=
[
P
G
l
(2)
where
NL
indicates the number of load buses,
NTL
and
NG
are the number of transmission lines and generators, respectively. The control variables represented in Equation (3) are the independent variables including generator active power outputs
P G
(except at the slack bus
P G
), generator voltages
V G
, transformer tap settings
T
, and shunt
VAR
compensations
Q C
.
NT
indicates the number of the regulating transformer and
NC
denotes the number of
VAR
compensator units.
u
=
[
P
G
2
3.2. Constraints
The OPF problem has equality and inequality constraints that are handled during the optimization process. The representations of both constraints are expressed as follows.
3.2.1. Equality Constraints
The balance between active and reactive power flow is maintained by the equality constraints consisting of a set of nonlinear power flow formulations represented in Equations (4) and (5).
i
=
|
V
i
|
∑
j
=
1
N
B
|
V
j
|
(
G
i
j
c
δ
i
j
+
B
i
j
s
i
n
δ
i
j
)
(5)
where
NB
denotes the number of buses,
P Gi
and
P Di
Q Gi
and
Q Di
are the generator reactive power and demand reactive power.
B ij
and
G ij
represent susceptance and conductance. Moreover,
δ
i
j
represents the phase difference of voltages between bus
i
and bus
j
.
3.2.2. Inequality Constraints
The inequality constraints which are the operating limits for OPF problem limited by the lower and upper bounds are represented as follows:
Generator constraints
P
G
i
n
≤
P
G
i
≤
P
G
i
m
a
x
;
i
=
1
,
…
,
N
G
a
x
;
i
=
1
,
…
,
N
C
(10)
Line power flow constraints
S
L
i
≤
S
L
i
m
;
i
=
1
,
…
,
N
T
L
(11)
3.2.3. Inequality Constraints Handling
Although the control variables are constrained by themselves, the dependent variables’ inequality constraints including
Sl
,
V L
,
P G1
, and
Q G
are appended to the objective function as a quadratic penalty term to maintain the dependent variables in their acceptable limits and to reject any impracticable solution. The expanded objective function may be represented mathematically as follows [
114
]:
P
e
n
a
l
t
y
=
λ
P
(
P
G
1
−
P
G
1
l
i
m
+
λ
V
∑
i
=
1
N
L
(
V
L
i
−
V
L
i
l
i
m
)
λ
Q
∑
i
=
1
N
G
(
Q
G
i
−
Q
G
i
l
i
m
)
2
+
λ
S
∑
i
=
1
N
T
L
(
S
l
i
−
S
l
i
l
i
m
)
2
(12)
where
λ V
,
λ P
,
λ S
, and
λ Q
are the penalty factors. The initially specified factors are 10
6
for both load bus voltage (
λ V
) and power generation output at the slack bus (
λ P
), 10
3
for line loading (
λ S
), and 10
4
for generator reactive power (
λ Q
). In this paper, the limit of the variable
x
is denoted by the symbol
x lim
, which can be defined using Equation (13), where
r
is a random number in the intervals 0 and 1.
x
l
i
m
=
{
x
m
a
x
−
0.25
×
(
x
m
a
x
−
x
m
i
n
)
×
r
,
i
f
x
>
x
m
a
x
x
m
i
n
×
(
x
m
a
x
−
x
m
i
n
)
×
r
,
i
f
x
<
x
m
(13)
3.3. OPF Objective Functions
In this work, two objectives are investigated to address the OPF problem: an economic problem, which refers to the reduction of overall fuel costs in power production, and a practical challenge of minimizing the voltage deviation.
3.3.1. Case 1: Minimization of Total Fuel Cost
Total fuel cost is formulated as a minimization problem with the single-objective function. The quadratic function approximates the relationship between fuel expense (
$
/h) and produced electricity (MW), based on Equation (14), where
f 1
refers to the total cost of generation (
$
/h).
a i
,
b i
, and
c i
are the cost coefficients of the
i-th
generator. All load buses are confined to 0.95 to 1.05 p.u. voltage range
f
1
i
=
1
N
G
(
a
i
+
b
i
P
G
i
+
c
i
P
G
i
2
(14)
3.3.2. Case 2: Total Fuel Cost and Voltage Deviation Minimization
The goal of this objective function is to minimize both the cost of fuel and the voltage deviation simultaneously. This objective function’s mathematical expression is as follows:
f
2
=
∑
i
=
1
N
G
(
a
i
+
b
i
P
G
i
+
P
G
i
2
)
+
W
v
∑
i
=
1
N
L
|
V
i
−
where
W v
= 200 represents the weighting factor. To effectively address the multi-objective issue, Equation (15) is a single equation that incorporates two weighted objectives.
4. Preliminaries
This section presents the concepts and mathematical models of moth-flame optimization and whale optimization algorithm in detail.
4.1. Moth-Flame Optimization (MFO)
The MFO is a prominent algorithm that mimics the spiral motion of moths around light sources at night. This behavior comes from a navigation mechanism called transverse orientation which helps moths to fly a long distance in a straight path by preserving a constant angular relationship with the moon. For far light sources like the moon, the transverse orientation plays a navigation role for moths. However, when it comes to relatively closer artificial light sources, the transverse orientation causes the moths to follow a deadly spiral path around the light source. The MFO algorithm is a simulation of this behavior of moths facing artificial lights. Hence, moths and flames are two fundamental concepts used in the MFO algorithm. In this algorithm, the moths are the main search agents which can be represented by matrix
M(t)
as follows.
M
(
t
)
=
[
m
11
⋯
m
1
d
⋯
m
⋮
⋮
⋮
⋮
⋮
m
i
1
⋯
m
i
d
⋯
m
i
D
⋮
⋮
⋮
⋮
⋮
1
⋯
m
N
d
⋯
m
N
D
]
(16)
where
m id
is the value of d-dimension of
i-th
moth,
N
indicates the total number of moths that explore the D-dimensional search space in each iteration. Additionally, it is expected that there is a vector containing the corresponding fitness of each moth, as shown below.
O
M
(
=
[
O
M
1
(
t
)
O
M
2
(
t
)
⋮
O
M
N
(
t
)
As mentioned earlier, flames are the second basic concept of the MFO algorithm, which leads the moths toward promising areas discovered in the previous iterations. Theoretically, the moths fly around their corresponding flames in a spiral path, which can be formulated in Equation (18),
M
i
(
t
)
=
D
i
(
t
)
×
e
b
k
×
C
o
s
(
k
)
+
F
j
(
t
)
(18)
D
i
(
t
)
=
|
F
c
(
t
)
i
(
t
)
|
(19)
where
M i
(
t
) represents the position of
i-th
moth in iteration
t
, the
D i
denotes the linear distance between
M i
and its corresponding flame (
F c
) which is formulated in Equation (19),
b
indicates the logarithmic helix shape constant defined spiral,
k
is a random value in [−1, 1], and
F j
is the
j-th
flame’s position. Considering a unique flame for each moth ensures that the algorithm does not sink into the local optimum during the early iterations. Whereas the algorithm converges toward the promising zones by decreasing the number of flames using Equation (20), where
t
denotes the current iterations,
N
represents the total number of population and
MaxIt
determines the maximum number of iterations. Hence, in this algorithm
j
equals to
Flam Num
.
F
l
a
m
e
m
(
t
)
=
r
o
u
n
d
(
N
−
t
×
N
−
1
M
a
x
(20)
4.2. Whale Optimization Algorithm (WOA)
The humpback whales’ hunting behavior in nature is mathematically modeled in the WOA [
67
]. Humpback whales are mainly considered to be predators that surround and capture their prey using the bubble-net hunting strategy. In this algorithm, the best position discovered so far is designated as the prey position
X*
that guides other search agents toward a promising area during the exploitation phase. Encircling prey, spiral bubble-net attacking to enhance local search, and searching for prey to enhance global search are the three techniques of whales that are formulated in the WOA algorithm based on the following definitions [
115
].
Encircling prey: Humpback whales can detect and surround the position of prey. The WOA considers the current best whale
X*
is close to the target prey since it is impossible to determine the location of the global optimum solution a priori. In the next phase, the positions of other whales are changed toward the
X*
based on Equations (21) and (22),
D
i
s
(
X
*
where,
Dis (X*, X i )
specifies the distance between the prey and the
i-th
whale in the current iteration,
A
and
C
indicate coefficient values computed based on Equations (23) and (24).
where
a
decreases from 2 to 0 throughout the iterations using Equation (25). Moreover,
r
generates a random value in the intervals 0 and 1.
where
p
denotes a random value generated in [0, 1]. If the value of
p
is found to be smaller than 0.5, the position of
X i
changes using a shrinking encircling mechanism. On the other hand, a spiral updating technique is used if the value of
p
is found to be greater than or equal to 0.5.
A
denotes a random variable generated in [−
a
,
a
], where
a
decreases from 2 to 0 throughout the iterations.
Dis (X*, X i )
denotes the distance of
i-th
search agent and the prey in the spiral updating position,
b
denotes a constant value, and
l
denotes a random value in the range [−1, 1].
Searching for prey: To emphasize the exploration ability of the algorithm (when
|A|
≥ 1), a whale’s location is updated using Equation (27), in which a random whale is chosen rather than the best whale discovered so far.
(27)
where,
X r
(
t
) represents the position of a randomly chosen whale in the current iteration and
Dis (X r , X i )
indicates the distance between
i-th
whale and
X r
.
5. Proposed Algorithm
The ability to strike a balance between exploitation and exploration abilities is a crucial feature for any SI algorithm. As discussed earlier, the concept of the flame introduced in the MFO algorithm is regarded as an effective approach for maintaining the balance between exploration and exploitation by linearly decreasing the number of flames throughout the iterations. However, MFO inherently suffers from inefficient exploitation ability which results in stagnating in far from promising areas or premature convergence into local optima. On the other hand, the experimental results [
116
] reveal that the WOA benefits from efficient exploitation ability, while its exploration and the balance between search strategies are not sufficient to handle complex real-world problems, especially in the OPF problem. Therefore, this study is devoted to proposing a hybridization of whale and moth-flame optimization (WMFO) to effectively solve the OPF problem. The proposed WMFO introduces a population partitioning mechanism, movement strategies, randomized boundary handling, and a greedy selection operator.
Suppose the matrix
as a finite set of positions in iteration
t
such that the vector
denotes the position of
i-th
individual in the D-dimensional search space. In the first iteration, the matrix
is initiated using Equation (28),
(28)
where
is the value of d-dimension,
rand d
is a random number between intervals 0 and 1, and
ub d
and
lb d
are the upper bound and lower bound for d-dimension. For the rest of the iterations, the matrix
is updated using movement search strategies in the proposed WMFO algorithm. Algorithm 1 presents the WMFO pseudo-code.
Algorithm 1. The pseudocode of the proposed WMFO algorithm
Input: Dimension size ( D ), Maximum iterations ( MaxIt ), and Number of search agents ( N ).
Output: The global best solution.
1. Begin
2. Initialize the population
3. Set the self-memory mechanism for each search agent using Definition 2.
4. Calculating the fitness values.
5. Set t = 1.
6. While t ≤ MaxIt
7. Constructing two subpopulations Pop MFO and Pop WOA using Definition 1.
8. If t = = 1 then
9. Constricting the matrix flames by ascending ordered the fitness values.
10. Else
11. Updating F ( t ) and OF ( t ) by the sorted search agents from matrices F ( t ) and X( t ).
12. End If
13. For i = 1: N
14. If i ∈ Pop MFO then
15. Computing the Flame Num ( t ) using Equation (20).
16. If i ≤ Flame Num ( t )
17. Computing D i based on Equation (19).
18. Updating the new position of X i ( t + 1) using Equations (18).
19. Else
20. Computing δ i ( t ) based on Equation (31).
22. End If
23. Else
24. If p < 0.5 then
25. If |A| ≥ 1 then
26. Updating the new position of X i ( t + 1) using Equation (27).
27. Else
28. Updating the new position of X i ( t + 1) using Equation (22).
29. End If
30. Else
31. Updating the new position of X i ( t + 1) using Equation (26).
32. End If
33. End If
34. Checking and applying randomized boundary handling using Equation (32).
35. Computing the fitness values, and updating Xbest i based on Definition 2.
36. End for
37. Applying the greedy selection operator using Equation (33).
38. Updating the global best solution.
39. t = t + 1.
40. End while
Definition 1
(Population partitioning mechanism).
Given Pop = {Pop MFO , Pop WOA } is a finite set of two distinct subpopulations Pop MFO and Pop WOA with predefined capacity к. First, the members of the population are shuffled using a discrete uniform distribution and then divided between two matrices Pop MFO and Pop WOA such that Pop MFO = {X 1 …X к } and Pop WOA = {X к+1 …X N }, where N represents the number of population. In this mechanism, each subpopulation evolves independently which causes the individuals to explore the search space from different perspectives. Hence, the flow of improper information is slowed down within the population and decreases the risk of premature convergence.
WOA
and Pop
MFO
. The subpopulation Pop
WOA
is updated using the WOA movement strategies while subpopulation Pop
MFO
is updated based on the modified MFO movement strategy
.
WOA movement strategies: The WMFO employs the canonical WOA’s movement strategies to update the positions of subpopulation Pop
WOA
using Equation (29), where
X i
(
t
+ 1) represents the next position of
i
-th search agent and
Modified MFO movement strategy: The proposed WMFO evolves the subpopulation Pop
MFO
using Equation (30), where
b
is the constant value,
k
is a random value between intervals [−1, 1], and
F j
denotes the
j-th
flame such that index
j
is computed using Equation (20).
Xbest i
is the position of the self-memory mechanism defined using Definition 2.
Definition 2
(Self-Memory mechanism)
.
Let SM = {SM 1 … SM i … SM N } is a finite set of N search agents’ memories. The SM i is denoted by SM i = (Xbest i , Fbest i ), where Xbest i represents the best position of X i so far acquired, and Fbest i denotes the fitness of Xbest i . In the first iteration, Xbest i (t = 1) ← X i (t = 1) and Fbest i (t = 1) ← OX i (t = 1). For the remaining iterations (t > 1), X i and Fbest i are updated based on the best so far solution obtained by each X i .
lb d
) if the
d-th
dimension of a search agent is less than the value of
lb d
. Conversely, a value equal to the corresponding upper bound (
ub d
) is given to the
d-th
dimension of a search agent if it is found to be greater than
ub d
. Although this boundary limiting method works efficiently for linear and convex problems, it leads the algorithm toward stagnation in the case of multi-objective nonlinear functions such as the OPF problem. Hence, to avoid stagnation, a randomized-based variable boundary limiting is introduced in the proposed WMFO based on Equation (32), where
x id
denotes the value of
d-th
dimension of
i-th
search agent, and
r
is a random value between intervals 0 and 1.
t
+ 1) with the fitness of previous population
OX
(
t
) using Equation (33).
i
6. Experimental Evaluation
In this section, first, a sensitivity analysis is conducted on the modified MFO, WOA, and the proposed WMFO to investigate the exploration and exploitation abilities. Then, the numerical efficiency of the proposed WMFO is scrutinized using simulation studies carried out on two scenarios based on five IEEE bus test systems consisting of IEEE 14-bus, IEEE 30-bus, IEEE 39-bus, IEEE 57-bus, and IEEE 118-bus test systems, where MATPOWER [ 117 ] is used for load flow calculation. The acquired results are then compared with five well-known metaheuristic algorithms including particle swarm optimization (PSO) [ 46 ], grey wolf optimizer (GWO) [ 49 ], moth-flame optimization (MFO) [ 52 ], whale optimization algorithm (WOA) [ 67 ], chimp optimization algorithm (ChOA) [ 50 ], and two enhanced variants of MFO, Levy-flight moth-flame optimization (LMFO) [ 76 ], and synthesis of MFO with sine cosine mechanisms (SMFO) [ 77 ]. The parameters of the competitor algorithms were set the same as the recommended settings in their works, which are reported in Table 1 .
The proposed WMFO and other comparative algorithms were run 20 times separately on Intel Core i7 (2.60 GHz) and 24 GB of RAM using MATLAB R2020 to ensure that all comparisons are fair. The maximum number of iterations ( MaxIt ) and population size were set to ( D × 10 4 )/ N for the sensitivity analysis tests, where D and N are dimensions of the problem and 100, respectively. For the IEEE bus test systems, the MaxIt and N are set to 200 and 50, respectively. The best values of control variables (DVs) and objective variables are tabulated in Table 2 , Table 3 , Table 4 , Table 5 , Table 6 , Table 7 , Table 8 , Table 9 , Table 10 and Table 11 , Table A1 and Table A2 .
6.1. Impact Analysis of Hybridizing WOA and Modified MFO
The exploration and exploitation abilities of the WOA, modified MFO, WMFO are investigated on several test functions selected from the CEC 2018 benchmark suite [
118
]. The first function F
1
is a unimodal function, which can be employed to assess the exploitation ability of the algorithms. The test function F
9
is a multimodal function with many local optima, that is employed to investigate the exploration ability. Test functions 12, 14, and 19 are hybrid and 22, 25, 28, and 30 are composition functions that are suitable for evaluating the algorithms’ ability to prevent local optima and to strike balance between exploration and exploitation. The plotted convergence of these functions is presented in
Figure 1
.
Analyzing convergence behavior of the test function F
1
shows that the convergence trend of the modified MFO is hampered by local optimum after the initial iterations, while the WOA maintained its descent slope till the half of iterations, which shows its better exploitation ability compared to the modified MFO. On the contrary, the proposed WMFO converges toward the global solution by effectively exploiting the search space in the early iterations. The test function F
9
shows that the modified MFO has better exploration than the WOA, and the proposed hybridization of WOA and modified MFO achieves superior results by effectively exploring the search space. The convergence behavior of hybrid and composition functions reveals that although WOA and modified MFO cannot maintain the balance between their search strategies, the proposed hybridization of them maintains the balance between exploitation and exploration and bypasses the local optimum effectively.
6.2. IEEE Bus Test Systems
The IEEE 14-bus, IEEE 30-bus, IEEE 39-bus, IEEE 57-bus, and the IEEE 118-bus test systems are employed to test the simulation effect of the WMFO for solving the OPF problem in two different Cases of single and multi-objective.
6.2.1. IEEE 14-Bus Test System
The IEEE 14-bus test system is regarded as the first test system for evaluating the performance of the WMFO. Figure 2 illustrates the IEEE 14-bus test system, which consists of five generator buses, three transformers, nine load buses, and 20 transmission lines. The bus data, limitations, and cost coefficients are presented in [ 119 ]. The transformer tap’s minimum and maximum boundaries are set to 0.9 and 1.1 p.u. The lower and upper limit voltages for all generator buses have been set at 0.94 and 1.06 p.u.
To establish an effective comparison, Table 2 and Table 3 present the detailed outcomes of the objective functions, transmission losses, and active and reactive power outputs of generators for both Cases 1 and 2. Moreover, Figure 3 illustrates the convergence behavior of the obtained fitness of the algorithms over the course of iterations on the IEEE 14-bus standard test system. As illustrated in Table 2 , in terms of overall cost, both MFO and WMFO provide superior outcomes than other algorithms. For Case 2, Table 3 shows that the WMFO’s results are superior to those of other algorithms.
6.2.2. IEEE 30-Bus Test System
Figure 4 depicts a single-line diagram of the IEEE 30-bus test system. Six generators are used on buses 1, 2, 5, 8, 11, and 13, and on lines 6–9, 6–10, 4–12, and 28–27 there are four transformers installed. The branch, bus, and generator data are taken from [ 120 ]. The minimum and maximum limits of the transformer tap are adjusted to 0.9 and 1.1 p.u. The shunt VAR compensations have lower and upper values of 0.0 and 0.05 p.u. For all generator buses, the lower and upper limit voltages have been adjusted to 0.95 and 1.1 p.u. Table 4 and Table 5 illustrate the optimal control variable values including total cost of fuel, voltage deviations, and power loss for Cases 1 and 2. Figure 5 shows the obtained fitness’ convergence trait for both Cases. It is clear to observe that WMFO provides the minimum total fuel cost of 800.603 ( $ /h) and 804.209 ( $ /h) for Case 1 and Case 2.
6.2.3. IEEE 39-Bus Test System
This test system contains ten generators on buses 30, 31, 32, 33, 34, 35, 36, 37, 38, and 39, and twelve transformers between buses 12–11, 12–13, 6–31, 10–32, 19–33, 20–34, 22–35, 23–36, 25–37, 2–30, 29–38, and 19–20, as shown in Figure 6 . The bus data, branch data, and cost coefficients are taken from MATPOWER [ 117 ]. For all generator buses, the lower and upper limit voltages are considered to be 1.06 and 0.94. The minimum and maximum limits of the transformer tap are adjusted to 0.9 and 1.1 p.u. The tabulated results in Table 6 and Table 7 prove the superiority of the WMFO in minimizing the total fuel cost to 34,486.183 for Case 1 and 34,487.119 for Case 2. The convergence trait of WMFO, canonical MFO, and the other competitor algorithms are depicted in Figure 7 .
6.2.4. IEEE 57-Bus Test System
The IEEE 57-bus test system is depicted in Figure 8 , and it has seven generators at the buses 1, 2, 3, 6, 8, 9, 12, and 15 branches under load tap setting transformer branches and 80 transmission lines. Shunt reactive power sources are located at buses 18, 25, and 53. The upper bounds and lower bounds of real power generations and the cost coefficients are presented in [ 121 ]. The upper and lower bounds for voltages of tap setting transformer variables and all generator buses are considered to be 1.1–0.9 in p.u. Shunt reactive power sources have maximum and lowest values of 0.0 and 0.3 in p.u. The voltages of all load buses have maximum and minimum values of 1.06 and 0.94 in p.u. Table 8 and Table 9 indicate that the best fuel cost values gained using the proposed WMFO are 39,359.123 ( $ /h) for Case 1 and 41,811.734 ( $ /h) for Case 2, which are significantly lower than the best fuel cost results obtained by comparative algorithms. The convergence traits of the best fuel cost acquired by the algorithms for this test system are illustrated in Figure 9 .
6.2.5. IEEE 118-Bus Test System
The ability of the proposed WMFO in solving a larger power system is evaluated by the IEEE 118-bus test system. The cost coefficients, branch, and bus data are taken from MATPOWER [ 117 ]. This bus test system contains 54 generators, 186 branches, 9 transformers, 2 reactors, and 12 capacitors. This system contains 129 control variables in total, as follows: there are 54 generator active powers and bus voltages are available, as well as nine transformer tap settings and twelve shunt capacitors reactive power injections. The voltage limit for all buses is 0.94 to 1.06 p.u. Transformer tap settings are tested in the range of 0.90–1.10 p.u. Shunt capacitors’ available reactive powers vary from 0 to 30 MVAR. As Cases 1 and 2 in this experiment include too many design factors, the summary of the results is reported in Table 10 and Table 11 , while the detailed results of MFO, WMFO, and the proposed WMFO are tabulated in Table A1 and Table A2 in Appendix A . The results tabulated in Table 10 and Table 11 reveal that the WMFO provides the best fuel cost values. The cost value for Case 1 is 136,452.876 ( $ /h) and for Case 2 is 136,147.702 ( $ /h), which are significantly lower than the results acquired by competitor algorithms. Figure 10 and Figure 11 also show the single-line diagram of the IEEE 118-bus test system and the convergence curves of the algorithms’ acquired fitness.
7. Statistical Analysis
The algorithms are ranked based on their performance in minimizing the cost function of different OPF problems for both cases 1 and 2. The results are illustrated in the radar graph in Figure 12 .
The percentage of fuel cost reduction gained by the proposed and comparative algorithms for each bus test system is illustrated in Figure 13 in comparison with the average cost for the bus test systems. It shows that the WMFO can reduce the total cost of all problems by 38.26% more than the average of competitor algorithms.
8. Conclusions and Future Works
This paper proposed an effective hybridizing of whale and moth-flame optimization algorithms (WMFO) to solve the optimal power flow (OPF) problem. The population is equally partitioned among two algorithms using the population partitioning mechanism. A self-memory mechanism is defined for each search agent to preserve their best experiences and update their positions based on the average best-experienced position of the whole population. Moreover, randomized boundary handling is introduced to effectively apply the boundary limiting conditions. Furthermore, the WMFO employs a greedy selection operator to evaluate the acceptance criteria of new positions. The impact analysis on convergence curves shows that the WMFO explores the search space in the first iterations, then it keeps improving the quality of the solution in the course of iterations. This convergence behavior reveals that the WMFO inherits the exploitation of the WOA, while it takes advantage of the explorative movements of the modified MFO. The effectiveness and scalability of the proposed algorithm in solving the OPF problem have been assessed and investigated on the IEEE 14-bus, 30-bus, 39-bus, 57-bus, and 118-bus test systems to optimize the OPF’s single and multi-objective functions within the limits of the system. The obtained results are then compared against five well-known metaheuristic algorithms and two improved variations of the MFO to validate the results. The comparison of results reveals that the proposed WMFO outperforms competitor algorithms in solving single and multi-objective problems in various power system scale sizes by reducing the total cost 38.26% more than the average of the total cost gained by the competitor algorithms. The maximum amount of cost reduction compared to the average value of contender algorithms is 14,820.55 (
$
/h) gained by the WMFO on the IEEE 118-bus test system Case 1. Furthermore, the average amount of reduced cost gained by the WMFO on ten different OPF problems equals 33,722.24 (
$
/h) or 295 million dollars a year, which shows the economic viability of the proposed method in solving the OPF problem. In future research, WMFO can be employed to solve various problems in power systems such as FACTS devices and electrical load forecasting.
Appendix A
Table A1 and Table A2 present the complete results of the total fuel cost (cost), power losses (ploss), and voltage deviation ( VD ) for Cases 1 and 2 on the IEEE-118 bus test system.
Table A1. Control variables for IEEE 118-bus test system on case 1.
Table A1. Control variables for IEEE 118-bus test system on case 1.
DVs PSO GWO MFO WOA LMFO ChOA SMFO WMFO DVs PSO GWO MFO WOA LMFO ChOA SMFO WMFO DVs PSO GWO MFO WOA LMFO ChOA SMFO WMFO P G01 0.00 64.61 0.00 42.12 55.09 30.56 41.86 12.41 P G100 352.00 212.36 350.90 28.97 224.60 131.85 154.56 123.13 V G74 0.94 1.01 0.98 1.05 0.94 0.94 1.03 0.96 P G04 0.00 37.23 99.83 53.86 61.84 14.75 44.80 32.27 P G103 0.00 11.40 32.12 91.42 112.88 0.00 60.21 24.70 V G76 0.94 0.99 0.94 1.05 0.97 0.94 1.03 0.94 P G06 100.00 14.99 0.08 18.90 50.86 56.14 46.69 20.95 P G104 0.00 47.64 0.00 44.95 43.75 17.11 43.96 78.19 V G77 0.94 0.98 0.99 1.05 1.01 0.94 1.03 0.98 P G08 0.00 39.51 93.28 65.03 67.76 100.00 45.34 20.95 P G105 100.00 70.31 89.32 64.77 6.06 34.77 45.44 57.77 V G80 0.95 0.98 1.00 1.05 1.04 0.94 1.03 0.99 P G10 550.00 164.00 354.16 214.58 531.54 105.48 241.72 347.96 P G107 100.00 56.25 99.91 42.42 29.96 58.88 44.74 16.53 V G85 0.94 0.97 1.01 1.05 0.97 0.94 1.03 0.99 P G12 0.00 88.06 185.00 105.57 4.99 18.03 73.94 53.33 P G110 100.00 71.90 0.00 34.62 23.25 15.80 45.19 6.96 V G87 0.94 1.06 1.02 1.05 1.00 1.06 1.03 0.97 P G15 0.00 21.63 100.00 46.00 19.97 36.45 44.28 35.70 P G111 136.00 42.29 19.69 36.64 92.56 136.00 59.28 72.44 V G89 0.94 0.96 1.06 1.05 0.97 0.94 1.03 1.02 P G18 0.00 64.86 4.37 50.99 13.58 23.80 45.73 46.25 P G112 0.00 37.87 21.73 84.41 17.90 0.00 21.72 36.05 V G90 0.94 1.01 0.95 1.05 1.02 0.94 1.03 1.00 P G19 100.00 34.69 0.00 54.74 37.06 100.00 45.20 53.02 P G113 100.00 35.50 97.00 83.11 94.38 28.47 27.09 0.90 V G91 0.94 0.98 0.94 1.05 1.01 0.94 1.03 0.97 P G24 100.00 82.09 99.31 68.14 66.28 36.52 44.61 5.78 P G116 100.00 64.50 100.00 55.01 30.80 48.29 35.89 3.11 V G92 0.94 0.96 1.01 1.04 1.02 0.94 1.03 0.96 P G25 320.00 300.74 3.82 184.34 164.74 213.22 143.96 201.05 V G01 0.94 1.04 0.99 1.05 1.04 0.94 1.03 0.95 V G99 1.06 0.95 1.06 1.05 1.06 0.94 1.03 0.97 P G26 0.00 280.83 267.17 254.02 43.61 414.00 166.36 155.66 V G04 0.94 1.04 1.04 1.05 1.02 0.94 1.03 0.97 V G100 1.05 0.99 1.06 1.05 1.04 0.95 1.03 0.97 P G27 100.00 46.41 85.57 11.98 99.47 48.49 45.45 36.28 V G06 0.94 1.04 1.01 1.05 0.94 0.94 1.03 0.97 V G103 1.06 1.00 1.06 1.05 0.94 0.94 1.03 0.96 P G31 0.00 68.74 2.61 40.13 96.70 0.00 42.96 4.39 V G08 0.94 1.04 1.02 1.04 1.03 0.94 1.03 0.95 V G104 1.06 1.00 1.05 1.05 0.97 0.94 1.03 0.97 P G32 100.00 74.67 100.00 46.11 75.54 16.23 44.31 71.24 V G10 0.94 1.01 1.06 1.05 0.98 0.94 1.03 1.00 V G105 1.06 1.00 1.05 1.05 0.99 0.94 1.03 0.96 P G34 0.00 70.09 0.00 59.56 93.08 0.00 43.55 16.43 V G12 0.94 1.04 1.01 1.05 1.01 0.94 1.03 0.97 V G107 1.06 0.96 1.05 1.05 1.02 0.94 1.03 0.97 P G36 100.00 17.41 0.00 12.26 33.96 84.18 43.67 51.16 V G15 0.94 1.03 0.95 1.05 1.02 0.94 1.03 0.96 V G110 0.97 1.00 1.06 1.05 0.98 0.94 1.03 0.95 P G40 0.00 26.45 0.00 64.41 43.93 0.00 44.80 11.68 V G18 0.94 1.03 0.95 1.05 1.00 0.94 1.03 0.97 V G111 0.94 1.00 1.06 1.05 0.99 0.94 1.03 0.95 P G42 100.00 39.00 0.00 47.07 99.25 100.00 44.53 52.68 V G19 0.94 1.03 0.94 1.05 1.06 0.94 1.03 0.96 V G112 0.94 0.97 1.05 1.05 0.94 0.94 1.03 0.97 P G46 0.00 27.18 0.00 45.34 14.75 37.60 47.46 18.87 V G24 1.06 0.98 1.06 1.05 1.00 0.94 1.03 0.96 V G113 1.06 1.04 1.00 1.05 0.97 1.06 1.03 0.97 P G49 304.00 252.50 79.30 39.12 14.06 125.87 132.11 153.77 V G25 0.94 1.02 0.99 1.05 1.06 1.06 1.03 0.99 V G116 0.94 1.02 0.95 1.05 1.02 0.94 1.03 0.96 P G54 0.00 131.18 0.00 84.17 127.81 60.17 66.54 48.11 V G26 0.94 0.99 1.05 1.05 0.98 0.94 1.03 0.95 T (5-8) 0.90 1.05 0.96 0.98 1.00 0.90 0.99 0.93 P G55 0.00 73.77 10.99 32.22 31.57 65.34 39.92 10.04 V G27 1.06 0.96 1.06 1.04 1.03 0.94 1.03 0.97 T (25-26) 1.10 0.98 1.10 1.00 0.98 0.90 0.99 0.96 P G56 100.00 31.10 89.60 11.27 22.91 21.83 44.46 8.19 V G31 1.06 1.04 1.06 1.05 1.05 0.94 1.03 0.97 T (17-30) 1.08 0.97 1.10 0.97 0.96 0.91 0.99 0.95 P G59 255.00 53.32 190.08 63.82 220.23 255.00 113.21 145.94 V G32 1.06 1.00 1.06 1.05 1.04 0.94 1.03 0.97 T (37-38) 1.10 1.02 1.09 0.97 1.05 0.90 0.99 0.98 P G61 0.00 135.93 141.72 139.13 208.93 154.85 111.81 203.45 V G34 0.94 1.03 0.97 1.05 0.96 0.94 1.03 0.97 T (59-63) 0.90 0.93 1.08 0.98 0.98 0.90 0.99 0.96 P G62 0.00 46.40 16.69 17.45 44.19 28.02 45.36 6.64 V G36 0.94 1.03 0.96 1.05 0.95 0.94 1.03 0.97 T (61-64) 0.90 1.05 1.10 1.01 1.02 0.90 0.99 0.94 P G65 491.00 148.41 235.54 256.80 155.54 477.67 219.99 82.58 V G40 1.06 1.03 1.05 1.05 0.95 0.94 1.03 0.97 T (65-66) 1.10 1.08 1.10 0.98 1.05 0.90 0.99 0.94 P G66 0.00 209.28 373.11 96.29 100.68 281.97 223.00 418.30 V G42 1.06 0.95 1.04 1.05 0.97 0.94 1.03 0.96 T (68-69) 0.90 1.05 1.01 0.97 1.00 0.90 0.99 0.96 P G70 0.00 44.31 0.00 59.05 63.46 26.56 11.86 3.44 V G46 0.94 1.01 1.04 1.05 0.96 0.94 1.03 0.97 T (80-81) 0.90 1.04 1.10 0.97 1.00 0.90 0.99 1.03 P G72 100.00 44.11 67.24 78.47 39.00 18.02 43.47 18.93 V G49 0.94 1.01 1.00 1.05 1.00 0.94 1.03 0.98 Q C34 30.00 21.77 0.01 22.49 4.40 0.00 13.38 3.22 P G73 0.00 68.18 99.95 73.98 3.24 0.00 45.28 66.04 V G54 0.94 1.06 0.97 1.06 1.04 0.94 1.03 0.99 Q C44 0.00 18.85 29.45 10.55 17.12 14.40 13.30 8.79 P G74 100.00 14.66 99.99 71.86 72.35 16.81 43.95 33.65 V G55 0.94 1.05 0.96 1.05 1.01 0.94 1.03 0.98 Q C45 30.00 16.31 28.08 19.31 18.25 22.61 13.66 4.34 P G76 18.28 41.35 99.57 22.96 32.15 92.85 43.12 23.57 V G56 0.94 1.05 0.96 1.05 1.03 0.94 1.03 0.99 Q C46 0.00 17.45 30.00 23.65 14.28 11.35 13.72 6.12 P G77 100.00 46.45 100.00 78.44 91.88 0.00 39.43 38.63 V G59 1.06 1.03 0.94 1.05 1.04 0.95 1.03 0.98 Q C48 0.00 12.20 30.00 4.60 14.70 5.29 13.61 5.98 P G80 0.00 215.54 146.32 396.90 255.43 119.63 236.19 353.31 V G61 1.06 1.00 0.99 1.05 1.03 0.94 1.03 1.00 Q C74 0.00 11.73 0.00 21.50 6.69 30.00 13.01 3.79 P G85 100.00 58.26 0.14 64.12 34.89 33.52 41.19 86.79 V G62 1.03 0.98 1.00 1.05 1.06 0.94 1.03 0.99 Q C79 30.00 6.07 26.74 19.22 4.82 0.00 13.51 2.65 P G87 0.00 24.56 7.76 5.81 68.01 33.57 26.31 3.27 V G65 0.99 1.04 1.06 1.05 1.06 0.94 1.03 0.96 Q C82 0.00 18.03 15.08 7.22 5.79 0.00 12.00 24.38 P G89 0.00 158.60 9.25 99.62 283.50 448.59 309.44 472.55 V G66 0.94 0.97 1.02 1.05 1.03 1.06 1.03 0.99 Q C83 30.00 6.81 24.15 17.97 29.76 0.00 13.69 3.70 P G90 0.00 24.03 83.68 30.95 5.69 0.00 45.23 1.92 V G69 0.94 1.04 1.03 1.05 0.96 0.94 1.03 1.02 Q C105 0.00 27.37 29.98 4.61 20.85 0.00 13.28 10.70 P G91 0.00 97.95 0.00 38.51 28.19 75.11 27.07 33.07 V G70 0.94 1.01 1.01 1.05 0.95 0.94 1.03 0.96 Q C107 30.00 9.14 8.54 16.33 25.22 30.00 13.43 20.65 P G92 0.00 15.20 76.97 12.85 49.10 0.00 44.40 14.04 V G72 1.06 1.02 0.96 1.05 1.03 1.06 1.03 0.97 Q C110 0.00 10.30 0.00 3.97 28.94 7.47 13.08 16.87 P G99 100.00 61.67 0.00 65.21 24.45 100.00 45.00 47.50 V G73 0.94 0.98 1.06 1.05 0.95 1.06 1.03 0.95 FinalResults PSO GWO MFO WOA LMFO ChOA SMFO WMFO Cost( $ /h) 163,509.345 151,775.538 148,925.660 145,495.166 173,485.645 150,735.185 139,808.042 136,452.876 Ploss (MW) 174.036 88.617 139.276 79.658 123.261 126.529 57.310 105.637 VD(p.u.) 3.406 1.616 1.721 2.819 1.431 4.212 1.505 2.280
Table A2. Control variables for IEEE 118-bus test system on case 2.
Table A2. Control variables for IEEE 118-bus test system on case 2.
DVs PSO GWO MFO WOA LMFO ChOA SMFO WMFO DVs PSO GWO MFO WOA LMFO ChOA SMFO WMFO DVs PSO GWO MFO WOA LMFO ChOA SMFO WMFO P G01 0.00 57.84 60.17 43.01 68.83 4.06 45.57 25.74 P G100 326.76 110.07 100.59 219.25 195.63 238.11 157.14 244.89 V G74 0.94 0.96 0.99 1.01 0.96 1.06 1.01 0.98 P G04 100.00 36.57 78.29 49.14 28.98 4.56 44.93 3.78 P G103 0.00 46.40 43.62 97.84 73.44 16.88 62.67 23.28 V G76 0.94 0.95 0.94 1.01 1.02 1.05 1.01 0.95 P G06 100.00 28.51 100.00 55.06 73.16 93.97 45.31 90.21 P G104 100.00 62.83 0.00 25.98 2.93 11.88 44.75 4.78 V G77 0.94 0.98 1.00 1.01 0.99 1.03 1.01 0.99 P G08 100.00 19.96 100.00 69.46 69.90 9.43 0.00 55.55 P G105 0.00 96.25 0.36 33.38 51.34 94.50 45.39 39.56 V G80 0.94 1.02 1.00 1.02 0.95 1.06 1.01 1.01 P G10 550.00 60.71 0.00 219.72 528.60 422.01 248.23 413.30 P G107 100.00 33.93 0.00 67.55 95.62 33.75 44.13 9.23 V G85 0.94 0.97 1.03 1.01 0.97 1.04 1.01 1.00 P G12 185.00 115.20 16.37 41.13 14.71 180.35 0.00 68.89 P G110 5.78 92.71 100.00 81.61 20.44 20.58 45.89 13.17 V G87 0.94 1.02 1.06 1.01 0.95 1.06 1.01 0.99 P G15 100.00 70.54 79.95 63.44 40.72 25.52 0.00 25.01 P G111 136.00 59.56 64.09 27.27 51.50 90.67 60.80 88.73 V G89 0.94 1.02 1.02 1.01 1.05 1.06 1.01 1.04 P G18 0.00 54.97 0.00 49.78 60.39 45.73 44.00 67.91 P G112 100.00 28.64 100.00 56.25 99.46 27.99 46.44 62.58 V G90 0.94 0.99 1.04 1.02 1.00 1.03 1.01 0.99 P G19 0.00 42.55 1.76 21.53 14.82 41.17 45.17 67.25 P G113 0.00 64.66 12.13 25.56 88.60 17.01 0.00 17.71 V G91 1.00 1.04 1.06 1.02 0.97 1.06 1.01 1.00 P G24 0.00 75.15 0.14 76.70 58.76 8.05 43.51 7.07 P G116 0.00 31.04 16.46 11.94 16.28 61.60 44.25 44.25 V G92 0.99 0.99 1.01 1.01 1.05 1.05 1.01 0.99 P G25 320.00 130.84 115.65 216.52 236.86 115.59 141.84 25.35 V G01 1.04 1.02 0.98 1.01 0.96 1.06 1.01 0.98 V G99 1.06 1.05 1.06 1.01 1.05 1.06 1.01 1.02 P G26 0.00 238.78 199.93 173.87 93.81 31.05 188.05 307.37 V G04 1.06 1.04 0.99 1.01 0.97 1.05 1.01 0.99 V G100 1.06 1.02 0.99 1.01 0.98 1.06 1.01 1.00 P G27 2.75 23.98 0.00 0.00 55.24 43.77 45.79 11.52 V G06 1.06 1.02 0.99 1.02 0.97 1.06 1.01 0.99 V G103 1.06 1.05 0.97 1.01 1.02 1.06 1.01 0.99 P G31 0.00 41.53 0.00 42.33 31.19 44.28 47.60 12.03 V G08 0.94 0.96 0.94 1.02 0.97 1.06 1.01 0.98 V G104 1.06 1.03 0.94 1.01 0.94 1.06 1.01 0.99 P G32 100.00 36.64 58.15 37.03 99.96 31.23 46.17 27.29 V G10 0.94 1.02 0.96 1.01 0.95 1.06 1.01 1.00 V G105 1.06 1.04 0.94 1.02 0.98 1.06 1.01 0.98 P G34 0.00 36.14 45.33 74.93 47.46 42.71 44.56 40.42 V G12 1.06 1.01 0.99 1.01 1.01 1.05 1.01 1.00 V G107 1.06 1.06 0.94 1.01 1.04 1.06 1.01 0.97 P G36 100.00 14.80 94.16 59.70 79.23 75.93 45.65 6.24 V G15 1.06 0.98 0.95 1.01 0.97 1.06 1.01 0.99 V G110 1.00 1.03 1.01 1.01 1.04 1.06 1.01 0.98 P G40 0.00 64.46 100.00 13.59 75.82 61.42 45.83 10.18 V G18 1.06 0.97 0.94 1.01 0.95 1.06 1.01 1.00 V G111 0.94 1.00 1.06 1.01 1.01 1.06 1.01 0.98 P G42 100.00 56.79 0.00 31.02 23.07 63.64 46.19 7.36 V G19 1.06 0.96 0.94 1.01 0.95 1.06 1.01 0.99 V G112 1.06 1.02 1.01 1.01 1.04 1.06 1.01 0.99 P G46 0.00 5.89 10.02 0.48 42.75 32.29 53.49 7.34 V G24 1.06 1.02 0.94 1.02 0.95 1.06 1.01 1.01 V G113 1.06 1.04 0.94 1.02 0.97 1.05 1.01 1.00 P G49 70.03 68.76 180.24 7.41 27.27 10.27 135.35 85.59 V G25 1.06 1.00 1.03 1.01 0.97 1.06 1.01 1.02 V G116 0.94 1.00 0.94 1.01 1.00 1.06 1.01 0.98 P G54 0.00 82.43 0.00 3.98 146.44 79.90 67.26 49.55 V G26 1.06 1.03 1.03 1.01 1.02 1.06 1.01 0.99 T (5-8) 0.90 0.91 0.90 0.98 1.04 1.10 0.99 0.95 P G55 0.00 64.59 94.46 11.29 2.09 58.52 45.21 40.42 V G27 1.06 1.01 1.06 1.01 0.97 1.06 1.01 0.99 T (25-26) 1.10 1.10 1.01 1.00 1.08 1.10 0.99 0.97 P G56 100.00 34.36 76.24 66.35 27.00 38.57 44.58 10.76 V G31 1.06 1.00 1.06 1.01 1.02 1.06 1.01 0.99 T (17-30) 0.90 1.00 1.10 1.02 1.10 1.10 0.99 0.97 P G59 255.00 193.08 163.20 8.80 249.46 82.13 114.88 78.52 V G32 1.06 0.99 1.03 1.01 0.98 1.06 1.01 0.99 T (37-38) 0.90 1.08 0.90 0.97 0.97 1.10 0.99 0.99 P G61 260.00 51.76 116.97 165.94 68.27 208.05 115.45 154.24 V G34 1.06 0.96 1.04 1.02 1.02 1.06 1.01 0.98 T (59-63) 0.90 1.02 1.09 0.96 1.05 1.10 0.99 0.98 P G62 0.00 27.19 81.65 52.82 53.56 15.16 44.89 22.65 V G36 1.06 0.95 1.05 1.02 1.05 1.06 1.01 0.98 T (61-64) 0.90 1.05 1.02 0.96 1.00 1.01 0.99 0.96 P G65 0.00 89.22 227.27 172.84 28.18 399.21 216.37 269.89 V G40 1.06 1.00 1.06 1.01 1.04 1.06 1.01 1.00 T (65-66) 0.90 1.06 0.95 1.01 0.93 0.96 0.99 0.99 P G66 0.00 379.29 322.06 354.05 77.44 44.73 222.87 331.40 V G42 1.06 1.00 1.06 1.01 1.04 1.06 1.01 0.99 T (68-69) 1.10 1.07 0.90 1.00 1.09 1.01 0.99 0.95 P G70 0.00 10.19 100.00 9.89 12.32 3.68 46.31 24.29 V G46 1.06 0.96 1.02 1.01 1.01 1.06 1.01 0.99 T (80-81) 1.10 1.00 0.90 0.96 1.04 1.05 0.99 0.98 P G72 100.00 16.59 13.50 20.48 25.30 16.98 43.61 9.61 V G49 1.06 0.98 1.06 1.01 0.94 1.06 1.01 1.01 Q C34 0.00 13.23 2.35 23.21 27.38 17.04 13.25 21.88 P G73 0.00 23.46 0.00 0.35 30.11 28.62 44.50 31.17 V G54 0.94 1.05 1.06 1.01 1.00 1.06 1.01 1.00 Q C44 30.00 26.57 0.00 22.18 18.57 3.97 13.12 15.34 P G74 0.00 67.32 18.48 48.28 37.54 27.07 44.98 70.85 V G55 0.94 1.04 1.05 1.01 1.01 1.06 1.01 0.99 Q C45 30.00 17.13 30.00 22.99 0.65 11.35 13.48 6.91 P G76 100.00 28.29 0.00 0.21 82.74 30.54 43.92 7.52 V G56 0.94 1.04 1.05 1.01 1.01 1.06 1.01 0.99 Q C46 0.00 21.58 17.20 24.18 6.65 23.64 13.18 8.27 P G77 100.00 66.43 100.00 11.39 79.63 54.07 45.20 23.82 V G59 0.94 1.05 0.94 1.02 1.03 1.06 1.01 1.00 Q C48 19.14 12.34 30.00 4.84 25.98 8.18 13.72 13.25 P G80 577.00 111.30 460.17 460.78 16.95 453.56 267.40 321.42 V G61 0.94 1.05 0.94 1.01 1.04 1.05 1.01 1.00 Q C74 30.00 26.24 30.00 13.71 12.41 13.01 13.75 24.21 P G85 100.00 51.76 100.00 60.86 81.58 88.38 44.41 36.26 V G62 0.94 1.03 0.94 1.01 1.02 1.06 1.01 1.00 Q C79 30.00 14.58 0.01 7.86 16.38 5.85 13.83 24.19 P G87 0.00 13.01 0.62 5.70 50.99 19.85 0.00 5.42 V G65 0.94 1.06 0.98 1.01 1.03 1.06 1.01 0.99 Q C82 0.00 2.81 30.00 1.65 26.39 2.94 13.19 3.81 P G89 0.00 531.25 229.17 221.43 190.43 594.58 321.33 411.41 V G66 1.06 1.02 1.02 1.01 1.03 1.06 1.01 1.00 Q C83 0.00 17.08 0.00 15.02 16.18 2.78 13.42 4.92 P G90 0.00 61.71 0.00 15.02 66.79 29.33 45.01 11.87 V G69 0.94 1.00 1.06 1.01 0.99 1.04 1.01 1.00 Q C105 30.00 7.73 19.19 6.05 19.27 22.85 13.59 27.63 P G91 100.00 60.65 18.40 58.27 22.57 4.32 44.02 1.75 V G70 0.94 0.98 1.00 1.01 0.99 1.06 1.01 1.00 Q C107 30.00 11.25 30.00 23.12 23.52 14.46 13.62 10.45 P G92 0.00 48.80 100.00 48.00 66.07 47.34 43.99 4.03 V G72 1.06 0.97 1.06 1.01 0.97 1.06 1.01 0.99 Q C110 0.00 10.69 30.00 17.10 4.15 5.75 13.34 11.55 P G99 0.00 29.90 97.51 63.45 22.81 60.98 0.00 83.21 V G73 0.94 0.98 0.94 1.01 0.96 1.06 1.01 1.01 Final Results PSO GWO MFO WOA LMFO ChOA SMFO WMFO Cost( $ /h) 162,577.805 146,190.125 143,148.753 143,067.030 159,753.193 150,749.192 139,773.974 136,147.702 Ploss (MW) 164.015 125.125 103.421 102.091 134.400 131.863 67.651 104.699 VD(p.u.) 3.259 1.482 1.996 0.629 1.694 3.263 0.482 0.933
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Figure 1. The convergence curves of algorithms in solving CEC benchmark functions.
Figure 1. The convergence curves of algorithms in solving CEC benchmark functions.
Figure 2. The one-line diagram for the IEEE 14-bus system.
Figure 2. The one-line diagram for the IEEE 14-bus system.
Figure 3. Convergence curves for the IEEE 14-bus test system.
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ADMINISTRATIVE ORDER. NO. 328 - CONSIDERING MR. BERNARDINO M. GUBATAN RESIGNED FROM OFFICE AS MUNICIPAL JUDGE OF MANGALDAN, PANGASINAN, AND IMPOSING A FINE ON MR. FELIPE M. VILLANUEVA, FORMER CITY JUDGE OF DAGUPAN CITY - Supreme Court E-Library
[ ADMINISTRATIVE ORDER. NO. 328, May 22, 1972 ]
CONSIDERING MR. BERNARDINO M. GUBATAN RESIGNED FROM OFFICE AS MUNICIPAL JUDGE OF MANGALDAN, PANGASINAN, AND IMPOSING A FINE ON MR. FELIPE M. VILLANUEVA, FORMER CITY JUDGE OF DAGUPAN CITY
This is an administrative case filed against Municipal Judge Bernardino M. Gubatan of Mangaldan, Pangasinan, and City Judge Felipe N. Villanueva of Dagupan City, since retired, by Romeo Pa. Cabugao for allegedly conspiring in the illegal issuance of a warrant for his arrest in Criminal Case No. 855 (for robbery), which led to his apprehension and detention in the Dagupan City jail, after he and, two (2) others implemented a writ of execution issued by the City Court of Manila, in Civil Case No. 129825, entitled “Shriro (Phil.) Inc. vs. Joseph Patalinghug et al.” The case was formally investigated by District Judge Sixto A. Domondon of the Court of First Instance of Pangasinan.
The evidence adduced at the investigation conducted by the District Judge-Investigator shows that in the late afternoon of December 29, 1969, which was a holiday, Angelita Patalinghug and her witness Roberto Patalinghug went to the police department of Dagupan City to file a criminal complaint for robbery against herein complainant and his companions for having allegedly taken from her residence find during her absence some articles consisting of jewelry and watches amounting to P13,500 in the course of their carrying out the writ of execution.
Upon overhearing the complaint of the offended party and finding that City Judge Villanueva was not in his office, respondent Gubatan administered the oaths in the complaint and its supporting affidavits executed by the offended party and her witness and conducted the preliminary investigation by taking their statements which were also subscribed and sworn to before him. He then prepared an order and signed the same as “Judge” of the City Court which reads:
“Acting on the complaint filed by the complainant; It appearing that upon verification the City Mayor is out of town and the incumbent City Judge is residing in a far away place; It appearing further that the offense charged is so serious as it does the violation of the civil liberties of the citizens and, therefore, requires prompt action, and
“Believing that inaction will be prejudicial to public interest while action will cause no injury to any third person much less the accused herein; neither will it cause harm in the administration of justice;
“The undersigned deems it appropriate to accept the complaint and the issuance of the warrant of arrest for the apprehension of the accused subject to the Hon. Judge Felipe Villanueva’s further action including the trial of the case on the merits.”
Respondent Gubatan also filled out a mimeograph form of a warrant of arrest for the signature of respondent Villanueva The warrant and the pertinent papers of the ease were brought by respondent Gubatan accompanied by the city clerk of court and Angelita and Roberto Patalinghug to the house of respondent Villanueva in Ban Carlos City, arriving there around seven o’clock in the evening. After being briefed on the case by Gubatan who assured him that everything was regular, Villanueva verified the existence or probable cause for the criminal complaint by asking under oath Angelita and Roberto Patalinghug the same Questions contained in their statements taken by the former. He thereupon signed the warrant of arrest and handed the same to his clerk.
After everybody had left, Villanueva began to doubt Gubatan’s authority to act on the case and despite the late hour he went to the San Carlos City Hall and tried to contact by telephone the chief of police of Dagupan City to advise him not to serve the warrant of arrest. Failing in his attempt, Villanueva returned to his house and prepared the following draft of recall order:
“After going all over again the records of this case, this Court entertains doubts as to the propriety of the warrant of arrest previously issued by this Court.
“WHEREFORE, the warrant of arrest previously issued by this Court is hereby re-called, subject to further investigation by this Court.”
Early the following morning (Dec. 30, 1969), Villanueva arrived at Dagupan City and told Gubatan about his misgivings on the regularity of the latter1s action in the robbery case. He then proceeded to the city .jail and upon being informed that complainant was arrested at 10:45 p.m. of the previous night and thereafter brought by the chief of police to his house, he went to see the latter and asked him to release complainant on the strength of his draft of order recalling the warrant of arrest he had signed, but the police chief refused and told him that the damage had already been done. Villanueva then returned to the city hall and finalized his order recalling the warrant of arrest and served it on the city jailer at 7:10 of that morning. Complainant was then released around 9 A.M.
On January 2, 1970, Villanueva issued another order setting aside the proceedings and designating the city fiscal to-conduct the preliminary investigation. On May 11, 1970, the city fiscal filed a motion to dismiss the case for insufficiency of evidence, which was granted by the respondent in an order of the same date.
The District Judge-Investigator found that respondent Gubatan acted without authority as judge of the Dagupan City Court in accepting the complaint after conducting the preliminary examination of the offended party and her witness in Criminal Case No. 855; and that respondent Villanueva acted with prudence and in utter good faith and with dispatch in issuing and signing the warrant of arrest and without any bad faith or malice whatsover in the issuance thereof.
The Secretary of Justice, while concurring in the findings against Gubatan, observes that Villanueva issued the warrant in question outside the teeritorial jurisdiction of his court and at night during a holiday and that there was no urgent need for the immediate service thereof as brought out in the preliminary examination of the offended party and her witness. The difficulty encountered by Villanueva in effecting the release of the herein complainant was thus a direct result of the unusual place and time for the issuance of the warrant of arrest.
However, the Secretary points out that the irregularity in the issuance of the warrant was mitigated by the frantic efforts of Villanueva to recall it after its issuance and by his cancellation thereof on the following day. The Secretary likewise states that respondent is no longer in the service on account of his having reached the age of compulsory retirement on April 24, 1971. He recommends that both be considered resigned, with prejudice to retirement benefits in the case of Gubatan. Later, the recommendation for Villanueva was modified by adding “without prejudice to retirement benefits.”
After a careful review of the case, I agree with the Secretary of Justice that respondent Gubatan is guilty as charged. I am therefore constrained to take drastic action against him. As regards respondent Villanueva, I believe that he may be accorded some measure of leniency, in view of the above attendant circumstances in his favor, coupled with the absence of any proof that he was actuated by malice or bad faith in the issuance of the warrant in question, apart from. his having been already compulsorily retired from the service.
In view of the foregoing, Mr. Bernardino M. Gubatan is hereby considered resigned from office as Municipal Judge of Mangaldan, Pangasinan, effective upon receipt of a copy of this decision, while Mr. Felipe B. Villanueva, former City Judge of Dagupan City, is fined in an amount equivalent to two (2) months’ pay.
Done in the City of Manila, this 22nd day of May, in the year of Our Lord, nineteen hundred and seventy-two.
(Sgd.) FERDINAND E. MARCOS President of the Philippines
By the President:
(Sgd.)
ALEJANDRO MELCHOR
Executive Secretary
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Phase 2 Trial of Neoadjuvant and Adjuvant Tiragolumab Plus Atezolizumab in Patients With Newly Diagnosed PD-L1 CPS Positive Resectable Stage 3-4 Oral Cavity Squamous Cell Carcinoma (OCSCC). - Full Text View - ClinicalTrials.gov
Phase 2 Trial of Neoadjuvant and Adjuvant Tiragolumab Plus Atezolizumab in Patients With Newly Diagnosed PD-L1 CPS Positive Resectable Stage 3-4 Oral Cavity Squamous Cell Carcinoma (OCSCC).
ClinicalTrials.gov Identifier: NCT05681039 Recruitment Status :
Not yet recruiting First Posted : January 11, 2023 Last Update Posted : January 31, 2023 See Contacts and Locations
Sponsor:
Genentech, Inc.
Information provided by (Responsible Party):
M.D. Anderson Cancer Center
Study Details
Study Description
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Brief Summary:
To learn if treatment with tiragolumab and atezolizumab before and after standard of care surgery and chemoradiation (radiation therapy with or without cisplatin/carboplatin) can help to control OCSCC that is PD-L1 CPS positive.
Condition or disease Intervention/treatment Phase Squamous Cell Carcinoma Oral Cavity Squamous Cell Carcinoma Drug: Tiragolumab Drug: Atezolizumab Behavioral: Standard of Care Behavioral: Questionnaires Radiation: Cisplatin Radiation: Carboplatin Phase 2
Detailed Description:
Primary Objectives:
To determine the major pathological response rate, defined as <10% viable tumor in the resection specimen, after two cycles of neoadjuvant atezolizumab and tiragolumab in patients with newly diagnosed, local-regionally advanced OCSCC that is PD-L1 CPS ≥1. Response at the primary site and in nodal disease will be evaluated.
Secondary Objectives:
To evaluate the safety of two cycles of atezolizumab and tiragolumab in patients with newly diagnosed, local-regionally advanced OCSCC, as measured by the incidence, nature and severity of adverse events with severity measured by CTCAE V5.
To evaluate the overall response rate (ORR) as measured by RECIST1.1 after two cycles of neoadjuvant atezolizumab and tiragolumab, including complete or partial response (CR+PR).
To evaluate the distribution of percent tumor viability in tumor biopsies and resection specimens after two cycles of atezolizumab and tiragolumab.
Exploratory Objectives:
To investigate changes in the tumor microenvionment before and after two cycles of atezolizumab and tiragolumab as measured by multispectral immunofluorescence and single-cell sequencing.
To genetically profile OSCC by use of oral rinse and to measure changes in patient-specific somatic mutations by cfDNA before, during and after neoadjuvant immunotherapy.
To assess polyfunctionality in peripheral blood CD4+ and CD8+ T cells after neoadjuvant immunotherapy, radiotherapy and adjuvant immunotherapy.
To evaluate the symptom severity mean (measured by MDASI-HN), and its association with the major pathological response.
Study Design
Layout table for study information Study Type : Interventional
(Clinical Trial) Estimated Enrollment : 29 participants Allocation: N/A Intervention Model: Single Group Assignment Masking: None (Open Label) Primary Purpose: Treatment Official Title: Phase 2 Trial of Neoadjuvant and Adjuvant Tiragolumab Plus Atezolizumab in Patients With Newly Diagnosed PD-L1 CPS Positive Resectable Stage 3-4 Oral Cavity Squamous Cell Carcinoma (OCSCC). Estimated Study Start Date : June 30, 2023 Estimated Primary Completion Date : November 1, 2024 Estimated Study Completion Date : November 1, 2026
Resource links provided by the National Library of Medicine
Drug Information available for: Atezolizumab
Genetic and Rare Diseases Information Center resources: Oral Squamous Cell Carcinoma
U.S. FDA Resources
Arms and Interventions
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Arm Intervention/treatment Experimental: Neoadjuvant and Adjuvant Drug: Tiragolumab Given by IV (vein) Drug: Atezolizumab Given by IV (vein) Other Names: MPDL3280A TECENTRIQ Behavioral: Standard of Care after care from surgery Behavioral: Questionnaires Quality of life Radiation: Cisplatin Given by IV (vein) Radiation: Carboplatin Given by IV (vein)
Outcome Measures
Primary Outcome Measures
:
The major pathological response rate after neoadjuvant atezolizumab and tiragolumab. [ Time Frame: through study completion; an average of 1 year. ]
To determine the major pathological response rate, defined as <10% viable tumor in the resection specimen, after two cycles of neoadjuvant atezolizumab and tiragolumab in patients with newly diagnosed, local-regionally advanced OCSCC that is PD-L1 CPS ≥1. Response at the primary site and in nodal disease will be evaluated
Eligibility Criteria
Information from the National Library of Medicine
Choosing to participate in a study is an important personal decision. Talk with your doctor and family members or friends about deciding to join a study. To learn more about this study, you or your doctor may contact the study research staff using the contacts provided below. For general information, Learn About Clinical Studies.
Layout table for eligibility information Ages Eligible for Study: 18 Years and older (Adult, Older Adult) Sexes Eligible for Study: All Accepts Healthy Volunteers: No
Criteria
Inclusion Criteria:
Signed Informed Consent Form
Age 18 years at time of signing Informed Consent Form
Ability to comply with the study protocol, in the investigator's judgment
Histologically or cytologically confirmed, newly diagnosed, OCSCC that is clinical AJCC 8th edition Stage 3-4 (T1-T4N1-3, T3-T4N0)
Patients with a history of previously resected stage T1N0 or T2N0 OCSCC and no prior history of radiotherapy to the head and neck are eligible at local +/- regional recurrence if they otherwise meet stage criteria.
Surgically resectable OCSCC as determined by the patients' treating head and neck surgeon. Patients with a clinical diagnosis of oral cavity cancer, awaiting a biopsy are eligible to consent for pre-screening.
Measurable disease per RECIST v1.1
PD-L1 CPS≥ 1 (determined by immunohistochemistry with the 22C3 antibody) as documented through testing of a representative tumor tissue specimen
Availability of a representative tumor specimen for exploratory biomarker research (see Appendix 12 for information on tumor specimens) A formalin-fixed paraffin-embedded (FFPE) tumor specimen in a paraffin block (preferred) or at least 15 slides containing unstained, freshly cut, serial sections must be available for baseline biomarker analysis along with an associated pathology report prior to study enrollment. If archival tumor tissue is unavailable or is determined to be unsuitable for, tumor tissue must be obtained from a biopsy performed at screening.
ECOG Performance Status of 0-1
Adequate hematologic and end-organ function, defined by the following laboratory test results, obtained within 14 days prior to initiation of study treatment:
ANC 1.5 109/L (1500/L) without granulocyte colony-stimulating factor support
Lymphocyte count 0.5 109/L (500/L)
Platelet count 100 109/L (100,000/L) without transfusion
Hemoglobin 90 g/L (9 g/dL) Patients may be transfused to meet this criterion.
AST, ALT, and alkaline phosphatase (ALP) 2.5 upper limit of normal (ULN)
Serum bilirubin 1.5 ULN with the following exception:
Patients with known Gilbert disease: serum bilirubin 3 ULN
Creatinine clearance 50 mL/min (calculated using the Cockcroft-Gault formula)
Serum albumin 25 g/L (2.5 g/dL)
For patients not receiving therapeutic anticoagulation: INR and aPTT 1.5 xULN
For patients receiving therapeutic anticoagulation: stable anticoagulant regimen
Negative HIV test at screening, with the following exception: patients with a positive HIV test at screening are eligible provided they are stable on anti-retroviral therapy for ≥3 months, have a CD4 count 200/µL, and have an undetectable viral load
Negative hepatitis B surface antigen (HBsAg) test at screening
Positive hepatitis B surface antibody (HBsAb) test at screening, or negative HBsAb at screening accompanied by either of the following:
Negative total hepatitis B core antibody (HBcAb)
Positive total HBcAb test followed by quantitative hepatitis B virus (HBV) DNA < 500 IU/mL The HBV DNA test will be performed only for patients who have a negative HBsAg test, a negative HBsAb test, and a positive total HBcAb test.
Negative hepatitis C virus (HCV) antibody test at screening, or positive HCV antibody test followed by a negative HCV RNA test at screening. The HCV RNA test will be performed only for patients who have a positive HCV antibody test.
Requirements for contraception and pregnancy testing for a clinical trial should encompass all investigational medicinal products (IMPs) as well as protocol-mandated non-investigational medicinal products (NIMPs) such as background therapy, and the measures to be followed should be based on the medicinal product with the highest risk (see the protocol synopsis for definition of IMP and NIMP). Contraception requirements for marketed Genentech IMPs or NIMPs should be based on recommendations in the Summary of Product Characteristics (SmPC) or, if there is no SmPC, national prescribing information. Contraception requirements for unapproved Genentech IMPs or NIMPs should be based on recommendations in the Investigator Brochure (IB).
For women of childbearing potential: agreement to remain abstinent (refrain from heterosexual intercourse) or use contraceptive methods, and agreement to refrain from donating eggs, as defined below:
Women must remain abstinent or use contraceptive methods with a failure rate of 1% per year during the treatment period and for 5 months after the final dose of atezolizumab, 90 days after the last dose of tiragolimab and for 6 months after the final dose of carboplatin or cisplatin. Women must refrain from donating eggs during this same period.
A woman is considered to be of childbearing potential if she is postmenarchal, has not reached a postmenopausal state ( 12 continuous months of amenorrhea with no identified cause other than menopause), and has not undergone surgical sterilization (removal of ovaries and/or uterus). The definition of childbearing potential may be adapted for alignment with local guidelines or requirements.
Examples of contraceptive methods with a failure rate of 1% per year include bilateral tubal ligation, male sterilization, hormonal contraceptives that inhibit ovulation, hormone-releasing intrauterine devices, and copper intrauterine devices.
The reliability of sexual abstinence should be evaluated in relation to the duration of the clinical trial and the preferred and usual lifestyle of the patient. Periodic abstinence (e.g., calendar, ovulation, symptothermal, or postovulation methods) and withdrawal are not adequate methods of contraception.
- For men: agreement to remain abstinent (refrain from heterosexual intercourse) or use contraceptive measures, and agreement to refrain from donating sperm, as defined below: With a female partner of childbearing potential who is not pregnant, men who are not surgically sterile must remain abstinent or use a condom plus an additional contraceptive method that together result in a failure rate of 1% per year during the treatment period, for 90 days (a sperm cycle) after the final dose of tiragolumab and for 6 months after the final dose of carboplatin or cisplatin. Men must refrain from donating sperm during this same period.
With a pregnant female partner, men must remain abstinent or use a condom during the treatment period, for 90 days after the final dose of tiragolumab and for 6 months after the final dose of carboplatin or cisplatin to avoid exposing the embryo.
The reliability of sexual abstinence should be evaluated in relation to the duration of the clinical trial and the preferred and usual lifestyle of the patient. Periodic abstinence (e.g., calendar, ovulation, symptothermal, or postovulation methods) and withdrawal are not adequate methods of contraception.
Exclusion Criteria:
Patients who meet any of the following criteria will be excluded from study entry:
Positive test for SARS-CoV-2 within two weeks of enrollment.
Uncontrolled or symptomatic hypercalcemia (ionized calcium 1.5 mmol/L, calcium 12 mg/dL or corrected serum calcium ULN)
Active or history of autoimmune disease or immune deficiency, including, but not limited to, myasthenia gravis, myositis, autoimmune hepatitis, systemic lupus erythematosus, rheumatoid arthritis, inflammatory bowel disease, antiphospholipid antibody syndrome, Wegener granulomatosis, Sjögren syndrome, Guillain-Barré syndrome, or multiple sclerosis (see Appendix 6 for a more comprehensive list of autoimmune diseases and immune deficiencies), with the following exceptions:
Patients with a history of autoimmune-related hypothyroidism who are on thyroid-replacement hormone are eligible for the study.
Patients with controlled Type 1 diabetes mellitus who are on an insulin regimen are eligible for the study.
Patients with eczema, psoriasis, lichen simplex chronicus, or vitiligo with dermatologic manifestations only (e.g., patients with psoriatic arthritis are excluded) are eligible for the study provided all of following conditions are met:
Rash must cover 10% of body surface area
Disease is well controlled at baseline and requires only low-potency topical corticosteroids
No occurrence of acute exacerbations of the underlying condition requiring psoralen plus ultraviolet A radiation, methotrexate, retinoids, biologic agents, oral calcineurin inhibitors, or high-potency or oral corticosteroids within the previous 12 months
History of idiopathic pulmonary fibrosis, organizing pneumonia (e.g., bronchiolitis obliterans), drug-induced pneumonitis, or idiopathic pneumonitis, or evidence of active pneumonitis on screening chest computed tomography (CT) scan History of radiation pneumonitis in the radiation field (fibrosis) is permitted.
Active tuberculosis
Significant cardiovascular disease (such as New York Heart Association Class II or greater cardiac disease, myocardial infarction, or cerebrovascular accident) within 3 months prior to initiation of study treatment, unstable arrhythmia, or unstable angina
Major surgical procedure, other than for diagnosis, within 4 weeks prior to initiation of study treatment, or anticipation of need for a major surgical procedure during the study
History of malignancy within 5 years prior to screening, with the exception of malignancies with a negligible risk of metastasis or death (e.g., 5-year OS rate > 90%), such as adequately treated carcinoma in situ of the cervix, non melanoma skin carcinoma, localized prostate cancer, ductal carcinoma in situ, or Stage I uterine cancer.
Severe infection, including SARS-CoV-2 infection, within 4 weeks prior to initiation of study treatment, including, but not limited to, hospitalization for complications of infection, bacteremia, or severe pneumonia, or any active infection that, in the opinion of the investigator, could impact patient safety.
Treatment with therapeutic oral or IV antibiotics within 2 weeks prior to initiation of study treatment Patients receiving prophylactic antibiotics (e.g., to prevent a urinary tract infection or chronic obstructive pulmonary disease exacerbation) are eligible for the study.
Prior allogeneic stem cell or solid organ transplantation
Any other disease, metabolic dysfunction, physical examination finding, or clinical laboratory finding that contraindicates the use of an investigational drug, may affect the interpretation of the results, or may render the patient at high risk from treatment complications
Treatment with a live, attenuated vaccine within 4 weeks prior to initiation of study treatment, or anticipation of need for such a vaccine during study, or within 90 days after the final dose of tiragolumab or 5 months after the final dose of atezolizumab Patients being treated with chemotherapy (i.e., carboplatin and cisplatin) should not receive live vaccines.
Current treatment with anti-viral therapy for HBV
Positive Epstein-Barr virus (EBV) viral capsid antigen immunoglobulin M (IgM) test at screening An EBV PCR test should be performed as clinically indicated to screen for acute infection or suspected chronic active infection. Patients with a positive EBV PCR test are excluded.
Prior treatment for head and neck cancer that includes in filed radiotherapy
Treatment with investigational therapy within 42 days prior to initiation of study treatment
Prior treatment with CD137 agonists or immune checkpoint blockade therapies, including antiCTLA-4, anti PD-1, and anti PD-L1 therapeutic antibodies
Treatment with systemic immunostimulatory agents (including, but not limited to, interferon and interleukin 2 [IL-2]) within 4 weeks or 5 half-lives of the drug (whichever is longer) prior to initiation of study treatment
Treatment with systemic immunosuppressive medication (including, but not limited to, corticosteroids, cyclophosphamide, azathioprine, methotrexate, thalidomide, and antiTNF- agents) within 2 weeks prior to initiation of study treatment, or anticipation of need for systemic immunosuppressive medication during study treatment, with the following exceptions:
Patients who received acute, low-dose systemic immunosuppressant medication or a one-time pulse dose of systemic immunosuppressant medication (e.g., 48 hours of corticosteroids for a contrast allergy) are eligible for the study after Principal Investigator confirmation has been obtained.
Patients who received mineralocorticoids (e.g., fludrocortisone), corticosteroids for chronic obstructive pulmonary disease (COPD) or asthma, or low-dose corticosteroids for orthostatic hypotension or adrenal insufficiency are eligible for the study.
Patients may receive corticosteroids as anti-emetics during adjuvant (chemo)radiotherapy per the standard of care.
History of severe allergic anaphylactic reactions to chimeric or humanized antibodies or fusion proteins
Known hypersensitivity to Chinese hamster ovary cell products or to any component of the atezolizumab formulation
Known allergy or hypersensitivity to any component of the chemotherapy regimen the patient may receive during the study.
Pregnancy or breastfeeding, or intention of becoming pregnant during study treatment or within 5 months after the final dose of study treatment Women of childbearing potential must have a negative serum pregnancy test result within 14 days prior to initiation of study treatment.
Information from the National Library of Medicine
To learn more about this study, you or your doctor may contact the study research staff using the contact information provided by the sponsor.
Please refer to this study by its ClinicalTrials.gov identifier (NCT number): NCT05681039
Contacts
Layout table for location contacts Contact: Maura Gillison, MD PhD 713-792-6363 mgillison@mdanderson.org
Locations
Layout table for location information United States, Texas M D Anderson Cancer Center Houston, Texas, United States, 77030 Contact: Maura Gillison, MD, PHD 713-792-6363 mgilllison@mdanderson.org Principal Investigator: Maura Gillison, MD, PHD
Sponsors and Collaborators
M.D. Anderson Cancer Center
Genentech, Inc.
Investigators
Layout table for investigator information Principal Investigator: Maura Gillison M.D. Anderson Cancer Center
Additional Information:
M D Anderson Cancer Center
Layout table for additonal information Responsible Party: M.D. Anderson Cancer Center ClinicalTrials.gov Identifier: NCT05681039 History of Changes Other Study ID Numbers: 2022-0446 NCI-2022-10637 ( Other Identifier: NCI-CTRP Clinical Trials Registry ) First Posted: January 11, 2023 Key Record Dates Last Update Posted: January 31, 2023 Last Verified: January 2023
Layout table for additional information Studies a U.S. FDA-regulated Drug Product: Yes Studies a U.S. FDA-regulated Device Product: No
Additional relevant MeSH terms:
| https://clinicaltrials.gov/ct2/show/NCT05681039/ |
Effects of a New Dispatcher-Assisted Basic Life Support Training Program - Full Text View - ClinicalTrials.gov
Effects of a New Dispatcher-Assisted Basic Life Support Training Program (HEROS)
The safety and scientific validity of this study is the responsibility of the study sponsor and investigators. Listing a study does not mean it has been evaluated by the U.S. Federal Government.
Read our disclaimer for details.
ClinicalTrials.gov Identifier: NCT02142387 Recruitment Status :
Completed First Posted : May 20, 2014 Results First Posted : May 1, 2020 Last Update Posted : May 1, 2020
Sponsor:
Seoul National University Hospital
Information provided by (Responsible Party):
Sang Do Shin, Seoul National University Hospital
Tabular View
Study Description
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Brief Summary:
Despite aggressive cardiopulmonary resuscitation (CPR) training, the outcome of cardiac arrest is not good. The problem is method of education. So, the investigators want to add the dispatcher-assisted CPR simulation into conventional CPR training. In this study, the study is aimed to investigate the effect of newer CPR training program.
Condition or disease Intervention/treatment Phase Out of Hospital Cardiac Arrest Other: BLS CPR program with dispatcher assisted CPR simulation Not Applicable
Detailed Description:
The training program focuses on working in team with dispatcher, performing all steps from recognizing cardiac arrest to performing CPR, together with the dispatcher. The one hours training session is split into four parts:
Video self-instruction manikin practice (30 min), including a brief introduction to automated external defibrillator (AED).
Practice in pairs (15 min). Practicing the dispatcher and rescuer role in a simulation to enhance learning.
Debriefing. Questions, answers and reflection (15 min).
Homework. Leaflet with tasks like learn how to activate the speaker function on your own phone.
The main difference between dispatcher-assisted basic life support (DA-BLS) and traditional BLS training is that DA-BLS provides the scenes and interactive experiences on calling emergency medical service (EMS) and receiving CPR instruction via telephone speaker function, following up the skill training by scenario simulation training.
Study Design
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Layout table for study information Study Type : Interventional
(Clinical Trial) Actual Enrollment : 18822 participants Allocation: Non-Randomized Intervention Model: Parallel Assignment Masking: None (Open Label) Primary Purpose: Treatment Official Title: Clinical Effects of a New Dispatcher-Assisted Basic Life Support Training Program in a Metropolitan City: A Before-and-After Intervention Study Actual Study Start Date : January 2014 Actual Primary Completion Date : December 2017 Actual Study Completion Date : December 2018
Resource links provided by the National Library of Medicine
MedlinePlus related topics: Sudden Cardiac Arrest
U.S. FDA Resources
Arms and Interventions
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Arm Intervention/treatment Active Comparator: New DA-BLS training program A one-hour training course that includes a 30-minute video-based self-instruction (VSI) training session, a short role-play, and a debriefing. The video consists of a bystander CPR simulation with dispatcher instructions using the trainee's own phone and practice session following demonstration by a simulated layperson. After watching the video clip, all trainees are divided into two groups and conduct a role-play as dispatchers and laypersons for 15 minutes. Finally, there is a 15-minute debriefing session with several assignments. The HEROS program focuses on cooperation with a dispatcher, from recognition of cardiac arrest to performing DA-CPR, with hands-on practice so that laypersons can provide bystander CPR immediately in a real situation. Moreover, the HEROS program emphasizes practice for providing the correct address of the scene and switching to speakerphone mode, especially for the elderly. Other: BLS CPR program with dispatcher assisted CPR simulation the training program more focuses on cooperation with a dispatcher, from recognition to perform DA-CPR and hands-on practice. No Intervention: Current Basic Life Support (BLS) training program A one-hour training program that was developed by the Korea Center for Disease Control and Prevention (CDC) and it was based on the American Heart Association (AHA) guideline (http://www.cdc.go.kr/board.es?mid=a20503050000&bid=0021&tag=&act=view&list_no=127655). The program consists of a 30-minute VSI, and a 30-minute practice debriefing session. It focuses on detailed techniques for performing high-quality chest compressions including the correct hands and body position of the bystanders.
Outcome Measures
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Primary Outcome Measures
:
Number of Participants Surviving to Hospital Discharge [ Time Frame: from date of discharge, assessed up to 3 months ]
The study end points are survival to hospital discharge. Survival to discharge will be measured as proportions of patients who were discharged from a hospital with their spontaneous circulation recovered. This information will be collected from medical record review.
Secondary Outcome Measures
:
Number of Participants With Return of Spontaneous Circulation (ROSC) [ Time Frame: from date of cardiac arrest occurred, assessed up to 1 week ]
The return of spontaneous circulation will be measured as proportion of the patients who were recovered their circulation at emergency department. This information will be collected from the medical review.
Number of Participants With Good Neurological Recovery [ Time Frame: from date of discharge, assessed up to 3 months ]
The Cerebral Performance Categories (CPC) score will be used to measure neurological recovery status: CPC 1 (good cerebral performance), CPC 2 (moderate cerebral disability), CPC 3 (severe cerebral disability), CPC 4 (coma or vegetative state), CPC 5 (brain death).
We defined the good neurological recovery as CPC 1 or CPC 2. This information will be collected from medical record review.
Eligibility Criteria
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Information from the National Library of Medicine
Choosing to participate in a study is an important personal decision. Talk with your doctor and family members or friends about deciding to join a study. To learn more about this study, you or your doctor may contact the study research staff using the contacts provided below. For general information, Learn About Clinical Studies.
Layout table for eligibility information Ages Eligible for Study: 19 Years and older (Adult, Older Adult) Sexes Eligible for Study: All Accepts Healthy Volunteers: No
Criteria
Inclusion Criteria:
All out-of-hospital cardiac arrest (OHCA) patients with presumed cardiac etiology who are 19 years of age or older and assessed and treated by EMS providers after dispatched by the EMS dispatch center will be included.
Exclusion Criteria:
We will exclude patients with non-cardiac etiology, prolonged cardiac arrest with a suspected duration more than 30 minutes, cases such as livor mortis or rigor mortis, and decapitated or decomposed body, and patients who have "Do-Not-Resuscitate" card documented by doctor.
Contacts and Locations
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Information from the National Library of Medicine
To learn more about this study, you or your doctor may contact the study research staff using the contact information provided by the sponsor.
Please refer to this study by its ClinicalTrials.gov identifier (NCT number): NCT02142387
Locations
Layout table for location information Korea, Republic of Seoul National University Hospital Seoul, Korea, Republic of, 110-744
Sponsors and Collaborators
Seoul National University Hospital
Investigators
Layout table for investigator information Study Chair: Sang Do Shin, MD, MPH, PHD Seoul National University Hospital
Study Documents (Full-Text)
Documents provided by Sang Do Shin, Seoul National University Hospital:
Study Protocol and Statistical Analysis Plan [PDF] February 8, 2020
Top of Page Study Description Study Design Arms and Interventions Outcome Measures Eligibility Criteria Contacts and Locations More Information
Publications automatically indexed to this study by ClinicalTrials.gov Identifier (NCT Number):
Park GJ, Song KJ, Shin SD, Hong KJ, Kim TH, Park YM, Kong J. Clinical effects of a new dispatcher-assisted basic life support training program in a metropolitan city. Medicine (Baltimore). 2022 Jul 15;101(28):e29298. doi: 10.1097/MD.0000000000029298.
Layout table for additonal information Responsible Party: Sang Do Shin, professor, Seoul National University Hospital ClinicalTrials.gov Identifier: NCT02142387 History of Changes Other Study ID Numbers: SNUH-heros-01 First Posted: May 20, 2014 Key Record Dates Results First Posted: May 1, 2020 Last Update Posted: May 1, 2020 Last Verified: April 2020 Individual Participant Data (IPD) Sharing Statement: Plan to Share IPD: No
Keywords provided by Sang Do Shin, Seoul National University Hospital:
cardiac arrest dispatcher-assisted bystander cardiopulmonary resuscitation survival
Additional relevant MeSH terms:
Layout table for MeSH terms Heart Arrest Out-of-Hospital Cardiac Arrest Heart Diseases Cardiovascular Diseases
For Study Record Managers
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| https://clinicaltrials.gov/ct2/show/NCT02142387 |
Keyur Pandya - Publications
Chemistry Tree: publications by Keyur Pandya, University of Alberta
Keyur Pandya- Publications
1/162 high-probability publications.We are testing a new system for linking publications to authors. You can help! If you notice any inaccuracies, pleasesign inand mark papers as correct or incorrect matches.
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Year Citation Score
2013 Pandya K,Dietrich D, Seibert J,Vederas JC, Odermatt A. Synthesis of sterically encumbered 11β-aminoprogesterone derivatives and evaluation as 11β-hydroxysteroid dehydrogenase inhibitors and mineralocorticoid receptor antagonists. Bioorganic & Medicinal Chemistry. 21: 6274-81. PMID24074876DOI: 10.1016/J.Bmc.2013.08.068 0.323
Low-probability matches (unlikely to be authored by this person)
2011 Jeni MM, Nathani BR, Pandya KS. Synthesis, characterization and anti-microbial activity of some novel trisubstituted purine bearing amino acid Der Pharma Chemica. 3: 20-28. 0.229
2012 Patel MR, Pandya KG, Lau-Cam CA, Singh S, Pino MA, Billack B, Degenhardt K, Talele TT. Design and synthesis of N-substituted indazole-3-carboxamides as poly(ADP-ribose)polymerase-1 (PARP-1) inhibitors(†). Chemical Biology & Drug Design. 79: 488-96. PMID22177599DOI: 10.1111/j.1747-0285.2011.01302.x 0.202
2011 Pandya K,Smithies O. β-MyHC and cardiac hypertrophy: size does matter. Circulation Research. 109: 609-10. PMID21885833DOI: 10.1161/Circresaha.111.252619 0.144
2006Farnell MB, Donoghue AM, de Los Santos FS, Reyes-Herrera I, Cole K, Dirain ML, Blore PJ, Pandya K, Donoghue DJ. Effect of oral administration of bismuth compounds on Campylobacter colonization in broilers. Poultry Science. 85: 2009-11. PMID17032837DOI: 10.1093/Ps/85.11.2009 0.143
2009 Katritzky AR, Tala SR, Lu H, Vakulenko AV, Chen QY, Sivapackiam J, Pandya K, Jiang S, Debnath AK. Design, synthesis, and structure-activity relationship of a novel series of 2-aryl 5-(4-oxo-3-phenethyl-2-thioxothiazolidinylidenemethyl)furans as HIV-1 entry inhibitors. Journal of Medicinal Chemistry. 52: 7631-9. PMID19746983DOI: 10.1021/Jm900450N 0.14
2006Pansare SV, Pandya K. Simple diamine- and triamine-protonic acid catalysts for the enantioselective Michael addition of cyclic ketones to nitroalkenes. Journal of the American Chemical Society. 128: 9624-5. PMID16866504DOI: 10.1021/ja062701n 0.133
2011Katritzky AR, Tala SR, Abo-Dya NE, Ibrahim TS, El-Feky SA, Gyanda K, Pandya KM. Chemical ligation of S-scylated cysteine peptides to form native peptides via 5-, 11-, and 14-membered cyclic transition states. The Journal of Organic Chemistry. 76: 85-96. PMID21158395DOI: 10.1021/Jo1015757 0.131
2014 Bathgate-Siryk A, Dabul S, Pandya K, Walklett K, Rengo G, Cannavo A, De Lucia C, Liccardo D, Gao E, Leosco D,Koch WJ, Lymperopoulos A. Negative impact of β-arrestin-1 on post-myocardial infarction heart failure via cardiac and adrenal-dependent neurohormonal mechanisms. Hypertension. 63: 404-12. PMID24218435DOI: 10.1161/HYPERTENSIONAHA.113.02043 0.12
2011Pandya K, Meeke K,Clementz AG, Rogowski A, Roberts J,Miele L, Albain KS,Osipo C. Targeting both Notch and ErbB-2 signalling pathways is required for prevention of ErbB-2-positive breast tumour recurrence. British Journal of Cancer. 105: 796-806. PMID21847123DOI: 10.1038/Bjc.2011.321 0.111
2015 Patel SN, Pandya K, Clark GJ, Parikh MC, Lau-Cam CA. Comparison of taurine and pantoyltaurine as antioxidants in vitro and in the central nervous system of diabetic rats. Experimental and Toxicologic Pathology : Official Journal of the Gesellschaft Fur Toxikologische Pathologie. PMID26616540DOI: 10.1016/j.etp.2015.11.002 0.111
2010 Somarathna KI, Chandola HM, Ravishankar B, Pandya KN, Attanayake AM, Ashok BK. Evaluation of adaptogenic and anti-stress effects of Ranahamsa Rasayanaya-A Sri Lankan classical Rasayana drug on experimental animals. Ayu. 31: 88-92. PMID22131691DOI: 10.4103/0974-8520.68201 0.11
2009 Loprinzi CL, Sloan J, Stearns V, Slack R, Iyengar M, Diekmann B, Kimmick G, Lovato J, Gordon P, Pandya K, Guttuso T, Barton D, Novotny P. Newer antidepressants and gabapentin for hot flashes: an individual patient pooled analysis. Journal of Clinical Oncology : Official Journal of the American Society of Clinical Oncology. 27: 2831-7. PMID19332723DOI: 10.1200/JCO.2008.19.6253 0.106
2010 Pandya KG, Patel MR, Lau-Cam CA. Comparative study of the binding characteristics to and inhibitory potencies towards PARP and in vivo antidiabetogenic potencies of taurine, 3-aminobenzamide and nicotinamide. Journal of Biomedical Science. 17: S16. PMID20804590DOI: 10.1186/1423-0127-17-S1-S16 0.104
2010 Somarathna KI, Chandola HM, Ravishankar B, Pandya KN, Attanayake AM, Ashok BK. Evaluation of immunomodulatory effect of Ranahamsa Rasayanaya - A Sri Lankan classical rasayana drug, on experimental animals. Ayu. 31: 495-9. PMID22048546DOI: 10.4103/0974-8520.82040 0.102
2018 Hou HH, Rajesh A, Pandya K,Lubach JW, Muliadi A, Yost E, Jia W, Nagapudi K. Impact of method of preparation of Amorphous Solid Dispersions on Mechanical Properties: Comparison of co-precipitation and spray drying. Journal of Pharmaceutical Sciences. PMID30244013DOI: 10.1016/J.Xphs.2018.09.008 0.1
2013 Patel AA, Lad HB, Pandya KR, Patel CV, Brahmbhatt DI. Synthesis of a new series of 2-(2-oxo-2H-chromen-3-yl)-5H-chromeno[4,3-b] pyridin-5-ones by two facile methods and evaluation of their antimicrobial activity Medicinal Chemistry Research. 22: 4745-4754. DOI: 10.1007/s00044-013-0489-4 0.098
2011 Stoycheff N, Pandya K, Okparavero A, Schiff A, Levey AS, Greene T, Stevens LA. Early change in proteinuria as a surrogate outcome in kidney disease progression: a systematic review of previous analyses and creation of a patient-level pooled dataset. Nephrology, Dialysis, Transplantation : Official Publication of the European Dialysis and Transplant Association - European Renal Association. 26: 848-57. PMID20817671DOI: 10.1093/ndt/gfq525 0.097
2014 Sun JM, Lira M, Pandya K, Choi YL, Ahn JS, Mao M, Han J, Park K, Ahn MJ, Kim J. Clinical characteristics associated with ALK rearrangements in never-smokers with pulmonary adenocarcinoma. Lung Cancer (Amsterdam, Netherlands). 83: 259-64. PMID24300132DOI: 10.1016/j.lungcan.2013.11.009 0.095
2006 Crockett ET, Galligan JJ, Uhal BD, Harkema J, Roth R, Pandya K. Protection of early phase hepatic ischemia-reperfusion injury by cholinergic agonists. Bmc Clinical Pathology. 6: 3. PMID16480493DOI: 10.1186/1472-6890-6-3 0.091
2012Jayawardena TM, Egemnazarov B, Finch EA, Zhang L, Payne JA, Pandya K, Zhang Z, Rosenberg P, Mirotsou M, Dzau VJ. MicroRNA-mediated in vitro and in vivo direct reprogramming of cardiac fibroblasts to cardiomyocytes. Circulation Research. 110: 1465-73. PMID22539765DOI: 10.1161/Circresaha.112.269035 0.091
2000 Pandya KJ, Raubertas RF, Flynn PJ, Hynes HE, Rosenbluth RJ, Kirshner JJ, Pierce HI, Dragalin V,Morrow GR. Oral clonidine in postmenopausal patients with breast cancer experiencing tamoxifen-induced hot flashes: a University of Rochester Cancer Center Community Clinical Oncology Program study. Annals of Internal Medicine. 132: 788-93. PMID10819701DOI: 10.7326/0003-4819-132-10-200005160-00004 0.091
2015 Budhram R, Pandya KG, Lau-Cam CA. Evaluation of the actions of metformin and taurine, singly and in combination, on metabolic and oxidative alterations caused by diabetes in rat erythrocytes and plasma. Advances in Experimental Medicine and Biology. 803: 251-70. PMID25833503DOI: 10.1007/978-3-319-15126-7_21 0.089
2001 Pandya KJ, Yeap BY,Weiner LM, Krook JE, Erban JK, Schinella RA, Davis TE. Megestrol and tamoxifen in patients with advanced endometrial cancer: an Eastern Cooperative Oncology Group Study (E4882). American Journal of Clinical Oncology. 24: 43-6. PMID11232948DOI: 10.1097/00000421-200102000-00007 0.089
2001Pandya K, Donze D,Townes TM. Novel transactivation domain in erythroid Kruppel-like factor (EKLF). The Journal of Biological Chemistry. 276: 8239-43. PMID11092887DOI: 10.1074/Jbc.M008457200 0.088
2010 Ingersoll GL, Wasilewski A, Haller M, Pandya K, Bennett J, He H, Hoffmire C, Berry C. Effect of concord grape juice on chemotherapy-induced nausea and vomiting: results of a pilot study. Oncology Nursing Forum. 37: 213-21. PMID20189927DOI: 10.1188/10.Onf.213-221 0.086
2011Clementz AG, Rogowski A,Pandya K,Miele L,Osipo C. NOTCH-1 and NOTCH-4 are novel gene targets of PEA3 in breast cancer: novel therapeutic implications. Breast Cancer Research : Bcr. 13: R63. PMID21679465DOI: 10.1186/Bcr2900 0.085
2013 Chen Y, Moon J, Pandya KJ, Lau DH, Kelly K, Hirsch FR, Gaspar LE,Redman M, Gandara DR. A Pilot Study (SWOG S0429) of Weekly Cetuximab and Chest Radiotherapy for Poor-Risk Stage III Non-Small Cell Lung Cancer. Frontiers in Oncology. 3: 219. PMID24010120DOI: 10.3389/Fonc.2013.00219 0.085
2015 Pandya KG, Budhram R, Clark GJ, Lau-Cam CA. Taurine can enhance the protective actions of metformin against diabetes-induced alterations adversely affecting renal function. Advances in Experimental Medicine and Biology. 803: 227-50. PMID25833502DOI: 10.1007/978-3-319-15126-7_20 0.084
2014 Chang CS, Tsai PJ, Sung JM, Chen JY, Ho LC, Pandya K,Maeda N,Tsai YS. Diuretics prevent thiazolidinedione-induced cardiac hypertrophy without compromising insulin-sensitizing effects in mice. The American Journal of Pathology. 184: 442-53. PMID24287404DOI: 10.1016/J.Ajpath.2013.10.020 0.083
2013 Kim ES, Pandya KJ. Advances in personalized therapy for lung cancer. Expert Opinion On Medical Diagnostics. 7: 475-85. PMID23931094DOI: 10.1517/17530059.2013.826645 0.082
2010 Pandya KJ, Gajra A, Warsi GM, Argonza-Aviles E, Ericson SG, Wozniak AJ. Multicenter, randomized, phase 2 study of zoledronic acid in combination with docetaxel and carboplatin in patients with unresectable stage IIIB or stage IV non-small cell lung cancer. Lung Cancer (Amsterdam, Netherlands). 67: 330-8. PMID19493585DOI: 10.1016/j.lungcan.2009.04.020 0.082
2000 Saphner T, Weller EA, Tormey DC, Pandya KJ, Falkson CI, Stewart J, Robert NJ. 21-day oral etoposide for metastatic breast cancer: a phase II study and review of the literature. American Journal of Clinical Oncology. 23: 258-62. PMID10857889DOI: 10.1097/00000421-200006000-00010 0.081
2010 Konno T, Chen D,Wang L, Wakimoto H, Teekakirikul P, Nayor M, Kawana M,Eminaga S, Gorham JM, Pandya K,Smithies O,Naya FJ,Olson EN, Seidman JG, Seidman CE. Heterogeneous myocyte enhancer factor-2 (Mef2) activation in myocytes predicts focal scarring in hypertrophic cardiomyopathy. Proceedings of the National Academy of Sciences of the United States of America. 107: 18097-102. PMID20923879DOI: 10.1073/Pnas.1012826107 0.08
2014 Inker LA, Levey AS, Pandya K, Stoycheff N, Okparavero A, Greene T. Early change in proteinuria as a surrogate end point for kidney disease progression: an individual patient meta-analysis. American Journal of Kidney Diseases : the Official Journal of the National Kidney Foundation. 64: 74-85. PMID24787763DOI: 10.1053/j.ajkd.2014.02.020 0.08
2007 Pandya KJ, Dahlberg S, Hidalgo M, Cohen RB, Lee MW, Schiller JH, Johnson DH. A randomized, phase II trial of two dose levels of temsirolimus (CCI-779) in patients with extensive-stage small-cell lung cancer who have responding or stable disease after induction chemotherapy: a trial of the Eastern Cooperative Oncology Group (E1500). Journal of Thoracic Oncology : Official Publication of the International Association For the Study of Lung Cancer. 2: 1036-41. PMID17975496DOI: 10.1097/JTO.0b013e318155a439 0.079
2011 Bhatt S, Solanki B, Pandya K, Maniar K, Gurav N. Anti microbial activity of Ashwagandha, Shunthi and Sariva against various human pathogens: An invitro study International Journal of Pharma and Bio Sciences. 2: 772-779. 0.078
2022 Jia W, Yawman PD, Pandya KM, Sluga K, Ng T, Kou D, Nagapudi K, Luner PE, Zhu A, Zhang S, Hou HH. Assessing the Interrelationship of Microstructure, Properties, Drug Release Performance, and Preparation Process for Amorphous Solid Dispersions Via Noninvasive Imaging Analytics and Material Characterization. Pharmaceutical Research. PMID35661085DOI: 10.1007/s11095-022-03308-9 0.072
2000 Simpson JF, Gray R,Dressler LG, Cobau CD, Falkson CI, Gilchrist KW, Pandya KJ, Page DL, Robert NJ. Prognostic value of histologic grade and proliferative activity in axillary node-positive breast cancer: results from the Eastern Cooperative Oncology Group Companion Study, EST 4189. Journal of Clinical Oncology : Official Journal of the American Society of Clinical Oncology. 18: 2059-69. PMID10811671DOI: 10.1200/Jco.2000.18.10.2059 0.072
2011 Gurav N, Solanki B, Pandya K, Patel P. Physicochemical and antimicrobial activity of single herbal formulation -capsule, containing Emblica Officinalis gaertn International Journal of Pharmacy and Pharmaceutical Sciences. 3: 383-386. 0.071
2003 DeVolder PS, Brown SL,Hesterberg D, Pandya K. Metal bioavailability and speciation in a wetland tailings repository amended with biosolids compost, wood ash, and sulfate. Journal of Environmental Quality. 32: 851-64. PMID12809286DOI: 10.2134/Jeq2003.8510 0.071
2012 Pandya K, Kohro T, Mimura I, Kobayashi M, Wada Y, Kodama T,Smithies O. Distribution of histone3 lysine 4 trimethylation at T3-responsive loci in the heart during reversible changes in gene expression. Gene Expression. 15: 183-98. PMID22783727DOI: 10.3727/105221612X13372578119698 0.07
2001 Chen Y, Pandya K, Keng PP, Feins R, Raubertas R, Smudzin T, Rosenblatt J,Okunieff P. Schedule-dependent pulsed paclitaxel radiosensitization for thoracic malignancy. American Journal of Clinical Oncology. 24: 432-7. PMID11586091DOI: 10.1097/00000421-200110000-00004 0.069
2018Chakravarty P, Pandya K, Nagapudi K. Determination of Fragility in Organic Small Molecular Glass Forming Liquids: Comparison of Calorimetric and Spectroscopic Data and Commentary on Pharmaceutical Importance. Molecular Pharmaceutics. PMID29384682DOI: 10.1021/Acs.Molpharmaceut.7B01068 0.069
2002Pandya K,Townes TM. Basic residues within the Kruppel zinc finger DNA binding domains are the critical nuclear localization determinants of EKLF/KLF-1. The Journal of Biological Chemistry. 277: 16304-12. PMID11844803DOI: 10.1074/Jbc.M200866200 0.069
2004 Pandya KJ, Thummala AR, Griggs JJ, Rosenblatt JD, Sahasrabudhe DM, Guttuso TJ,Morrow GR,Roscoe JA. Pilot study using gabapentin for tamoxifen-induced hot flashes in women with breast cancer. Breast Cancer Research and Treatment. 83: 87-9. PMID14997058DOI: 10.1023/B:Brea.0000010676.54597.22 0.068
2007 Pandya KJ, Hu P, Osborne CK, Falkson G, Tormey DC. Phase III study of standard combination versus rotating regimen of induction chemotherapy in patients with hormone insensitive metastatic breast cancer: an Eastern Cooperative Oncology Group Intergroup Study (E3185). American Journal of Clinical Oncology. 30: 113-25. PMID17414459DOI: 10.1097/01.coc.0000251244.60473.c5 0.067
2010 Pandya K, Ray CA, Brunner L, Wang J, Lee JW, DeSilva B. Strategies to minimize variability and bias associated with manual pipetting in ligand binding assays to assure data quality of protein therapeutic quantification. Journal of Pharmaceutical and Biomedical Analysis. 53: 623-30. PMID20483557DOI: 10.1016/j.jpba.2010.04.025 0.067
2010 Pandya K, Pulli B, Bultman S,Smithies O. Reversible epigenetic modifications of the two cardiac myosin heavy chain genes during changes in expression. Gene Expression. 15: 51-9. PMID21526716DOI: 10.3727/105221611X12973615737505 0.067
2014 Bhave M, Papanikou E, Iyer P, Pandya K, Jain BK, Ganguly A, Sharma C, Pawar K, Austin J, Day KJ, Rossanese OW, Glick BS, Bhattacharyya D. Golgi enlargement in Arf-depleted yeast cells is due to altered dynamics of cisternal maturation. Journal of Cell Science. 127: 250-7. PMID24190882DOI: 10.1242/jcs.140996 0.066
2015 Cowley D, Pandya K, Khan I, Kerwin J, Owen K,Griner E. Registered report: A coding-independent function of gene and pseudogene mRNAs regulates tumour biology. Elife. 4. PMID26335297DOI: 10.7554/Elife.08245 0.066
2013 Pourvasei R, Lee E, Eschenberg M, Patel V, Macaraeg C, Pandya K, Shih J, Ma M, Lee JW, DeSilva B. Specific method validation and sample analysis approaches for biocomparability studies of denosumab addressing method and manufacture site changes. The Aaps Journal. 15: 70-7. PMID23054973DOI: 10.1208/s12248-012-9414-x 0.065
1999 Kucuk O, Pandya KJ, Skeel RT, Hochster H, Abeloff MD. Phase II study of cisplatin and 5-fluorouracil in previously treated metastatic breast cancer: an Eastern Cooperative Oncology Group study (PA 185). Breast Cancer Research and Treatment. 57: 201-6. PMID 10598047 0.065
2008 Zhang H,Hyrien O, Pandya KJ,Keng PC, Chen Y. Tumor response kinetics after schedule-dependent paclitaxel chemoradiation treatment for inoperable non-small cell lung cancer: a model for low-dose chemotherapy radiosensitization. Journal of Thoracic Oncology : Official Publication of the International Association For the Study of Lung Cancer. 3: 563-8. PMID18520792DOI: 10.1097/Jto.0B013E3181729Dbe 0.065
2015Pandya K, Wyatt D, Gallagher B, Bloodworth JC, Shah D, Baker A, Zlobin A, Pannuti A, Green AR, Ellis IO, Filipovic A, Sagert J, Rana A, Albain KS, Miele L, et al. PKCα Attenuates Jagged-1-mediated Notch Signaling in ErbB-2 positive Breast Cancer to Reverse Trastuzumab Resistance. Clinical Cancer Research : An Official Journal of the American Association For Cancer Research. PMID26350262DOI: 10.1158/1078-0432.CCR-15-0179 0.065
2015 Pandya KA, Koga H, Okawada M,Coran AG, Yamataka A, Teitelbaum DH. Vaginal anomalies and atresia associated with imperforate anus: diagnosis and surgical management. Journal of Pediatric Surgery. 50: 431-7. PMID25746703DOI: 10.1016/J.Jpedsurg.2014.07.010 0.064
2011 Chen Y, Pandya KJ,Hyrien O,Keng PC, Smudzin T, Anderson J, Qazi R, Smith B, Watson TJ, Feins RH, Johnstone DW. Preclinical and pilot clinical studies of docetaxel chemoradiation for Stage III non-small-cell lung cancer. International Journal of Radiation Oncology, Biology, Physics. 80: 1358-64. PMID20708854DOI: 10.1016/J.Ijrobp.2010.04.060 0.064
2004 Pandya KJ, Lefkopoulou M, Petrelli NJ, Vaughn DJ, Smith TJ, Harris JE, Haller DG. Phase II study of cisplatin and 5-fluorouracil (PF) and mitomycin C, vincristine, cisplatin and 5-fluorouracil (MVPF) in patients with metastatic large bowel cancer: an Eastern Cooperative Oncology Group study (EST 1285). Oncology. 66: 118-25. PMID15138363DOI: 10.1159/000077437 0.061
2003 Chen Y, Pandya K,Keng PC, Johnstone D, Li J,Lee YJ, Smudzin T, Okunieff P. Phase I/II clinical study of pulsed paclitaxel radiosensitization for thoracic malignancy: a therapeutic approach on the basis of preclinical research of human cancer cell lines. Clinical Cancer Research : An Official Journal of the American Association For Cancer Research. 9: 969-75. PMID 12631594 0.061
2003Parcells MS,Arumugaswami V,Prigge JT, Pandya K, Dienglewicz RL. Marek's disease virus reactivation from latency: changes in gene expression at the origin of replication. Poultry Science. 82: 893-8. PMID12817443DOI: 10.1093/Ps/82.6.893 0.06
2000 Kucuk O, Shevrin DH, Pandya KJ, Bonomi PD. Phase II trial of cisplatin, etoposide, and 5-fluorouracil in advanced non-small-cell lung cancer: an Eastern Cooperative Oncology Group Study (PB586). American Journal of Clinical Oncology. 23: 371-5. PMID 10955866 0.059
2013 Wang J, Patel V, Burns D, Laycock J, Pandya K, Tsoi J, DeSilva B, Ma M, Lee J. Laboratory automation of high-quality and efficient ligand-binding assays for biotherapeutic drug development. Bioanalysis. 5: 1635-48. PMID23822127DOI: 10.4155/bio.13.141 0.058
2014 Chakraborty S, Pandya K, Aggarwal D. Establishing prospective IVIVC for generic pharmaceuticals: Methodologies assessment Open Drug Delivery Journal. 5: 1-7. DOI: 10.2174/1874126601405010001 0.056
2008 Chen Y, Pandya KJ, Feins R, Johnstone DW, Watson T, Smudzin T,Keng PC. Toxicity profile and pharmacokinetic study of a phase I low-dose schedule-dependent radiosensitizing paclitaxel chemoradiation regimen for inoperable non-small-cell lung cancer. International Journal of Radiation Oncology, Biology, Physics. 71: 407-13. PMID18164866DOI: 10.1016/J.Ijrobp.2007.10.011 0.055
2008 Pandya K, Cowhig J, Brackhan J,Kim HS, Hagaman J, Rojas M, Carter CW, Mao L,Rockman HA,Maeda N,Smithies O. Discordant on/off switching of gene expression in myocytes during cardiac hypertrophy in vivo. Proceedings of the National Academy of Sciences of the United States of America. 105: 13063-8. PMID18755891DOI: 10.1073/Pnas.0805120105 0.054
2008 Dudek AZ, Larson T, McCleod MJ, Schneider DJ, Dowell JE, Banerjee TK, Pandya KJ, Bromund JL, Chen R, Monberg MJ, Obasaju CK. Phase 1/2 dose escalating study of twice-monthly pemetrexed and gemcitabine in patients with advanced cancer and non-small cell lung cancer. Journal of Thoracic Oncology : Official Publication of the International Association For the Study of Lung Cancer. 3: 394-9. PMID18379358DOI: 10.1097/JTO.0b013e318169cdc4 0.052
2013 Wu T,Tyson TA, Bai J, Pandya K, Jaye C, Fischer D. On the origin of enhanced thermoelectricity in Fe doped Ca 3Co4O9 Journal of Materials Chemistry C. 1: 4114-4121. DOI: 10.1039/C3Tc30481G 0.052
2001Scheinost AC, Abend S, Pandya KI,Sparks DL. Kinetic controls on Cu and Pb sorption by ferrihydrite. Environmental Science & Technology. 35: 1090-6. PMID11347919DOI: 10.1021/Es000107M 0.051
2005 Pandya KJ,Morrow GR,Roscoe JA, Zhao H, Hickok JT, Pajon E, Sweeney TJ, Banerjee TK, Flynn PJ. Gabapentin for hot flashes in 420 women with breast cancer: a randomised double-blind placebo-controlled trial. Lancet (London, England). 366: 818-24. PMID16139656DOI: 10.1016/S0140-6736(05)67215-7 0.051
2013 Pandya KG, Budhram R, Clark G, Lau-Cam CA. Comparative evaluation of taurine and thiotaurine as protectants against diabetes-induced nephropathy in a rat model. Advances in Experimental Medicine and Biology. 775: 371-94. PMID23392948DOI: 10.1007/978-1-4614-6130-2_29 0.05
2012 Roeper DF, Cheek GT, Pandya KI, O'Grady WE. Cyclic voltammetry and XAS studies of transition metal chlorides in the ionic liquid 1-ethyl-3-methyl imidazolium chloride/ aluminum chloride Ecs Transactions. 50: 643-653. DOI: 10.1149/05011.0643ecst 0.049
2008 Brizel DM, Murphy BA,Rosenthal DI, Pandya KJ, Glück S, Brizel HE, Meredith RF, Berger D, Chen MG, Mendenhall W. Phase II study of palifermin and concurrent chemoradiation in head and neck squamous cell carcinoma. Journal of Clinical Oncology : Official Journal of the American Society of Clinical Oncology. 26: 2489-96. PMID18487568DOI: 10.1200/Jco.2007.13.7349 0.049
2014 Soni J, Tyagi H, Yadav R, Rotti C, Bandyopadhyay M, Bansal G, Gahluat A, Sudhir D, Joshi J, Prasad R, Pandya K, Shah S, Parmar D, Chakraborty A. Design of Data Acquisition and Control System for Indian Test Facility of Diagnostics Neutral Beam Fusion Engineering and Design. DOI: 10.1016/j.fusengdes.2015.02.035 0.049
2015 Wozniak AJ, Moon J, Thomas CR, Kelly K, Mack PC, Gaspar LE, Raben D, Fitzgerald TJ, Pandya KJ, Gandara DR. A Pilot Trial of Cisplatin/Etoposide/Radiotherapy Followed by Consolidation Docetaxel and the Combination of Bevacizumab (NSC-704865) in Patients With Inoperable Locally Advanced Stage III Non-Small-Cell Lung Cancer: SWOG S0533. Clinical Lung Cancer. PMID25703100DOI: 10.1016/j.cllc.2014.12.014 0.049
2008 Patel MB, Pandya K, Shah AJ, Lojewski E, Castellani MD, Thakur R. Reel syndrome-not a twiddler variant. Journal of Interventional Cardiac Electrophysiology : An International Journal of Arrhythmias and Pacing. 23: 243-6. PMID18688700DOI: 10.1007/s10840-008-9288-0 0.047
2006 Magliocco MA, Pandya K, Dombrovskiy V, Christiansen L, Wong Y, Gottlieb AB. A randomized, double-blind, vehicle-controlled, bilateral comparison trial of bexarotene gel 1% versus vehicle gel in combination with narrowband UVB phototherapy for moderate to severe psoriasis vulgaris. Journal of the American Academy of Dermatology. 54: 115-8. PMID16384765DOI: 10.1016/j.jaad.2005.09.012 0.046
2004 Khalil H, Mahajan D, Rafailovich M, Gelfer M, Pandya K. Synthesis of zerovalent nanophase metal particles stabilized with poly(ethylene glycol). Langmuir : the Acs Journal of Surfaces and Colloids. 20: 6896-903. PMID15274601DOI: 10.1021/La0497402 0.045
1999 Woodlock TJ, Sahasrabudhe DM, Marquis DM, Greene D, Pandya KJ, McCune CS. Active specific immunotherapy for metastatic colorectal carcinoma: phase I study of an allogeneic cell vaccine plus low-dose interleukin-1 alpha. Journal of Immunotherapy (Hagerstown, Md. : 1997). 22: 251-9. PMID 10335485 0.044
2004 Jiang Y, Pandya K, Smithies O,Hsu EW. Three-dimensional diffusion tensor microscopy of fixed mouse hearts. Magnetic Resonance in Medicine : Official Journal of the Society of Magnetic Resonance in Medicine / Society of Magnetic Resonance in Medicine. 52: 453-60. PMID15334561DOI: 10.1002/Mrm.20191 0.044
2013 Budhram R, Pandya KG, Lau-Cam CA. Protection by taurine and thiotaurine against biochemical and cellular alterations induced by diabetes in a rat model. Advances in Experimental Medicine and Biology. 775: 321-43. PMID23392946DOI: 10.1007/978-1-4614-6130-2_27 0.043
2009 Pandya KA, Radke F. Benign skin lesions: lipomas, epidermal inclusion cysts, muscle and nerve biopsies. The Surgical Clinics of North America. 89: 677-87. PMID19465204DOI: 10.1016/J.Suc.2009.03.002 0.042
2007 Xu Y,Axe L, Boonfueng T, Tyson TA,Trivedi P, Pandya K. Ni(II) complexation to amorphous hydrous ferric oxide: an X-ray absorption spectroscopy study. Journal of Colloid and Interface Science. 314: 10-7. PMID17561066DOI: 10.1016/J.Jcis.2007.05.037 0.042
2004 Mahajan D, Papish ET, Pandya K. Sonolysis induced decomposition of metal carbonyls: kinetics and product characterization. Ultrasonics Sonochemistry. 11: 385-92. PMID15302024DOI: 10.1016/J.Ultsonch.2003.10.009 0.042
2017 Pandya K, Patel R. Physical Properties, Synthetic Approach and
Pharmaceutical Use of Pyrazole Journal of Chemistry and Chemical Sciences. 7: 1331-1341. DOI: 10.29055/jccs/545 0.041
2016 Nickkholgh B, Fang X, Winters SM, Raina A, Pandya KS, Gyabaah K, Fino N, Balaji KC. Cell line modeling to study biomarker panel in prostate cancer Prostate. 76: 245-258. DOI: 10.1002/pros.23116 0.041
2015 Pandya KA, Puligandla PS. Pulmonary hypertension management in neonates. Seminars in Pediatric Surgery. 24: 12-6. PMID25639804DOI: 10.1053/j.sempedsurg.2014.11.003 0.04
2014 Dinwoodie IH, Pandya K. Exact tests for singular network data Annals of the Institute of Statistical Mathematics. 67: 687-706. DOI: 10.1007/s10463-014-0472-y 0.04
2014 Naik NK, Pandya KS, Kavala VR, Zhang W, Koratkar NA. Alumina nanoparticle filled epoxy resin: High strain rate compressive behavior Polymer Engineering and Science. 54: 2896-2901. DOI: 10.1002/Pen.23850 0.039
2009 Pandya K, Patel MB, Natla J, Dhoble A, Habetler T, Holliday J, Janes R, Punnam SR, Gardiner JC, Thakur RK. Predictors of hemodynamic compromise with propofol during defibrillator implantation: a single center experience. Journal of Interventional Cardiac Electrophysiology : An International Journal of Arrhythmias and Pacing. 25: 145-51. PMID19263205DOI: 10.1007/S10840-008-9355-6 0.038
2006 Pandya K,Kim HS,Smithies O. Fibrosis, not cell size, delineates beta-myosin heavy chain reexpression during cardiac hypertrophy and normal aging in vivo. Proceedings of the National Academy of Sciences of the United States of America. 103: 16864-9. PMID17068123DOI: 10.1073/Pnas.0607700103 0.037
2009 Pandya K, Porter K,Rockman HA,Smithies O. Decreased beta-adrenergic responsiveness following hypertrophy occurs only in cardiomyocytes that also re-express beta-myosin heavy chain. European Journal of Heart Failure. 11: 648-52. PMID19553396DOI: 10.1093/Eurjhf/Hfp073 0.037
2004Trivedi P, Dyer JA,Sparks DL, Pandya K. Mechanistic and thermodynamic interpretations of zinc sorption onto ferrihydrite. Journal of Colloid and Interface Science. 270: 77-85. PMID14693137DOI: 10.1016/S0021-9797(03)00586-1 0.037
2014 Patel MB, Pandya K, Thakur RK. Assessment of adequate safety margin using single coupling interval-upper limit of vulnerability test. Pacing and Clinical Electrophysiology : Pace. 37: 95-103. PMID24033830DOI: 10.1111/pace.12251 0.036
2001 Okunieff P, Hammond E, Grignon D, Langer C, Pajak TF, Ang K, Bruner DW, Travis E, Greven K, Guha A, Moulder J, Pollack A, Scarantino C, Sneige N, Watson J, ... ... Pandya K, et al. Radiation Therapy Oncology Group. Research Plan 2002-2006. Translational Research Program. International Journal of Radiation Oncology, Biology, Physics. 51: 75-87. PMID 11641020 0.035
2013 Pandya KV. Sustainability for SMEs Enterprise Development in Smes and Entrepreneurial Firms: Dynamic Processes. 133-149. DOI: 10.4018/978-1-4666-2952-3.ch007 0.035
2015 Wong P, Pandya K, Flannery A. 621: AN EVALUATION OF NOREPINEPHRINE DOSING STRATEGIES IN MORBIDLY OBESE PATIENTS WITH SEPTIC SHOCK. Critical Care Medicine. 43: 157. PMID26570282DOI: 10.1097/01.ccm.0000474449.83812.8d 0.035
2011 Joshi SK, Pandya KS. Active and reactive power rescheduling for congestion management using particle swarm optimization 2011 21st Australasian Universities Power Engineering Conference, Aupec 2011. 0.035
2012Khaokaew S,Landrot G, Chaney RL, Pandya K,Sparks DL. Speciation and release kinetics of zinc in contaminated paddy soils. Environmental Science & Technology. 46: 3957-63. PMID22423594DOI: 10.1021/Es204007T 0.034
2012 Vaidya R, Pandya KV, Denney-Wilson E, Harris M. Sustaining cardiovascular absolute risk management in Australian general practice. Australian Journal of Primary Health. 18: 304-7. PMID22950805DOI: 10.1071/PY11091 0.034
2015 Naik NK, Pandya KS, Kavala VR, Zhang W,Koratkar NA. High-strain rate compressive behavior of multi-walled carbon nanotube dispersed thermoset epoxy resin Journal of Composite Materials. 49: 903-910. DOI: 10.1177/0021998314527329 0.034
2016 Beavers CJ, Pandya KA. Pharmacotherapy Considerations for the Management of Advanced Cardiac Life Support Nursing Clinics of North America. 51: 69-82. DOI: 10.1016/j.cnur.2015.10.003 0.033
2013 Soni J, Yadav RK, Patel A, Gahlaut A, Mistry H, Parmar KG, Mahesh V, Parmar D, Prajapati B, Singh MJ, Bandyopadhyay M, Bansal G, Pandya K, Chakraborty A. Conceptual design of data acquisition and control system for two Rf driver based negative ion source for fusion R & D Aip Conference Proceedings. 1515: 284-291. DOI: 10.1063/1.4792796 0.033
2012 Patel A, Kosta Y, Chhasatia N, Pandya K. Multiple band waveguide based microwave resonator Ieee-International Conference On Advances in Engineering, Science and Management, Icaesm-2012. 84-87. 0.033
2013 Bansal G, Mishra S, Pandya K, Bandyopadhyay M, Soni J, Gahlaut A, Parmar KG, Shah S, Phukan A, Roopesh G, Ahmed I, Chakraborty AK, Singh MJ, Schunke B, Hemsworth R, et al. Proposal of actively heated, long stem based Cs delivery system for diagnostic neutral beam source in ITER Aip Conference Proceedings. 1515: 207-216. DOI: 10.1063/1.4792787 0.033
2010 Nguyen T, Lurie M, Gomez M, Reddy A, Pandya K, Medvesky M. The National Asthma Survey--New York State: association of the home environment with current asthma status. Public Health Reports (Washington, D.C. : 1974). 125: 877-87. PMID21121233DOI: 10.1177/003335491012500615 0.032
2014 Farr DE,Brandt HM, Comer KD, Jackson DD, Pandya K,Friedman DB,Ureda JR, Williams DG, Scott DB, Green W, Hébert JR. Cancer Research Participation Beliefs and Behaviors of a Southern Black Population: A Quantitative Analysis of the Role of Structural Factors in Cancer Research Participation. Journal of Cancer Education : the Official Journal of the American Association For Cancer Education. PMID25385692DOI: 10.1007/S13187-014-0749-0 0.031
2013 Bandyopadhyay M, Pandey R, Shah S, Bansal G, Parmar D, Gahlaut A, Soni J, Yadav RK, Sudhir D, Tyagi H, Pandya K, Parmar KG, Mistri HS, Vuppugalla M, Chakraborty AK. Progress of two RF driver based negative ion source experiment 2013 Ieee 25th Symposium On Fusion Engineering, Sofe 2013. DOI: 10.1109/SOFE.2013.6635475 0.03
2013 Roeper DF, O'Grady WE, Pandya KI, Natishan PM. An XAS study of the surface of low-temperature carburized stainless steel Ecs Transactions. 58: 25-33. DOI: 10.1149/05841.0025ecst 0.03
2009Callis TE, Pandya K,Seok HY, Tang RH, Tatsuguchi M, Huang ZP,Chen JF, Deng Z, Gunn B, Shumate J, Willis MS, Selzman CH,Wang DZ. MicroRNA-208a is a regulator of cardiac hypertrophy and conduction in mice. The Journal of Clinical Investigation. 119: 2772-86. PMID19726871DOI: 10.1172/Jci36154 0.03
2010 Pandya KA, Weant KA, Cook AM. High-dose methylprednisolone in acute spinal cord injuries: proceed with caution. Orthopedics. 33: 327-31. PMID20507035DOI: 10.3928/01477447-20100225-15 0.029
2013 Pandya KS, Joshi SK. Sensitivity and particle swarm optimization-based congestion management Electric Power Components and Systems. 41: 465-484. DOI: 10.1080/15325008.2012.749555 0.027
2012 Bandyopadhyay M, Singh MJ, Bansal G, Gahlaut A, Pandya K, Parmar KG, Soni J, Ahmed I, Roopesh G, Rotti C, Shah S, Phukan A, Yadav RK, Chakraborty AK. Two-RF-driver-based negative ion source for fusion R&D Ieee Transactions On Plasma Science. 40: 2767-2772. DOI: 10.1109/TPS.2012.2211896 0.025
2009 Shi Q, Wang XS, Mendoza TR, Pandya KJ, Cleeland CS. Assessing persistent cancer pain: a comparison of current pain ratings and pain recalled from the past week. Journal of Pain and Symptom Management. 37: 168-74. PMID18676116DOI: 10.1016/j.jpainsymman.2008.02.009 0.025
2011 Ritchie AJ, Campion SL, Kopycinski J, Moodie Z, Wang ZM, Pandya K, Moore S, Liu MK, Brackenridge S, Kuldanek K, Legg K,Cohen MS, Delwart EL, Haynes BF, Fidler S, et al. Differences in HIV-specific T cell responses between HIV-exposed and -unexposed HIV-seronegative individuals. Journal of Virology. 85: 3507-16. PMID21270166DOI: 10.1128/JVI.02444-10 0.025
2015 Galiyawala HJ, Pandya KH. To increase data capacity of QR code using multiplexing with color coding: An example of embedding speech signal in QR code 11th Ieee India Conference: Emerging Trends and Innovation in Technology, Indicon 2014. DOI: 10.1109/INDICON.2014.7030441 0.024
2015 Pandya KS, Naik NK. Energy absorption capability of carbon nanotubes dispersed in resins under compressive high strain rate loading Composites Part B: Engineering. 72: 40-44. DOI: 10.1016/j.compositesb.2014.11.026 0.024
2014 Bandyopadhyay M, Pandey R, Shah S, Bansal G, Parmar D, Gahlaut A, Soni J, Yadav R, Sudhir D, Tyagi H, Pandya K, Parmar KG, Mistri HS, Vuppugalla M, Chakraborty AK. Two RF driver-based negative ion source experiment Ieee Transactions On Plasma Science. 42: 624-627. DOI: 10.1109/TPS.2013.2295718 0.024
2013 Phadnis VA, Pandya KS, Naik NK, Roy A, Silberschmidt VV. Ballistic impact behaviour of woven fabric composite: Finite element analysis and experiments Journal of Physics: Conference Series. 451. DOI: 10.1088/1742-6596/451/1/012019 0.023
2014 Naik NK, Pandya KS, Pothnis JR, Gelu TA. Revisiting Kolsky bar data evaluation method Composite Structures. 111: 446-452. DOI: 10.1016/j.compstruct.2014.01.030 0.023
2013 Pandya K, Solanki B, Gurav N, Bhatt S. Natural herbal supplements - Studies on phytochemical constituents and estimation of their nutritional values International Journal of Pharmaceutical Sciences Review and Research. 21: 190-195. 0.023
2012 Pandya KS, Akella K, Joshi M, Naik NK. Ballistic impact behavior of carbon nanotube and nanosilica dispersed resin and composites Journal of Applied Physics. 112. DOI: 10.1063/1.4769750 0.022
2015 Pandya KS, Naik NK. Analytical and experimental studies on ballistic impact behavior of carbon nanotube dispersed resin International Journal of Impact Engineering. 76: 49-59. DOI: 10.1016/j.ijimpeng.2014.09.003 0.022
2014 Pandya KS, Kumar CVS, Nair NS, Patil PS, Naik NK. Analytical and experimental studies on ballistic impact behavior of 2D woven fabric composites International Journal of Damage Mechanics. 24: 471-511. DOI: 10.1177/1056789514531440 0.022
2009 Patel MB, Goyal SK, Punnam SR, Pandya K, Khetarpal V, Thakur RK. Guillain-Barré Syndrome with asystole requiring permanent pacemaker: a case report. Journal of Medical Case Reports. 3: 5. PMID19126210DOI: 10.1186/1752-1947-3-5 0.021
2015 Pandya KS, Naik NK. Nanoparticle dispersed resins and composites under quasi-static loading: Shear plugging behavior Polymer Composites. DOI: 10.1002/pc.23539 0.021
2014 Mehta JP, Pandya KI, Godhani DR. Thermo-acoustical properties of Eu(III) and Eu(III)-Lysozyme(HEW) in ternary system at atmospheric pressure Journal of Chemical Thermodynamics. 70: 33-38. DOI: 10.1016/j.jct.2013.10.012 0.021
2012 Mehta JP, Pandya HM, Pandya KI. Electroanalytical tools to investigate the divalent state of Eu(III) and Nd(III) ions in non-aqueous medium Journal of Rare Earths. 30: 392-396. DOI: 10.1016/S1002-0721(12)60056-8 0.021
2008 Corbin K, Fisher S, Sahasrabudhe D, Pandya K, Brasacchio R, Constine LS. Five tumors over six years in eighth decade of life. Cancer Investigation. 26: 634-7. PMID18584355DOI: 10.1080/07357900701781838 0.02
2010 Somarathna KI, Chandola HM, Ravishankar B, Pandya KN, Attanayake AM. A short-term intervention trial on HIV positive patients using a Sri Lankan classical rasayana drug - Ranahamsa Rasayanaya. Ayu. 31: 197-204. PMID22131710DOI: 10.4103/0974-8520.72393 0.02
2015 Pandya KS, Shaktivesh S, Gowtham HL, Inani A, Naik NK. Shear Plugging and Frictional Behaviour of Composites and Fabrics Under Quasi-static Loading Strain. DOI: 10.1111/str.12153 0.02
2007 Kumar A, Chavda C, Saxena YC, Singh R, Thakar A, Thomas J, Patel K, Pandya K, Bedakihale V. Design of multipulse Thomson scattering diagnostic for SST-1 tokamak. The Review of Scientific Instruments. 78: 043507. PMID17477660DOI: 10.1063/1.2724775 0.02
2000 Murthy BV, Pandya KS, Booker PD, Murray A, Lintz W, Terlinden R. Pharmacokinetics of tramadol in children after i.v. or caudal epidural administration. British Journal of Anaesthesia. 84: 346-9. PMID 10793594 0.019
2015 Jindal AK, Singh G, Pandya K. Qualitative research in medicine - An art to be nurtured. Medical Journal, Armed Forces India. 71: 369-72. PMID26663966DOI: 10.1016/j.mjafi.2014.11.006 0.018
2012 Pandya KS, Dharmane L, Pothnis JR, Ravikumar G, Naik NK. Stress wave attenuation in composites during ballistic impact Polymer Testing. 31: 261-266. DOI: 10.1016/j.polymertesting.2011.11.006 0.018
2015 Pandya KS, Dabhi DA, Joshi SK. Comparative study of bat & flower pollination optimization algorithms in highly stressed large power system 2015 Clemson University Power Systems Conference, Psc 2015. DOI: 10.1109/PSC.2015.7101677 0.018
2001 Savale HS, Pandya KK, Gandhi TP, Modi IA, Modi RI, Satia MC. Plasma analysis of celiprolol by HPTLC: a useful technique for pharmacokinetic studies. Journal of Aoac International. 84: 1252-7. PMID 11501929 0.018
2014Pandya K,Osipo C. Gene amplification of ErbB-2: From gene to therapy Medical Radiology. 63: 7-13. DOI: 10.1007/174_2014_1048 0.017
2014 Goel R, Kulkarni MD, Pandya KS, Naik NK. Stress wave micro-macro attenuation in ceramic plates made of tiles during ballistic impact International Journal of Mechanical Sciences. 83: 30-37. DOI: 10.1016/j.ijmecsci.2014.03.020 0.017
2015 Mohan M, Shetty D, Shetty T, Pandya K. Rising from Plagiarising. Journal of Maxillofacial and Oral Surgery. 14: 538-40. PMID26225041DOI: 10.1007/s12663-014-0705-x 0.017
2015 Mehta JP, Pandya KI, Godhani DR. Electrochemical investigation of divalent state of praseodymium and samarium in non-aqueous medium Portugaliae Electrochimica Acta. 33: 183-194. DOI: 10.4152/pea.201503183 0.017
2013 Kosta SP, Manavadaria M, Pandya K, Kosta YP, Kosta S, Mehta H, Patel J. Human blood plasma-based electronic integrated circuit amplifier configuration. Journal of Biomedical Research. 27: 520-2. PMID24285951DOI: 10.7555/JBR.27.20130058 0.016
2011 Abel EL, Kruger MM, Pandya K. A relative age effect in men's but not women's professional baseball: 1943-1954. Psychological Reports. 109: 285-8. PMID22049668DOI: 10.2466/05.PR0.109.4.285-288 0.016
2012 Thomas J, Kumar A, Chaudhari V, Pandya K, Singh R. Design and development of five-channel interference filter polychromator for SST-1 Thomson scattering system Fusion Engineering and Design. 87: 134-140. DOI: 10.1016/j.fusengdes.2011.11.010 0.016
2011 Clemens E, Cutler T, Canaria J, Pandya K, Parker P. Prescriber Compliance with a New Computerized Insulin Guideline for Noncritically Ill Adults (February). The Annals of Pharmacotherapy. PMID21245289DOI: 10.1345/aph.1P169 0.015
2013 Pandya KS, Pothnis JR, Ravikumar G, Naik NK. Ballistic impact behavior of hybrid composites Materials and Design. 44: 128-135. DOI: 10.1016/j.matdes.2012.07.044 0.015
2015 Rajput VN, Pandya KS, Joshi K. Optimal coordination of Directional Overcurrent Relays using hybrid CSA-FFA method Ecti-Con 2015 - 2015 12th International Conference On Electrical Engineering/Electronics, Computer, Telecommunications and Information Technology. DOI: 10.1109/ECTICon.2015.7207044 0.015
2012 Ahene AB, Morrow C, Rusnak D, Spitz S, Usansky J, Pils H, Civoli F, Pandya K, Sue B, Leach D, Derent J. Ligand binding assays in the 21st Century laboratory: automation. The Aaps Journal. 14: 142-53. PMID22302584DOI: 10.1208/s12248-012-9323-z 0.013
2012 Kumar R, Singh R, Pandya K, Kumar A. Effects of pressure gradients on laser beam propagation through an optical window for tokamak plasma diagnostics Fusion Science and Technology. 61: 51-56. 0.012
2016 Choonthar MM, Raghothaman A, Prasad R, Pradeep S, Pandya K. Head injury - A maxillofacial surgeon’s perspective Journal of Clinical and Diagnostic Research. 10: ZE01-ZE06. DOI: 10.7860/JCDR/2016/16112.7122 0.01
2015 Jindal AK, Pandya K, Khan ID. Antimicrobial resistance: A public health challenge. Medical Journal, Armed Forces India. 71: 178-81. PMID25859082DOI: 10.1016/j.mjafi.2014.04.011 0.01
2015 Bansal G, Pandya K, Soni J, Gahlaut A, Bandyopadhyay M, Chakraborty A. Characterization of cesium vapor delivery system for negative ion sources Icops/Beams 2014 - 41st Ieee International Conference On Plasma Science and the 20th International Conference On High-Power Particle Beams. DOI: 10.1109/PLASMA.2014.7012431 0.01
2015 Phadnis VA, Pandya KS, Naik NK, Roy A, Silberschmidt VV. Ballistic damage in hybrid composite laminates Journal of Physics: Conference Series. 628. DOI: 10.1088/1742-6596/628/1/012092 0.01
2015 Mathew K, Sarkar SS, Srinivas AR, Dutta M, Rohit M, Seth H, Kumaran R, Pandya K, Kumar A, Sharma J, Desai J, Patel A, Patel V, Shukla P, Manthira Moorthi S, et al. Methane Sensor for Mars Current Science. 109: 1087-1096. 0.01
2014 Psola JH, Henke M, Pandya K. Characteristics of energy storage in smart grids 2014 9th International Conference On Ecological Vehicles and Renewable Energies, Ever 2014. DOI: 10.1109/EVER.2014.6844077 0.01
2013 Bansal G, Gahlaut A, Soni J, Pandya K, Parmar KG, Pandey R, Vuppugalla M, Prajapati B, Patel A, Mistery H, Chakraborty A, Bandyopadhyay M, Singh MJ, Phukan A, Yadav RK, et al. Negative ion beam extraction in ROBIN Fusion Engineering and Design. 88: 778-782. DOI: 10.1016/j.fusengdes.2013.01.075 0.01
2013 Pethani C, Pandya K, Parikh V, Patel P, Patel G, Dave P. Standardization of poly herbal formulation, Spark Royal Oil International Journal of Pharmacy and Technology. 5: 5467-5480. 0.01
2012 Bansal G, Bhartiya S, Pandya K, Bandyopadhyay M, Singh MJ, Soni J, Gahlaut A, Parmar KG, Chakraborty A. Multiple delivery cesium oven system for negative ion sources. The Review of Scientific Instruments. 83: 02B118. PMID22380275DOI: 10.1063/1.3673010 0.01
2012 Abel EL, Kruger MM, Pandya K. Sopranos but not tenors live longer. The Aging Male : the Official Journal of the International Society For the Study of the Aging Male. 15: 109-10. PMID22040254DOI: 10.3109/13685538.2011.626820 0.01
2012 Beauchemin S, Kwong YTJ, Desbarats AJ, MacKinnon T, Percival JB, Parsons MB, Pandya K. Downstream changes in antimony and arsenic speciation in sediments at a mesothermal gold deposit in British Columbia, Canada Applied Geochemistry. 27: 1953-1965. DOI: 10.1016/j.apgeochem.2012.04.003 0.01
2010 Pandya KA, Ruf KM, Winstead PS, Cook AM, Weant KA. Pharmacy resident participation with a 24-hour multidisciplinary stroke response team. American Journal of Health-System Pharmacy : Ajhp : Official Journal of the American Society of Health-System Pharmacists. 67: 1901, 1905-7. PMID21048206DOI: 10.2146/ajhp090616 0.01
2009 Patel MB, Opreanu M, Shah AJ, Pandya K, Bhadula R, Abela GS, Thakur RK. Cocaine and alcohol: a potential lethal duo. The American Journal of Medicine. 122: e5-6. PMID19114159DOI: 10.1016/J.Amjmed.2008.09.017 0.01
2001Pease DM,Daniel M,Budnick JI, Taylor B, Frenkel A, Pandya K, Grigorieva IK, Antonov AA. Extension of a tuned log spiral of revolution fluorescence XAFS detector, designed for optimal detection of a particular element Z, to XAFS of elements other than Z. Journal of Synchrotron Radiation. 8: 336-8. PMID11512772DOI: 10.1107/S0909049500017052 0.01
| https://academictree.org/chemistry/publications.php?pid=99319&showfilter=all |
Baroclinic Instability in the Presence of Convection in: Journal of Physical Oceanography Volume 48 Issue 1 (2018)
Abstract Baroclinic mixed-layer instabilities have recently been recognized as an important source of submesoscale energy in deep winter mixed layers. While the focus has so far been on the balanced dynamics of these instabilities, they occur in and depend on an environment shaped by atmospherically forced small-scale turbulence. In this study, idealized numerical simulations are presented that allow the development of both baroclinic instability and convective small-scale turbulence, with simple control over the relative strength. If the convection is only weakly forced, baroclinic instability restratifies the layer and shuts off convection, as expected. With increased forcing, however, it is found that baroclinic instabilities are remarkably resilient to the presence of convection. Even if the instability is too weak to restratify the layer and shut off convection, the instability still grows in the convecting environment and generates baroclinic eddies and fronts. This suggests that despite the vigorous atmospherically forced small-scale turbulence in winter mixed layers, baroclinic instabilities can persistently grow, generate balanced submesoscale turbulence, and modify the bulk properties of the upper ocean.
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Figures
Fig . 1.
Sketch of the model setup: the domain is bounded vertically by two plates, separated by a distance H. The horizontal dimensions are L xand L y, and the domain is doubly periodic (in the perturbations). An upward buoyancy flux Fis imposed at both the top and the bottom plate. The background buoyancy gradient is indicated by the blue shading on the plates but is imposed throughout the domain.
Fig . 2.
Growth rates from the linear stability analysis for δ= 1 and δ= 0 for a background state with q= 0. The gray half-circles mark the discrete wavenumbers that are resolved in a domain λ x= 10 wide.
Fig . 3.
Snapshots of b′ − y(nondimensional) at the surface z= 0 for the unforced simulation at different stages of the baroclinic instability.
Fig . 4.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the unforced simulation ( ε= 0).
View in gallery
Fig . 5.
Snapshots of b′− y(nondimensional) at the surface ( z= 0) and at time t= 150 (in the equilibrated stage) for different forcing strengths.
Fig . 6.
Horizontally averaged buoyancy profiles for wide and narrow domains and for different forcing strengths as indicated in the titles. The lower axis is given in the standard nondimensionalization
(14)
–
(15)
; the upper axis is given in the alternative nondimensionalization
(25)
–
(26)
. The slanted black lines indicate
profiles. All profiles are averaged in time over the equilibrated range 100 <
t
< 200.
Fig . 7.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the weakly forced simulation ( ε= 0.01).
Fig . 8.
Horizontally averaged PV profiles for wide and narrow domains and for different forcing strengths as indicated in the titles. The profiles for the wide domains are split into contributions from
and the remaining terms. The lower PV axis is given in the standard nondimensionalization (
14
–
15
), the upper in the alternative nondimensionalization (
25
–
26
). All profiles are averaged in time over the equilibrated range 100 <
t
< 200.
Fig . 9.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the moderately forced simulation ( ε= 0.1).
Fig . 10.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the strongly forced simulation ( ε= 1).
Fig . 11.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the very strongly forced simulation ( ε= 10).
Fig . 1.
Sketch of the model setup: the domain is bounded vertically by two plates, separated by a distance H. The horizontal dimensions are L xand L y, and the domain is doubly periodic (in the perturbations). An upward buoyancy flux Fis imposed at both the top and the bottom plate. The background buoyancy gradient is indicated by the blue shading on the plates but is imposed throughout the domain.
Fig . 2.
Growth rates from the linear stability analysis for δ= 1 and δ= 0 for a background state with q= 0. The gray half-circles mark the discrete wavenumbers that are resolved in a domain λ x= 10 wide.
Fig . 3.
Snapshots of b′ − y(nondimensional) at the surface z= 0 for the unforced simulation at different stages of the baroclinic instability.
Fig . 4.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the unforced simulation ( ε= 0).
Fig . 5.
Snapshots of b′− y(nondimensional) at the surface ( z= 0) and at time t= 150 (in the equilibrated stage) for different forcing strengths.
Fig . 6.
Horizontally averaged buoyancy profiles for wide and narrow domains and for different forcing strengths as indicated in the titles. The lower axis is given in the standard nondimensionalization(14)–(15); the upper axis is given in the alternative nondimensionalization(25)–(26). The slanted black lines indicateprofiles. All profiles are averaged in time over the equilibrated range 100 < t< 200.
Fig . 7.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the weakly forced simulation ( ε= 0.01).
Fig . 8.
Horizontally averaged PV profiles for wide and narrow domains and for different forcing strengths as indicated in the titles. The profiles for the wide domains are split into contributions fromand the remaining terms. The lower PV axis is given in the standard nondimensionalization (14–15), the upper in the alternative nondimensionalization (25–26). All profiles are averaged in time over the equilibrated range 100 < t< 200.
View raw image
Fig . 9.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the moderately forced simulation ( ε= 0.1).
Fig . 10.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the strongly forced simulation ( ε= 1).
Fig . 11.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the very strongly forced simulation ( ε= 10).
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GENERAL CONDITIONS
Author:
A. J. HENRY
No. III
BAROMETRIC PRESSURE
VERIFICATIONS
MISCELLANEOUS PHENOMENA
Editorial Type:
Article
Article Type:
Research Article
Baroclinic Instability in the Presence of Convection
Jörn Callies
Jörn Callies California Institute of Technology, Pasadena, California Search for other papers by Jörn Callies in Current site Google Scholar PubMed Close
and
Raffaele Ferrari
Raffaele Ferrari Massachusetts Institute of Technology, Cambridge, Massachusetts Search for other papers by Raffaele Ferrari in Current site Google Scholar PubMed Close
Print Publication:
01 Jan 2018
Collections:
LatMix: Studies of Submesoscale Stirring and Mixing
DOI:
https://doi.org/10.1175/JPO-D-17-0028.1
Page(s):
45–60
Received:
01 Mar 2017
Accepted:
27 Sep 2017
Published Online:
Jan 2018
Displayed acceptance dates for articles published prior to 2023 are approximate to within a week. If needed, exact acceptance dates can be obtained by emailingamsjol@ametsoc.org.
Abstract
Baroclinic mixed-layer instabilities have recently been recognized as an important source of submesoscale energy in deep winter mixed layers. While the focus has so far been on the balanced dynamics of these instabilities, they occur in and depend on an environment shaped by atmospherically forced small-scale turbulence. In this study, idealized numerical simulations are presented that allow the development of both baroclinic instability and convective small-scale turbulence, with simple control over the relative strength. If the convection is only weakly forced, baroclinic instability restratifies the layer and shuts off convection, as expected. With increased forcing, however, it is found that baroclinic instabilities are remarkably resilient to the presence of convection. Even if the instability is too weak to restratify the layer and shut off convection, the instability still grows in the convecting environment and generates baroclinic eddies and fronts. This suggests that despite the vigorous atmospherically forced small-scale turbulence in winter mixed layers, baroclinic instabilities can persistently grow, generate balanced submesoscale turbulence, and modify the bulk properties of the upper ocean.
© 2018 American Meteorological Society. For information regarding reuse of this content and general copyright information, consult theAMS Copyright Policy(www.ametsoc.org/PUBSReuseLicenses).
Corresponding author : Jörn Callies, jcallies@caltech.edu
This article is included in theLatMix: Studies of Submesoscale Stirring and MixingSpecial Collection.
This article has a companion article which can be found athttp://journals.ametsoc.org/doi/abs/10.1175/JPO-D-17-0029.1
Abstract
Baroclinic mixed-layer instabilities have recently been recognized as an important source of submesoscale energy in deep winter mixed layers. While the focus has so far been on the balanced dynamics of these instabilities, they occur in and depend on an environment shaped by atmospherically forced small-scale turbulence. In this study, idealized numerical simulations are presented that allow the development of both baroclinic instability and convective small-scale turbulence, with simple control over the relative strength. If the convection is only weakly forced, baroclinic instability restratifies the layer and shuts off convection, as expected. With increased forcing, however, it is found that baroclinic instabilities are remarkably resilient to the presence of convection. Even if the instability is too weak to restratify the layer and shut off convection, the instability still grows in the convecting environment and generates baroclinic eddies and fronts. This suggests that despite the vigorous atmospherically forced small-scale turbulence in winter mixed layers, baroclinic instabilities can persistently grow, generate balanced submesoscale turbulence, and modify the bulk properties of the upper ocean.
© 2018 American Meteorological Society. For information regarding reuse of this content and general copyright information, consult theAMS Copyright Policy(www.ametsoc.org/PUBSReuseLicenses).
Corresponding author : Jörn Callies, jcallies@caltech.edu
This article is included in theLatMix: Studies of Submesoscale Stirring and MixingSpecial Collection.
This article has a companion article which can be found athttp://journals.ametsoc.org/doi/abs/10.1175/JPO-D-17-0029.1
Keywords: Baroclinic flows ; Convection ; Ocean dynamics ; Oceanic mixed layer
1. Introduction
Atmospheric cooling and surface winds frequently mix the surface layer of the ocean. The resulting mixed layer mediates the transfer of heat and momentum between the atmosphere and ocean and thereby affects both the atmospheric climate and the oceanic general circulation. The evolution of the ocean mixed layer has traditionally been understood column by column; atmospheric cooling and wind forcing leads to mixing and deepening of the mixed layer into the thermocline below. It is becoming increasingly clear, however, that lateral exchanges contribute crucially to the dynamical balances of the mixed layer.
Baroclinic instability in the mixed layer, one such agent of lateral exchange, can achieve large vertical buoyancy fluxes by laterally sliding light over dense water, tending to restratify the mixed layer (e.g.,Spall 1995;Haine and Marshall 1998;Boccaletti et al. 2007;Fox-Kemper et al. 2008). This restratification modifies the surface properties and thereby feeds back on the surface fluxes of heat and momentum. Baroclinic eddies can also achieve exchanges between the mixed layer and the thermocline below—a process that may be important in subducting heat and atmospheric constituents like carbon into the thermocline as well as bringing nutrients up into the mixed layer, where they can be used for photosynthesis (e.g.,Thomas et al. 2008).
The balanced dynamics of baroclinic mixed-layer instabilities suggest they should undergo a seasonal cycle, following the seasonal evolution of the mixed layer itself. The instabilities are expected to be stronger in deep winter mixed layers, in which isopycnals are steep and large amounts of potential energy are available for conversion to kinetic energy. The instability scale, which also scales with the mixed-layer depth, is of order 1–10 km in winter, suggesting these submesoscales should be energized by wintertime baroclinic mixed-layer instabilities. In summer, on the other hand, when mixed layers are shallow, baroclinic instabilities are expected to be much weaker and to occur at much smaller scales.
Observations and models indeed show an energization of submesoscale turbulence (scales of order 1–10 km) in deep winter mixed layers (Mensa et al. 2013;Shcherbina et al. 2013;Sasaki et al. 2014;Callies et al. 2015). The observed characteristics are consistent with a simple model of the balanced dynamics of baroclinic mixed-layer instabilities and the geostrophic turbulence generated by them (Callies et al. 2016). In summer, in contrast, flows 1–10 km in scale carry much less energy and appear to be dominated by thermocline dynamics. It is unclear whether mixed-layer instabilities are damped out in summer because mixing time scales are short in shallow mixed layers or whether they still occur at small scales but are not strong enough to feed a turbulent energy transfer to larger scales and significantly energize the observed 1–10-km scales.
We here seek to go beyond simple arguments based on balanced dynamics because the mixed layer is a place of vigorous atmospherically forced small-scale turbulence. Can baroclinic instabilities grow while the mixed layer is being actively mixed? Or is the instability arrested by mixing and can only develop between mixing events? Is the instability shut off in shallow summer mixed layers?
The goal of this study is thus to delineate the conditions under which baroclinic instability can grow in a turbulent mixed layer. This can help us understand when mixed-layer instabilities are able to energize submesoscales and thereby affect the bulk properties of the upper ocean. We employ an idealized setup that allows the development of both baroclinic instabilities and forced convection in a layer of Boussinesq fluid. The strength of the baroclinic instability is controlled by a prescribed lateral buoyancy gradient, and the strength of convection is controlled by an imposed buoyancy flux at the top and bottom boundaries.
In the limit of weak buoyancy forcing at the top and bottom, it is expected that baroclinic instabilities restratify the mixed layer and thus shut off convection (Mahadevan et al. 2010). This is confirmed in our simple setup. But we find that, conversely, baroclinic growth is not arrested in the limit of strong convection. When baroclinic fluxes are too weak to oppose the destabilization of the forcing, too weak to restratify the layer, baroclinic eddies and fronts still emerge and coexist with the convection that actively mixes the fluid. The baroclinic eddies and fronts organize the convection and modify the bulk properties of the layer.
2. Approach
To study the competition between baroclinic instabilities and convection, we depart from previous studies of baroclinic mixed-layer instabilities that considered the transient spindown of a mixed-layer front. In such simulations, the front slumps under the effect of baroclinic eddies and the mixed layer quickly restratifies (e.g.,Haine and Marshall 1998;Boccaletti et al. 2007). There is a succession from upright or slantwise convection to baroclinic eddies as the stratification and hence the Richardson number increase, a succession that is expected from linear stability analysis (Stone 1966). Convection and baroclinic eddies do not coexist in these simulations because the restratification by baroclinic eddies shuts off convection.
Mahadevan et al. (2010)attempted to achieve equilibrium between the destabilizing effect of surface forcing and the restratifying effect of baroclinic eddies by blowing a wind down a mixed-layer front. The Ekman transport of such a down-front wind pushes dense over light water, destabilizing the surface layers (Thomas and Lee 2005). The destabilizing effect of this forcing evolves with the flow, however, because whether the Ekman transport is destabilizing depends on the orientation of the front, which under the influence of baroclinic instability starts to meander. The simulations described inMahadevan et al. (2010)were thus necessarily transient; equilibrium was not achieved, because the increasing misalignment of front and wind stress reduced the effective buoyancy forcing. In the setup described below, we instead use direct buoyancy forcing, which allows us to control the forcing strength and achieve a statistical equilibrium. We can thus study the competition between convection and baroclinic instability in a more controlled environment and reveal that baroclinic instability develops even in the presence of strong convection.
InCallies et al. (2016), the evolution of baroclinic instabilities in the ocean mixed layer was studied using a quasigeostrophic model. Under quasigeostrophic scaling, the restratification by baroclinic eddies is neglected and the mixed-layer stratification remains fixed. This implicitly assumes an equilibrium between the restratification by baroclinic eddies and the destabilizing effects of surface forcing. It also assumes that the balanced flow is affected by the presence of convection only through the mean stratification. One of the goals here is to understand whether such a decoupled evolution of the balanced dynamics in the mixed layer is plausible.
The setup we study here provides a simple example of competing baroclinic instabilities and convective flows in a statistical equilibrium. We impose a fixed meridional buoyancy gradient − fΛ in thermal-wind balance with a zonal shear Λ (e.g.,Taylor and Ferrari 2010), which provides baroclinicity for the instability ( fis the constant Coriolis parameter). In addition, we apply a destabilizing buoyancy flux Fat the surface and bottom of a domain of depth H. For simplicity, there is no representation of the thermocline, so any evolution of the mixed-layer depth is neglected. The restratification by baroclinic eddies for our mixed layer with a rigid bottom, however, is expected to be similar to the case with a thermocline, because instead of folding thermocline water with high potential vorticity (PV) into the mixed layer, such high-PV water is generated at the bottom boundary (Garner et al. 1992).
The artificial buoyancy forcing at the bottom is necessary to allow the system to reach equilibrium. In the real ocean, surface-forced convection can deepen the mixed layer into the thermocline, and equilibrium is not reached. Such a transient evolution means that the system steps through the parameter space explored below. It seems worthwhile to study the equilibrium first, to isolate the parameter dependence, before the more realistic but complicated transient problem is addressed. We posit that the interplay between convection and baroclinic instability in the transient case is qualitatively similar to that exhibited in the equilibrium case studied here.
In this setup, we study the flow under different forcing conditions. The key parameter determining the strength of the forcing is ε= F/ fΛ 2 H 2. This is the ratio between the destabilizing buoyancy flux and the dimensional part of theFox-Kemper et al. (2008)scaling for the baroclinic buoyancy flux. We do not include the efficiency factor ofFox-Kemper et al. (2008)because that appears to increase over time in our simulations, and it ultimately depends on the domain size. We vary the parameter εover three orders of magnitude. Over this range, we cover the transition from a weakly forced regime, in which baroclinic instability restratifies the layer and shuts off convection, to a very strongly forced regime, in which convection is essentially upright and the effects of baroclinic eddies negligible. Of particular interest is the intermediate range, where convection persists, but baroclinic instabilities still develop and significantly modify the bulk properties of the fluid.
3. Setup
We study the nonhydrostatic Boussinesq equations describing a rotating fluid between two horizontal solid plates at
z
= −
H
and
z
= 0 (
Fig. 1
). We solve for the perturbations to an imposed background flow with zonal shear Λ and meridional buoyancy gradient −
f
Λ (
Taylor and Ferrari 2010
). The perturbations satisfy periodic boundary conditions in the horizontal coordinates
x
and
y
in a domain of zonal extent
L
x
and meridional extent
L
y
. The dynamics are given by the perturbation equations:
where
u
= (
u
,
υ
,
w
) is the velocity vector,
p
is the density-normalized pressure,
b
is buoyancy,
ν
is viscosity,
κ
is diffusivity, and
t
is time. At the boundaries at
z
= −
H
and
z
= 0, we prescribe the buoyancy flux
F
,
and impose no-normal-flow and free-slip conditions:
w
= 0,
u
z
= 0, and
υ
z
= 0. Note that the free-slip condition on
u
implies small surface and bottom stresses ±
ν
Λ that maintain the background flow against dissipation.
Fig . 1.
Sketch of the model setup: the domain is bounded vertically by two plates, separated by a distance H. The horizontal dimensions are L xand L y, and the domain is doubly periodic (in the perturbations). An upward buoyancy flux Fis imposed at both the top and the bottom plate. The background buoyancy gradient is indicated by the blue shading on the plates but is imposed throughout the domain.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 1.
Sketch of the model setup: the domain is bounded vertically by two plates, separated by a distance H. The horizontal dimensions are L xand L y, and the domain is doubly periodic (in the perturbations). An upward buoyancy flux Fis imposed at both the top and the bottom plate. The background buoyancy gradient is indicated by the blue shading on the plates but is imposed throughout the domain.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 1.
Sketch of the model setup: the domain is bounded vertically by two plates, separated by a distance H. The horizontal dimensions are L xand L y, and the domain is doubly periodic (in the perturbations). An upward buoyancy flux Fis imposed at both the top and the bottom plate. The background buoyancy gradient is indicated by the blue shading on the plates but is imposed throughout the domain.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
This setup constitutes an energetically consistent system, in which the only energy source is the potential energy supplied by the buoyancy forcing (plus small sources caused by diffusion and viscosity), and the only sink is viscous dissipation. The potential energy equation is
Angle brackets denote a vertical integral over the depth of the domain, the overbar denotes a horizontal average over the domain, and primes denote deviations from this horizontal average. Potential energy is supplied by the buoyancy flux at the boundaries (first term on the right). It can be converted to mean kinetic energy by gravitational slumping (second term on the right) and to eddy kinetic energy by buoyancy production (third term on the right). Downward diffusion of buoyancy also increases the potential energy (fourth term on the right), but this term is generally small for the values of
κ
we use.
To derive the mean kinetic energy budget, we first form the momentum equations of the horizontal-mean velocities. These are free to evolve as they are forced by momentum flux convergences:
The horizontal-mean vertical velocity vanishes, as required by continuity:
. We include the imposed background flow in the horizontal-mean flow to obtain a closed energy budget. The mean kinetic energy budget then reads
Gravitational slumping appears as a source of mean kinetic energy (first term on the right). Shear production (second and third terms on the right), when positive, converts mean to eddy kinetic energy. Dissipation of mean kinetic energy (fourth term on the right) is generally small, as is the input of kinetic energy by the surface and bottom stress, which is implied by prescribing a background shear that does not vanish at the boundaries (fifth term on the right). Finally, the eddy kinetic energy budget reads
Buoyancy production (first term on the right) and shear production (second and third terms on the right) appear with opposite signs here. The dissipation term (fourth term on the right) generally dominates the dissipation of energy.
It is worth pointing out a fundamental difference between the potential energy budget of this Boussinesq system and that of an analogous quasigeostrophic system (e.g.,Bretherton and Karweit 1975;Salmon 1980;Haidvogel and Held 1980;Larichev and Held 1995), which was used inCallies et al. (2016)to study baroclinic mixed-layer instabilities. In a doubly periodic quasigeostrophic model, there is an infinite reservoir of potential energy available for release by baroclinic instabilities. This is because the effect of vertical buoyancy fluxes on the mean stratification is neglected in quasigeostrophic scaling, such that both the horizontal buoyancy gradient and the stratification are held fixed and baroclinic instabilities can continually grow. In the Boussinesq system, on the other hand, potential energy must be supplied by buoyancy forcing at the boundaries. This is required to supply baroclinic eddies with potential energy available for release. Without this supply, the eddies would restratify the layer until the deformation radius is larger than the finite domain size. At that point, while there remains a horizontal buoyancy gradient, baroclinic eddies are unable to extract any more potential energy and start decaying. In the Boussinesq system, the explicitly captured, atmospherically forced, small-scale turbulence is therefore required to destroy stratification and thereby sustain baroclinic instabilities in the mixed layer.
It should be noted that our setup is different from that studied byMolemaker et al. (2010). They attempted a direct comparison between Boussinesq and quasigeostrophic dynamics, which led them to remove the horizontal-mean momentum flux divergences in(1)–(3), to introduce restoring to a given buoyancy profile and to formulate an evolution equation for the horizontal buoyancy gradient based on energetic arguments. The setup described above is better suited for our purposes, because it has a straightforward energy budget and no interior restoring.
The adiabatic and frictionless form of
(1)
–
(5)
conserves the Ertel PV of the full flow:
where
x
,
y
, and
z
are the Cartesian unit vectors. In our interpretation of simulation results, we will make use of two fundamental properties of PV dynamics. First, baroclinic instabilities increase the bulk PV by injecting positive PV at the boundaries and folding it into the interior of the fluid (
Nakamura and Held 1989
). Analogously, baroclinic instability in the real ocean lifts high-PV water from the thermocline into the mixed layer (
Garner et al. 1992
). Second, convection occurs when
q
< 0 and rapidly restores PV to the marginally stable state
q
= 0 (
Hoskins 1974
;
Emanuel 1994
;
Haine and Marshall 1998
). In the presence of baroclinic shear, this convection is slantwise and the result of symmetric rather than gravitational instabilities. Slantwise convection can produce positive buoyancy stratification (
b
z
> 0) by homogenizing buoyancy along tilted absolute momentum surfaces, but it cannot increase the bulk PV above zero. The telltale signs of such slantwise convective adjustment, regions of positive stratification and near-zero PV, have long been known to occur in midlatitude atmospheric fronts (
Emanuel 1988
). In the ocean, an adjustment from initially strongly negative PV to near-zero PV has recently been observed in the Kuroshio (
D’Asaro et al. 2011
).
We here want to emphasize the difference between convecting and restratifying states, rather than between upright and slantwise convection. We diagnose restratification using PV: when baroclinic instabilities are strong enough, they increase the PV to q> 0, which shuts off convection, including the slantwise kind. Convecting states, on the other hand, have a PV close to zero. We will see, however, that a q= 0 state does not mean that no baroclinic eddies are present. It only means that these eddies are too weak to overcome the destruction of PV by the buoyancy forcing.
The system of(1)–(5)is solved numerically using the MITgcm (Marshall et al. 1997), modified to include the additional terms arising from the interaction of the perturbations with the background flow. All simulations have a depth H= 100 m, a grid spacing Δ x= Δ y= Δ z= 2 m, and ν= κ= 10 −3m 2s −1. We choose harmonic dissipation/diffusion over aSmagorinsky (1963)closure, because it is easier to close the energy budget, and it remains unclear whether a Smagorinsky scheme is appropriate for flows with strong baroclinic fronts. We do not expect the subgrid closure to affect the results discussed in the following.
To reveal the parameter dependence of our setup, we nondimensionalize the system
(1)
–
(5)
using the following scales:
This follows
Stone (1971)
, except for the scale of buoyancy and pressure, for which Stone had the imposed stratification as an available scale. The nondimensional system reads
We abbreviate the diffusion operator by
A
=
δ
2
(
A
xx
+
A
yy
) +
A
zz
. The boundary conditions are −
σ
−1
αb
z
= ε
,
w
= 0,
u
z
= 0, and
υ
z
= 0 at
z
= −1 and
z
= 0. The nondimensional parameters of the problem are the ratio of the forcing to the scaling for the baroclinic flux proposed by
Fox-Kemper et al. (2008)
,
ε
=
F
/
f
Λ
2
H
2
, and
Stone’s (1971)
nonhydrostatic parameter,
δ
=
f
/Λ. The strength of viscosity is measured by the Ekman number
α
=
ν
/
fH
2
, and the Prandtl number is
σ
= 1. Dissipation and diffusion are posited to be unimportant for the bulk behavior as long as they are sufficiently small. The remaining two nondimensional parameters measure the domain size:
λ
x
=
fL
x
/Λ
H
and
λ
y
=
fL
y
/Λ
H
. The nondimensional potential energy budget reads
the mean kinetic energy budget is
and the eddy kinetic energy budget is
The nondimensional form of PV is
Note that a state with no stratification and no perturbation to the background flow has a background PV of
q
= −1.
The scales chosen above are appropriate when rotation and baroclinicity play an important role in the dynamics. In the limit of strong forcing (
ε
→ ∞), however, the dynamics revert to the classic problem of nonrotating upright convection between two plates (e.g.,
Emanuel 1994
). In this limit, more appropriate scales can be formed from the forcing
F
and depth
H
(e.g.,
Marshall and Schott 1999
):
This nondimensionalization will prove useful when considering strongly forced simulations.
4. Experiments
We focus on a series of experiments with δ= 1 for two reasons. First, linear stability analysis suggests that with this parameter, the baroclinic instability is already close to the hydrostatic limit δ→ 0 (Fig. 2;Stone 1971) that is of particular interest for strong ocean fronts, where shears can greatly exceed f(e.g.,D’Asaro et al. 2011). Second, this parameter choice is practical because the most unstable baroclinic mode then has an aspect ratio close to unity (Stone 1966), which allows us to conveniently resolve the baroclinic mode as well as upright convection. The increasing aspect ratio of the baroclinic instability as δ→ 0 makes the concurrent simulation of baroclinic and convective motions increasingly challenging, because there is an increasing scale separation between the two types of motion.
Fig . 2.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 2.
Growth rates from the linear stability analysis for δ= 1 and δ= 0 for a background state with q= 0. The gray half-circles mark the discrete wavenumbers that are resolved in a domain λ x= 10 wide.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 2.
Growth rates from the linear stability analysis for δ= 1 and δ= 0 for a background state with q= 0. The gray half-circles mark the discrete wavenumbers that are resolved in a domain λ x= 10 wide.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
We recapitulate the linear properties of the system by performing a linear stability analysis for the baroclinic axis (no meridional variations) followingStone (1971). We consider a mean state with stratification b z= 1, such that q= 0. This is taken to be representative of the weakly stratified state expected in the limit of strong convection. The growth rates (Fig. 2) show a low-wavenumber geostrophic mode and a high-wavenumber ageostrophic mode (Stone 1970;Nakamura 1988;Molemaker et al. 2005). We focus on the geostrophic mode, because it has a much larger growth rate and represents the balanced dynamics whose interaction with convection we seek to investigate. This mode is most unstable at a zonal wavenumber k= 1.13 and has a short-wave cutoff at k= 1.68. Because of the finite domain size, we only resolve a discrete set of wavenumbers (Fig. 2). The domain size λ x= 10 is chosen such that roughly two wavelengths of the most unstable mode fit into the domain. For comparison, we also perform simulations in narrow domains of zonal extent λ x= 2, in which no baroclinic instability can develop (cf.Taylor and Ferrari 2010). Symmetric instabilities, which occur for q< 0, only require across-shear variations, so they are well represented in both domains.
In a set of fully nonlinear simulations, we vary the forcing parameter
ε
over three orders of magnitude, covering very weak to very strong forcing conditions. To be able to distinguish a priori between weak and strong forcing conditions, we begin with an unforced simulation (
ε
= 0). This allows us to measure the (dimensionless) buoyancy flux
generated by baroclinic instability in the absence of convection. It successfully distinguishes between weak forcing
ε
<
B
, for which restratification occurs, and strong forcing
ε
>
B
, for which convection actively mixes the layer (cf.
Mahadevan et al. 2010
). To isolate the effect of baroclinic instability, the series of forced simulations are performed in pairs: one with a wide and one with a narrow domain. Baroclinic instability has a short-wave cutoff and cannot develop in the narrow domain, while the instability does fit into the wide domain. All simulation parameters are listed in
Table 1
.
Table 1.
Parameter values for the numerical simulations. We list both nondimensional parameters and the dimensional parameters used in the MITgcm.
a. Unforced simulation
We determine the flux Bby measuring it in an unforced simulation instead of using theFox-Kemper et al. (2008)scaling. We resort to this empirical exercise because the scaling does not capture an increase in buoyancy flux as the eddies become increasingly energetic past the initial phase of their development (see Callies and Ferrari 2017, manuscript submitted to J. Phys. Oceanogr.). The energy level of the eddies is ultimately set by the finite size of the domain, which translates into a dependence of Bon the domain size. It is less clear what limits how energetic mixed-layer eddies can become in the real ocean, where scales up to the mesoscale can be energized. We circumvent this question by determining Bempirically for the domain size used.
We initialize the simulation with a uniform stratification b z= 1 and add small random perturbations to u, υ, and bdrawn from normal distributions with standard deviations 10 −7m s −1and 10 −7m s −2. The b z= 1 state is marginally stable to symmetric instability, so the development is dominated by the baroclinic mode (Fig. 2). The evolution, once the system has reached finite amplitude and nonlinear terms have become important, is illustrated with surface buoyancy snapshots inFig. 3. In accordance with the linear stability analysis, the mode that reaches finite amplitude first has a zonal wavelength of 5 (Fig. 3a). This baroclinic wave perturbation then grows in scale, spanning the whole domain size at wavelength 10 (Figs. 3b,c), presumably both because of the linear growth of the wavelength-10 mode and nonlinear energy transfer from the wavelength-5 mode. The domain-filling mode reaches finite amplitude, breaks, and rolls up into a domain-filling vortex (Figs. 3c,d). These baroclinic perturbations drive a vertical buoyancy flux that restratifies the system. The restratification shifts the short-wave cutoff of the instability to larger scales and eventually renders the configuration stable to all modes that fit into the domain. Linear theory predicts a critical value of stratification past which all unstable modes have scales too large to fit into the domain. The shutdown of the vertical buoyancy flux occurs exactly when the critical stratification is reached, confirming that linear theory correctly predicts whether potential energy can be released (cf.Stone 1972;Rhines 1977;Salmon 1978;Fox-Kemper et al. 2008). After the restratification shutdown, the domain-filling vortex persists with roughly constant kinetic energy. We take the maximum B= 0.08 as representative of the buoyancy flux that can be achieved by baroclinic instability in the given domain.
Fig . 3.
Snapshots of b′ − y(nondimensional) at the surface z= 0 for the unforced simulation at different stages of the baroclinic instability.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 3.
Snapshots of b′ − y(nondimensional) at the surface z= 0 for the unforced simulation at different stages of the baroclinic instability.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 3.
Snapshots of b′ − y(nondimensional) at the surface z= 0 for the unforced simulation at different stages of the baroclinic instability.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
This evolution can also be traced in the energy budget shown in
Fig. 4
. We show all terms in
(21)
–
(23)
but here focus on the buoyancy production
that dominates the generation of eddy kinetic energy. This term has three distinct peaks at
t
= 44, 62, and 76. The first peak in buoyancy production is associated with the wavelength-5 mode (
Fig. 3a
), and the third peak is associated with the wavelength-10 mode (
Fig. 3c
). The second peak has both modes contributing and occurs during the transition from the smaller to the larger mode (
Fig. 3b
). The third peak is largest and reaches
B
= 0.08. After this peak, the buoyancy production drops, as the restratification has rendered the configuration stable. Subsequently, the kinetic energy tendency is small; the little dissipation the domain-filling vortex experiences is partially offset by a small amount of buoyancy production. Furthermore, the energy budget exhibits the signature of oscillations with a period somewhat longer than inertial that have been triggered by the instability. These oscillations may be baroclinically modified inertial oscillations (
Whitt and Thomas 2013
) but are not the focus of this paper.
Fig . 4.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the unforced simulation ( ε= 0).
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 4.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the unforced simulation ( ε= 0).
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 4.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the unforced simulation ( ε= 0).
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
b. Weak forcing
We now turn to forced simulations and start with a weak forcing ε= 0.01, which is much smaller than the B= 0.08 estimated from the unforced simulation. The simulation is initialized as before with the q= 0 state with b z= 1 and no flow anomalies. Convection quickly sets in, but the baroclinic instability develops and restratifies the system. The flow reaches a statistical equilibrium around t= 100, characterized by a domain-filling baroclinic vortex (Fig. 5a) and strong stratification greatly exceeding the initial b z= 1 (Fig. 6a). The equilibrium is achieved by a balance between the destabilization by the buoyancy forcing and the restratification by the baroclinic mode. There is evidence of convection only in the center of the cyclonic vortex, where the stratification is weakest. The convective plumes reaching the surface can be discerned in the surface buoyancy field, which is otherwise smooth (Fig. 5a).
Fig . 5.
Snapshots of b′− y(nondimensional) at the surface ( z= 0) and at time t= 150 (in the equilibrated stage) for different forcing strengths.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 5.
Snapshots of b′− y(nondimensional) at the surface ( z= 0) and at time t= 150 (in the equilibrated stage) for different forcing strengths.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 5.
Snapshots of b′− y(nondimensional) at the surface ( z= 0) and at time t= 150 (in the equilibrated stage) for different forcing strengths.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
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Fig . 6.
Horizontally averaged buoyancy profiles for wide and narrow domains and for different forcing strengths as indicated in the titles. The lower axis is given in the standard nondimensionalization
(14)
–
(15)
; the upper axis is given in the alternative nondimensionalization
(25)
–
(26)
. The slanted black lines indicate
profiles. All profiles are averaged in time over the equilibrated range 100 <
t
< 200.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 6.
Horizontally averaged buoyancy profiles for wide and narrow domains and for different forcing strengths as indicated in the titles. The lower axis is given in the standard nondimensionalization
(14)
–
(15)
; the upper axis is given in the alternative nondimensionalization
(25)
–
(26)
. The slanted black lines indicate
profiles. All profiles are averaged in time over the equilibrated range 100 <
t
< 200.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 6.
Horizontally averaged buoyancy profiles for wide and narrow domains and for different forcing strengths as indicated in the titles. The lower axis is given in the standard nondimensionalization
(14)
–
(15)
; the upper axis is given in the alternative nondimensionalization
(25)
–
(26)
. The slanted black lines indicate
profiles. All profiles are averaged in time over the equilibrated range 100 <
t
< 200.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
In the transient development, the peak buoyancy production of about 0.04 is larger than the imposed forcing (Fig. 7). This large buoyancy production draws on the potential energy of the initial state but cannot be sustained by the forcing. The system restratifies, which stabilizes the baroclinic modes and leads to a decay in buoyancy production. The baroclinic instability is not shut off entirely like in the unforced simulation, however, because the destabilizing forcing keeps the system slightly unstable to baroclinic instability. In statistical equilibrium, the buoyancy production thus settles to a value of about 0.01, corresponding to the forcing ε. The energy cycle of this equilibrated state is straightforward: potential energy is created by the forcing, potential energy is converted to eddy kinetic energy by buoyancy production, and eddy kinetic energy is dissipated by viscosity. The mean kinetic energy plays no significant role in the energetics.
Fig . 7.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the weakly forced simulation ( ε= 0.01).
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 7.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the weakly forced simulation ( ε= 0.01).
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 7.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the weakly forced simulation ( ε= 0.01).
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Download figure as PowerPoint slide
To further characterize the statistical equilibrium, we show the vertical profiles of the horizontal-mean PV averaged in time over the equilibrated state (
Fig. 8a
). PV has increased from the initial
q
= 0 and is significantly positive over the bulk of the domain. It is negative only near the top and bottom boundaries, where the boundary conditions force it to be
with our choice of
α
= 4.64 × 10
−4
and
σ
= 1 (
Table 1
).
Fig . 8.
Horizontally averaged PV profiles for wide and narrow domains and for different forcing strengths as indicated in the titles. The profiles for the wide domains are split into contributions from
and the remaining terms. The lower PV axis is given in the standard nondimensionalization (
14
–
15
), the upper in the alternative nondimensionalization (
25
–
26
). All profiles are averaged in time over the equilibrated range 100 <
t
< 200.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 8.
Horizontally averaged PV profiles for wide and narrow domains and for different forcing strengths as indicated in the titles. The profiles for the wide domains are split into contributions from
and the remaining terms. The lower PV axis is given in the standard nondimensionalization (
14
–
15
), the upper in the alternative nondimensionalization (
25
–
26
). All profiles are averaged in time over the equilibrated range 100 <
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 8.
Horizontally averaged PV profiles for wide and narrow domains and for different forcing strengths as indicated in the titles. The profiles for the wide domains are split into contributions from
and the remaining terms. The lower PV axis is given in the standard nondimensionalization (
14
–
15
), the upper in the alternative nondimensionalization (
25
–
26
). All profiles are averaged in time over the equilibrated range 100 <
t
< 200.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
This equilibrium state is very different from that achieved in a narrow domain (cf.
Taylor and Ferrari 2010
). In a domain of width
λ
x
= 2, no baroclinic instability can develop, because no unstable mode fits into the domain (
Fig. 2
). The imposed buoyancy flux is carried by slantwise convection rather than by a baroclinic vortex. The system adjusts to a state that is marginally stable to symmetric instability, that is, one with
(
Fig. 8a
). The stratification is determined by the imposed geostrophic shear through the requirement that
and settles at about
. This is much weaker a stratification than achieved by baroclinic restratification in the wide domain (
Fig. 6a
).
c. Moderate forcing
Next, we consider a moderately forced case, in which the forcing ε= 0.1 is slightly larger than the B= 0.08 estimated from the unforced simulation. Again, convection sets in very quickly. But a baroclinic mode develops and appears after t= 50. The system settles into a statistical equilibrium that exhibits a coexistence of a domain-filling baroclinic vortex and smaller-scale convection (Fig. 5b).
The interplay between the baroclinic and convective flows leads to an interesting state exhibiting significant buoyancy stratification but a PV close to zero (Figs. 6b,8b). PV is restored to zero by convection, but the convective flows are modified by fronts generated by the finite-amplitude baroclinic instability. At these fronts, the convection is slantwise rather than upright, giving rise to the buoyancy stratification.
The buoyancy stratification is stronger than the
expected from slantwise convection operating on the background shear (
Fig. 6b
). In fact, purely convective flows for this forcing—as simulated in a narrow domain—lead to an even smaller stratification, because momentum fluxes eliminate part of the geostrophic shear. This confirms that the baroclinic vortex significantly modifies the convection.
The horizontal-mean PV is close to zero throughout the bulk of the domain, as expected for slantwise convection (
Fig. 8b
). There is significant cancellation between a positive
and the remaining terms in
(24)
, showing the influence of the baroclinic vortex. This cancellation renders the total PV profile very similar to that of the narrow domain, in which the stratification is much weaker. This similarity in
suggests that the flows in both the wide and narrow domains are equally convecting, restoring to a convectively neutral state
. The baroclinic eddies do not manage to restratify in the sense of increasing the horizontal-mean PV above zero in the interior of the domain and thereby shutting off (upright or slantwise) convection. But the baroclinic eddies do provide additional shear that modifies the convection and allows some buoyancy stratification.
Another fingerprint of slantwise convection can be found in the energy budget (Fig. 9). The bulk of eddy kinetic energy is generated by buoyancy production, but there is a significant contribution from shear production. This is expected for slantwise convection, which can draw on the kinetic energy of the mean flow (Haine and Marshall 1998;Thomas et al. 2013). The mean kinetic energy is supplied by gravitational slumping that attempts to restore geostrophic balance against the destabilizing effect of the momentum fluxes.
Fig . 9.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the moderately forced simulation ( ε= 0.1).
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 9.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the moderately forced simulation ( ε= 0.1).
Fig . 9.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the moderately forced simulation ( ε= 0.1).
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
d. Strong forcing
As the forcing is increased to ε= 1, much larger than B= 0.08, convection is expected to dominate the flow. We find, however, that the strong convective flows are still modified detectably by baroclinic eddies (Fig. 5c). Baroclinic instabilities develop on top of the strong convection, increase the shear at fronts, and render the convection more slantwise.
The buoyancy stratification clearly shows this effect of the baroclinic instability (Fig. 6c). The stratification that results from this interplay of the baroclinic flow with convection is increased above the weak stratification that results from pure convection in the narrow domain. As expected from ε≫ B, the baroclinic instability is not able to achieve true restratification, in the sense of increasing the horizontal-mean PV above zero in the interior of the domain (Fig. 8c). In fact, the PV profiles for the wide and narrow domains are indistinguishable; both are restored to zero by strong convection.
The eddy kinetic energy production is now strongly dominated by buoyancy production, but a significant contribution from shear production is still detectable (Fig. 10). Slantwise convection, while weak, thus still manifests itself in the energy budget.
Fig . 10.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the strongly forced simulation ( ε= 1).
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 10.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the strongly forced simulation ( ε= 1).
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 10.
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
e. Very strong forcing
At a very strong forcing of ε= 10, the flow is finally in the limit of no rotation and no shear and dominated by strong upright convection (Fig. 5d). The effect of the baroclinic instability is negligible, and the characteristics of the flow in the wide domain are indistinguishable from that in the narrow domain.
The buoyancy profile is now unstratified over the bulk of the domain (Fig. 6d). The profiles are indistinguishable between the wide and narrow domains. The profiles are also very similar to those found in the narrow domain with ε= 1 (but not the wide one) if the comparison in this strongly convective limit is done in the alternative nondimensionalization(25)–(26)shown on the upper buoyancy axis (Fig. 6c). Similarly, the PV profiles are indistinguishable between the narrow and wide domains and also match that of the narrow domain with ε= 1 in the alternative nondimensionalization (Figs. 8c,d).
The energy budget is now a straightforward conversion of potential energy into eddy kinetic energy by buoyancy production, balanced by dissipation of eddy kinetic energy, as expected for pure upright convection (Fig. 11). There is no significant contribution from shear production.
Fig . 11.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the very strongly forced simulation ( ε= 10).
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 11.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the very strongly forced simulation ( ε= 10).
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
Fig . 11.
Time evolution of terms in the (a) potential, (b) mean kinetic, and (c) eddy kinetic energy budgets for the very strongly forced simulation ( ε= 10).
Citation: Journal of Physical Oceanography 48, 1;10.1175/JPO-D-17-0028.1
5. Discussion
Our simulations suggest that baroclinic instabilities are remarkably resilient to the presence of convection. When the forcing is weak, the instability’s buoyancy flux is larger than the imposed flux and restratification occurs. Positive PV is injected at the boundaries, and the bulk PV of the fluid is increased above zero, shutting off convection. If the forcing is stronger, exceeding the buoyancy flux that can be generated by baroclinic instability, convection persists and keeps the bulk PV near zero. Baroclinic growth still occurs, however, and modifies the convection by forming baroclinic eddies and fronts, along which baroclinic shear is intensified and convection more slantwise. For very strong forcing, this effect is small and convection becomes indistinguishable from the limit of upright convection. This limit appears to be approached gradually, with no qualitative transition at which the baroclinic instability is shut off.
These results were obtained for a background flow with moderate shear, δ= f/Λ = 1. We expect, however, that the results carry over to the hydrostatic limit δ→ 0. As shown byStone (1971)and inFig. 2, the linear dynamics are similar for δ= 1 and δ= 0. In the presence of convection, we expect the baroclinic instability to persist in the δ→ 0 regime just as well as in the δ= 1 case analyzed here. The increasing scale separation between the instability and upright convection as δ→ 0, which makes the concurrent simulation in this limit so challenging, suggests that strong energy transfer between the processes becomes more difficult. Future work should test this speculation.
One change in the dynamics that is expected as δis decreased is that convection will have a tendency to be more slantwise than in the δ= 1 case considered here. The parameter εδis the cube of the ratio of the convective velocity scale ( FH) 1/3to the change in geostrophic flow over the boundary layer Λ H.Taylor and Ferrari (2010)andThomas et al. (2013)argued that this ratio determines whether the geostrophic shear plays a role in the dynamics and renders convection slantwise ( εδ≪ 1) or whether convection is upright and overcomes the geostrophic shear ( εδ≫ 1). As δis decreased below 1, an increasingly large εis needed to overcome the effect of geostrophic shear to render convection upright. The more realistic δ≪ 1 regime is thus expected to exhibit convection that is more slantwise.
Nonhydrostatic effects become important in the linear dynamics for δ≫ 1 (Stone 1971). Horizontal buoyancy gradients are weak in this regime, and baroclinic instabilities can only play a role when the forcing is weak, because ε= δ 2 F/ f 3 H 2. It is left for future inquiry to explore whether this regime with weak buoyancy gradients and weak forcing has oceanic relevance or whether baroclinic instabilities are unimportant where buoyancy gradients are weak, in which case the dynamics are dominated by upright or rotating convection (e.g.,Julien et al. 1996;Marshall and Schott 1999).
To parameterize the restratification caused by baroclinic mixed-layer instabilities in coarse-resolution ocean models, it is necessary to understand under what atmospheric forcing conditions such restratification occurs. Our analysis shows that the magnitude of the baroclinic flux compared to the forcing distinguishes between convecting and restratifying conditions. As shown in Callies and Ferrari (2017, manuscript submitted to J. Phys. Oceanogr.), however, the baroclinic flux depends on the eddy scale, for which we have no good prediction. Understanding this dependence is crucial for the parameterization effort, because it impacts both whether or not restratification occurs and how strong it is when it does occurs.
The finding that baroclinic instabilities can develop even in the presence of strong convection can help us understand the energization of submesoscale turbulence in winter. The persistence of baroclinic instabilities explains how they can develop and produce energetic submesoscale flows even when the mixed layer is actively convecting. The coexistence of baroclinic instability and convection in moderate to strong forcing conditions is consistent with the presence of energetic balanced flows at scales of order 1–10 km and the persistently weak stratification in deep winter mixed layers. Strong atmospheric forcing produces copious amounts of potential energy available for release by baroclinic instabilities and for turbulent redistribution across scales.
The persistence of baroclinic instabilities in the presence of convection also lends credence to the simple model of wintertime submesoscale turbulence developed byCallies et al. (2016). It is at least plausible that the balanced flow evolves with little interference from convection and other small-scale turbulence, in a background provided by a quasi equilibrium between the restratification by baroclinic instabilities and the destabilizing effect of atmospheric forcing. Qualitative agreement between the simple model and submesoscale observations is encouraging. But future work should address whether there are important interactions between the balanced dynamics and small-scale turbulence that are missing from a quasigeostrophic description of submesoscale turbulence in the mixed layer.
The situation in summer is less clear. The fact that baroclinic instabilities can grow in the presence of convection means that they are unlikely to be damped out in shallow summer mixed layers, even if mixing time scales are short. The observed lack of energization of order 1–10-km flows in summer must then be explained by a lack of energy transfer to these scales from the small instability scale. A plausible scenario is that the small amount of potential energy available for release in shallow summer mixed layers is insufficient to significantly energize order of 1–10-km flows. Baroclinic instabilities may successfully grow and restratify the mixed layer in summer, but they quickly exhaust the energy fueling their growth. Unlike in winter, the summertime energy input from atmospheric forcing is weak, leaving the energy throughput too feeble for the instability to transfer significant energy into 1–10-km flows. This scenario should be made quantitative, and its consistency should be tested in a setup that allows for the evolution of the mixed-layer depth.
We finally note that the setup studied here does not allow an assessment of how much energy from submesoscale mixed-layer instabilities is transferred to successively larger scales versus how much is lost to dissipation at small scales (cf.Capet et al. 2008;Molemaker et al. 2010;Sasaki et al. 2014). While the baroclinic eddies have a clear tendency to energize successively larger scales in the transient phase of our simulations, there is no large-scale energy sink, so there cannot be a sustained inverse cascade. The equilibration must instead occur through small-scale dissipation of all of the kinetic energy generated baroclinically. One would have to include motion all the way up to the mesoscale to allow a realistic energy transfer to larger scales. One may speculate, however, that the resilience of baroclinic eddies to the presence of convection might mean that the inverse cascade is more robust than previously thought.
Acknowledgments
Jean-Michel Campin is thanked for assistance in implementing the MITgcm modifications necessary to prescribe a background flow. Support from the National Science Foundation under Grant OCE-1233832 is gratefully acknowledged.
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| https://journals.ametsoc.org/view/journals/phoc/48/1/jpo-d-17-0028.1.xml?result=3&rskey=fb2aGB |
xt73tx35421b https://exploreuk.uky.edu/dips/xt73tx35421b/data/mets.xml Kentucky Kentucky Press Association Kentucky Press Service University of Kentucky. School of Journalism 1988 Call Number: PN4700.K37 Issues not published 1935 Aug - 1937 Oct, 1937 Jul - 1937 Aug, 1939 Oct - Dec, 1940 Jan - Mar, 1951 Aug - 1956 Sep. Includes Supplementary Material: 2005/2006, Kentucky High School Journalism Association contest 2004-2005, Advertising excellence in Kentucky newspapers 2003-2005, Excellence in Kentucky newspapers newsletters English Lexington, KY.: School of Journalism, University of Kentucky Contact the Special Collections Research Center for information regarding rights and use of this collection. The Kentucky Press Press -- Kentucky -- Periodicals The Kentucky Press, October 1988 Vol.59 No.10 text The Kentucky Press, October 1988 Vol.59 No.10 1988 2019 true xt73tx35421b section xt73tx35421b , . " i = “7?" News?“ iris .~ M .. . ., " "I '1
: 2 . , /’ Mil “We ‘33 saw in: e stress, * . i g
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, HE’S , A] )7,» ' .. 35', Mill .7 . . .. , . .7 é."
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iv if: '1: " 7 7 2 Volume 59’ Number 10 October, 1988 '
eSu rvey s h ows 3 5 - c e nt SI n 9 l e c 0 mi ~ ‘ - _, .
price most popular In Kentuc y M... .
” A September survey by the Kentucky Press Association weeklies charging in that range. The net highest was the 17 _ .
51 "ShOWS weekly and daily newspapers followinganafional trend in weeklies charging $12 to $12.99. Surprisingly, the largest increase 3? 1,, - if;
smgle copy sales prices. in the price range was in those charging more than $20 per year. g .- ,’ 3% g =
”{LH Recent national surveys indicate a majority of newspa— Whereas only five charge $20 or more in-county, 16 i .' l, ., ‘.
{pipers have a35-cent single copy price with 25 cents as the next most charge more than $20 per year for an out—of-county subscription. 7" ‘1 .1 l . : 7 . ' ‘
lifrequent single copy cost. Also popular is $15 to $15.99 with 14 weeklies at that level. The . . * 3.; ~.; ' .‘ . ‘
2.42%? . Kentucky newspapers follow the national trend with a $13 to $13-99 and $14 to $14-99 both have 11 newspapers charging U . * ‘ ' 2
w” clear majority favoring the 35-cent price followed by the quarter those rates out-of-county. 5 5"} i; as 1:55;? 1 :1 f; .i ,
”t; ,' ’1 charge. On the lower end, one charges $7.50 for the lowest in the ::::.fi.'§55} figs? 3,5,.»‘1ij39f ‘ ' i
i ;. Of 148,1.(PA-member newspapers studied, 71 or nearly state, three charge $8 to $899; seven charge $9 to $999} eight 3:ng It?eijiiii"?l2?
~s°nehalf beetle new-“impress the statecharge'BS cents per cepy, Charge $10 to $10-99: and four charge $11 to $11-99- 1 ‘5i C: ». i
ewanaieeiueeemeeWMW -1 ;.Pi.evid Bitterness, creative directs-of KPAI said the J r ~ . ‘ i’
7:25: Fori‘WBekly newspapers, 55 have a ’35—cent neWSstand ‘ " "price range ‘"§hoW§‘“Kei‘i‘tu’cky“‘fieWspa‘per’s,‘~‘bom*daiiies—ancr~~aé i“: W‘s—if:
s». ’5‘: , :215‘3priCe “(139 (353,39 25 cents. Eight weekly neWspapers charge 30, weeklies, are affordable. With the many increases this industry '
:- j-jff—é'cen-tsper copy, eight charge 50 cents, four charge 40 cents and two has faced in the past few years -- higher postal rates, higher Lyles elected ‘,
tm , 31; H‘are‘atJS cents. ‘ newsprint costs, exorbitant insurance premiums —- you might -
{ii '1. W For dailies, 16 of the 25 dailies cost 35 cents for single expect the single COPY and yearly subscription rateS to be much
. ,7. . copies, seven charge 25 cents with one at 30 cents and one at 50 higher. , to K P A board '
Ell. ‘ f '- cents. The survey did not reflect Sunday single copy costs. "Bl" thls shows Kentucky newspapers have held the line /
' » , ,, The KP A study also examined one-year in—county sub- on newspaper costs and continue to be a good investment for the Jerry Lyles, general ri‘ian- ‘
,if- _ ~;; , .mipfion costs for weekly newspapers. readers." ager of the Benton Tribune
;_ .-; , 5 ' ‘ 2. Results of that survey show no clear-cut winner in any On average Of all weeklies, a one-year in-county sub- Courier, has been elected to the ‘ "
price range. Of all weeklies in the state, 18 carry an in—county scription cost is $11.99 while a one-year out-of—county subscrip— Kl’é/IKPS lioard of Elrecclsr's
if , , . subscription rate of $12 to $12.99. Next in popularity was the $11 tlon average is $14.83. _ manyoefs’tlre Elimiidszrtisziihr-
’ .. y- _ ' -= to $11.99 price with 16 weeklies in that range; 13 weeklies have a .. . , , Stering Committee in 1987 ang '9
j year's subscription at $14 to $14.99; and 12 at $8 to $8.99 and the We dld this Study two or three Years ago and It gave is presently a state Marge ‘
-. same number charge $10 to $10.99. Eight weeklies charge $16 to some newspapers an idea of where they stand f‘OI' Single COPY and member of the KPA Board, was
391:. y >$19_,for a one-year in-county subscription, five charge more than in—county and out—of—county subscription costs," Thompson elected as the District 1 board ‘
'. $20 per year and one has a year's subscription price at $5.50, the added. "By no means are we saying a newspaper should be member, to fulfill 9 term origi-
3,; " Only weekly newspaper in state charging less than $6 per year. charging a certain amount. With a new year approaching, and “ally held bfY DaVId Reeves.
, Other costs were five at $6 to $6.99; eight charge $7 to $799; 10 another increase expected in newsprint, we thought this might eeves,f 31mg? advelrélglng
‘_,‘ ;_, charge $9 to $9.99; three charge $13 to $13.99; and six charge $15 give newspapers at the lower end of the spectrum an idea of what 2:; egg; r eesi gill 5:12;,” If): "
to $15.99. , All five weeklies charging more than $20 per other newspapers are charging. in mid-September to become
; _ year for an invcounty subscription are published atleast twice per "Only the 1nle1dual newspaper knows what the local publisher of a newspaper in
week. market would tolerate. And obviously various factors (fre- Missouri. _
In examining out-of.county subscription prices, a cost of quency, production costs, etc.) are entered into making the choice Lyles will complete the term
,, . $16 to $19 for a one-year subscription was most popular with 22 of what single copy prices and the subscription prices should be." through January, 1990-
: I
I ' ' I I tl
< - Editors respond to AG 5 opinion, supp emen _
‘ In light of the Attorney Opinion basically addresses of having access to citations" organiaztions across the state news media, it is a victory for ‘-
' General‘s opinion issued in our questions concerning ac— Jim Paxton, Editor, The who rose to its defense, and we the public. Kentucky's open
. September concerning the re- cess to police uniform cita- Paducah Sun: "I am not at all sincerely hOpe that the attor- records and open meetings
9,7 -. lease of police citations, The tions. There are problems with convinced that the Open Rec- ney general holdsit eveic'ybit as laws areabenchmarkbyWhich
-. Kentucky Press asked various some of the specific language, ords ruling was the schocking important a law as we 0." other state laws are judged. .
Vif‘ . ' newspaper editors across the particularly that the opinion blow to accountability that we Bob Hendrickson, Editor, Any effort to weaken those
_ state for their opinions about "supplements and expands in the press first feared it was. The Ledger ' Independent, laws must be challenged. At'
" ' the issue. The ollowing is a OAG 88-58"-theopinion given The Open Records Law is , we Maysville: "Once again it is torneys general come and 3°
‘ , synopsis of their views. ' earlier by Thomas Emerson. lt think, a critical component of Important to say that maintain- and interpretations of the open
- , ~ ' 'il'Paul W. Sierer, Editor, The appears that the opinion has honest and competent govern- ingastrongopenrecordslaw is , '
e 1:" independent, Ashland: "I‘he resolved our specific problem ment. We aPPlBUd those news “OtaVidOTY 01' newspapers or Continued on Page 2'
Page 2 , i
. . A The Kentucky Press (ISSN-0023-0324) is published monthly -
l W -' W W and second class postage paid at Frankfort, Ky., 40601, and at l
_ _ > ~ . = * as ' ' ' ' ' ' ' b ' tion rice is $4 er ear. . i
’ as, a .4 :2- Siwt_ ii : . ““va sW rt dlsmISSeS additional mailing offices. Su scrlp p p y 1., i
‘3 ii 3 invest“ is. ‘5‘ ‘ COU Postmaster: Send change of address to The Kentucky Press, 7‘51
2*; is? j W :. libel lawsuit. 332 Capitol Avenue, Frankfort, Ky., 40601. i
s” rs i W ’ l i $5; a i _ t P t Off1c1al Publication of the Kentucky Press Assoc1at10n i
ZM’E-v my . ‘ ' ‘i. _ 3;»... . * , .- “*6 a x i
V H‘ «dawn-41.51,? o 13.1". 3 mark“ .:.-.- .o ‘ i . a :. M 3." agal n S OS . ‘7 i
2§’"°~"§\’””\WN .w.“r (5..» 9a j;._,,...= 2" -.»:v..v~-. n I, i .f: we:
is? N * i
:2; 1:413“ ‘1 ‘ " " "I wa‘at .. ' A l h u h d a Bo n I i
:fi'vq‘éjr?! / ,A 953%.», , . '1» ApfixangguVWWWsfiw ’ ppea s as p e 0 e 7
, CircutCourtiudge'sorderthat KENTUC 1m amass a
r“’*w.t"a‘,.e‘$= *éswfifla r‘ two people. _ _ . i
V . The appellate court an- 1988 Executive Committee District 13 . _. f
' Landmark Commumty Newspapers, Inc. nounced in a unanimous deci— Richard Anderkin M " i
celebrated its 20th anniversary in (siion that itegoxy LynélYancey itevedAustin Mt. Vernon Slgnal
- - - - _ oes not ave groun s to sue resi ent {
Shelbyvflle by mo-vmg mto Its new 2.1’000 for libel and invasion of pri- Henderson Gleaner District 14 i
square foot headquarters, located adlacent vacy, The court ruled that David Davenport E
' to the previous building on KY 55. Land- Boone County CirCUit Judge Larry Craig The Timesloumal ‘ 5'
- k h 1d 11 n h October 16-17 Sam Neace did not make an President Elect '
mar e a ope 01188 ' 317:“ When he dlsmlSSEd the Green River Republican District 15 r i
. . . 5““ last year. Mary Schurz 3:
Lite racy COm m l SS l on develops Yancey was Charged in the David Hawpe Danville Advocate Messenger ‘ i
_ slayings of Roy and Ruby Bick- Vice President s
exp I an atl O n Of am e n d m e n ts ers on March 28' 1985 at then‘ Courier Journal 8: Times State At-Large " i
home in Carrollton. He was f
» " , Because of the high illiteracy rate in Kentucky and want— 23:85:11 (Eglgigéob 13?; its: Celia McDonald Earl Burchfield . 3
‘ ing those Kentuckians to understand the constitutional amend- Yancey had confessed to kill— {rifsurgr H d N Mlddlesboro Daily News y. 1
ment on the Broad Form Deed question, the Kentucky Literacy ing the Bickers. a “9 ounty era] ews Jerry Lyles ;
Conuruspfim has dsvelofec'iualflmphfifeg explatntatipn. K t k Kevin Fitzgerald, a Carroll- Max Heath Benton Tribune Courier . § ‘
eamen men w1 eoneo wo pu e ore en uc y ton resident and a student at Past President t
voters November 8. The other amendment question, on Eastern Kentucky University, Landmark Community Newspa- Joel Ramon .;
Kentucky's lottery, may have a similar simplified versxon written was later convicted of two Pers Lexington Herald-Leader ;
prior to the election so the 400,000 functionally illiterates in the counts of manslaughter and ' _ , . ,l .‘ ‘ W.-
state can have the opportunity to understand the meaning of both 59108?le to 40 years in prison. J p 1988 Board of Directors, , . “Kgglfighglgggrcplgme gigm ?
aconstttptlonal mendmentspriontqgoingint'o the VOting 130031.... W; The KenmckXI’QStipubr '15" if " it 1 3 fibsoiélifééifiifiéifififimm’ ‘ W p
V “Tel iThe simplified lang11ag!n the Broad Form flood roaas: '115hed 31.1 arficle qUOtmg Fred 1 District 2 A The Wenz Neely Company > 1 _, '
‘ . H. Hamilton, an assoc1ate of Jed Dillin ham ‘
—.~ Will you vote yes or no? Yance aft h' t H 'd g _ . .. .
_ . ~ - - y er 15 ar res ' 95511 Dawson Springs Progress Kentucky Press Assocration/ 7 ,‘=
. The miners want to strip mine. th t Y .. .., _ .,
- - - - a ancey was a conartist Kentucky Press Serv1ce Staff‘ .
_ ' W Strip mines save the rmne owners money. and a "smooth talker." District 3 i
' The land owners say no. Yancey filed suit in 1986 . i
, _ . . ' Larry Hager, Ir. DaVid T. Thompson ;
- They say Strfp mines tear up the land. :EafinStP H: “£1391” T128 Ken— Owensboro Messenger—Inquirer Executive‘ Director 1;
They say strip nunes are not fair. I? 3% 05 , r1PPS owardr ' g
, The law says strip mines are all right. :1" dlcfiv g 31:5 13h:e;iesvgsp:pir; District 4 Lica McCain ' i
Should the law be Changed? had been ligelgi and l’usgpr: Mary Jane Smith V Members Services Coordinator “ i
j -/~~~ Should the land owners have the right to stop the strip vacy invaded because of Logan Leader/ News Democrat . ' .\ 1; '
mines on their land? Hamilton's comments. Bonnie Howard .
' ,Vote yes to change the law. The suit was thrown out in District 5 B‘OOl‘k‘ael’er ' i
Vote no to keep it the same. May 1987 by Judge Neace, ceha MCDonald . . ~ i
The Kentucky Literacy Commission is inviting newspa— saying that Hamilton's state- LaRue County Herald News Glom DEM? . D‘ , i
pers acrosss the state to reprint this simplified explanation so ments were his opinions, “Qt , _ KPS Advertismg Imam .5
those unable to com rehend the exact lan a e on the Broad facts. Neace ruled that Dlsmd 6 i
F D d _ p '11 h h t g: gt (1 h tth Hamilton's statements were V Dorothy Abernathy Cindy Pullen , ;
orm ee q‘fEStlon_W1 ave ac ance 0 un ers an W a ey protected by the First Amend— Oldham Era , Advertising Assistant/ Kentucky 3
— would be voting on in the election. ment. Press Editor 3
. District 7 _
‘ C ' d P u I I e n j o i n s K P S staff Kelley Warnick Division Officers
I n y Gallatin County News i
. - - - Advertisin Division 3
Cmdy Pullen has recently shi of Christian Athletes, Cindy 15 the danghter of Mr- . . g 5
joined the KPA/KPS staff as Varsity Club, pp; A Little Sis- and Mrs. Robert D. Pullen and at??? 8d . ks Err-y Broolkls ald Lead , V 3
Advertising Assistant and Edi- ters, and the Georgetown Stu- has been a lifetime resident of S“ “c on ”“3”“ er ' er ‘ g
I tor Of The Kentucky Press. dent Foundation. Frankfort. Maysvrlle Edger Independent . . . . . I A .Ci
Pullen is a 1988 graduate of . Cu'C‘flahon DIVISIOH 3
Georgetown College, where District 9 Coleman Love . _ I
she received a Bachelor of Arts I Ken Metz Elizabethtown News Enterprise i
degree, with a double major in Bath County News Outlook :
communications and political , courageous move. News Editorial Division ‘ ;
science. Continued from Page 1 The attorney general's staff District 10 Ed Staats .
' p While at Georgetown, records law are nothing new, Will take MT- Cowan's John Del Santo Associated Press, Louisville ’ ,
Cindy Spent a lot of her time but the people of this state strong statement as a proper Ashland Daily Independent . i ,
playing tenms for the Lady cannot a for to let any indi- reminder that its role is to pro- ' -:
Tigers. She earned the number vidual tinker with the funda- tect the public‘s interest by District 11 " 5’ »
one posrtion her senior year 1“ mental right of citizens to in- opening government from the Homer Mai-cum '*
.' both smgles and doubles. . . spect pubic documents." public scrutiny. The Open Martin Countian The Kentucky Press 3
‘7 At Georgetownfihe part1c1- The Kentucky Post, "Attor- Records Law is the closest 332 C 't 1 A , g
_ pated in many activmes, such ney General Fred ‘Cowan's de- thing we have to a guarantee DiStriCt 12 a1” 0 venue 5 i
: ' as, treasurer 0f Kappa Delta cision to overturn a legal opin— that our elected and appointed Louise Hatmaker Frankfort, Ky. 40601 ' i
x; , Sorority, Student Government ion written byananassistantis officials must answer to the Jackson Times (502) 223-8821 . g‘ i
, Athletic Committee, Fellow- to be applauded as a wise and public." . , : i
.> I - - V .. :ii'r
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Public Notice Ad ert' ' ' K t k
5 424.110 DEFINITIONS ' . '
_ As used in KRS 424.110 to 424.370: 424.130 TIMES AND PERIODS 0F PUBLICATION , j
p (1) "Publication area" means the city, county, district or other local area for . (1) Except as otherwise prov1ded m.K.RS 424']? to 424.370 and notvgith; , .t »
whichan advertisement is required by law to be made. An advertisement shall be “meme any PteVISIOIl 0f existing law providing for di ferent times orpegi: is 0 th
deemed to be for a particular city, county, district or other local area if it concerns an {3552:3233}? tri‘renes apd 393231: 13:21:?“an 0t advertisements require y aw
; . . . . . . . . in ws a w :
‘1‘ offiCial any“? of such Ctty’ county, dismd or other area or 0f any govermng body, (a) When an Pzidliyltoaertistement is of a com leted act such as an ordinance
board, commissmn, officer, agency or court thereof, or if the matter of which 1 , l . d 1 p ’ 'f' d th ’
‘5. > advertisement is made concerns particularly the people of such city, county, district reso ution,.reg.u ation, or 'er, ru e, report, statement, or certi icate an e purpose -
‘ or other area; 01: the publicatki‘oi; 13 not to inform the public 01: thenli‘embsrs of any glass pegsons that
3 2) .. A dvert'sement" means an tte . d b l . . t ey may or s a 0 an act or exerCISe a rig t Wit in a eSIgnate perio or upon
3 , ' ( 1 y ma r require y aw to be published or by a designated date, the advertisement shall be published one time only and .
t. 424.120 QUALIFICATIONS OF NEWSPAPERS within thilityi‘dlalys after;) completion of the act.f liliowevelraa failure to comply “2;: 31913 , to
g; p (1) Except as provided in Subsection (2) of this section, Whenever an adver- Palil‘agrap hs f a1 “Ct 5“ tea a person t9 agy ? t e penafties prov1ded by 1 h b P1
i _ tisement for a publication area is required by law to be published in a newspaper, “VET“: ?;t::ee;(1);:$ues or a perio O ten days a ter notice to comp y as een . p;
i; » the publication must be made in a newspaper that meets the'following require- g1 >21)??th an advertisement is for the purpose of informing the public or the f0
: - men s: - . _
if. (a) It must be published in the publication area. A newspaper shall be them? rs 0f any clas: 0f persons that or: or before a certqin daythety may or shalltfli‘le ca
; deemed tobepublished in the area ifit maintains its principal office in the area for a pe .tion f0 r excep otns or a $1.130“ rance or tproftlzs 011' t.) we 10113021132131 the to
g; the purpose of gathering news and soliciting advertisements and other general g‘rlanting 0 an applicbaeionglr l: dionl, or presenbor 1 ea; almi)? :udmi a l ’ e be
i _, . business of newspaper publications, and has a second-class mailing permit issued a vertisemeéitc: E pu 11; e .at east once, 1 “t niay e pu dis e two or rr;pre . . 1t5
c» 1: :\ for that office. A newspaper published outside of Kentucky shall not be eligible to times, prov1de tbatfone 1131“ ication occufrshnot esst an seven ays nor more t an
‘; ' carry advertisements for any county or publication area within the county, other twenty -one ays e ore t. e occurrenceo . .t e act or event. Pl
, . than for the city in which its main office is located, if there is a newspaper published (c) Excepting counties with a city of the first class, when an advertisement If
i V. m'the county that has a substantial general circulation throughout the county and is for the purpose of informing the public and the advertisement is of a sale of ' dc
3? , » that othermse meets the requirements 0t thts section; and, . _ . . property orisanotice of delinquent taxes, theadvertisementshallbepublished once , ' ar
' '. . tb) It must be 0t regular issue and have a bona fide “radiation In the a week for three (3) consecutive weeks. For counties containing a city of the first
i _ publication area.Anewspaper shall be deemed tobeof regular issueif itis published class, when an advertisement is for the purpose of informing the public and the co
regularly, as frequently as once a Week: for at [least fifty (50) weeks .during the advertisement is a notice of delinquent taxes, or notice of the sale of tax claims, " -
‘ calendar year as prescribed by 1t? mailing permit, and has been 50 published In the the advertisement shall be published once, preceded by a one—half (1 / 2) page '
' ’ ., area for the immediately. preceding two-year period. A newspaper meeting ah the notice of advertisement the preceding week. The provisions of this paragraph shall V -
l ' 7 criteria to be 0t regularissue, except publication 1“ the area for the immediately not be construed to require the- advertisement of notice of delinquent state taxes ' " A ar
, 7 ‘ ypfecedmgtWOV-year period, shall be deemed to be of regular issue if it is thevonly- which are Collectediby the State.‘ , a . , V ; , n; g 7, ~, 3‘ s 1‘5
\IWQPéEgmxthepubhcahon .3? ea; and has afPfitd-dflfiulafionequal-Lioz‘vatéleasbten-percent i q; ,. ., j ' ((1)3 Any tadver'tisementn Ot'éébfifi ngWithiH the 5501330 =f» paragraph (a) Sr v (b) ,..~ Hut-h
(10%) 9f the EOPUIahonbf the PUbhcatXOh area. A newspaper shall be deemed to be or (c) of this subsection, such as one for the purpose of informing the public or the $71.
xl . _ , of bona tide Circulation in the publication area if it is Circulated generally in the area, members of any class of persons of the holding of an election, or a public hearing or K]
t p and {namtamé a dehhlte price 01' conSideration not less than fifty percent (50%) 0t its of an examination, or of an opportunity for inspection, or of the due date of a tax or - ea
2 , Phbhsheft Pneer and ‘5 bald to" by not less than fifty percent (50%) Of those to whom special. assessment, shall be published at least once but may be published two or , t a;
i , dlStI'lbuhOn 15 made; anti, . . more times, provided that one publication occurs not less than seven days nor a.
(C) It must bearatitle or name, C0h515t 0t notless than four (4) pages Wlthont twenty-one days before the occurrence of the act or event or in the case of an I * m.
5 , a cover, and be of'a type to which the general public resorts for passing events of a inspection period, the inspection period commences. I v . v 30
i , political, religious, clqmmerCial and 50031 nature, and for current happenings, an- t (e) If the particular statute requiring that an advertisement be published ' -
the . nouncements, nusce aneous reading matter, advertisements and other notices. The provides that the day upon or by which, or the period within which, an act may or - '~
1, news content mustbeatleast twenty-five percent (25%) of the total column space in shall be done or a right exercised, or an event may or shall take place is to be . _
t '_ , . more than one-half (1 / 2) pf IFS lSSl-leS duringany twehi‘e-month period. hi h determined by computing time for the day of publication of an advertisement, the ' - I?)
3; - (d) Itr 1“ a publication area there ‘5 more t an one newspapfer w C advertisement shall be published at least once, promptly, in accordance with the ' , :n
h' t' new the above requirements, the newspaper havmg the largest bona lde paid statute, and the computation of time shall be from day of initial publication. > I 3 u
if: v Clrculatigln :5 Shown by thqaveragehnumqelr at P331 eogle‘i gt eS‘eh 15:11? as shown (2) This section is not intended to supersede or affect any statute providing ‘t ' hd
{ff ' in its pu is e statemento owners ip as i e on cto er or e pu ica ion area for notice of the f t that . . , » p in
L. " . I '_ shall be the newspaper where advertisements required by law to be published shall ac an adversary action m court has been commenced. . _' fo:
l . ‘ ,
: - be carried. - ' ve
tab . . . 424.140 CONTENTS OR FORM OF ADVERTISEMENTS .
' , (e) For the purposes 0f KRS Chapter 424' FUthhmg Shah be consrdered as (1) Any advertisement of a hearing, meeting or examination shall state the
the total recurring processes of producmg the newspaper, embracmg all of the time place and purpose of the same _
2‘ included contents of reading matter illustrations and advertising enumerated in ' (2) A . ' . , . ' ,
1. V . _ ' I _ r ny advertisement of an election shall state the time and purpose of the " - ‘ IS
1‘ ' paragraphs (fit) through (d) Of this subsechorgi'A newspaper 5.33% nothlge eSIUde: election, and if the election is upon a public question the advertisement shall state ‘ _ ‘
E from qualifying for the purposes of legal pu ications as prov1 e .in t. sc pteri the substance of the question. ’ 7 . \ a g
i- V _ . its- printing orreproduction processes take place outSIde the publication agleat.‘ _ . (3) Any advertisement for bids or of a sale shall describe what is to be sold, _ I . re<
' '~ (2)1f,in the case Of a publication area smaller than the county m w C h ‘5 the time and place of the sale or for the receipt of bids, and any special terms of the ’ ‘ ' tis
l._ 7 ’y located, there is no newspaper published in the area, the publication shall be made sale. ‘ .7. mi
2- f. ; inanewspaper published in the county thatis qualified under this section to publish * (4) Where an t . , , . . . _ . , , . , , h'
l . , : .. . _ , y s atute prov1des that, Within a specxfied riod of time after . t 1
> p. advertisements for the county. If, in any county there is no newspaper meeting the action by any governmental agency, unit or body, members of tEEpublic or anyone ' '
it - , requirements of this section for publishing advertisements for such county, _any ad- interested in or affected by such action shall or may act, and it is provided by statute ' . P“
t _ , Vettgeeht‘:nt5 teqtgtegatltl’ lb: Petgietf‘: for such county 3" tgifigflgggtczgg‘: :3: that notice of such governmental action be published, the advertisement shall state ' th’
. . WI , in e coun s pu is e in a newspape o the time and lace hen a d h . a i- , su'
L : , circulation in that county, published in and qualified to publish advertisements for p w n w ere action may be taken. ‘ wi
_ ,_ an adjoining county in Kentucky. This subsection is intended to supersede any 424.150 PERSON RESPONSIBLE FOR PUBLISHING ;. ; ,,
LIT-11...; ,- Estatutethat provides or contemplates thatnewspaper publication maybe dispensed When any statute providing for newspaper publication of an advertisement p ' ~: ._ .
37 " ‘ whh. if there 15 no newspaper printed or published or 0‘ general Circulation m the does not designate the person responsible for causing the publication tobemade, the t j ‘ C1
i {I g-particular publication area. . _ . . . responsible person shall be: - ‘7
t5 ' ‘ - .7 (3) If a publication area consists of a district, other than a City, which extends ‘ . ' . _ . , , sui
is} ' _ into more than one_(1) county, the part of the district in each county shall be (1) Where the advertisement ‘5 0f the hhng ofa petition 0" application. - $3 » in;
t . ' 7, considered to be a separate publication area for the purposes of this section, and an the person by whom the same 15 filed? . _ . ‘ f c01
lg; " ‘ advertiSementr for each such separate publication area shall be published in a p (2) Where the advertisement ‘5 Of an aChWtYPT action 0t: - L , me
at. newspaper qualified under this sectionto publish advertisements for such area. (a) An thlelduat PUth officer, the officer himself; _' _ , L , . , '31:]; p’ . exq
.. ;*;_ ' .. ' , : -- * . ' ' ' "W ' ' , ' i ’ ’ " :‘ " ' W ’ "' "'"" . i' "V " T i -f , "7 " L - '_ ,, :77"??? .fl..." ”if.iifii‘f’::;::::,,§._ .-;..-_l» 4
' . ,aiii. »
i . . Page _5 .» '
: I I l l I , _ r, ,5 . 3:;
PUbIIC Notice Adverttsmg In Kentucky t 1
(b) A city, the city clerk it there be one; if not the mayor; a broadcast studio within the county of origin of the legal notice, and that broadcast t J '
_ (c) A county, the county clerk; notices shall call attention solely to published or posted notices required by statute. t . , . '
f . . > . (d) A district, or a board, commission or agency of a city, county or district, (2) Each radio or television station broadcasting a legal notice or notice of t r » ‘7
, the chief administrative or executive officer or agent thereof; event shall for a period of three months subsequent to such broadcast retain at its . .
(e) A court, the clerk thereof; office a copy of the transcript of the text of the notices actually broadcast and such t Z
» (f) A state department or agency, the head thereof. shall be available for public inspection. t; .
; , ' (3) The radio or television station which broadcasts the legal notice author— i ,
t . _ ized by this section shall be entitled to receive payment of an amount equal to the if
i 424 160 RATES customary charges of such station for such service. 1 . 3:.»-
l (1) bor all n d _ ' _ d b l h . _ ' (4) The publication of legal notices under this shall be restriCted to legal t: . w
s . - . ewspaper a vertismg require _ y aw, t e buthhet ‘5 ehh tled notices relating to those official acts of public officers requiringa final determination 5 . '
. to recelve payment for each Insertion at a rate per linear inch, Single column, com- by order of any court of competent jurisdiction in the Commonwealth. t i , 1",
) puted as solid nine-point measure. The rate shall not exceed the lowest paid rate ' t ' 7
t _ paid by advertisers for comparable matter in the same publication. 424.210 OFFICIAL NEWSPAPERS ABOLISHED ' i t t
a (2) Whenever by law or by the nature Of the matter to be published a display No official newspaper shall be designated by any governmental unit for the l t.
— . form of advertisement 15 required, or whenever the person or officer responsible for publication of advertisement for such unit. - i5 ' '
e causing an advertisement to be published determines in his discretion that a display ' i f »
3 form is practicable or feasible, and so directs the newspaper, the advertisement shall l :5 . " f5 1
i be published in display form and the newspaper shall be entitled to receive therefor 424.220 FINANCIAL STATEMENTS i if I t _’._
; » . Its established display fete ' I . (1) Excepting officers of a city of the first class, a county containing such a l , fig
_ (3) Whenever 1t ‘5 prowded by statute that an advertlsement shall be city, a public agency of such a city or county, or a joint agency of such a city and ti » -
. PUthhed Of the hhhg Of a PehtiOh or application seeking official action, the filing, county, or of a school district of such a city or county, and excepting officers of a city «/ . . ~ it
' It required by other than a governmental official action 01” agency, shall hOt be of the second class or an urban-county government, every public officer of, any 5i ' _
, deemed complete unless there ‘5 deposited With the petition 0" application an school district, city, county, or subdivision, or district less thana county, whoseduty t . 7 .'
. - amount suffrarent to pay the wet Pt publication. itis to collect, receive, have thecustody, control ordisbursementof public funds, and it i ' ‘ . 5,:
' 1'» (4) The expense 0t advertisements 1“ judicial proceedings shall be taxed as every officer of any board or commission of the city, county or district whose duty 3 3 . I
. costs by the clerk 0f the court. is to collect, receive, have the custody, control or disbursement of funds collected $j. _ ‘1
> _ from the public in the form of rates, charges or assessments for services or benefits, l ;. L .a...’
. 424170 P300? 0F PUBLIFIATION shall at the expiration of each fiscal year prepare an itemized, sworn statement of the. it 3 ~
' _ (t) The atttdaVIt Of the Phthhet 0t proprieter Of a newspaper, stating that funds collected, received, held or disbursed by him during the fiscal year just closed, . it t . . 7
' ~ 5 ‘ an advertisement has been Phthhed in his newspaper and the times it W35 pub- unless he has compiled with KRS 424.230. The statement shall show in the aggregate ‘ I " 5 fl 7';
e: V” , lished,attached toacopy of the advertisement, constitutes prima facie evidence that by source, the amount of funds collected and received, and in the aggregate by i E
:_ _ 7 ”the ‘ ilcatbitws‘dnjamac its stated 1h the affidavit. _ 7 . 7 7 ,, _ , . .... g ._ j th amounts disbursed oremthaount of funds collected and received, from 3 ; ., 7 .
- ” e a 3‘“ 0 ,e Pr " " '30' _1 e 0" '- " '- 1' : I '- V" M ' " ' "at sources receive,:_ e'a oun ' is-u se', ‘ a e o 'a "’ ‘6 -‘ i” 'e " " . ' e
KRS424.150, stati | https://exploreuk.uky.edu/catalog/xt73tx35421b/text |
Stuart Davis (1892-1964)
Carrefour
Property from the Collection of Dr. Herbert Kayden and Dr. Gabrielle Reem
Stuart Davis (1892-1964)
Carrefour
Lot Essay
Carrefour
belongs to Stuart Davis’ seminal series of works painted in Paris in the late 1920s. It captures the dynamic effect the visual energy of the city and its architecture, and the vitality of its street life, had on the artist. In an interview with James Johnson Sweeney, Davis reminisced: "Having heard it rumored at one time or another that Paris was a good place to be, I lost no time in taking the hint. With one suitcase I hopped a boat and arrived in the center of art and culture in the middle of June…Everything about the place struck me as being just about right. I had the feeling that this was the best place in the world for an artist to live and work; and at the time it was…Paris was old fashioned, but modern as well. That was the wonderful part of it…There was so much of the past and the immediate present brought together on one plane that nothing seemed left to be desired. There was a timelessness about the place that was conducive to the kind of contemplation essential to art." (as quoted in
Stuart Davis
, New York, 1945, pp. 18-19) With the financial support of Juliana Force, director of the Whitney Studio Club, Davis spent a year and a half from 1928 to 1929 working in Paris, living in the studio of fellow artist Jan Matulka in Montparnasse. Morris Kantor, Isamu Noguchi and Alexander Calder all resided nearby and collectively formed an unofficial artists' community. Although Davis only spent a relatively brief time abroad, it proved tremendously influential on the artist as it marks the beginning of his fusion of European and American strands of modernism. By incorporating images of awnings, façades and street signs in his Parisian work, Davis’ developed a visual vocabulary of rhythm, planes and lines that informed the rest of his career.
In works such as
Carrefour
, Davis depicts both the modern and old-fashioned aspects of the French capital through a corresponding two-layer Synthetic Cubist style, in which bright planar color blocks are overlaid with detailed line work capturing the unique façades and signage of the Parisian buildings and creating a vigorous patchwork effect. Karen Wilkin explains, “Davis’s Paris pictures seem to exist in terms of two, not-quite-integrated spatial concepts: a relatively traditional urban landscape, and a superimposed abstract layer of extraordinary color, texture, and pattern, the whole bound uneasily together by a sharply defined, painted border. The abstract superstructure is a brilliant, flat—if interrupted—surface, independent of the illusionistic street scene. Drawn patterns emphasize the flat surface, but since they are derived from the richly specific linear elements of Davis’s sketchbooks, they also reinforce naturalistic illusion.” (“‘Becoming a Modern Artist’: The 1920s,”
Stuart Davis: American Painter
, New York, 1991, p. 54)
Carrefour
exemplifies Davis’ Paris works, condensing the liveliness of the city’s architectural landscape into a bright collage of forms and color. The worded signs upon the buildings, such as ‘
Boulangerie
’ and ‘
Biere
,’ foreshadow the bold, billboard-style letters featured in Davis’ later work. The artist also experiments here with areas of lightly-applied paint and airy hues, such as pale pink and powdery blue-green, typical of his French work; yet, he balances them with spots of thick brushwork, one extremely textural, impastoed white façade, blocks of stronger blue and yellow and even a patterned gray-and-white edge. Lewis Kachur, the curator of the Whitney Museum’s exhibition
Stuart Davis: An American in Paris
, wrote to the late owners of
Carrefour
, “I am most fascinated by its color system: primary hues or their derivatives in the border and the one black and white edge, versus only non-primary colors in the image…There is no doubt in my mind that this is one of the finest Paris paintings.” (unpublished letter, July 16, 1987)
In Davis’ “Self-Interview” of 1931, which he illustrated with the present work, he wrote that the one outstanding event in his artistic life was “My trip to Europe in 1928” (
Creative Art
, vol. 9, September 1931, p. 211), and the works from this series certainly represent an important moment of
carrefour
, or crossroads, in Davis’ career. Building on his groundbreaking experimentations in the Eggbeater series of 1927, the Paris pictures apply Davis’ innovative Cubism to a cityscape for the first time, creating the foundation for his famous New York scenes of the 1930s. As epitomized by
Carrefour
, “Rather than being literal transcriptions of postcard views, the Paris streetscapes prove to be inventive attempts to translate the urban fabric into a highly colored and personal version of Cubism.” (K. Wilkin, “’Becoming a Modern Artist’: The 1920s,” p. 54)
1 Oct
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| https://www.christies.com/lot/lot-5945996/?intObjectID=5945996 |
Are Violent Agitators Beyond the Arms of the Law? | Qrius
Highlighting the losses caused to the state exchequer due to agitations, the author opines that groups that support acts of violence must be penalised.
Are Violent Agitators Beyond the Arms of the Law?
Highlighting the losses caused to the state exchequer due to agitations, the author opines that laws must be enacted to penalise groups that support acts of violence.
[su_pullquote align=”right”] Political protests in India inevitably lead to buses and public facilities being torched, roads and rail tracks dug up and “mindless” violence perpetrated by some socially enraged group or the other.[/su_pullquote]
The breakdown of law and order in Haryana, reflected in the indiscriminate but deliberate destruction of public and private property by agitating Jats should trigger thinking about whether a reversion to British-era methods is necessary. Political protests in India inevitably lead to buses and public facilities being torched, roads and rail tracks being dug up and “mindless” violence perpetrated by some socially enraged group or the other. It is ironic that the wealthy kulak, land-owning classes in various states (like the middle caste Jats, Patidars in Gujarat, Kapus in Andhra, etc) are seeking quotas in government jobs, whereas job reservation originally was designed to right social inequities of long-standing in a caste-fragmented society. Except with the original injunction in the Constitution restricting quotas to only 10 years being indefinitely extended guaranteeing certain aggrieved sections employment in a time-wise open-ended fashion. With the job market bleak, and GOI unable to rev up the manufacturing sector, more people are looking to the state for work rather than trusting in private enterprise, individual talent and toil to make something of themselves.
This quelling of personal initiative is the insidious effect of rooting Nehruvian socialism in a milieu; the British had for the purpose of legitimizing their alien rule prepared the ground for — the cultivation of government as ‘mai-baap sarkar’. CR Rajagopalachari (Rajaji) and his small cohort of right-of-centre ideologues, who formed the Swatantra Party, had warned this would happen and advised Nehru in the Fifties to refrain from invariably plonking for statist solutions for all social and economic problems. Piloo Mody, Rajaji’s more effervescent colleague, in the Seventies pilloried Indira Gandhi for further extending the reach of the state.
[su_pullquote] Strikes and agitations are a threat to internal security because adversaries can sponsor and nurse agitations to keep the State and its agencies preoccupied and off-balance.[/su_pullquote]
The point about Nehru’s socialism is that it introduced the notion of strikes before there was a properly installed and functioning manufacturing sector, leave alone an organized labour movement. It gave rise to the labour aristocracy of the relatively few in the workforce, periodically holding the state to ransom. But the strikes were never peaceful: possibility of violence and destruction of public property was always imminent. It was but a short step before such organized sector shenanigans were emulated by socio-political empowerment movements seeking quotas, etc. The threat of hooliganism is accepted as par for the course for any agitation, and has now become part of the woof and weave of confrontational politics as mainstream politics and politicking. This trend is an internal security threat because adversaries can sponsor and nurse agitations to keep the State and its agencies preoccupied and off-balance.
Laws must be enacted to demand financial compensation for damage caused to public property due to acts of violence | Photo Courtesy: Visual Hunt
It is the sort of hooliganism, unique to South Asia, that needs to be put to an end to by appropriate punitive laws. Here the British-era measures recommend themselves. Often in riot-affected areas where the local people indulged in mindless destruction of public and private property; the colonial administration would extract financial compensation from the leaders of the agitation that went haywire by, for instance, expropriating their land and property and then auctioning these off, imposing special taxes, to finance restoration of law and order and as restitution for damage and destruction of public and private property. It is time laws were enacted to once again make this possible.
[su_pullquote] It is the sort of hooliganism, unique to South Asia, that needs to be put to an end to by appropriate punitive laws.[/su_pullquote]
Of course, this won’t happen because usually there is a political hand behind all such public acts of sustained violence. In Haryana, the previous chief minister, Hooda and his henchmen, are supposed to have prompted and overseen this agitation in order to embarrass and weaken the newly elected BJP govt. In any case, all political parties want to keep this option in reserve to call up when in opposition.
The Courts in Kerala had some years back charged the political party that had led an agitation which resulted in destruction of public amenities, and imposed financial cost on it. Not sure what happened to that case, or how things have since panned out in that state. But north India where violence is resorted to at the slightest provocation is deserving of more stringent laws that will not only punish agitators with heavy-handed police treatment but make leaders, social groups, such as caste panchayats, political parties, and movements responsible for any violent and destructive actions.
Imposing costs on big social groups will have a salutary effect that no amount of pleading for peaceful protest can.
Thearticlewas originally published on Bharat Karnad’s Blog
Featured Image Source:Unsplash
| https://qrius.com/26215-2/amp/ |
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| https://lasp.colorado.edu/maven/sdc/public/data/sites/site-20220608T182940/anc/eng/usm5/sci_anc_usm519_105_107.drf |
Socrates: The New SQL Server in the Cloud | Request PDF
Request PDF | Socrates: The New SQL Server in the Cloud | The database-as-a-service paradigm in the cloud (DBaaS) is becoming increasingly popular. Organizations adopt this paradigm because they expect... | Find, read and cite all the research you need on ResearchGate
Conference Paper
Socrates: The New SQL Server in the Cloud
June 2019
DOI: 10.1145/3299869.3314047
Conference: the 2019 International Conference
Authors:
Microsoft
Abstract
The database-as-a-service paradigm in the cloud (DBaaS) is becoming increasingly popular. Organizations adopt this paradigm because they expect higher security, higher availability, and lower and more flexible cost with high performance. It has become clear, however, that these expectations cannot be met in the cloud with the traditional, monolithic database architecture. This paper presents a novel DBaaS architecture, called Socrates. Socrates has been implemented in Microsoft SQL Server and is available in Azure as SQL DB Hyperscale. This paper describes the key ideas and features of Socrates, and it compares the performance of Socrates with the previous SQL DB offering in Azure.
[2]
, GCP and Alibaba [9] provide relational database as a services (DBaaS). There are three typical architectures for cloud databases: monolithic machine (Figure 1), virtual machine with remote disk (Figure 2(a)), and shared storage (Figure 2(b)), and the last two can be referred as separation of compute and storage. ...
... The auto-scaling capacity of existing serverless databases have limitations, due to the underlying shared storage architecture
[2,
43]. Their CPU and memory resources are tightly coupled, which must be scaled up and down simultaneously at the granularity of resource unit. ...
... It treats redo log records as a series of incremental page modifications, generates the latest version of pages by applying redo logs continuously to the pages on the storage nodes. Socrates
[2]
further evolved on this basis, separating log from storage. Logs are first persisted to the XLOG service, and then asynchronously sent to a group of page servers. ...
... 2) Elasticity. Cloud-native relational databases from major cloud vendors all use the separation of computation and storage architecture [14],
[25]
, [20], [26], which renders a significant advantage of elasticity, i.e., add RO (Read-Only) nodes to scale read throughput in minutes. Furthermore, Alibaba's PolarDB supports multi-tenancy (PolarDB-MT), where each tenant represents a collection of schemas/databases or tables. ...
... Cloud-native databases like Aurora [14], Socrates
[25]
... Concurrency Control in Distributed Shared-Storage Databases (DSS-DB). DSS-DBs, e.g., Aurora [60], PolarDB [16], Socrates
[11]
, and Taurus [23] do not support concurrent transactions among multiple compute nodes in order to avoid conflicts. Instead, only the primary node can support writes (aka single-writer) while all the other nodes are replicas for read-only transactions. ...
... Distributed Shared-Storage Databases (DSS-DB). DSM-DB has the potential to address several issues that are found challenging in DSS-DBs, e.g., Aurora [60], Socrates
[11]
, PolarDB [16], and Taurus [23]. (1) DSM-DB can address the multi-master issue -a challenging issue in DSS-DBs -by leveraging fast RDMA and the DSM layer to quickly synchronize the states between compute nodes. ...
... It also facilitates network traffic reductions by moving DBMS features as the log applicator to the storage stage [3] . According to the researcher
[6]
, a database in the Cloud is a mixture of various site collections (known as nodes). Each site collection is connected collectively in its database via a communications network. ...
... Organizations adopt this paradigm to achieve higher security, higher availability, and lower and more flexible costs while maintaining high performance. However, it has become evident that traditional, monolithic database architecture cannot meet these objectives in the Cloud
[6]
. Governments, institutions, and businesses most commonly use DaaS to make data (expenses, budgets, economic or census data) accessible to public or private users over the Internet. ...
A Survey of Comparison Different Cloud Database Performance: SQL and NoSQL
The scales in databases have recently increased, and more expansion is expected in the future. The storage costs gradually have slowed down and quickly expanded the storage capacity. Cloud intrusion has modified the comparisons in recent years. Database performance plays an essential part in the market. Cloud Database focuses on new, conventional databases, specific applications for scalability, dynamic devices, and ease of use. Cloud databases are primarily used for data storage, retrieval, modification, and analysis by tools like business intelligence. These tools can build new business strategies and demonstrate scalability and elasticity while managing vast amounts of data with reliable, customized, and cost-effective services in various applications. This paper provides an overview of cloud computing, Cloud database architecture and kinds, and database as a service. It also highlights the characteristics, deployment, and service model of cloud computing and the performance and functionality of the various SQL and NoSQL cloud database applications and services required to evaluate them. It focuses on the different parameters to assess their performance, such as ease of software portability, transaction capabilities, and the maximum amount of data stored. The primary purpose of this paper is to assist businesses and individuals in understanding how cloud computing may provide them with dependable, personalized, and cost-effective services in many applications.
... This resultant subgraph can be further joined with the results of other triple patterns to return the final resultset. In practice, there are three major types of join queries: (i) subject-subject joins (aka, star-like), (ii) subjectobject joins (aka, chain-like or path), and (iii) tree-like (i.e., a
3
The content of a KG usually represents a large set of triples of the form <subject predicate object> creating a graph [11] 4 Queries are formulated in the form of SPARQL which is recommended by W3C as a standard to allow users to write queries against datasets with a graph-like structure. In this paper, we assume that the reader is familiar with the basic concepts of querying KG, e.g., the SELECT clauses. ...
... In this paper, we have addressed some of the critical performance challenges associated with current DMSs in the context of KGs by proposing an architecture that can achieve polygloty for KG query processing supported by a unified access management layer. This approach potentially can be extendable to the non-monolithic conception of database processing in which the different components such as file systems, index structures compression, query processing engines, concurrency, consistency modules, etc. are made available in the cloud and communicate through highperformance networks
[3,
24]. Further steps will also include efforts to minimize the amount of data replications without negatively affecting the robustness and performance. ...
SymphonyDB: A Polyglot Model for Knowledge Graph Query Processing
... In these systems, query updates are often under 2kB (e.g., a search result). Other examples are distributed databases that rely on kB-scale pages and distributed consensus with even smaller updates [37,[44][45]
[46]
. Sharing data at such fine granularity, means that the communication delay in typical datacenter networks dominates the wait time for updates and slows down these important use cases [38,40]. ...
An Introduction to the Compute Express Link (CXL) Interconnect
The Compute Express Link (CXL) is an open industry-standard interconnect between processors and devices such as accelerators, memory buffers, smart network interfaces, persistent memory, and solid-state drives. CXL offers coherency and memory semantics with bandwidth that scales with PCIe bandwidth while achieving significantly lower latency than PCIe. All major CPU vendors, device vendors, and datacenter operators have adopted CXL as a common standard. This enables an inter-operable ecosystem that supports key computing use cases including highly efficient accelerators, server memory bandwidth and capacity expansion, multi-server resource pooling and sharing, and efficient peer-to-peer communication. This survey provides an introduction to CXL covering the standards CXL 1.0, CXL 2.0, and CXL 3.0. We further survey CXL implementations, discuss CXL's impact on the datacenter landscape, and future directions.
... However, as more shards are added, the all-to-all communication within a copy of the database will become a bottleneck, halting scalability. Eris [37], Calvin [54], vCorfu [56], Tango [4], and other distributed databases
[2,
42,49,51,59,60] provide a higherlevel abstraction than MASON. It is harder for services to build efficient, specialized implementations over the distributed database abstraction compared to the multi-sequence abstraction. ...
[Solution] Mason: Scalable, Contiguous Sequencing for Building Consistent Services
... With all forms of evolution, some inherited aspects become awkward over time, for example, the early use of fixed-size fields and limited precision primitive types persists in database storage, limiting backwards compatibility of newer product versions and affecting durability and portability
[7]
. Some research projects including PyrrhoDB have chosen instead to use new globalized primitive types to avoid dependency on machine architecture and locale [8]. ...
Database Technology Evolution
This paper reviews suggestions for changes to database technology coming from the work of many researchers, particularly those working with evolving big data. We discuss new approaches to remote data access and standards that better provide for durability and auditability in settings including business and scientific computing. We propose ways in which the language standards could evolve, with proof-of-concept implementations on Github.
... With all forms of evolution, some inherited aspects become awkward over time, for example, the early use of fixed-size fields and limited precision primitive types persists in database storage, limiting backwards compatibility of newer product versions and affecting durability and portability
[7]
. Some research projects including PyrrhoDB have chosen instead to use new globalized primitive types to avoid dependency on machine architecture and locale [8]. ...
Database technology evolution
This paper reviews suggestions for changes to database technology coming from the work of many researchers, particularly those working with evolving big data. We discuss new approaches to remote data access and standards that better provide for durability and auditability in settings including business and scientific computing. We propose ways in which the language standards could evolve, with proof-of-concept implementations on Github.
... An increasing number of enterprises are migrating their data to cloud-native databases. Major cloud vendors are providing DBaaS such as AWS Aurora [33] and Azure SQL DB
[12]
. They implement compatible editions of spatial RDBMS to manage spatial data. ...
Ganos: a multidimensional, dynamic, and scene-oriented cloud-native spatial database engine
Recently, the trend of developing digital twins for smart cities has driven a need for managing large-scale multidimensional, dynamic, and scene-oriented spatial data. Due to larger data scale and more complex data structure, queries over such data are more complicated and expensive than those on traditional spatial data, which poses challenges to the system efficiency and deployment costs. The existing spatial databases have limited support in both data types and operations. Therefore, a new-generation spatial database with excellent performance and effective deployment costs is needed.
This paper presents Ganos, a cloud-native spatial database engine of PolarDB for PostgreSQL that is developed by Alibaba Cloud, to efficiently manage multidimensional, dynamic, and scene-oriented spatial data. Ganos models 3D space and spatio-temporal dynamics as first-class citizens. Also, it natively supports spatial/spatio-temporal data types such as 3DMesh, Trajectory, Raster, PointCloud, etc. Besides, it implements a novel extended-storage mechanism that utilizes cloud-native object storage to reduce storage costs and enable uniform operations on the data in different storages. To facilitate processing "big" queries, Ganos extends PolarDB and provides spatial-oriented multi-level parallelism under the architecture of decoupling compute from storage in cloud-native databases, which achieves elasticity and excellent query performance. We demonstrate Ganos in real-life case studies. The performance of Ganos is evaluated using real datasets, and promising results are obtained. Finally, based on the extensive deployment and application of Ganos, the lessons learned from our customers and the expectations of modern cloud applications for new spatial database features are discussed.
View
Show abstract
... Today's cloud DBMSs already leverage storage disaggregation [1,8,
55]
, which decouples processing and data so they can scale independently; however, workers in these systems are still constrained by their local memory-a limitation that memory disaggregation addresses. ...
Hyperscale Data Processing With Network-Centric Designs
Today’s largest data processing workloads are hosted in cloud data centers. Due to unprecedented data growth and the end of Moore’s Law, these workloads have ballooned to the hyperscale level, encompassing billions to trillions of data items and hundreds to thousands of machines per query. Enabling and expanding with these workloads are highly scalable data center networks that connect up to hundreds of thousands of networked servers. These massive scales fundamentally challenge the designs of both data processing systems and data center networks, and the classic layered designs are no longer sustainable. Rather than optimize these massive layers in silos, we build systems across them with principled network-centric designs. In current networks, we redesign data processing systems with network-awareness to minimize the cost of moving data in the network. In future networks, we propose new interfaces and services that the cloud infrastructure offers to applications and codesign data processing systems to achieve optimal query processing performance. To transform the network to future designs, we facilitate network innovation at scale. This dissertation presents a line of systems work that covers all three directions. It first discusses GraphRex, a network-aware system that combines classic database and systems techniques to push the performance of massive graph queries in current data centers. It then introduces data processing in disaggregated data centers, a promising new cloud proposal. It details TELEPORT, a compute pushdown feature that eliminates data processing performance bottlenecks in disaggregated data centers, and Redy, which provides high-performance caches using remote disaggregated memory. Finally, it presents MimicNet, a fine-grained simulation framework that evaluates network proposals at datacenter scale with machine learning approximation. These systems demonstrate that our ideas in network-centric designs achieve orders of magnitude higher efficiency compared to the state of the art at hyperscale.
... In this paper, we have addressed some of the critical performance challenges associated with current DMSs in the context of KGs by proposing an architecture that can achieve polygloty for KG query processing supported by a unified access management layer. This approach potentially can be extendable to the non-monolithic conception of database processing in which the different components such as file systems, index structures compression, query processing engines, concurrency, consistency modules, etc. are made available in the cloud and communicate through highperformance networks
[3,
28]. Further steps will also include efforts to minimize the amount of data replications without negatively affecting the robustness and performance. ...
SymphonyDB: A Polyglot Model for Knowledge Graph Query Processing
Unlocking the full potential of Knowledge Graphs (KGs) to enable or enhance various semantic and other applications requires Data Management Systems (DMSs) to efficiently store and process the content of KGs. However, the increases in the size and variety of KG datasets as well as the growing diversity of KG queries pose efficiency challenges for the current generation of DMSs to the extent that the performance of representative DMSs tends to vary significantly across diverse query types and no single platform dominates performance. We present our extensible prototype, SymphonyDB, as an approach to addressing this problem based on a polyglot model of query processing as part of a multi-database system supported by a unified access layer that can analyze/translate individual queries just-in-time and match each to the likely best-performing DMS among Virtuoso, Blazegraph, RDF-3X, and MongoDB as representative DMSs that are included in our prototype at this time. The results of our experiments with the prototype over well-known KG benchmark datasets and queries point to the efficiency and consistency of its performance across different query types and datasets.
... However, the architecture of CNDBs is different from traditional distributed databases. CNDBs are designed to take advantage of cloud 11:39 infrastructure [4]
[5]
[6]. And CNDBs' performance dramatically relies on the cloud resource management strategies compared with traditional databases, while the database maturity model without the resource perspective fails to assess the CNDBs' performance. ...
A maturity model for AI-empowered cloud-native databases: from the perspective of resource management
Cloud-native database systems have started to gain broad support and popularity due to more and more applications and systems moving to the cloud. Various cloud-native databases have been emerging in recent years, but their developments are still in the primary stage. At this stage, database developers are generally confused about improving the performance of the database by applying AI technologies. The maturity model can help database developers formulate the measures and clarify the improvement path during development. However, the current maturity models are unsuitable for cloud-native databases since their architecture and resource management differ from traditional databases. Hence, we propose a maturity model for AI-empowered cloud-native databases from the perspective of resource management. We employ a systematic literature review and expert interviews to conduct the maturity model. Also, we develop an assessment tool based on the maturity model to help developers assess cloud-native databases. And we provide an assessment case to prove our maturity model. The assessment case results show that the database’s development direction conforms to the maturity model. It proves the effectiveness of the maturity model.
Disaggregated Database Systems
Cornus: atomic commit for a cloud DBMS with storage disaggregation
Two-phase commit (2PC) is widely used in distributed databases to ensure atomicity of distributed transactions. Conventional 2PC was originally designed for the shared-nothing architecture and has two limitations: long latency due to two eager log writes on the critical path, and blocking of progress when a coordinator fails.
Modern cloud-native databases are moving to a storage disaggregation architecture where storage is a shared highly-available service. Our key observation is that disaggregated storage enables protocol innovations that can address both the long-latency and blocking problems. We develop Cornus, an optimized 2PC protocol to achieve this goal. The only extra functionality Cornus requires is an atomic compare-and-swap capability in the storage layer, which many existing storage services already support. We present Cornus in detail and show how it addresses the two limitations. We also deploy it on real storage services including Azure Blob Storage and Redis. Empirical evaluations show that Cornus can achieve up to 1.9X latency reduction over conventional 2PC.
C5: cloned concurrency control that always keeps up
Asynchronously replicated primary-backup databases are commonly deployed to improve availability and offload read-only transactions. To both apply replicated writes from the primary and serve read-only transactions, the backups implement a cloned concurrency control protocol. The protocol ensures read-only transactions always return a snapshot of state that previously existed on the primary. This compels the backup to exactly copy the commit order resulting from the primary's concurrency control. Existing cloned concurrency control protocols guarantee this by limiting the backup's parallelism. As a result, the primary's concurrency control executes some workloads with more parallelism than these protocols. In this paper, we prove that this parallelism gap leads to unbounded replication lag, where writes can take arbitrarily long to replicate to the backup and which has led to catastrophic failures in production systems. We then design C5, the first cloned concurrency protocol to provide bounded replication lag. We implement two versions of C5: Our evaluation in MyRocks, a widely deployed database, demonstrates C5 provides bounded replication lag. Our evaluation in Cicada, a recent in-memory database, demonstrates C5 keeps up with even the fastest of primaries.
The case for distributed shared-memory databases with RDMA-enabled memory disaggregation
Memory disaggregation (MD) allows for scalable and elastic data center design by separating compute (CPU) from memory. With MD, compute and memory are no longer coupled into the same server box. Instead, they are connected to each other via ultra-fast networking such as RDMA. MD can bring many advantages, e.g., higher memory utilization, better independent scaling (of compute and memory), and lower cost of ownership. This paper makes the case that MD can fuel the next wave of innovation on database systems. We observe that MD revives the great debate of "shared what" in the database community. We envision that distributed shared-memory databases (DSM-DB, for short) - that have not received much attention before - can be promising in the future with MD. We present a list of challenges and opportunities that can inspire next steps in system design making the case for DSM-DB.
Operon: an encrypted database for ownership-preserving data management
The past decade has witnessed the rapid development of cloud computing and data-centric applications. While these innovations offer numerous attractive features for data processing, they also bring in new issues about the loss of data ownership. Though some encrypted databases have emerged recently, they can not fully address these concerns for the data owner. In this paper, we propose an ownership-preserving database (OPDB), a new paradigm that characterizes different roles' responsibilities from nowadays applications and preserves data ownership throughout the entire application. We build Operon to follow the OPDB paradigm, which utilizes the trusted execution environment (TEE) and introduces a behavior control list (BCL). Different from access controls that merely handle accessibility permissions, BCL further makes data operation behaviors under control. Besides, we make Operon practical for real-world applications, by extending database capabilities towards flexibility, functionality and ease of use. Operon is the first database framework with which the data owner exclusively controls its data across different roles' subsystems. We have successfully integrated Operon with different TEEs, i.e. , Intel SGX and an FPGA-based implementation, and various database services on Alibaba Cloud, i.e. , PolarDB and RDS PostgreSQL. The evaluation shows that Operon achieves 71% - 97% of the performance of plaintext databases under the TPC-C benchmark while preserving the data ownership.
CloudJump: optimizing cloud databases for cloud storages
There has been an increasing interest in building cloud-native databases that decouple computation and storage for elasticity. A cloud-native database often adopts a cloud storage underneath its storage engine, leveraging another layer of virtualization and providing a high-performance and elastic storage service without exposing complex storage details. It helps reduce the maintenance cost and expedite development cycles for the database kernels. We have observed that there are significant differences between the local and the cloud storage that invalid many designs inside existing databases when they are ported to the cloud storage. In this paper, we analyze the challenges and opportunities of both B-tree and LSM-tree-based storage engines when they are deployed on a cloud storage. We propose an optimization framework that guides database developers to transform on-premise databases into their cloud-native counterparts. We use a B+-tree-based InnoDB as a demonstration vehicle where we have implemented a suite of optimizations using the proposed framework and extend such efforts to the LSM-tree-based RocksDB. On both engines, our evaluations show significant performance improvements on the cloud storage.
The advent of big data technologies has changed the way many companies manage their data. Several companies moved their data to the cloud using the concept of database‐as‐a‐service (DBaaS). Moving databases to the cloud presents several challenges related to flexible and scalable management of data. Although some of these companies migrated to NoSQL databases, most still rely on relational databases in the cloud to manage data, especially data that is critical to the decision making process. Online analytical processing (OLAP) queries take a long time to be processed, thus demanding high‐performance capabilities from their associated database systems to get results in a feasible time. In this article, we propose a middleware solution that can be deployed in any cloud provider, named C‐ParGRES, which explores database replication and interquery and intraquery parallelism to efficiently support OLAP queries in the cloud. C‐ParGRES is an extension of ParGRES, an open‐source database cluster middleware for high‐performance OLAP query processing in clusters. C‐ParGRES exploits cloud capabilities such as on‐demand resource provisioning and elasticity. In addition, C‐ParGRES can create multiple and independent virtual clusters for different database and users. We evaluate C‐ParGRES with two real‐world OLAP applications, both from the Brazilian Institute of Geography and Statistics. Results show that C‐ParGRES is a cost‐effective solution for OLAP query processing in the cloud.
PNUTS to Sherpa: lessons from Yahoo!'s cloud database
In this paper, we look back at the evolution of Yahoo!'s geo-replicated cloud data store from a research project called PNUTS to a globally deployed production system called Sherpa, share some of the lessons learned along the way, and finally, compare PNUTS with current operational cloud stores.
| https://www.researchgate.net/publication/333863868_Socrates_The_New_SQL_Server_in_the_Cloud |
Therapies for COVID-19 Treatment | Encyclopedia MDPI
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Therapies for COVID-19 Treatment
This entry is adapted from 10.3390/microorganisms8081097
0
The virus SARS-CoV-2, the etiological agent of COVID-19, is responsible for more than 400,000 deaths worldwide as of June 10, 2020. As a result of its recent appearance (December 2019), an efficacious treatment is not yet available. Although considered a lung infection since its emergence, COVID-19 is now causing multiple organ failure, requiring a continuous adjustment in the procedures. In this review, we summarized the current literature surrounding unproven therapies for COVID-19. Analyses of the clinical trials were grouped as chemo-, sero-, anticoagulant, and the use of human recombinant soluble ACE2 therapies. We conclude that while no agent has hit the threshold for quality of evidence to demonstrate efficacy and safety, preliminary data show potential benefits. Moreover, there is a possibility for harm with these unproven therapies, and the decision to treat should be based on a comprehensive risk-benefit analysis.
COVID-19 SARS-CoV-2 SARS-CoV MERS therapies antivirals clinical trials
Information
Table of Contents
1. Antiviral Therapies
2. Other therapies
1. Antiviral Therapies
1.1. Lopinavir/Ritonivir
Lopinavir is used as a retroviral therapy to exert an anti-HIV effect through HIV-1 viral protease inhibition, whereas ritonavir boosts the effects of lopinavir [ 1 ]. In the context of coronaviruses, the 3CL protease has been a target of interest due to its function in liberating individual proteins from the unprocessed polyprotein. Lopinavir is known to cause gastrointestinal discomfort, serum lipid elevations, and has many drug–drug interactions that may result in hepatotoxicity, hemophilia, metabolic derangement, and heart block [ 2 ] [ 3 ] [ 4 ]. Adverse effects of ritonavir include paresthesia, hepatitis, diarrhea, and nausea. The combination has been used for the treatment of MERS through its activity on the 3CL protease in SARS-CoV, but no high-quality data on its efficacy have been published [ 5 ]. The following studies have been published (Table 1).
Table 1.Description of the studies using different types of therapeutic agents.
Therapeutic Agent Methodology Key Findings Reference Chemotherapy Hydroxychloroquine +/− Azithromycin n = 64 Study: double blind randomized control trial Treatment: HCQ 400 mg/day × 5 days Improved total time to recovery, resolution of fever, cough remission, and pneumonia severity [ 6 ] n = 36 Study: preliminary trial Treatment: HCQ 200 mg TID for 10 days Showed large reduction in viral carriage following treatment with HCQ and HCQ + Az [ 7 ] n = 80 Study: single hospital in-patients, non-randomized, no control, no blinding Treatment: HCQ 200 mg TID for 10 days Az 500 mg OD (Day 1), 250 mg OD (Days 2–5) 93% patients negative viral RNA PCR by day 8. 97.5% negative viral cultures by Day 5. 81% of patients had mild disease; initiation to discharged mean 4.1 days [ 8 ] n = 11 Numerous comorbidities Treatment: HCQ 600 mg/day for 10 days, Az 500 mg OD (Day 1), 250 mg OD (Days 2–5) 5–6 days post treatment, 8/10 nasal swabs positive. One patient death, two transferred to ICU. Discontinuation due to QTc prolongation in 1 patient [ 9 ] n = 84 Consecutive admissions, retrospective trial 11% of patients developed a QTc >500 (high risk for arrhythmia). 30% demonstrated a QTc increase > 40 ms [ 10 ] Antivirals Lopinavir/Ritonavir (LPV/R) n = 199 Study: open label randomized control trial LPV: 400 mg/day R: 100 mg/day × 14 days No significant improvement in mortality or viral load. No benefit compared to standard care [ 11 ] n = 120 Study: Retrospective trial of admitted patients in Wuhan LP: 400 mg/day R: 100 mg/day Lack of treatment with LPV/R is associated with an increase in duration of viral shedding vs. control. Old age is associated with an increase. Benefits of LPV/R present when treated <10 days after symptom onset [ 12 ] +Abridol n = 44 Study: exploratory randomized control trial LPV: 400 mg/day R: 100 mg/day Arbidol: 600 mg/day × 7–14 days No significant difference in time to viral conversion from positive to negative. 24% of LPV/R group experienced adverse effects [ 13 ] Remdesivir Study: Investigation of in vitro activity of chloroquine and remdesivir Remdesivir: 1.76 µmol/L for EC90 in nonhuman primates Chloroquine: 6.09 µmol/L for EC90 in non-human primates [ 14 ] n = 18 Study: Rhesus macaques drug vehicle control, prophylactic vs. therapeutic. Inoculated with MERS-CoV When given prophylactically, prevents infection. When given therapeutically, leads to clinical improvement. Decreased number and severity of lung lesions, reduced viral replication in the lungs [ 15 ] Single case study Patient showed improvement within a day of remdesivir treatment. Oropharyngeal swab converted to negative, nasopharyngeal remained positive [ 16 ] n = 12 Study: 3/12 patients received remdesivir under compassionate use. Treatment: 200 mg IV first day, then 100 mg IV once daily Mild GI symptoms, transient aminotransferase elevations. One episode of bloody stool [ 17 ] Clinical trial in progressPhase 3 n = 1063 Study: multi-center randomized control trial Improved time to recovery (11 vs. 15 days, p < 0.001), mortality (8% vs. 11.6, p = 0.059). Modest effect size [ 18 ] Oseltamivir/Amantadine In vitro investigation of the anti-SARS-CoV activity of numerous approved drugs No inhibition of SARS-CoV-2 cytopathic effect with use of oseltamivir or amantadine in vitro [ 19 ] Colchicine Clinical trial in progressPhase 3 n = 6000 Study: Multi center, double blinded randomized control trial N/A [ 20 ] Glucocorticoids n = 46 Study: retrospective review, methylprednisolone 1–2 mg/kg/day 5–7 days Improvement in time to resolution of fever, duration of supplemental oxygen use, and CT absorption degree of focus [ 21 ] Review of literature surrounding corticosteroid use during SARS and MERS Corticosteroids use for SARS and MERS showed no benefit, but harming in some cases [ 22 ] Recovery Trial n = 2104 (dexamethasone) Study: open-label randomized controlled trial In patients with mechanical ventilation, dexamethasone reduced mortality by 1/3, and by 1/5 in those receiving oxygen alone. No survival benefit for those not requiring respiratory support [ 23 ] Convalescent plasma n = 10 severely ill patients Treatment: 200 mL IV In all 10 patients, fever, cough, shortness of breath, and chest pain disappeared or largely improved within 1–3 days of therapy initiation [ 24 ] In vitro study determining the activity of convalescent plasma from a recovered SARS-1 patient against SARS-CoV-2 Demonstrates conserved epitope in SARS-1 and SARS CoV-2. Viral inhibition of SARS-CoV-2 with specific biochemical configuration [ 25 ] Study: Randomized control trial Trial halted early due to 53/66 patients having anti SARS-CoV-2 antibodies at baseline. No difference in mortality, severity, or duration of hospital stay was observed over 15 days [ 26 ] Anticoagulants Heparin In vitro study exploring pathophysiology of SARS-CoV-2 infection. Human blood vessel and kidney cell organoids Demonstrates ability for SARS-CoV-2 to infect blood vessel and kidney organoids [ 27 ] n = 449 Study: stratification based on risk level for coagulopathy. n = 94 enoxaparin 40–60 mg/day, n = 5 unfractionated heparin 10,000 U/day Demonstrates benefit for those with sepsis induced coagulopathy scores ≥4 or D-dimer >6 × ULN [ 28 ] Recombinant Human Soluble Angiotensin Converting Enzyme 2 (rhsACE2) In vitro study exploring pathophysiology of SARS-CoV-2 infection. Human blood vessel and kidney cell organoids Rates of infection of blood vessel and kidney organoids were reduced compared to controls in the presence of recombinant human serum ACE2 [ 27 ] Biological Treatment-Tocilizumab TOCIVID-19 n = 301 Study: a multicenter, single arm trial Hypothesis driven – null = 20 and 35% lethality rate at 14 and 30 days Tocilizumab reduced lethality rate at the 30-day interval (22.4%), rejected null hypothesis (35%). p ≤ 0.001. Null hypothesis not rejected for 14-day interval. Suggest use of tocilizumab awaiting phase 3 trials [ 29 ] n = 154 Study: single center observational cohort study 45% reduction in hazard of death in those who received tocilizumab vs. untreated. Increased risk of superinfection with tocilizumab (54% vs. 26%), but no difference in case fatality due to superinfection [ 30 ] n = 3098 Study: retrospective analysis of health records. COVID-19 hospitalizations with cytokine storm over a month and a half period The use of corticosteroids alone, or in conjunction with tocilizumab improved hospital survival compared to standard care (no immunomodulatory medication) alone [ 31 ]
HCQ, hydroxychloroquine; Az, azithromycin; QTc, corrected QT interval; LPV, lopinavir; R, ritonavir; ULN, upper limit of normal.
1.1.1. A Trial of Lopinavir–Ritonavir in Adults Hospitalized with Severe COVID-19
This randomized control trial [ 32 ]of 199 patients explored the efficacy of lopinavir–ritonavir in hospitalized COVID-19 patients with relatively mild respiratory illness. The authors demonstrated that there is no significant improvement in time to clinical improvement or mortality compared to patients who received standard care. There was also no significant difference in detectable viral RNA between the groups. Adverse effects were noted in the lopinavir–ritonavir group (13.8% stopped early), although serious adverse events were frequent in the standard care group. The authors concluded that there was no benefit to the use of lopinavir/ritonavir beyond standard care. While this is one of the more extensive studies of COVID-19 therapies, the sample size is not ideal. Further, little or no information was given on patient comorbidities.
1.1.2. An Exploratory Randomized, Controlled Study on the Efficacy and Safety of Lopinavir/Ritonavir or Arbidol Treating Adult Patients Hospitalized with Mild/Moderate COVID-19 (ELACOI)
This exploratory randomized control trial included 44 patients (21 lopinavir/ritonavir, 16 arbidol, and 7 neither). Similar baseline characteristics were observed in patients. There was no statistical difference found in time for positive to negative conversion of the viral RNA test between treatment groups. Five (23.8%) patients from the lopinavir/ritonavir group experienced adverse events. No adverse events were reported in the other groups. Limitations include the small sample size and imbalanced groups. The study had intended to recruit more patients but was unable to.
1.1.3. Factors Associated with Prolonged Viral Shedding and Impact of Lopinavir/Ritonavir Treatment in Patients with SARS-CoV-2 Infection
This retrospective study included all test-positive cases ( n= 120) at a single site in Wuhan, China [ 33 ]. Seventy-eight patients received lopinavir/ritonavir, and 42 did not. The authors demonstrated a significant increase in the duration of viral shedding in those who did not receive lopinavir/ritonavir (OR 2.42; 1.10–5.36). There was a positive correlation between age and length of viral shedding. Comorbidities or systemic corticosteroid use were not associated with changes in the duration of viral shedding. Limitations include retrospective design and small sample size.
1.2. Remdesivir
Remdesivir is an adenosine nucleotide analog that interferes with the function of the viral RNA dependent RNA polymerase [ 34 ]. The drug is still in its experimental stage, and a robust side effect profile has not been published. The following studies were published (Table 1).
1.2.1. Remdesivir and Chloroquine Effectively Inhibit the Recently Emerged Novel Coronavirus (2019-nCoV) in Vitro
An in vitro study demonstrated inhibition of SARS-CoV-2 with the use of remdesivir and chloroquine [ 35 ]. The results of the study suggest a recommendation for human trials using these agents. For example, the effective concentrations (EC) were 1.76 µmol/L for EC 90in non-human primates for remdesivir and 6.09 µmol/L for EC 90in non-human primates for chloroquine.
1.2.2. Prophylactic and Therapeutic Remdesivir (GS-5734) Treatment in the Rhesus Macaque Model of MERS-CoV Infection
This study is shown here because remdesivir was used with success in the treatment of MERS-CoV infection [ 36 ]. The possible prophylactic and therapeutic efficacy of remdesivir was established in this controlled trial through the inoculation of 18 Rhesus macaques. Remdesivir administration 24 h before the inoculation of the virus led to complete prevention of infection. In addition, remdesivir administration 12 h post-inoculation demonstrated a clear clinical benefit, including a reduction in clinical signs, reduced viral replication in the lungs, and decreased number and severity of lung lesions. Further clinical studies are necessary to demonstrate the efficacy of the drug as a therapy in COVID-19.
1.2.3. First Case of 2019 Novel Coronavirus in the United States
This case report demonstrates the potential role that remdesivir may have played in the improvement of clinical status. The condition of the patient in question declined for seven days in the hospital, and remdesivir was used as a therapy [ 37 ]. The following day, the patient’s condition improved; supplemental oxygen was discontinued, and oxygen saturation rose to 94–96%. Rales were no longer heard; the patient became afebrile and had an improvement in cough. It is not reasonable to make conclusions from a single case, but further investigation is warranted.
1.2.4. First 12 Patients with Coronavirus Disease 2019 (COVID-19) in the United States
In this study, 3 of 12 patients received remdesivir under compassionate use [ 38 ]. Mild GI symptoms were noted, as well as transient aminotransferase elevation. One episode of bloody stool was noted. All patients recovered or improved. The authors could not comment on efficacy, as this was not a randomized control trial to investigate the drug.
1.2.5. Adaptive COVID-19 Treatment Trial (ACTT)
There is currently a lack of randomized controlled trials on the therapeutic effects of remdesivir for coronavirus and coronavirus-like illnesses. ACTT is a multi-center, randomized, double blind, placebo-control trial that is setting out to evaluate the efficacy and safety of remdesivir [ 18 ]. The estimated enrollment is 440 participants, and the study has posted an estimated completion date of April 2023.
1.3. Oseltamivir and Amantadine
Oseltamivir is an anti-influenza drug that exerts its effect through neuraminidase inhibition [ 39 ]. Adverse effects of oseltamivir include nausea, vomiting, and abdominal pain. Amantadine is active against influenza A and exerts its effect through blockade of the viral M2 proton ion channel [ 40 ]. Adverse effects of amantadine include nausea, anorexia, and CNS toxicity (nervousness, insomnia, and light-headedness).
1.4. Inhibition of SARS Coronavirus Infection in Vitro with Clinically Approved Antiviral Drugs
Currently, there is no evidence of in vitro inhibition of SARS-CoV-2 with oseltamivir and amantadine. The inhibition of the cytopathic effects of SARS-CoV-2 was observed when combined interferons (Wellferon, Alferon, and Betaferon) and ribavirin were administered [ 41 ]. This work warrants further in vivo investigation of the mentioned therapeutic agents.
2. Other therapies
2.1. Colchicine
Colchicine is an anti-inflammatory drug that exerts its effects by preventing microtubule polymerization [ 42 ], inhibiting leukocyte migration, and phagocytosis. Common adverse effects include diarrhea, nausea, vomiting, and abdominal pain. More rarely, it can cause hepatic necrosis, renal failure, disseminated intravascular coagulation, hair loss, bone marrow suppression, peripheral neuritis, and death [ 43 ].
COLCORONA Trial
The Montreal Health Institute is carrying out a large multi-center randomized controlled trial to investigate the role of colchicine in the treatment of COVID-19. The study estimates enrollment of 60,000 subjects, and a completion date of September 2020 has been suggested [ 20 ].
2.2. Glucocorticoids
Glucocorticoids act on glucocorticoid receptor elements (GRE) to exert their anti-inflammatory effects. They have a wide range of effects including but not limited to decreased production of inflammatory mediators, inhibition of the arachidonic acid pathway, and reduced migration of immune cells to the site of insult. Adverse side effects are numerous, including osteoporosis, avascular necrosis, weight gain, hypothalamic pituitary adrenal axis dysfunction, increased incidence of opportunistic infections, and psychosis.
2.2.1. Early, Low-Dose and Short-Term Application of Corticosteroid Treatment in Patients with Severe COVID-19 Pneumonia: Single-Center Experience from Wuhan, China
This retrospective review of 46 patients included 26 patients who received intravenous methylprednisolone [ 21 ], as detailed inTable 1. There were no other notable differences in patient parameters. Clinical symptoms and CT chest results were compared before and after therapy. Of 46 patients, 27 (59%) were febrile and 15 (33%) received the drug.
For the methylprednisolone group, patients showed fever resolution at 2 ± 0.28 days, whereas, for the control group, the resolution of fever was at 4.39 ± 0.70 days. All 46 patients received oxygen therapy. Those who received methylprednisolone required supplemental oxygen for 8.2 (7–10.3) days, whereas the control group needed it for 13.5 (10.3–16) days. In patients who received methylprednisolone, an improvement in the absorption degree of focus was observed on CT. This trial’s limitations include its retrospective design, small sample size, and absence of mid- to long-term outcome measures.
2.2.2. Clinical Evidence Does Not Support Corticosteroid Treatment for 2019-nCoV Lung Injury
In this review, the author provided a summary of the clinical data to this point on corticosteroid use in the treatment of SARS and MERS [ 22 ]. They suggested that the use of corticosteroids for SARS and MERS likely led to no benefit with evidence of definite harm in some cases. In the SARS case, there was a delayed clearance of viral RNA from blood, increased incidence of psychosis, diabetes, avascular necrosis, and osteoporosis associated with corticosteroid use. The authors concluded that COVID-19 is not likely to differ from MERS and SARS as far as response to corticosteroids. The decision to use glucocorticoids should be made after reviewing each patient’s situation’s risks and benefits.
2.2.3. Effect of Dexamethasone in Hospitalized Patients with COVID-19-Preliminary Report (RECOVERY Trial)
The preliminary results of the dexamethasone arm of the RECOVERY trial were released due to clear benefits in the treatment. In this trial, 2104 patients were randomly allocated to the dexamethasone arm and 4321 patients to the usual care arm. In those who required mechanical ventilation or supplemental oxygen, a 28-day survival benefit was observed (35%, p< 0.001, and 20%, p< 0.002, respectively). No such benefit was observed in patients who did not require respiratory support. Given the wide accessibility of dexamethasone globally, this trial is promising that it shows a clear benefit to patients with the most severe illness [ 23 ].
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1. Antiviral Therapies
2. Other therapies
Bach, Horacio. "Therapies for COVID-19 Treatment" Encyclopedia , https://encyclopedia.pub/entry/1451 (accessed May 11, 2023).
Bach, H. (2020, July 27). Therapies for COVID-19 Treatment. In Encyclopedia . https://encyclopedia.pub/entry/1451
Bach, Horacio. "Therapies for COVID-19 Treatment." Encyclopedia . Web. 27 July, 2020.
| https://encyclopedia.pub/entry/1451 |
VICTORIAN TURKISH BATHS: Ireland: Glenbrook, Co.Cork: Dr Curtin's Hydropathic Establishment AND The Victoria Baths and Family Hotel |
Turkish baths in Ireland
Glenbrook, Co.Cork
Victoria Baths and Family Hotel and Dr Curtin's Hydropathic Establishment
The Royal Victoria Monkstown and Passage Baths
The first baths in Glenbrookintended for use by members of the public were opened in August 1838 on the western bank of the River Lee and were known as the Royal Victoria Monkstown and Passage Baths. When first built, they comprised slipper baths, showers, and a cold plunge pool, all of which were luxuriously fitted out.
It was not long before these facilities were augmented by the provision of food and accommodation. Gardens were added, and a variety of outdoor activities were organised to attract and entertain visitors who lived in villages close by.
But the Royal Victoria Baths were not long to remain the only bathing facilities at Glenbrook. Early in 1852, according to local historian Colman O'Mahony (from whose scrupulously researched book The Maritime gateway to Corkmuch of the information on this page is taken), Dr Timothy Curtin purchased nearby Carrigmahon House together with '13 acres of wooded and landscaped gardens' with the intention of opening a hydropathic establishment in Glenbrook.
Situated 100 ft above the River Lee 'commanding a prospect unsurpassed for beauty' and, like Ireland's first hydropathic establishment at St Ann's Hill, located within a few miles of Cork, the position must have seemed ideal to this well-respected hydropathist and homeopathic doctor.
The hydro
Not much is known about the hydro. Nor, with any certainty, is it known who was its actual owner at various stages of its existence. But its location so close to the Royal Victoria Baths, and what little is known of the relationship between the two establishments, make it of considerable interest.
St Ann's had already been in existence for about nine years and it is possible that Curtin had been on the staff there and that his intentions were known to, and even supported by, Dr Richard Barter, its founder.
Like Barter, and unlike most other hydropathists at that time, Curtin was happy to include vapour baths among the treatments available to his patients. The red stone bathhouse which he added to the original house was designed to include 'six compartments; four for vapour baths, also including cold baths; and two for plunge baths, and a douche.' Although the establishment was not being advertised at this time, 'by July 1852 guests, including some from England, had arrived at Carrigmahon and were paying two guineas per week.'
That enough guests were staying at the hydro to make it financially viable in the absence of any advertising, seems to suggest that good fortune alone was not responsible. A possible scenario, though one for which no evidence has yet been found, is that Dr Barter had advised Curtin on setting up his establishment and was sending him those patients for whom the fees at St Ann's were too high.
Barter was later to follow such a pattern when Turkish baths were opened in Ireland. Many of these were set up with his advice or financial help, or else owned by companies in which he had, for a time, a financial interest. And, as we shall see, after Dr Barter's death, the lease of the land on which Dr Curtin's hydro was built was in the name of a Mr Richard Barter, of St Ann's Hill, Blarney.
The hydro seems to have prospered. Additional land was acquired soon after it opened, and in 1856, the year in which Dr Barter was experimenting with his first Turkish baths at St Ann's, Curtin decided to expand so that additional guests could be housed.
A local campaign was under way around this time aimed at bringing visitors to Glenbrook from farther afield by getting a pier built. This, it was hoped, would encourage travel by steamer from nearby Cork. The campaign was successful and the pier was approved and scheduled to open in 1858.
The hotel
By now the original Royal Victoria Monkstown & Passage Baths had been renamed, were known as the Glenbrook Victoria Hotel and Baths, and were owned by a Mr Robert Watkin Jones who seems to have purchased them some time around 1856. Jones knew that the opening of the pier would be a good time to expand his business and decided to enlarge the hotel and add some new facilities.
At the end of January 1858, a paragraph in the Cork Examinerheaded 'The Monkstown Baths, Hotel and Pier' reported that the hotel proprietor intended installing additional bedrooms, private rooms, breakfast rooms, and a commodious dining saloon. And before the start of the bathing season, the report continued, 'Mr Jones is about adding to his establishment that imported luxury of which so much is spoken now-a-days, the Turkish Bath'.
The extension and the new Turkish bath were completed at the beginning of June and an advertisement headed 'Royal Victoria Hotel, European and Turkish Bath, Glenbrook' announced that to mark 'the opening of the new Turkish Baths, Glenbrook Pier, and the new building', a celebratory dinner would be held at the hotel with the Mayor of Cork in the Chair. The cost was to be one guinea and included 'Champagne, Moselle, Madeira, Claret, and Port and Sherry Wine. Dinner, under the supervision of the 'Chef de Cuisine' Mr B G Martin, would commence at 6.30 sharp, and afterwards a special train would leave for Cork at 11 o'clock.
The dinner, at which Dr Barter was present, was held on 9 June and was reported at length in the Cork Examinerlater in the week. The report included full details of the sumptuous menu enjoyed by about eighty (male) guests, about half of whom were named.
The Mayor proposed a toast to the success of the hotel 'with its novel addition of the Turkish bath', alluding to the 'great spirit and enterprise which the proprietor had shown in carrying out his undertaking'. At the Mayor's request Dr Barter 'acknowledged the sentiment, so far as regarded the Turkish bath'.
Barter had known about the building of Jones's Turkish bath from the beginning and was initially pleased to see how Turkish baths were spreading round Ireland. He wrote to his friend Mr Wrenfordsley in February, shortly after the Cork Examinerhad announced the proposed extensions and additions to the hotel, 'The Turkish Bath prospers in the South [of Ireland]. There is more building at the Monkstown Ballis, near Cork, and I have just completed an additional Bath on my grounds.'
But Barter's comments of approbation at the dinner, as reported by the Cork Examiner, seem less than wholeheartedly enthusiastic. 'It needed but the carrying out of a few alterations such as he could suggest, to enable it to give much greater accommodation, and become much more profitable to the owner.' In fact, Barter had a number of other concerns which only became apparent some years later.
But to less knowledgeable critics, the design of the Turkish bath, with its 'stained dome lights, crimson hangings, a central fountain, richly tesselated floors and handsome couches', matched the standard set by the marble fitments of the original baths and was in no way inferior to them.
According to an early advertisement in the Cork Examiner, guests could stay at the hotel for two guineas per week—the same rate as that obtaining at the hydro—and this included the use of the hot, vapour, plunge and shower baths. But the use of the Turkish bath cost an additional 2/6 per week.
For those on a day visit to the baths, admission charges varied according to which facilities were used. A Turkish bath cost 2/- on its own, or 3/- with a return ticket for rail and boat travel from Cork.
Dr Curtin adds Turkish baths to the hydro
Meanwhile, a short distance further away from the river, Dr Curtin seems rather belatedly to have recognised his missed opportunity to be the first with a Turkish bath. Galvanised by the thought of all the publicity likely to result from Jones's celebratory dinner, he determined that damage limitation was called for. Somehow he managed to get an article published in the Cork Examiner—only marginally shorter than the one describing Jones's celebratory dinner, and on the very same page of the newspaper. Curtin's article described the new Turkish bath then in the process of being built at the hydro and which was 'very far advanced, and will in all probability be completed, and in working order, in about three weeks from this'.
Whether this was ever a real possibility (which was in the event delayed), or an acceptable commercial exaggeration, we may never know; the description of Curtin's forthcoming bath was clearly (what we should now call) a spoiler designed to diminish the impact of Jones's publicity.
In fact his Turkish baths were not opened until some time in the autumn. They seem to have been built in stages, each area being opened as it was completed. And not until eleven months later, in May 1859, did the Examinercarry an advertisement mentioning that Dr Curtin's hydropathic baths included 'an elegantly constructed Turkish Bath, now in constant use'.
The description we have of it was largely written before the bath was finished and it is not known whether it was completed as planned, or whether changes were made during the course of construction. But it is probably fair to assume that the bath was broadly similar to the one described in the spoiler article which appeared in the Examiner.
Cautiously designed on similar principles to others already in existence, the bath was decorated in a less flamboyant style than the one at the nearby hotel.
It comprised two main hot rooms and what were, in effect, two cooling- rooms. The actual cooling-room was partitioned into areas 'of such dimensions as to allow cosy knots of three or four to enjoy their friendly and familiar chat without the presence of a crowd.' The second seems to have been a smaller cooling-room, unusually without any of the furniture or fitments normally associated with such a room, and 'reserved merely for the purposes of temporary cooling, in the case of persons who might feel inclined to do so while undergoing the bath, either as a matter of pleasure, or through inability to bear the continuous heat.'
Each of the two hot rooms was about fourteen foot square and was surmounted by an octagonal dome about nine foot high making for a comfortable airy atmosphere. At the centre of the tepid room was a fountain surrounded by seating which also formed an octagonal shape, while around the walls were couches for those who preferred to recline. A douche room, with showers at various temperatures and pressures, led off the tepid room.
At the centre of the hot room, was a shampooing slab instead of a fountain. The heating apparatus, normally placed close to the hottest room in a Turkish bath, was here placed midway between the two rooms, a set of dampers being used to regulate the temperature of each. The report claimed that such a system was said to be Curtin's own idea, but there is no evidence to support this.
If the facilities at Carrigmahon House were simpler than those at the hotel, the Turkish bath (with its lower level bathing pool), was only one of a series of therapies available at a hydropathic establishment rather than a luxury designed for those staying at a hotel or to attract day visitors to Glenbrook.
Hotel fire and reconstruction
However, Curtin had the field to himself for two years after 11 July 1859 when a fire destroyed the Glenbrook Hotel's north wing and the Turkish bath.
This must have been a considerable setback for Jones because the fire occurred just at the time when Glenbrook was at its most popular, a popularity which was to be short-lived as nearby Crosshaven grew in popularity after it too built a steamer pier of its own.
It took two years, and an advance of £700 towards reconstruction costs from the Cork Blackstock and Passage Railway Company, for the rebuilding to be completed. And the new Turkish bath was quite different, both from the one it replaced and from the one at the hydro.
Barter vs. Jones
During the period when the new bath was being planned and built, a major controversy arose in the Irish press about whether the hot air in a Turkish bath should be dry or humid. It started in the pages of the Dublin Hospital Gazetteand was taken up the following day in the Cork
Daily Herald.
The details of the controversy can be found elsewhereon this site; suffice it to say here that there was much (unwarranted, but widely published) criticism of Dr Barter's Turkish baths, especially the one which the critics called the establishment at B*** ( ie, Bray).
One of the main arguments of Barter's opponents, Drs Corrigan and Madden, was that hot air without vapour was harmful to bathers, an argument for which no specific evidence was given by its proponents. They went on to suggest that in calling his baths 'Improved Turkish baths', Barter was attempting to hoodwink the public into thinking they were the same as the Islamic hammams found in Turkey which were, they stated, properly humid and, therefore, healthy to use.
In due course these arguments were fully answered by Barter and his supporters, and his 'improved' Turkish baths continued to prosper.
But to Robert Watkin Jones, a non-medical entrepreneur, it must have seemed an attractive idea to replace the bath which burned down with one which he could claim was, according to these two respected doctors, a genuineTurkish bath.
So far as its external appearance was concerned, he seems to have created the desired effect. Local historian Charles Bernard Gibson wrote,
The Hotel and Baths of Glenbrook stand midway between Passage and Monkstown. Viewed from the river, they remind the traveller of a Turkish temple on the Bosphorus.
Hardly—though the author might be forgiven some artistic licence. Our current post-Said views on orientalism have accustomed us to such 19th century writing. And while the Irish painter John E Bosanquet was no Ingres, he too seems guilty of a certain romanticism in his painting of the hotel.
When the new bath at the hotel was opened in July 1861, it was advertised as 'THE ORIENTAL HAMAAM, OR REAL TURKISH BATH'. It was, the ad continued, 'The only one of its kind in the United Kingdom, and admitted by the admirers of the "Improved Turkish Bath" to be infinitely superior to it in all the most essential points…'
Hammams in Turkey—and elsewhere in Islamic communities—are humid, and often steamy, because Muslims are in the habit of washing themselves there before prayers are said. The humidity is not purposely created for health reasons (or any other reason) but is an inevitable consequence of the use of water for washing within the hot rooms.
Jones, on the other hand, introduced steam artificially into his hot room because Drs Madden and Corrigan had suggested that this was healthier. A consequence of this—made into a selling point by Jones—was that in a steamy atmosphere perspiration was produced at lower temperatures than in a conventional hot room such as those to be found in Dr Barter's establishments. This totally ignored the fact that Barter originally went to great pains to ensure that the hot air was dry in order to reach those higher temperatures deemed necessary for use as an effective therapeutic agent.
Jones arranged a complicated series of dampers, taps, and flues running between an upper and lower floor to deliver adjustable quantities of hot air at appropriate temperatures through one flue, and steam-heated vapour through the second. This system was the main feature of a patent which Jones applied for on 26 August 1861 for 'Improvements in heating and ventilation, especially applicable to Turkish Baths'.
In some ways his introduction of a steam flue was a precursor of the ubiquitous prefabricated steam room found in modern health clubs, but it was definitely not a Victorian Turkish bath and seems to have had a fairly short life.
Jones announced his retirement just over a year after the new bath opened. This seems strange so soon after his investment in the new bath and the effort involved in a patent application. Perhaps he discovered that there were problems with his new heating system and that it required constant repairs, or perhaps he foresaw the coming decline in the popularity of Glenbrook. But for whatever reason, the hotel was soon up for sale. It was bought by a new Glenbrook Hotel and Bath Company which announced ambitious plans for its development. However, these came to
naught and the hotel was on the market again three years later.
Given the complications of the heating and ventilation system, it seems most probable that the Turkish bath closed when Jones retired. Some support for this theory may be gleaned from the advertisement in the Irish Timesin 1869 which offered the hotel for sale 'with a Turkish bath'—no mention here of
'Hotel and Oriental
Hamaam', or of 'The only one of its kind in the United Kingdom'. Anyone in the market for such a well-known property would be forgiven for assuming that while the hotel was being sold as a going concern, the Turkish bath was not. And when the hotel was again put up for sale in 1883 by James Coughlan, who had by then owned it for some time, there was no mention at all of a Turkish bath, but only of hot and cold baths.
Evidence of a more concrete nature exists to indicate that the Turkish bath closed some time before then. For, on 7 November 1868, the Irish Timespublished an important Letter to the Editor from Dr Barter which tells us much about Jones and his Turkish baths.
On the previous Wednesday, 4 November, the paper had published an anonymous review of Durham Dunlop's Air and water in health and diseases. In it, the reviewer had claimed that 'a Mr Jones, of Glenbrook, Passage' had been the first to erect the true Turkish bath in Ireland. This must have been too much for Barter to allow to go unchallenged. Not only was Barter universally recognised as the father of the Turkish bath in Ireland, but Jones had actually espoused the very type of humid bath which Barter and Urquhart had rejected as being unsuitable for use as a therapeutic agent.
In his letter, Barter stated categorically that he had 'erected the first Turkish Baths in Ireland here [ie, at St Ann's Hydro], under Mr Urquhart's directions, in 1852.' This was not actually so, and it is not clear why Barter wrote 1852 (instead of 1856) as the year in question; it may have been a misprint, or a failure of memory in the heat of the moment. Barter would never knowingly have claimed an earlier date than was the case. In any event, his claim to have introduced the Turkish bath to Ireland was not invalidated even by a four year difference. This could easily be checked because, as the letter continued, 'A full report of the ceremony of laying the foundation of it was published in all the public papers of the time.'
This much is already known by all who are familiar with the history of the Victorian Turkish bath in Ireland, but the next part of Barter's letter was more revealing. Describing the first bath he built at St Ann's, he wrote that it,
was charged with vapour according with the true Eastern Baths; but, I was soon obliged to abandon the visible vapour. This [vapourless] bath became such a favourite that large as it was, I had, a couple of years after, to build a second one here. A Mr Martin, a brother-in-law of the Mr Jones in question [and 'Chef de Cuisine' at the ceremonial dinner marking the opening of his original Turkish bath], was my house steward at the time, and he studied the structure of this building. Shortly after this, he left my employment to build a bath for Mr Jones, and in accordance with the published opinion expressed by a high medical authority which I need not name, he added to his bath a steam pipe from the furnace, which he and his friends considered an improvement, but which I believed to be the reverse, as it made the baths feel stuffy, interfered with the cooling effect of evaporation from the skin, made the baths very disagreeable and highly dangerous. Mr Jones's bath is long since closed, as are all the baths erected after his model, while the baths on my principles are extending rapidly over Western Europe and America. I think, then, I may fairly claim to be the person who has established the bath in Western Europe, and which has become an Irish institution.
Dr Curtin's hydro and Dr Barter: a connection?
With less controversy, the Turkish bath at Dr Curtin's Hydropathic Establishment continued in typical low key manner and was well-respected, according to Charles Bernard Gibson who, in 1861, noted that,
CarrigMahon is a noble mansion, and commands a splendid prospect. Here we have the Turkish baths in perfection, and the hydropathic system, conducted with ability and professional skill, by the proprietor, T Curtin, Esq, MD
And Curtin's straightforward advertisements contrasted sharply with the extravagances of Jones's 'oriental hamaam'.
Advertisement from the Irish Times(7 July 1865) p.2
According to Colman O'Mahony, Curtin's Hydropathic Establishment continued for a short while after Curtin's death in 1876.
This leaves unanswered, for further research, the question of who was the proprietor of Dr Curtin's establishment after his death. Dr Barter had already died six years before Curtin, but could it have been his son Mr Richard Barter? Clearly the management of the hydro had been in Curtin's hands since its foundation, but could Richard or his father have actually owned it for some time before Curtin's death? Could Dr Barter have been the proprietor of the hydro from the time of the installation of its Turkish bath, or even earlier?
What we do know is that in 1879 it was 'intended to erect sixteen blocks of first class houses at Carrigmahon' designed by the architect, Mr Kearns Deane Roche; that to facilitate this, 'Mr. Richard Barter, of St. Ann's, has recently made arrangements with Lord De Vesci for an extension of his lease'; and that by 1881 Roche had revamped the scheme to comprise nine semi-detached 'Carrigmahon Villas'. These were to be built on a site about which the Irish Builderwrote that 'it need only be mentioned here that for many years before this charming spot, Carrigmahon, passed into the hands of its present proprietor it was far famed as a hydropathic establishment, conducted by the late Dr Curtin.'
One of the villas was destroyed by fire in 1913; the others were demolished shortly afterwards.
Marcia D'Alton
Marie Gethins, for information about Bosanquet's painting, and much else
Chapter 9 ofColman O'Mahony's The Maritime gateway to Cork has been indispensable
Crawford Municipal Art Gallery, Cork, for permission to reproduce Bosanquet's painting
Photograph of the hotel and baths courtesy of the National Library of Ireland
The bathsin August 1849
The Royal Victoria Hotel, 1858
Detailfrom 'Glenbrook and Turkish baths'
Advertisementfor the rebuilt Turkish baths
Patent applicationby Robert Watkin Jones
Royal Victoria Hoteland baths, after closure of Turkish baths
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Pimodivir 600 mg and SOC Treatment in Influenza A - Clinical Trials Registry - ICH GCP
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Clinical Trial NCT03376321
A Study to Evaluate the Efficacy and Safety of Pimodivir in Combination With the Standard-of-Care Treatment in Adolescent, Adult, and Elderly Hospitalized Participants With Influenza A Infection
March 19, 2021 updated by: Janssen Research & Development, LLC
A Phase 3 Randomized, Double-blind, Placebo-controlled, Multicenter Study to Evaluate the Efficacy and Safety of Pimodivir in Combination With the Standard-of-Care Treatment in Adolescent, Adult, and Elderly Hospitalized Patients With Influenza A Infection
The purpose of this study is to evaluate the clinical and virologic benefit of pimodivir in combination with Standard-of-Care (SOC) treatment compared to placebo in combination with SOC treatment.
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Drug: Pimodivir 600 mg
Other: SOC Treatment
Drug: Placebo
Detailed Description
This double-blind (neither researchers nor participants know what treatment participant is receiving) study will evaluate efficacy/safety of pimodivir in combination with SOC treatment versus placebo in combination with SOC treatment in adolescent, adult, and elderly hospitalized participants with influenza A infection.
The study will be conducted in 3 phases: screening phase, double-blind treatment period of 5 days (with the possibility to extend treatment period by 5 days for participants who will enter an optional double-blind extension treatment arm), and post treatment follow-up period of 23 days.
Study evaluations will include efficacy, pharmacokinetic, biomarkers, safety and tolerability.
The duration of participation in study for each participant is 28 days, except for participants receiving extended treatment, for whom study duration will be up to 33 days.
Study Type
Interventional
Enrollment (Actual)
334
Phase
Phase 3
Expanded Access
No longer available outside the clinical trial.
See expanded access record
.
Contacts and Locations
This section provides the contact details for those conducting the study, and information on where this study is being conducted.
Study Locations
Argentina
Bahia Blanca, Argentina, B8001DDU
Hospital Interzonal General de Agudos Dr. Jose Penna
C.a.b.a., Argentina, 1431
CEMIC (Centro de Educación Médica e Investigaciones Clínicas)
Cordoba, Argentina, X5016KEH
Hospital Privado Centro Medico de Cordoba
Cordoba, Argentina, 5000
Hospital Nuestra Senora de la Misericordia
Cordoba, Argentina, X5004CDT
Hospital Córdoba
Córdoba, Argentina, 5000
Hospital San Roque
Córdoba, Argentina, 5000
Hospital Rawson
General Roca, Argentina, 8332
Sanatorio Juan XXIII
La Plata, Argentina, B1900AVG
Instituto Medico Platense
La Plata Lpl Lpl, Argentina, 1900
Hospital Italiano de La Plata
Pilar, Argentina, B1629ODT
Hospital Universitario Austral
Rosario, Argentina, 2000
Sanatorio Britanico S.A.
Australia
Bedford Park, Australia, 5042
Flinders Medical Centre
Box Hill, Australia, 3128
Box Hill Hospital
Melbourne, Australia, 3004
The Alfred Hospital
Melbourne, Australia, 3050
Royal Melbourne Hospital
South Brisbane, Australia, 4101
Mater Hospital Brisbane
Townsville, Australia, 4814
Townsville Hospital
Austria
Wien, Austria, 1090
AKH - Medizinische Universität Wien
Wien, Austria, 1100
SMZ Süd - Kaiser Franz Josef Spital Wien
Wien, Austria, 1140
Social Medizinisches Zentrum Baumgartner Höhe - Otto Wagner Spital
Belgium
Brussel, Belgium, 1000
Institut Jules Bordet
Bruxelles, Belgium, 1070
ULB Hopital Erasme
Bruxelles, Belgium, 1000
CHU Saint-Pierre
Brazil
Belo Horizonte, Brazil, 30150-221
Santa Casa de Misericordia de Belo Horizonte
Belo Horizonte, Brazil, 30150-240
Cardresearch - Cardiologia Assistencial
Brasil, Brazil, 30110-063
Infection Control Ltda
Passo Fundo, Brazil, 99010-080
Hospital Sao Vicente de Paulo
Porto Alegre, Brazil, 90610-000
Hospital Sao Lucas da PUCRS
Porto Alegre, Brazil, 90035-903
Hospital de Clínicas de Porto Alegre
Porto Alegre, Brazil, 90050-170
Irmandade Santa Casa de Misericordia de Porto Alegre - Hospital da Crianca Santo Antonio
Sao Paulo, Brazil, 04013-060
Hospital da Luz
São José do Rio Preto, Brazil, 15090-000
Hospital de Medicina de São José do Rio Preto
São Paulo, Brazil, 01221-020
Irmandade Da Santa Casa de Misericórdia de São Paulo
São Paulo, Brazil, 01227-200
Fundacao Jose Luiz Egydio Setubal
Bulgaria
Ruse, Bulgaria, 7002
SHATPPD - Ruse Ltd.
Sofia, Bulgaria, 1202
SHATPPD - Sofia District EOOD
Sofia, Bulgaria, 1606
Military Medical Academy - Sofia
Sofia, Bulgaria, 1233
Fifth Multiprofile Hospital for Active Treatment - MHAT - Sofia EAD
Sofia, Bulgaria, 1336
Multiprofile Hospital for Active Treatment - MHAT Lyulin EAD
Veliko Tarnovo, Bulgaria, 5000
MHAT Dr Stefan Cherkezov
Canada
Vancouver, Canada, V6Z 1Y6
University of British Columbia
Ontario
Sudbury, Ontario, Canada, P3E5J1
Health Sciences North Horizon Sante-Nord
Chile
Puente Alto, Chile, 8150000
Hospital Dr Sotero del Rio
San Bernardo, Chile
Hospital El Pino
China
Changsha, China, 410013
The Third Xiangya Hospital, Central South University
Guangzhou, China, 510515
Nanfang Hospital
Wuxi, China, 214000
Wuxi People's Hospital
Zhengzhou, China
Henan province people's hospital
Czechia
Brno, Czechia, 625 00
Fakultni nemocnice Brno
Kyjov, Czechia, 697 01
Nemocnice Kyjov, p.o.
Praha 8, Czechia, 180 81
Nemocnice Na Bulovce
France
Agen cedex 9, France, 47923
Centre Hospitalier d'Agen
Amiens Cedex, France, 80054
Chu Amiens - Hopital Sud
Colombes, France, 92700
Hopital Louis Mourier
Creteil cedex, France, 94010
Centre Hospitalier Intercommunal de Créteil
Dijon, France, 21000
CHU Dijon
La Roche S/ Yon Cedex 9, France, 85925
Centre Hospitalier Departemental
La Tronche, France, 38043
CHU de Grenoble - Hopital Albert Michallon
Limoges, France, 87042
CHU de Limoges, Hopital Dupuytren
Lyon, France, 69003
Hopital Edouard Herriot - Chu Lyon
Marseille cedex 20, France, 13915
Hôpital Nord - Marseille
NANTES Cedex 01, France, 44093
CHU Nantes - Hôtel Dieu
Nantes Cedex 1, France, 44093
CHU Nantes - Hôtel Dieu
Nice Cedex 3, France, 06202
CHU de Nice, Hopital de l'Archet
Paris, France, 75018
Hôpital Bichat - Claude Bernard
Paris, France, 75679
Hopital Cochin
Paris cedex 10, France, 75475
Hopital Saint-Louis
Poitiers, France, 86021
CHU Poitiers - Hôpital la Milétrie
Saint-Etienne Cedex 2, France, 42055
CHU Saint-Etienne - Hôpital Nord
Germany
Donaustauf, Germany, 93093
Klinikum Donaustauf
Erlangen, Germany, 91054
Universitaetsklinik Erlangen
Hessen, Germany, 35392
Universitaetsklinikum Giessen und Marburg GmbH
Koeln, Germany, 50937
Universitaetsklinikum Koeln
Luebeck, Germany, 23538
Universitaetsklinikum Schleswig-Holstein - Campus Luebeck
Weiden, Germany, 92637
Klinikum Weiden
Hungary
Farkasgyepü, Hungary, 8582
Veszprem Megyei Tudogyogyintezete
Torokbalint, Hungary, 2045
Tudogyogyintezet Torokbalint
India
Ahmedabad, India, 380054
Zydus Hospital-Ahmedabad
Balaga, India, 532001
Rajiv Gandhi Institute of Medical Sciences
Bangalore, India, 560054
M S Ramaiah Memorial Hospital
Gandhinagar, India, 382424
Apollo Hospitals International Limited
Hyderabad, India, 500035
Aware Global Hospital
Jaipur, India, 302001
S. R. Kalla Memorial General Hospital
Jaipur, India, 302020
Eternal Heart Care Centre
Lucknow, India, 226006
Midland Healthcare & Research Center
Lucknow, India, 226005
Ajanta Research Cemtre
Mangalore, India, 575003
Vinaya Hospital and Research Center
Manipal, India, 576104
Kasturba Medical College Hospital
Nagpur, India, 400012
Suretech Hospital and Research Centre Limited
Nashik, India, 422007
Siddhi Hospital
New Delhi, India, 110060
Sir Ganga Ram Hospital
New Delhi, India, 110005
BLK Super Specialty Hospital
New Delhi, India, 110070
Fortis Flight Lieutenant Rajan Dhall Hospital
Pune, India, 411023
Lifepoint Multispecialty Hospital
Pune, India, 411038
Sahyadri Speciality Hospital
Rajkot, India, 360005
Shree Giriraj Multispeciality Hospital
Surat, India, 395009
BAPS Pramukhswami Hospital
Israel
Afula, Israel, 18101
HaEmek Medical Center
Ashkelon, Israel, 78278
Barzilai Medical Center
Beersheba, Israel, 84101
Soroka University Medical Center
Haifa, Israel, 3109601
Rambam Health Care Campus
Haifa, Israel, 31048
Bnai Zion Medical Center
Holon, Israel, 58100
Wolfson Medical Center
Jerusalem, Israel, 91120
Hadassah University Hospita - Ein Kerem
Kfar-Saba, Israel, 4428164
Sapir Medical Center, Meir Hospital
Nahariya, Israel, 2210001
Galilee Medical Center
Petach Tikva, Israel, 49100
Rabin Medical Center, Beilinson Campus
Ramat Gan, Israel, 52621
Chaim Sheba Medical Center
Rechovot, Israel, 7610001
Kaplan Medical Center
Safed, Israel, 13100
Ziv Medical Center
Tel Aviv, Israel, 64239
Tel Aviv Sourasky Medical Center
Italy
Milano, Italy, 20122
Fondazione IRCCS CA' Granda Ospedale Maggiore Policlinico
Milano, Italy, 20162
Asst Grande Ospedale Metropolitano Niguarda
Milano, Italy, 20122
Fondazione IRCCS Ospedale Maggiore Policlinico,Mangiagalli e Regina Elena
Milano, Italy, 20123
Ospedale San Giuseppe - Fatebenefratelli
Milano, Italy, 20127
Ospedale San Raffaele- Sede Distaccata Ospedale S. Raffaele Turro
Modena, Italy, 41124
AOU Policlinico di Modena
Monza, Italy, 20052
Azienda Socio Sanitaria Territoriale di Monza Presidio San Gerardo
Novara, Italy, 28100
Azienda Ospedaliera Universitaria Maggiore della Carita
Palermo, Italy, 90127
Azienda Ospedaliero Universitaria Policlinico Paolo Giaccone
Roma, Italy, 149
Lazzaro Spallanzani IRCCS
Verona, Italy, 37126
Azienda Ospedaliera Universitaria Integrata Verona
Korea, Republic of
Ansan-si, Korea, Republic of, 15355
Korea University Ansan Hospital
Cheongju-si, Korea, Republic of, 28644
Chungbuk National University Hospital
Gangwon-do, Korea, Republic of, 220-701
Yonsei University Wonju Severance Christian Hospital
Hwaseong-si, Korea, Republic of, 18450
Hallym University Dongtan Sacred Heart Hospital
Incheon, Korea, Republic of, 21565
Gachon University Gil Medical Center
Incheon, Korea, Republic of, 403-720
The Catholic University of Korea, Incheon St. Mary's Hospital
Pusan, Korea, Republic of, 602-715
Dong-A University Hospital
Seoul, Korea, Republic of, 05030
Konkuk University Medical Center
Seoul, Korea, Republic of, 152-703
Korea University Guro Hospital
Seoul, Korea, Republic of, 05505
Asan Medical Center
Seoul, Korea, Republic of, 02841
Korea University Anam Hospital
Seoul, Korea, Republic of, 07441
Hallym University Kangnam Sacred Heart Hospital
Suwon-si, Korea, Republic of, 16247
The Catholic University of Korea St. Vincent's Hospital
Latvia
Liepaja, Latvia, LV-3414
Regional Hospital of Liepaja
Rezekne, Latvia, LV-4600
Hospital of Rezekne
Riga, Latvia, LV1002
Pauls Stradins Clinical University Hospital
Riga, Latvia, LV-1004
Children's Clinical University Hospital
Riga, Latvia, LV-1038
Riga East Clinical University Hospital
Riga District, Latvia, LV-2118
Centre of Tuberculosis and Lung Diseases
Valmiera, Latvia, LV-4201
Vidzemes Hospital
Lithuania
Klaipeda, Lithuania, 92288
Klaipeda University Hospital
Siauliai, Lithuania, 76231
Siauliai Republican Hospital, Public Institution
Vilnius, Lithuania, 08117
Infectious Diseases Center of Vilnius University Hospital Santaros klinikos
Malaysia
Alor Setar, Malaysia, 5460
Hospital Sultanah Bahiyah
Kota Kinabalu, Malaysia, 88586
Hospital Queen Elizabeth
Kuala, Malaysia, 20400
Hospital Sultanah Nur Zahirah
Kuching, Malaysia, 93586
Hospital Umum Sarawak
Miri, Malaysia, 98000
Hospital Miri
Seremban, Malaysia, 70300
Hospital Tuanku Jaafar
Sibu, Malaysia, 96000
Hospital Sibu
Sungai Buloh, Malaysia, 47000
Hospital Sungai Buloh
Taiping, Malaysia, 34000
Hospital Taiping
Mexico
Ciudad De Mexico, Mexico, 6720
Hospital Infantil de Mexico Federico Gomez
Cuernavaca, Mexico, 62290
JM Research, SC
Guadalajara, Mexico, 44280
Hospital Civil de Guadalajara Fray Antonio Alcalde
Guadalajara, Mexico, 44340
Hospital Civil de Guadalajara Dr. Juan I. Menchaca
Mexico, Mexico, 64460
Hospital Universitario 'Dr. Jose Eleuterio Gonzalez'
Netherlands
Dordrecht, Netherlands, 3318 AT
Albert Schweitzer Ziekenhuis
Utrecht, Netherlands, 3584 CX
UMC Utrecht
Zutphen, Netherlands, 7207 AE
Gelre Ziekenhuizen Zutphen
s-Hertogenbosch, Netherlands, 5223 GZ
Jeroen Bosch Ziekenhuis
New Zealand
Christchurch, New Zealand, 8011
Christchurch Hospital
Hamilton, New Zealand, 3240
Waikato Hospital
Tauranga, New Zealand, 3143
Tauranga Hospital
Wellington, New Zealand, 6021
Wellington Hospital
Peru
Trujillo, Peru, 13007
Clinica Peruano Americana S.A
Poland
Debica, Poland, 39-200
Szpital Miejski ZOZ
Lancut, Poland, 37-100
Centrum Medyczne w Lancucie Sp.z o.o.
Wroclaw, Poland, 51-162
NZOZ Centrum Badań Klinicznych,Piotr Napora,Lekarze Spółka Partnerska
Russian Federation
Chelyabinsk, Russian Federation, 454000
City Hospital #8
Saint-Petersburg, Russian Federation, 195067
Clinical Infectious Diseases Hospital n. a. S.P. Botkin
St. Petersburg, Russian Federation, 193167
Clinical Infectious Diseases Hospital n. a. S.P. Botkin
Stavropol, Russian Federation, 355000
LLC Reafarm
Yaroslavl, Russian Federation, 150007
Clinical Hospital #3
Singapore
Singapore, Singapore, 308433
Tan Tock Seng Hospital
Singapore, Singapore, 529889
Changi General Hospital
Singapore, Singapore, 117599
National University Hospital
Slovakia
Bratislava, Slovakia, 83340
DFNsP Bratislava
Malacky, Slovakia, 90122
Nemocnica Malacky, Nemocnicna A.S.
Michalovce, Slovakia, 07101
Nemocnica s poliklinikou S. Kukuru Michalovce, a.s.
Svidnik, Slovakia, 08901
Nemocnica arm. generala L. Svobodu Svidnik, a.s.,
South Africa
Cape Town, South Africa, 7925
Clinical Research Centre University of Cape Town
Centurion, South Africa, 157
Johese Unitas
Durban, South Africa, 4001
Abdullah, IA
Durban, South Africa, 4001
Sebastian, Peter
Krugersdorp, South Africa, 1739
DJW Research
Pretoria, South Africa, 0084
Emmed Research
Pretoria, South Africa, 0181
Into Research
Thabazimbi, South Africa, 380
Limpopo Clinical Research Initiative
Spain
Barcelona, Spain, 08036
Hosp. Clinic I Provincial de Barcelona
Donostia-San Sebastian, Spain, 20014
Hosp. Univ. Donostia
Elche, Spain, 3203
Hosp. Gral. Univ. de Elche
Getafe, Spain, 28905
Hosp. Univ. de Getafe
Granada, Spain, 18014
Hosp. Univ. Virgen de Las Nieves
Granada, Spain, 18012
Hosp. Univ. San Cecilio
L'Hospitalet de Llobregat, Spain, 08907
Hosp. Univ. de Bellvitge
Madrid, Spain, 28040
Hosp. Clinico San Carlos
Madrid, Spain, 28041
Hosp. Univ. 12 de Octubre
Madrid, Spain, 28034
Hosp. Univ. Ramon Y Cajal
Madrid, Spain, 28046
Hosp. Univ. La Paz
Madrid, Spain, 28006
Hosp. Univ. de La Princesa
Madrid, Spain, 28660
Hosp. Univ. Hm Monteprincipe
Mataro, Spain, 08304
Hosp. De Mataro
Santiago de Compostela, Spain, 15706
Hosp. Clinico Univ. de Santiago
Terrassa, Spain, 08221
Hosp. Mutua Terrassa
Vigo, Spain, 36312
Hosp. Alvaro Cunqueiro
Sweden
Malmö, Sweden, 205 02
Department for Heart Failure and Valvular Disease
Umeå, Sweden, 901 87
Norrlands Universitetssjukhus
Uppsala, Sweden, 75185
Akademiska sjukhuset
Taiwan
Kaohsiung, Taiwan, 80756
Kaohsiung Medical University Chung-Ho Memorial Hospital
Taipei, Taiwan, 10002
National Taiwan University Hospital
Taipei, Taiwan, 114
Tri-Service General Hospital
Taipei, Taiwan, 116
Taipei Medical University-Wan Fang Hospital
Thailand
Bangkok, Thailand, 10700
Siriraj Hospital
Muang, Thailand, 40002
Srinagarind Hospital
Muang, Thailand, 11000
Bamrasnaradura Infectious Disease Institute
Wattana, Thailand, 10110
Bumrungrad Hospital
Turkey
Ankara, Turkey, 06100
Hacettepe University Medical Faculty
Aydin, Turkey, 09100
Adnan Menderes University
Diyarbakir, Turkey, 21280
Dicle University Medical Faculty
Kocaeli, Turkey, 41380
Kocaeli University Medical Faculty
Samanpazari, Altindag, Turkey, 06100
Hacettepe University Medical Faculty
Trabzon, Turkey, 61100
Karadeniz Teknik University Medical Faculty
Ukraine
Kharkiv, Ukraine, 61096
Kharkiv MA of PGE Ch of inf.dis. BO Kharkiv Reg.Cl.inf.Hosp.
Kyiv, Ukraine, 1601
Kyiv Oleksandrivska Clinical Hospital
Poltava, Ukraine, 36000
Poltava Regional Clinical Hospital HSEI of Ukraine Ukrainian Medical Stomatological Academy
Vinnytsia, Ukraine, 21021
CCH #1 Vinnytsia M.I. Pyrogov NMU Ch of Propaedeutics of IM
Zhytomyr, Ukraine, 10002
Communal Institution Central City Hospital
United Kingdom
Aberdeen, United Kingdom, AB25 2ZB
Aberdeen Royal Infirmary
Edinburgh, United Kingdom, EH4 2XU
Western General Hospital
Leeds, United Kingdom, LS1 3EX
Leeds General Infirmary
Manchester, United Kingdom, M8 5RB
North Manchester General Hospital
Taunton, United Kingdom, TA1 5DA
Musgrove Park Hospital
United States
Alabama
Birmingham, Alabama, United States, 35233
University of Alabama at Birmingham
Arkansas
Jonesboro, Arkansas, United States, 72401
NEA Baptist Clinic
California
Fresno, California, United States, 93701
UCSF Fresno
Long Beach, California, United States, 90806
Miller Children's at Long Beach Medical Center
Stanford, California, United States, 94306-5640
Stanford University School of Medicine
Florida
Santa Rosa Beach, Florida, United States, 32459
Destin Pulmonary Critical Care, PLLS.
Georgia
Atlanta, Georgia, United States, 30342
Northside Hospital
Augusta, Georgia, United States, 30912
Augusta University
Maryland
Annapolis, Maryland, United States, 21401
Anne Arundel Medical Center
Baltimore, Maryland, United States, 21201-1595
University of Maryland Medical Center
Massachusetts
Boston, Massachusetts, United States, 02114
Massachusetts General Hospital
Michigan
Detroit, Michigan, United States, 48202
Henry Ford Hospital
Detroit, Michigan, United States, 48201
Wayne State Univ School of Medicine
Detroit, Michigan, United States, 97205
Wayne State University
Kalamazoo, Michigan, United States, 49008
Western Michigan University Homer Stryker M.D. School of Medicine Center for Clinical Research
Royal Oak, Michigan, United States, 48073
William Beaumont Hospital
Troy, Michigan, United States, 48085
William Beaumont Hospital
Minnesota
Minneapolis, Minnesota, United States, 55455
Regents of the University of Minnesota
Missouri
Saint Louis, Missouri, United States, 63110
Washington University
Montana
Butte, Montana, United States, 59701
Mercury Street Medical Group, PLLC
New Jersey
Newark, New Jersey, United States, 07102
Saint Michael's Medical Center
Teaneck, New Jersey, United States, 07666
Holy Name Medical Center
New York
Bronx, New York, United States, 10467
Montefiore Medical Center PRIME
Ohio
Cincinnati, Ohio, United States, 45229
UC Health LLC
Rhode Island
Providence, Rhode Island, United States, 02903
Rhode Island Hospital
South Carolina
Charleston, South Carolina, United States, 29414
Lowcountry Infectious Diseases
Texas
Dallas, Texas, United States, 75390
University of Texas Southwestern Medical Center
Tomball, Texas, United States, 77375
DM Clinical Research
Vietnam
Hanoi, Vietnam, 100000
Bach Mai Hospital
Hanoi, Vietnam, 100000
National Hospital for Tropical Diseases
Hanoi, Vietnam
Thanh Nhan Hospital
Ho Chi Minh, Vietnam
Nguyen Tri Phuong Hospital
Ho Chi Minh, Vietnam
Children's Hospital 1
Ho Chi Minh, Vietnam
Children's Hospital 2
Participation Criteria
Researchers look for people who fit a certain description, called eligibility criteria. Some examples of these criteria are a person's general health condition or prior treatments.
Eligibility Criteria
Ages Eligible for Study
13 years to 85 years (ADULT, OLDER_ADULT, CHILD)
Accepts Healthy Volunteers
No
Genders Eligible for Study
All
Description
Inclusion Criteria:
Tested positive for influenza A infection after the onset of symptoms using a polymerase chain reaction (PCR)-based or other rapid molecular diagnostic assay
Requires hospitalization to treat influenza infection and/or to treat complications of influenza infection (for example, radiological signs of lower respiratory tract disease, septic shock, central nervous system [CNS] involvement, myositis, rhabdomyolysis, acute exacerbation of chronic kidney disease, severe dehydration, myocarditis, pericarditis, ischemic heart disease, exacerbation of underlying chronic pulmonary disease, including asthma, chronic obstructive pulmonary disease [COPD], decompensation of previously controlled diabetes mellitus), including participants admitted to the Intensive Care Unit (ICU)
Enrollment and initiation of study drug treatment less than or equal to (<=)96 hours after onset of influenza symptoms
Being on invasive mechanical ventilation or having a peripheral capillary oxygen saturation (SpO2) less than (<)94 percent (%) on room air during screening.
Participants with known pre-influenza SpO2 <94% must have an SpO2 decline greater than or equal to (>=)3% from pre-influenza SpO2 during screening
Having a screening/baseline National Early Warning Score 2 (NEWS2) of >=4
Exclusion Criteria:
Received more than 3 doses of influenza antiviral medication (for example, oseltamivir [OST] or zanamivir), or any dose of ribavarin (RBV) within 2 weeks, prior to first study drug intake.
Received intravenous (IV) peramivir more than one day prior to screening
Unstable angina pectoris or myocardial infarction within 30 days prior to screening (inclusive)
Presence of clinically significant heart arrhythmias, uncontrolled, unstable atrial arrhythmia, or sustained ventricular arrhythmia, or risk factors for Torsade de Pointes syndrome
Known severe hepatic impairment (Child Pugh C cirrhosis) or chronic hepatitis C infection undergoing hepatitis C antiviral therapy
Severely immunocompromised in the opinion of the investigator (for example, known cluster of differentiation 4 plus [CD4+] count <200 cells per cubic millimeter [cells/mm^3], absolute neutrophil count <750/mm^3, first course of chemotherapy completed within 2 weeks prior to screening, history of stem cell transplant within 1 year prior to screening, any history of a lung transplant)
Known allergies, hypersensitivity, or intolerance to pimodivir or its excipients
Study Plan
This section provides details of the study plan, including how the study is designed and what the study is measuring.
How is the study designed?
Design Details
Primary Purpose : TREATMENT
Allocation : RANDOMIZED
Interventional Model : PARALLEL
Masking : DOUBLE
Number of Arms
2
Arms and Interventions
Participant Group / Arm Intervention / Treatment
EXPERIMENTAL: Treatment Arm 1 (pimodivir + Standard-of-Care [SOC] treatment)
Participants will receive pimodivir 600 milligram (mg) orally twice daily for 5 days (on Days 1 through 5; for participants who will receive only 1 dose of pimodivir on Day 1 [evening], dosing will continue until the morning of Day 6) along with SOC treatment.
Participants who meet all treatment extension criteria as defined in the protocol may receive an additional 5 day course of same treatment as received at study start.
The SOC treatment is determined by investigator based on local practice, may include influenza antivirals and/or supportive care only.
The choice to use influenza antivirals as part of SOC should be started no later than the day when participants initially receive pimodivir.
An influenza antiviral as part of SOC cannot be changed (example, switching one influenza antiviral for another) during either treatment period or extension phase, with the exception that an influenza antiviral may be discontinued in case of suspected adverse event (AE).
Drug: Pimodivir 600 mg
Participants will receive pimodivir 600 mg orally twice daily for 5 days (on Days 1 through 5; for participants who will receive only 1 dose of pimodivir on Day 1 [evening], dosing will continue until the morning of Day 6).
Participants who meet treatment extension criteria may receive an additional 5 day course of the same treatment as received at study start (on Days 6 through 10).
Other: SOC Treatment
Participants may receive SOC treatment as a part of background therapy.
The SOC treatment is determined by the investigator based on local practice, and may include influenza antivirals and/or supportive care only.
The choice to use influenza antivirals as part of the SOC should be started no later than the day when participants initially receive pimodivir.
An influenza antiviral as part of the SOC cannot be changed (for example, switching one influenza antiviral for another) during either the treatment period or extension phase, with the exception that an influenza antiviral may be discontinued in the case of a suspected AE.
PLACEBO_COMPARATOR: Treatment Arm 2 (placebo + SOC treatment)
Participants will receive placebo matching to pimodivir orally twice daily for 5 days (on Days 1 through 5; for participants who will receive only 1 dose of placebo on Day 1 [evening], dosing will continue until morning of Day 6) along with SOC treatment.
Participants who meet all treatment extension criteria as defined in protocol may receive an additional 5 day course of same treatment as received at study start.
The SOC treatment determined by investigator based on local practice, may include influenza antivirals and/or supportive care only.
The choice to use influenza antivirals as part of the SOC should be made before randomization.
The influenza antiviral should be started no later than day of first study drug intake.
An influenza antiviral as part of the SOC cannot be changed (for example, switching one influenza antiviral for another) during either treatment period/extension phase, with the exception that an influenza antiviral may be discontinued in case of a suspected AE.
Other: SOC Treatment
Participants may receive SOC treatment as a part of background therapy.
The SOC treatment is determined by the investigator based on local practice, and may include influenza antivirals and/or supportive care only.
The choice to use influenza antivirals as part of the SOC should be started no later than the day when participants initially receive pimodivir.
An influenza antiviral as part of the SOC cannot be changed (for example, switching one influenza antiviral for another) during either the treatment period or extension phase, with the exception that an influenza antiviral may be discontinued in the case of a suspected AE.
Drug: Placebo
Participants will receive placebo matching to pimodivir, orally twice daily for 5 days (on Days 1 through 5; for participants who will receive only 1 dose of placebo on Day 1 [evening], dosing will continue until the morning of Day 6).
Participants who meet treatment extension criteria may receive an additional 5 day course of the same treatment as received at study start (on Days 6 through 10).
What is the study measuring?
Primary Outcome Measures
Outcome Measure Measure Description
Time Frame
Number of Participants With Hospital Recovery Scale on Day 6
Time Frame: Day 6
The hospital recovery scale assesses a participant's clinical status.
The scale provides 6 mutually exclusive conditions ordered from best to worst: 1) not hospitalized; 2) non-ICU hospitalization, not requiring supplemental oxygen; 3) non-ICU hospitalization, requiring supplemental oxygen; 4) admitted to the ICU, not requiring invasive mechanical ventilation; 5) requiring invasive mechanical ventilation; and 6) death.
Day 6
Secondary Outcome Measures
Outcome Measure Measure Description
Time Frame
Time to Hospital Discharge
Time Frame: Up to Day 33
The time to hospital discharge was defined as the time from start of study drug to hospital discharge.
Up to Day 33
Number of Participants With Adjudicated Influenza Complications
Time Frame: Up to Day 33
Influenza complications include pulmonary complications (such as respiratory failure, primary viral pneumonia, secondary bacterial pneumonia [including pneumonia attributable to unusual pathogens], exacerbations of chronic underlying pulmonary diseases such as chronic obstructive pulmonary disease [COPD] and asthma) and extrapulmonary complications (such as cardiovascular and cerebrovascular diseases [for example, myocardial infarction, congestive heart failure, arrhythmia, stroke], muscular disorders [for example, myositis, rhabdomyolysis], central nervous system [CNS] involvement, acute exacerbation of chronic kidney disease, decompensation of previously controlled diabetes mellitus, other infections [for example, sinusitis and otitis]).
Up to Day 33
Viral Load Over Time
Time Frame: Baseline, Days 1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 14 and 19
Viral load over time was measured by quantitative real time polymerase chain reaction (qRT-PCR) and viral culture in the mid-turbinate (MT) nasal swabs and endotracheal samples.
Baseline, Days 1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 14 and 19
Number of Participants With Adverse Events as a Measure of Safety and Tolerability
Time Frame: Up to Day 33
An adverse event is any untoward medical event that occurs in a participant administered an investigational product, and it does not necessarily indicate only events with clear causal relationship with the relevant investigational product.
Up to Day 33
Number of Participants With Emergence of Viral Resistance to Pimodivir
Time Frame: Up to Day 33
Emergence of viral resistance to Pimodivir was detected by genotyping and/or phenotyping.
Nasal MT swabs and endotracheal samples were used for sequence analysis of the polymerase basic protein (PB)2 region of the influenza polymerase gene, and of neuraminidase (NA) genes for participants using an NA inhibitor (NAI) as part of their Standard of Care (SOC).
Up to Day 33
Plasma Concentration of Pimodivir
Time Frame: Day 1: 1 hour30minutes to 6 hours postdose, Day 3: Predose, Day 5: Predose and 1 hour30minutes to 6 hours postdose, Day 6: 12 hours postdose
Plasma concentration of Pimodivir was reported.
Day 1: 1 hour30minutes to 6 hours postdose, Day 3: Predose, Day 5: Predose and 1 hour30minutes to 6 hours postdose, Day 6: 12 hours postdose
Number of Participants With Clinically Significant Changes in Laboratory Tests
Time Frame: Up to Day 33
Number of participants with clinically significant changes in laboratory tests were reported.
Blood samples for hematology, serum chemistry, and urinalysis were collected at predefined time points for clinical laboratory testing.
Up to Day 33
Number of Participants With Clinically Significant Changes in Electrocardiogram (ECG)
Time Frame: Up to Day 33
Number of participants with clinically significant changes in Electrocardiogram (ECG) was reported.
Up to Day 33
Number of Participants With Clinically Significant Changes in Vital Signs
Time Frame: Up to Day 33
Number of participants with clinically significant changes in vital signs (temperature, pulse rate, respiratory rate and blood pressure) was reported.
Up to Day 33
Collaborators and Investigators
This is where you will find people and organizations involved with this study.
Sponsor
Janssen Research & Development, LLC
Publications and helpful links
The person responsible for entering information about the study voluntarily provides these publications. These may be about anything related to the study.
General Publications
Young B, Tan TT, Leo YS. The place for remdesivir in COVID-19 treatment. Lancet Infect Dis. 2021 Jan;21(1):20-21. doi: 10.1016/S1473-3099(20)30911-7. Epub 2020 Nov 26. No abstract available.
Study record dates
These dates track the progress of study record and summary results submissions to ClinicalTrials.gov. Study records and reported results are reviewed by the National Library of Medicine (NLM) to make sure they meet specific quality control standards before being posted on the public website.
Study Major Dates
Study Start (ACTUAL)
January 3, 2018
Primary Completion (ACTUAL)
March 31, 2020
Study Completion (ACTUAL)
April 30, 2020
Study Registration Dates
First Submitted
December 12, 2017
First Submitted That Met QC Criteria
December 12, 2017
First Posted (ACTUAL)
December 18, 2017
Study Record Updates
Last Update Posted (ACTUAL)
April 14, 2021
Last Update Submitted That Met QC Criteria
March 19, 2021
Last Verified
March 1, 2021
More Information
Terms related to this study
Additional Relevant MeSH Terms
RNA Virus Infections
Virus Diseases
Infections
Respiratory Tract Infections
Respiratory Tract Diseases
Orthomyxoviridae Infections
Influenza, Human
Other Study ID Numbers
CR108399
2017-002156-84 (EUDRACT_NUMBER)
63623872FLZ3001 (OTHER: Janssen Research & Development, LLC)
Drug and device information, study documents
Studies a U.S. FDA-regulated drug product
Yes
Studies a U.S. FDA-regulated device product
No
This information was retrieved directly from the website clinicaltrials.gov
without any changes. If you have any requests to change, remove or update your study details, please contact
register@clinicaltrials.gov
. As soon as a change is implemented on clinicaltrials.gov
, this will be updated automatically on our website as well.
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NCT03381196
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A Study to Evaluate the Efficacy and Safety of Pimodivir in Combination With the Standard-of-Care Treatment in Adolescent, Adult, and Elderly Non-Hospitalized Participants With Influenza A Infection Who Are at Risk of Developing Complications
Influenza A
Sponsors and Collaborators
Pfizer
Assiut University
Mark Garzotto, MD
GlaxoSmithKline
National Cancer Institute (NCI)
Novartis Pharmaceuticals
Prapaporn Suprasert
Cellceutix Corporation
Mayo Clinic
Cairo University
Westat
Centro de Pesquisas Oncológicas de Florianópolis
Sheffield Network North Primary Care Network (PCN)
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LunGuard Ltd.
M.D. Anderson Cancer Center
Assistance Publique - Hôpitaux de Paris
Accord Clinical Research
Fagotti, Anna, M.D.
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Subjects With Varying Degrees of Renal Insufficiency and
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Online CBT Targeting Cardiac Anxiety
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BS01
E2307
paclitaxel
combination chemotherapy (pemetrexed + cisplatin)
11(R)-rolipram
Prednisone
Cyclophosphamide
Reference, Patch location abdomen, batch 1
Capecitabine
carboplatin
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Example: Heart Attack | https://ichgcp.net/clinical-trials-registry/NCT03376321 |
For young football players, some tackling drills can pose higher injury risks than games | EurekAlert! Science News
Researchers used biomechanical sensors to investigate exposure to head impacts during practice sessions and games in 9- to 11-year-olds engaged in a youth football program. A higher proportion of head impacts greater than 60g occurred in tackling drills than in games. The findings may influence the structure of training for youth football teams.
For young football players, some tackling drills can pose higher injury risks than games
IMAGE:In each 90-minute practice session, teams spent an average of 50 minutes practicing drills. A 10-minute reduction split between Tackling, Blocking, and Offense vs Defense drills would result in a...view more
Credit: Copyright 2016 AANS.
CHARLOTTESVILLE, VA (AUGUST 23, 2016). Seventy percent of football players in the US are youths 9 to 14 years of age, yet most data on head impacts sustained in this sport have been from high school, college, and professional football players. This makes it difficult to make informed decisions on how best to structure practices and games to protect younger players from concussion. A new study reported in the Journal of Neurosurgery: Pediatricswill hopefully change that. It focuses on these younger players and the head impacts they sustain throughout the football season and offers suggestions to reduce the risk of high-magnitude head impacts.
Researchers from the Department of Biomedical Engineering and Mechanics at Virginia Tech (Eamon T. Campolettano, BS, Steven Rowson, PhD, and Stefan M. Duma, PhD) used biomechanical sensors to investigate exposure to head impacts in 9- to 11-year-olds engaged in a youth football program. The authors focused on two teams comprising a total of 34 players. Inside each youth's football helmet was an accelerometer array that recorded all head accelerations associated with head impacts and sent this information to a nearby computer. Videos of practice sessions and games were used to verify these head impacts. The object of the study was to identify specific football drills that result in high-magnitude head impacts (measured as head accelerations greater than 40g). The findings of the study are reported in the article "Drill-specific head impact exposure in youth football practice" (published online today in theJournal of Neurosurgery : Pediatrics).
Data were collected throughout an entire youth football season consisting of 55 practice sessions and 10 games. In 408 instances, the authors identified head acceleration measuring 40g or higher, indicating a high-magnitude impact. One hundred eighteen (118) head impacts exceeded 60g acceleration and 59 impacts exceeded 70g.
Seventy percent (314) of these high-magnitude head impacts occurred during practice sessions--a finding unlike that seen in older football players, for whom high-magnitude impacts are more often sustained during games.
Nine types of practice drills were identified: four tackling drills and five skill drills. The authors found a greater number of high-magnitude head impacts associated with tackling drills than with skill drills, even though tackling drills were conducted only half as often as offense or defense skill drills. The authors also identified a higher proportion of impacts greater than 60g in tackling drills (40%-50%) than in games (25%).
King of the Circle, a tackling drill in which a player holding the ball must rush from the middle of the circle through players guarding the circle perimeter, had the greatest rate of impacts--far higher than those of other tackling drills or games.
Although only 22% of practice sessions were spent on tackling or blocking drills, the data showed that these drills led to 86% of all high-magnitude head impacts sustained during practice. Based on their findings, the authors suggest that a 10-minute reduction of time spent on tackling and blocking drills during each practice session could reduce the number of high-magnitude head impacts by 38%. Since the very high impact rate of King of the Circle is not representative of that found in game play, the authors suggest that this drill be entirely eliminated from practice sessions.
Armed with the knowledge of which drills are more likely associated with severe head impacts as well as which drills produce greater numbers of head impacts per hour, the authors believe that coaches and league organizers can develop a practice structure that will reduce exposure to high-magnitude head impacts.
When asked about the importance of the study, Dr. Rowson said, "Ultimately, the number of concussions players sustain is related to the severity and number of head impacts that they experience. This study provides the first data describing activity-specific head impacts in youth football practices and identifies high-risk drills. This is valuable information that can enable data-driven decisions on engineering a safer sport."
Journal of Neurosurgery Publishing Group
Journal
Journal of Neurosurgery: Pediatrics
Funder
NIH/National Institute of Neurological Disorders and Stroke
Keywords
| https://archive.eurekalert.org/pub_releases/2016-08/jonp-fyf081716.php |
CME Activity | Coronary Arterial Pressure Evaluation | MDs & PAs
https://www.statpearls.com/physician/cme/activity/85605/?specialty=Cardiology-Nuclear& deg=MD
Coronary Arterial Pressure Evaluation
Overview
4.5 out of 5 (4 Reviews)
Credits
1.00
Post Assessment Questions
5
Expiration Date
28 Feb 2026
Last Reviewed
1 Mar 2023
Estimated Time To Finish
60 Minutes
Activity Description
Coronary artery pressure measurement is fundamental in treating angiographically intermediate lesions. Inappropriate percutaneous coronary intervention (PCI) in non-flow limiting coronary stenosis can lead lead to complications of stent thrombosis and a potential increase in mortality. It is, thus, important to understand physiological interpretation to guide coronary revascularization. This activity reviews coronary arterial pressure measurement tools and highlights the role of the interventional cardiology team in improving the clinical outcomes of patients undergoing PCI.
Target Audience
This activity has been designed to meet the educational needs of physicians.
Learning Objectives
At the conclusion of this activity, the learner will be better able to:
Identify the indications of physiological assessment using FFR and iFR.
Describe the technical aspects of performing a coronary pressure measurement with iFR.
Outline appropriate evaluation of the potential complications and clinical significance of coronary arterial pressure measurement.
Describe interprofessional team strategies for improving care coordination and communication to advance coronary artery pressure measurements and improve outcomes.
Disclosures
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COMMERCIAL SUPPORT: This activity has received NO commercial support.
Authors: Arvind Reddy Devanabanda
Editors: Hemindermeet Singh
Editors-In-Chief: Amgad N. Makaryus Samir Samarany Pirbhat Shams Chief Medical Reviewer: Maheswara S. Golla
Nurse Planner/Reviewer: Sandra Coleman
Pharmacy Planner/Reviewer: Mark V. Pellegrini
Physician Planner/Reviewer: Scott C. Dulebohn
Continuing Education Accreditation Information
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Quillen College of Medicine, East Tennessee State University designates this activity for a
maximum of
1.00
AMA PRA Category 1 Credits TM
.
Physicians should only claim credit commensurate with the extent of their participation in the activity.
This activity is reported to the following Maintenance of Certification (MOC) boards:
American Board of Anesthesiology
Cardiac Anesthesia
American Board of Internal Medicine
Adult Congenital Heart Disease
Advanced Heart Failure and Transplant Cardiology
Cardiovascular Disease
Clinical Cardiac Electrophysiology
Interventional Cardiology
American Board of Pathology
Cardiovascular
American Board of Pediatrics
Pediatric Cardiology
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1 Chronicles 27 NKJV KJV Parallel
Bible > 1 Chronicles > 1 Chronicles 27 ◄ 1 Chronicles 27 ► NKJV Parallel KJV [BSB CSB ESV HCS KJV ISV NAS NET NIV NLT HEB] New King James Version King James Bible 1 And the children of Israel, according to their number, the heads of fathers’ houses, the captains of thousands and hundreds and their officers, served the king in every matter of the military divisions. These divisions came in and went out month by month throughout all the months of the year, each division having twenty-four thousand. 1 Now the children of Israel after their number, to wit , the chief fathers and captains of thousands and hundreds, and their officers that served the king in any matter of the courses, which came in and went out month by month throughout all the months of the year, of every course were twenty and four thousand. 2 Over the first division for the first month was Jashobeam the son of Zabdiel, and in his division were twenty-four thousand; 2 Over the first course for the first month was Jashobeam the son of Zabdiel: and in his course were twenty and four thousand. 3 he was of the children of Perez, and the chief of all the captains of the army for the first month. 3 Of the children of Perez was the chief of all the captains of the host for the first month. 4 Over the division of the second month was Dodai an Ahohite, and of his division Mikloth also was the leader; in his division were twenty-four thousand. 4 And over the course of the second month was Dodai an Ahohite, and of his course was Mikloth also the ruler: in his course likewise were twenty and four thousand. 5 The third captain of the army for the third month was Benaiah, the son of Jehoiada the priest, who was chief; in his division were twenty-four thousand. 5 The third captain of the host for the third month was Benaiah the son of Jehoiada, a chief priest: and in his course were twenty and four thousand. 6 This was the Benaiah who was mighty among the thirty, and was over the thirty; in his division was Ammizabad his son. 6 This is that Benaiah, who was mighty among the thirty, and above the thirty: and in his course was Ammizabad his son. 7 The fourth captain for the fourth month was Asahel the brother of Joab, and Zebadiah his son after him; in his division were twenty-four thousand. 7 The fourth captain for the fourth month was Asahel the brother of Joab, and Zebadiah his son after him: and in his course were twenty and four thousand. 8 The fifth captain for the fifth month was Shamhuth the Izrahite; in his division were twenty-four thousand. 8 The fifth captain for the fifth month was Shamhuth the Izrahite: and in his course were twenty and four thousand. 9 The sixth captain for the sixth month was Ira the son of Ikkesh the Tekoite; in his division were twenty-four thousand. 9 The sixth captain for the sixth month was Ira the son of Ikkesh the Tekoite: and in his course were twenty and four thousand. 10 The seventh captain for the seventh month was Helez the Pelonite, of the children of Ephraim; in his division were twenty-four thousand. 10 The seventh captain for the seventh month was Helez the Pelonite, of the children of Ephraim: and in his course were twenty and four thousand. 11 The eighth captain for the eighth month was Sibbechai the Hushathite, of the Zarhites; in his division were twenty-four thousand. 11 The eighth captain for the eighth month was Sibbecai the Hushathite, of the Zarhites: and in his course were twenty and four thousand. 12 The ninth captain for the ninth month was Abiezer the Anathothite, of the Benjamites; in his division were twenty-four thousand. 12 The ninth captain for the ninth month was Abiezer the Anetothite, of the Benjamites: and in his course were twenty and four thousand. 13 The tenth captain for the tenth month was Maharai the Netophathite, of the Zarhites; in his division were twenty-four thousand. 13 The tenth captain for the tenth month was Maharai the Netophathite, of the Zarhites: and in his course were twenty and four thousand. 14 The eleventh captain for the eleventh month was Benaiah the Pirathonite, of the children of Ephraim; in his division were twenty-four thousand. 14 The eleventh captain for the eleventh month was Benaiah the Pirathonite, of the children of Ephraim: and in his course were twenty and four thousand. 15 The twelfth captain for the twelfth month was Heldai the Netophathite, of Othniel; in his division were twenty-four thousand. 15 The twelfth captain for the twelfth month was Heldai the Netophathite, of Othniel: and in his course were twenty and four thousand. 16 Furthermore, over the tribes of Israel: the officer over the Reubenites was Eliezer the son of Zichri; over the Simeonites, Shephatiah the son of Maachah; 16 Furthermore over the tribes of Israel: the ruler of the Reubenites was Eliezer the son of Zichri: of the Simeonites, Shephatiah the son of Maachah: 17 over the Levites, Hashabiah the son of Kemuel; over the Aaronites, Zadok; 17 Of the Levites, Hashabiah the son of Kemuel: of the Aaronites, Zadok: 18 over Judah, Elihu, one of David’s brothers; over Issachar, Omri the son of Michael; 18 Of Judah, Elihu, one of the brethren of David: of Issachar, Omri the son of Michael: 19 over Zebulun, Ishmaiah the son of Obadiah; over Naphtali, Jerimoth the son of Azriel; 19 Of Zebulun, Ishmaiah the son of Obadiah: of Naphtali, Jerimoth the son of Azriel: 20 over the children of Ephraim, Hoshea the son of Azaziah; over the half-tribe of Manasseh, Joel the son of Pedaiah; 20 Of the children of Ephraim, Hoshea the son of Azaziah: of the half tribe of Manasseh, Joel the son of Pedaiah: 21 over the half- tribe of Manasseh in Gilead, Iddo the son of Zechariah; over Benjamin, Jaasiel the son of Abner; 21 Of the half tribe of Manasseh in Gilead, Iddo the son of Zechariah: of Benjamin, Jaasiel the son of Abner: 22 over Dan, Azarel the son of Jeroham. These were the leaders of the tribes of Israel. 22 Of Dan, Azareel the son of Jeroham. These were the princes of the tribes of Israel. 23 But David did not take the number of those twenty years old and under, because the LORD had said He would multiply Israel like the stars of the heavens. 23 But David took not the number of them from twenty years old and under: because the LORD had said he would increase Israel like to the stars of the heavens. 24 Joab the son of Zeruiah began a census, but he did not finish, for wrath came upon Israel because of this census; nor was the number recorded in the account of the chronicles of King David. 24 Joab the son of Zeruiah began to number, but he finished not, because there fell wrath for it against Israel; neither was the number put in the account of the chronicles of king David. 25 And Azmaveth the son of Adiel was over the king’s treasuries; and Jehonathan the son of Uzziah was over the storehouses in the field, in the cities, in the villages, and in the fortresses. 25 And over the king's treasures was Azmaveth the son of Adiel: and over the storehouses in the fields, in the cities, and in the villages, and in the castles, was Jehonathan the son of Uzziah: 26 Ezri the son of Chelub was over those who did the work of the field for tilling the ground. 26 And over them that did the work of the field for tillage of the ground was Ezri the son of Chelub: 27 And Shimei the Ramathite was over the vineyards, and Zabdi the Shiphmite was over the produce of the vineyards for the supply of wine. 27 And over the vineyards was Shimei the Ramathite: over the increase of the vineyards for the wine cellars was Zabdi the Shiphmite: 28 Baal-Hanan the Gederite was over the olive trees and the sycamore trees that were in the lowlands, and Joash was over the store of oil. 28 And over the olive trees and the sycomore trees that were in the low plains was Baalhanan the Gederite: and over the cellars of oil was Joash: 29 And Shitrai the Sharonite was over the herds that fed in Sharon, and Shaphat the son of Adlai was over the herds that were in the valleys. 29 And over the herds that fed in Sharon was Shitrai the Sharonite: and over the herds that were in the valleys was Shaphat the son of Adlai: 30 Obil the Ishmaelite was over the camels, Jehdeiah the Meronothite was over the donkeys, 30 Over the camels also was Obil the Ishmaelite: and over the asses was Jehdeiah the Meronothite: 31 and Jaziz the Hagrite was over the flocks. All these were the officials over King David’s property. 31 And over the flocks was Jaziz the Hagerite. All these were the rulers of the substance which was king David's. 32 Also Jehonathan, David’s uncle, was a counselor, a wise man, and a scribe; and Jehiel the son of Hachmoni was with the king’s sons. 32 Also Jonathan David's uncle was a counseller, a wise man, and a scribe: and Jehiel the son of Hachmoni was with the king's sons: 33 Ahithophel was the king’s counselor, and Hushai the Archite was the king’s companion. 33 And Ahithophel was the king's counseller: and Hushai the Archite was the king's companion: 34 After Ahithophel was Jehoiada the son of Benaiah, then Abiathar. And the general of the king’s army was Joab. 34 And after Ahithophel was Jehoiada the son of Benaiah, and Abiathar: and the general of the king's army was Joab. The Holy Bible, New King James Version, Copyright © 1982 Thomas Nelson. All rights reserved. King James Bible, text courtesy of BibleProtector.com . Bible Hub
| https://biblehub.com/p/nkjv/kjv/1_chronicles/27.shtml |
Sensor-Based Decision Support for the Allocation of Patient Attendants in Hospitals | Request PDF
Request PDF | Sensor-Based Decision Support for the Allocation of Patient Attendants in Hospitals | In hospitals, patient attendants are often necessary in order to closely monitor patients with high risk of self-endangering actions and... | Find, read and cite all the research you need on ResearchGate
ETH Zurich
Philip Kyburz
Kai-Uwe Schmitt
Bern University of Applied Sciences / University Hospital of Bern / AGU Zürich / ETH Zürich
Thomas Bürkle
Friedrich-Alexander-University of Erlangen-Nürnberg
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Abstract
In hospitals, patient attendants are often necessary in order to closely monitor patients with high risk of self-endangering actions and reactions. However, such additional monitoring of patients is associated with high costs. In this paper, we describe a technical infrastructure for monitoring the patient's activities, which helps to assess whether an attendant should be requested. It was central to for us to use non-invasive sensors and to exploit a variety of patient data such as heart rate, micro-activity and oxygen saturation.
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AVONEX- interferon beta-1a kit AVONEX PEN- interferon beta-1a injection, solution AVONEX- interferon beta-1a injection, solution
Drug interactions, ingredients, warnings, and packaging details.
AVONEX- interferon beta-1a kit
AVONEX PEN- interferon beta-1a injection, solution
AVONEX- interferon beta-1a injection, solution
Avonex by
Drug Labeling and Warnings
Avonex by is a Prescription medication manufactured, distributed, or labeled by Biogen Inc.. Drug facts, warnings, and ingredients follow.
Drug Details [ pdf ]
HIGHLIGHTS OF PRESCRIBING INFORMATION
These highlights do not include all the information needed to use AVONEX safely and effectively. See full prescribing information for AVONEX. AVONEX (interferon beta-1a) injection, for intramuscular injection Initial U.S. Approval: 1996
RECENT MAJOR CHANGES
Indications and Usage ( 1 ) 07/2019 Dosage and Administration, Important Administration Instructions ( 2.2 ) 03/2020 Contraindications ( 4 ) 03/2020
INDICATIONS AND USAGE
AVONEX is for the treatment of relapsing forms of multiple sclerosis (MS), to include clinically isolated syndrome, relapsing-remitting disease, and active secondary progressive disease, in adults. (1)
DOSAGE AND ADMINISTRATION
For intramuscular use only ( 2.1 )
Recommended dose: 30 micrograms once a week ( 2.1 )
AVONEX may be titrated, starting with 7.5 micrograms for first week, to reduce flu-like symptoms ( 2.1 )
Increase dose by 7.5 micrograms each week for next 3 weeks until recommended dose of 30 micrograms ( 2.1 )
See patient instructions for use for complete administration instructions ( 2.2 )
Perform first injection under the supervision of an appropriately qualified health care professional ( 2.2 )
Analgesics and/or antipyretics on treatment days may help ameliorate flu-like symptoms ( 2.3 )
DOSAGE FORMS AND STRENGTHS
Injection: 30 micrograms per 0.5 mL solution in single-dose prefilled syringe ( 3 )
Injection: 30 micrograms per 0.5 mL solution in single-dose prefilled autoinjector ( 3 )
CONTRAINDICATIONS
History of hypersensitivity to natural or recombinant interferon beta, albumin or any other component of the formulation ( 4 )
WARNINGS AND PRECAUTIONS
Depression, Suicide, and Psychotic Disorders: advise patients to immediately report any symptoms of depression, suicidal ideation, and/or psychosis; consider discontinuation of AVONEX if depression occurs ( 5.1 )
Hepatic Injury: monitor liver function tests; monitor patients for signs and symptoms of hepatic injury; consider discontinuation of AVONEX if hepatic injury occurs ( 5.2 , 5.9 )
Anaphylaxis and Other Allergic-Reactions: Discontinue if occurs ( 5.3 )
Congestive Heart Failure: monitor patients with pre-existing significant cardiac disease for worsening of cardiac symptoms ( 5.4 )
Decreased Peripheral Blood Counts: monitor complete blood count ( 5.5 , 5.9 )
Thrombotic Microangiopathy: Cases of thrombotic microangiopathy have been reported. Discontinue AVONEX if clinical symptoms and laboratory findings consistent with TMA occur ( 5.6 )
Autoimmune Disorders: consider discontinuation of AVONEX if new autoimmune disorder occurs ( 5.8 , 5.9 )
ADVERSE REACTIONS
The most common adverse reactions (at least 5% more frequent on AVONEX than on placebo) were flu-like symptoms including chills, fever, myalgia, and asthenia. (6.1)
To report SUSPECTED ADVERSE REACTIONS, contact Biogen at 1-800-456-2255 or FDA at 1-800-FDA-1088 or www.fda.gov/medwatch .
USE IN SPECIFIC POPULATIONS
Pregnancy: Epidemiological data do not suggest a clear relationship between interferon beta use and major congenital malformations, but interferon beta may cause fetal harm based on animal data. ( 8.1 )
See 17 for PATIENT COUNSELING INFORMATION and Medication Guide.
Revised: 3/2020
Table of Contents
FULL PRESCRIBING INFORMATION: CONTENTS *
1 INDICATIONS AND USAGE
2 DOSAGE AND ADMINISTRATION
2.1 Dosing Information
2.2 Important Administration Instructions (All Dosage Forms)
2.3 Premedication for Flu-like Symptoms
3 DOSAGE FORMS AND STRENGTHS
4 CONTRAINDICATIONS
5 WARNINGS AND PRECAUTIONS
5.1 Depression, Suicide, and Psychotic Disorders
5.2 Hepatic Injury
5.3 Anaphylaxis and Other Allergic-Reactions
5.4 Congestive Heart Failure
5.5 Decreased Peripheral Blood Counts
5.6 Thrombotic Microangiopathy
5.7 Seizures
5.8 Autoimmune Disorders
5.9 Laboratory Tests
6 ADVERSE REACTIONS
6.1 Clinical Trials Experience
6.2 Postmarketing Experience
8 USE IN SPECIFIC POPULATIONS
8.1 Pregnancy
8.2 Lactation
8.4 Pediatric Use
8.5 Geriatric Use
11 DESCRIPTION
12 CLINICAL PHARMACOLOGY
12.1 Mechanism of Action
12.2 Pharmacodynamics
12.3 Pharmacokinetics
13 NONCLINICAL TOXICOLOGY
13.1 Carcinogenesis, Mutagenesis, and Impairment of Fertility
14 CLINICAL STUDIES
16 HOW SUPPLIED/STORAGE AND HANDLING
16.1 How Supplied
16.2 Storage and Handling
17 PATIENT COUNSELING INFORMATION
* Sections or subsections omitted from the full prescribing information are not listed.
1 INDICATIONS AND USAGE
AVONEX is indicated for the treatment of relapsing forms of multiple sclerosis (MS), to include clinically isolated syndrome, relapsing-remitting disease, and active secondary progressive disease, in adults.
2 DOSAGE AND ADMINISTRATION
2.1 Dosing Information
AVONEX is administered intramuscularly.
The recommended dose is 30 micrograms once a week. To reduce the incidence and severity of flu-like symptoms that may occur when initiating AVONEX therapy at a dose of 30 micrograms, AVONEX may be started at a dose of 7.5 micrograms and the dose may be increased by 7.5 micrograms each week for the next three weeks until the recommended dose of 30 micrograms is achieved (seeTable 1). An AVOSTARTGRIP™ kit containing 3 titration devices can be used for titration and is to be used only with AVONEX Prefilled Syringes.
Table 1: Schedule for Dose Titration 1Dosed once a week, intramuscularly AVONEX Dose 1 Recommended Dose Week 1 7.5 micrograms 1/4 dose Week 2 15 micrograms 1/2 dose Week 3 22.5 micrograms 3/4 dose Week 4+ 30 micrograms full dose
2.2 Important Administration Instructions (All Dosage Forms)
AVONEX dosage forms (prefilled syringe and prefilled autoinjector) are single-dose. See Patient's Instructions for Use for complete administration instructions.
The first AVONEX injection should be performed under the supervision of an appropriately qualified healthcare professional. If patients or caregivers are to administer AVONEX, train them in the proper intramuscular injection technique and assess their ability to inject intramuscularly to ensure the proper administration of AVONEX.
Advise patients and caregivers to:
Rotate sites for intramuscular injections with each injection to minimize the likelihood of injection site reactions
NOT inject into an area of the body where the skin is irritated, reddened, bruised, infected or scarred in any way
Check the injection site after 2 hours for redness, swelling, or tenderness
Contact their healthcare provider if they have a skin reaction and it does not clear up in a few days
Parenteral drug products should be inspected visually for particulate matter and discoloration prior to administration, whenever solution and container permit.
A 25 gauge, 1” needle for intramuscular injection with AVONEX prefilled syringe may be substituted for the 23 gauge, 1 ¼” needle by the healthcare provider, if deemed appropriate. A 25 gauge, 5/8” needle specific to the prefilled autoinjector is supplied with the AVONEX PEN ®Administration Dose Pack. DO NOTuse any other needle with the autoinjector.
Use safe disposal procedures for needles and syringes. DO NOTre-use needles, prefilled syringes, or autoinjectors. Following the administration of each titrated dose, discard any remaining product.
2.3 Premedication for Flu-like Symptoms
Concurrent use of analgesics and/or antipyretics on treatment days may help ameliorate flu-like symptoms associated with AVONEX use.
3 DOSAGE FORMS AND STRENGTHS
Injection: 30 micrograms per 0.5 mL clear, colorless solution in a single-dose prefilled syringe
Injection: 30 micrograms per 0.5 mL clear, colorless solution in a single-dose prefilled autoinjector
4 CONTRAINDICATIONS
AVONEX is contraindicated in patients with a history of hypersensitivity to natural or recombinant interferon beta, or any other component of the formulation [see Warnings and Precautions ( 5.3 )].
The formerly available lyophilized vial formulation of AVONEX is contraindicated in patients with a history of hypersensitivity to albumin (human).
5 WARNINGS AND PRECAUTIONS
5.1 Depression, Suicide, and Psychotic Disorders
Patients treated with AVONEX and their caregivers should be advised to report immediately any symptoms of depression, suicidal ideation, and/or psychosis to their prescribing physicians. If a patient develops depression or other severe psychiatric symptoms, cessation of AVONEX therapy should be considered.
Depression and suicide have been reported to occur with increased frequency in patients receiving AVONEX. In Study 1, the incidence of depression was similar in placebo-treated and in AVONEX-treated patients, but suicidal tendency was seen more frequently in AVONEX-treated patients (4% in AVONEX group vs. 1% in placebo group). In Study 2, there was a greater incidence of depression in AVONEX-treated patients than in placebo-treated patients (20% in AVONEX group vs. 13% in placebo group) [see Clinical Studies ( 14 )].
Additionally, there have been postmarketing reports of depression, suicidal ideation, and/or development of new or worsening of other pre-existing psychiatric disorders, including psychosis. For some of these patients, symptoms of depression improved upon cessation of AVONEX.
5.2 Hepatic Injury
Severe hepatic injury, including cases of hepatic failure, has been reported rarely in patients taking AVONEX. Asymptomatic elevation of hepatic transaminases has also been reported, and in some patients has recurred upon rechallenge with AVONEX. In some cases, these events have occurred in the presence of other drugs that have been associated with hepatic injury. The potential risk of AVONEX used in combination with known hepatotoxic drugs or other products (e.g., alcohol) should be considered prior to starting AVONEX, or before starting hepatotoxic drugs. Patients should be monitored for signs of hepatic injury [see Warnings and Precautions ( 5.9 )].
5.3 Anaphylaxis and Other Allergic-Reactions
Anaphylaxis has been reported as a rare complication of AVONEX use. Other allergic reactions have included dyspnea, orolingual edema, skin rash and urticaria. Discontinue AVONEX if anaphylaxis or other allergic reactions occur.
5.4 Congestive Heart Failure
Patients with pre-existing congestive heart failure should be monitored for worsening of their cardiac condition during initiation of and continued treatment with AVONEX. While beta interferons do not have any known direct cardiac toxicity, during the postmarketing period cases of congestive heart failure, cardiomyopathy, and cardiomyopathy with congestive heart failure have been reported in patients without known predisposition to these events, and without other etiologies being established. In some cases, these events have been temporally related to the administration of AVONEX. In some of these instances recurrence upon rechallenge was observed.
5.5 Decreased Peripheral Blood Counts
Decreased peripheral blood counts in all cell lines, including rare pancytopenia and thrombocytopenia, have been reported from postmarketing experience in AVONEX-treated patients [see Adverse Reactions ( 6.2 )]. In some cases, platelet counts were below 10,000/microliter. Some cases recurred with rechallenge [see Adverse Reactions ( 6.2 )]. Patients should be monitored for symptoms or signs of decreased blood counts.
5.6 Thrombotic Microangiopathy
Cases of thrombotic microangiopathy (TMA), including thrombotic thrombocytopenic purpura and hemolytic uremic syndrome, some fatal, have been reported with interferon beta products, including AVONEX. Cases have been reported several weeks to years after starting interferon beta products. Discontinue AVONEX if clinical symptoms and laboratory findings consistent with TMA occur, and manage as clinically indicated.
5.7 Seizures
Seizures have been temporally associated with the use of beta interferons in clinical trials and postmarketing safety surveillance. In the two placebo-controlled studies in multiple sclerosis (Studies 1 and 2), 4 patients receiving AVONEX experienced seizures, while no seizures occurred in the placebo group [see Clinical Studies ( 14 )]. Three of these 4 patients had no prior history of seizure [see Adverse Reactions ( 6.1 )]. It is not known whether these events were related to the effects of multiple sclerosis alone, to AVONEX, or to a combination of both.
5.8 Autoimmune Disorders
Postmarketing reports of autoimmune disorders of multiple target organs in AVONEX-treated patients included idiopathic thrombocytopenia, hyper- and hypothyroidism, and rare cases of autoimmune hepatitis. If AVONEX-treated patients develop a new autoimmune disorder, consider stopping the therapy.
5.9 Laboratory Tests
In addition to those laboratory tests normally required for monitoring patients with multiple sclerosis, complete blood and differential white blood cell counts, platelet counts, and blood chemistries, including liver function tests, are recommended during AVONEX therapy [see Warnings and Precautions ( 5.2 , 5.5 , 5.8 )]. Patients with myelosuppression may require more intensive monitoring of complete blood cell counts, with differential and platelet counts. Thyroid function should be monitored periodically. If patients have or develop symptoms of thyroid dysfunction (hypo- or hyperthyroidism), thyroid function tests should be performed according to standard medical practice.
6 ADVERSE REACTIONS
The following serious adverse reactions are discussed in more detail in other sections of labeling:
Depression, Suicide, and Psychotic Disorders [see Warnings and Precautions ( 5.1 ) ]
Hepatic Injury [see Warnings and Precautions ( 5.2 ) ]
Anaphylaxis and Other Allergic-Reactions [see Warnings and Precautions ( 5.3 ) ]
Congestive Heart Failure [see Warnings and Precautions ( 5.4 ) ]
Decreased Peripheral Blood Counts [see Warnings and Precautions ( 5.5 ) ]
Thrombotic Microangiopathy [see Warnings and Precautions ( 5.6 ) ]
Seizures [see Warnings and Precautions ( 5.7 ) ]
Autoimmune Disorders [see Warnings and Precautions ( 5.8 ) ]
Laboratory Tests [see Warnings and Precautions ( 5.9 ) ]
6.1 Clinical Trials Experience
Because clinical trials are conducted under widely varying conditions, adverse reaction rates observed in the clinical trials of AVONEX cannot be directly compared to rates in clinical trials of other drugs and may not reflect the rates observed in practice.
Among 351 patients with relapsing forms of MS treated with AVONEX 30 micrograms (including 319 patients treated for 6 months and 288 patients treated for greater than one year) the most commonly reported adverse reactions (at least 5% more frequent on AVONEX than on placebo) were flu-like symptoms. Symptoms can include chills, fever, myalgia and asthenia occurring within hours to days following an injection. Most people who take AVONEX have flu-like symptoms early during the course of therapy. Usually, these symptoms last for a day after the injection. For many people, these symptoms lessen or go away over time. The most frequently reported adverse reactions resulting in clinical intervention (for example, discontinuation of AVONEX or the need for concomitant medication to treat an adverse reaction symptom) were flu-like symptoms and depression.
Table 2enumerates adverse reactions that occurred with AVONEX-treated patients at an incidence of at least 2% more than that observed in the placebo-treated patients in the pooled placebo-controlled studies in patients with relapsing forms of MS [see Clinical Studies ( 14 )].
Table 2: Adverse Reactions in the Placebo-Controlled Studies Placebo AVONEX Adverse Reaction (N = 333) (N = 351) Body as a Whole Headache 55% 58% Flu-like symptoms (otherwise unspecified) 29% 49% Pain 21% 23% Asthenia 18% 24% Fever 9% 20% Chills 5% 19% Abdominal pain 6% 8% Injection site pain 6% 8% Infection 4% 7% Injection site inflammation 2% 6% Chest pain 2% 5% Injection site reaction 1% 3% Toothache 1% 3% Nervous System Depression 14% 18% Dizziness 12% 14% Respiratory System Upper respiratory tract infection 12% 14% Sinusitis 12% 14% Bronchitis 5% 8% Digestive System Nausea 19% 23% Musculoskeletal System Myalgia 22% 29% Arthralgia 6% 9% Urogenital Urinary tract infection 15% 17% Urine constituents abnormal 0% 3% Skin and Appendages Alopecia 2% 4% Special Senses Eye disorder 2% 4% Hemic and Lymphatic System Injection site ecchymosis 4% 6% Anemia 1% 4% Cardiovascular System Migraine 3% 5% Vasodilation 0% 2%
Immunogenicity
Anaphylaxis and other allergic reactions have occurred in AVONEX-treated patients [see Warnings and Precautions ( 5.3 )]. As with all therapeutic proteins, there is a potential for immunogenicity. In studies assessing immunogenicity in multiple sclerosis patients administered AVONEX for at least 1 year, 5% (21 of 390 patients) showed the presence of neutralizing antibodies at one or more times.
These data reflect the percentage of patients whose test results were considered positive for antibodies to AVONEX using a two-tiered assay (ELISA binding assay followed by an antiviral cytopathic effect assay), and are highly dependent on the sensitivity and specificity of the assay. Additionally, the observed incidence of neutralizing activity in an assay may be influenced by several factors including sample handling, timing of sample collection, concomitant medications, and underlying disease. For these reasons, comparison of the incidence of antibodies to AVONEX with the incidence of antibodies to other products may be misleading.
6.2 Postmarketing Experience
The following additional adverse reactions have been identified during post-approval use of AVONEX. Because these reactions are reported voluntarily from a population of uncertain size, it is not always possible to reliably estimate their frequency or establish a causal relationship to drug exposure.
Hemolytic Anemia
Menorrhagia and metrorrhagia
Rash (including vesicular rash)
Rare cases of injection site abscess or cellulitis requiring surgical intervention
8 USE IN SPECIFIC POPULATIONS
8.1 Pregnancy
Risk Summary
Data from a large population-based cohort study, as well as other published studies over several decades, have not identified a drug-associated risk of major birth defects with the use of interferon beta products during early pregnancy. Findings regarding a potential risk for low birth weight or miscarriage with the use of interferon beta products in pregnancy have been inconsistent (see Data ).In a study in pregnant monkeys, administration of interferon beta during pregnancy resulted in an increased rate of abortion at doses greater than those used clinically ( see Data).
In the U.S. general population, the estimated background risk of major birth defects and miscarriage in clinically recognized pregnancies is 2% to 4% and 15% to 20%, respectively. The background risk of major birth defects and miscarriage for the indicated population is unknown.
Data
Human Data
The majority of published observational studies reporting on pregnancies exposed to interferon beta products did not identify an association between the use of interferon beta products during early pregnancy and an increased risk of major birth defects.
In a population-based cohort study conducted in Finland and Sweden, data were collected from 1996--2014 in Finland and 2005--2014 in Sweden on 2,831 pregnancy outcomes from women with MS. 797 pregnancies were in women exposed to interferon beta only. No evidence was found of an increased risk of major birth defects among women with MS exposed to interferon beta products compared to women with MS that were unexposed to any non-steroid therapy for MS (n=1,647) within the study. No increased risks were observed for miscarriages and ectopic pregnancies, though there were limitations in obtaining complete data capture for these outcomes, making the interpretation of the findings more difficult.
Two small cohort studies that examined pregnancies exposed to interferon beta products (without differentiating between subtypes of interferon beta products) suggested that a decrease in mean birth weight may be associated with interferon beta exposure during pregnancy, but this finding was not confirmed in larger observational studies. Two small studies observed an increased prevalence of miscarriage, although the finding was only statistically significant in one study. Most studies enrolled patients later in pregnancy, which made it difficult to ascertain the true percentage of miscarriages. In one small cohort study, a significantly increased risk of preterm birth following interferon beta exposure during pregnancy was observed.
Animal Data
In pregnant monkeys given interferon beta at 100 times the recommended weekly human dose (based upon a body surface area [mg/m 2] comparison), no adverse effects on embryofetal development were observed. Abortifacient activity was evident following 3 to 5 doses at this level. No abortifacient effects were observed in monkeys treated at 2 times the recommended weekly human dose (based upon mg/m 2).
8.2 Lactation
Risk Summary
Limited published literature has described the presence of interferon beta-1a products in human milk at low levels. There are no data on the effects of interferon beta-1a on milk production. Therefore, the developmental and health benefits of breastfeeding should be considered along with the mother's clinical need for AVONEX and any potential adverse effects on the breastfed infant from AVONEX or from the underlying maternal condition.
8.4 Pediatric Use
Safety and effectiveness in pediatric patients have not been established.
8.5 Geriatric Use
Clinical studies of AVONEX did not include sufficient numbers of patients aged 65 and over to determine whether they respond differently than younger patients.
11 DESCRIPTION
Interferon beta-1a, an interferon beta is a 166 amino acid glycoprotein with a molecular weight of approximately 22,500 daltons. It is produced by recombinant DNA technology using genetically engineered Chinese Hamster Ovary cells into which the human interferon beta gene has been introduced. The amino acid sequence of AVONEX is identical to that of natural human interferon beta.
Using the World Health Organization (WHO) International Standard for Interferon, AVONEX has a specific activity of approximately 200 million international units of antiviral activity per mg of interferon beta-1a determined specifically by an in vitrocytopathic effect bioassay using lung carcinoma cells (A549) and Encephalomyocarditis virus (ECM). AVONEX 30 micrograms contains approximately 6 million international units of antiviral activity using this method. The activity against other standards is not known. Comparison of the activity of AVONEX with other interferon betas is not appropriate, because of differences in the reference standards and assays used to measure activity.
AVONEX (interferon beta-1a) injection is a sterile liquid for intramuscular injection available in a prefilled glass syringe or a prefilled glass syringe surrounded by an autoinjector. Each single-dose prefilled glass syringe delivers or single-dose prefilled autoinjector delivers 0.5 mL of solution containing 30 micrograms of interferon beta-1a, arginine hydrochloride, USP (15.8 mg), glacial acetic acid, USP (0.25 mg), polysorbate 20 (0.025 mg), sodium acetate trihydrate, USP (0.79 mg), and Water for Injection, USP at a pH of approximately 4.8.
12 CLINICAL PHARMACOLOGY
12.1 Mechanism of Action
The mechanism of action by which AVONEX exerts its effects in patients with multiple sclerosis is unknown.
12.2 Pharmacodynamics
Interferons (IFNs) are a family of naturally occurring proteins, produced by eukaryotic cells in response to viral infection and other biologic agents. Three major types of interferons have been defined: type I (IFN-alpha, beta, epsilon, kappa and omega), type II (IFN–gamma) and type III (IFN-lambda). Interferon-beta is a member of the type I subset of interferons. The type I interferons have considerably overlapping but also distinct biologic activities. The bioactivities of all IFNs, including IFN-beta, are induced via their binding to specific receptors on the membranes of human cells. Differences in the bioactivites induced by the three major subtypes of IFNs likely reflect differences in the signal transduction pathways induced by signaling through their cognate receptors.
Interferon beta exerts its biological effects by binding to specific receptors on the surface of human cells. This binding initiates a complex cascade of intracellular events that leads to the expression of numerous interferon-induced gene products and markers. These include 2', 5'-oligoadenylate synthetase, β 2-microglobulin, and neopterin. These products have been measured in the serum and cellular fractions of blood collected from patients treated with AVONEX.
Clinical studies conducted in multiple sclerosis patients showed that interleukin 10 (IL-10) levels in cerebrospinal fluid were increased in patients treated with AVONEX compared to placebo. Serum IL-10 levels maximally were increased by 48 hours after intramuscular injection of AVONEX and remained elevated for 1 week. However, no relationship has been established between absolute levels of IL-10 and clinical outcome in multiple sclerosis.
12.3 Pharmacokinetics
Pharmacokinetics of AVONEX in multiple sclerosis patients have not been evaluated. The pharmacokinetic and pharmacodynamic profiles of AVONEX in healthy subjects following doses of 30 micrograms through 75 micrograms have been investigated. Serum levels of AVONEX as measured by antiviral activity are slightly above detectable limits following a 30 microgram intramuscular dose, and increase with higher doses.
After an intramuscular dose, serum levels of AVONEX generally peak at 15 hours post-dose (range: 6-36 hours) and then decline at a rate consistent with a 19 (range: 8-54) hour elimination half-life.
Subcutaneous administration of AVONEX should not be substituted for intramuscular administration as there is no data establishing that subcutaneous and intramuscular administration of AVONEX result in equivalent pharmacokinetic and pharmacodynamic parameters.
Biological response markers (e.g., neopterin and β 2-microglobulin) are induced by AVONEX following parenteral doses of 15 micrograms through 75 micrograms in healthy subjects and treated patients. Biological response marker levels increase within 12 hours of dosing and remain elevated for at least 4 days. Peak biological response marker levels are typically observed 48 hours after dosing. The relationship of serum AVONEX levels or levels of these induced biological response markers to the mechanisms by which AVONEX exerts its effects in multiple sclerosis is unknown.
13 NONCLINICAL TOXICOLOGY
13.1 Carcinogenesis, Mutagenesis, and Impairment of Fertility
Carcinogenesis:The carcinogenic potential of AVONEX has not been tested in animals.
Mutagenesis:Interferon beta was not mutagenic when tested in an in vitrobacterial reverse mutation (Ames) test or in an in vitrocytogenetic assay in human lymphocytes.
Impairment of Fertility:In monkeys administered interferon beta by subcutaneous injection (8 to 15 doses of 1.25 mcg/kg or 50 mcg/kg) over the course of one menstrual cycle, menstrual irregularities, anovulation, and decreased serum progesterone levels were observed at the higher dose. These effects were reversible after discontinuation of drug. The no-effect dose (1.25 mcg/kg) is approximately 2 times the recommended weekly dose in humans (30 mcg) on a mg/m 2basis.
14 CLINICAL STUDIES
The clinical effects of AVONEX in patients with relapsing forms of multiple sclerosis (MS) were studied in two randomized, multicenter, double-blind, placebo-controlled studies in patients with MS (Studies 1 and 2). Safety and efficacy of treatment with AVONEX beyond 3 years is not known.
In Study 1, 301 patients received either 30 micrograms of AVONEX (n=158) or placebo (n=143) by intramuscular injection once weekly. Patients received injections for up to 2 years, and continued to be followed until study completion. Two hundred eighty-two patients completed 1 year on study, and 172 patients completed 2 years on study. There were 144 patients treated with AVONEX for more than 1 year, 115 patients for more than 18 months and 82 patients for 2 years.
All patients had a definite diagnosis of multiple sclerosis of at least 1 year duration and had at least 2 exacerbations in the 3 years prior to study entry (or 1 per year if the duration of disease was less than 3 years). At entry, study participants were without exacerbation during the prior 2 months and had Kurtzke Expanded Disability Status Scale (EDSS 3) scores ranging from 1.0 to 3.5. The EDSS is a scale that quantifies disability in patients with MS and ranges from 0 (normal neurologic exam) to 10 (death due to MS). Patients with chronic progressive multiple sclerosis were excluded from this study.
Disability
The primary outcome assessment was time to progression in disability, measured as an increase in the EDSS score of at least 1 point that was sustained for at least 6 months. An increase in EDSS score reflects accumulation of disability. This endpoint was used to help distinguish permanent increase in disability from a transient increase due to an exacerbation.
As shown inFigure 1, the time to onset of sustained progression in disability was significantly longer in AVONEX-treated patients than in placebo-treated patients in Study 1 (p = 0.02). The percentage of patients progressing by the end of 2 years was 35% for placebo-treated patients and 22% for AVONEX-treated patients. This represents a 37% relative reduction in the risk of accumulating disability in the AVONEX-treated group compared to the placebo-treated group.
1Kaplan-Meier Methodology; Disability progression was defined as at least a 1 point increase in EDSS score sustained for at least 6 months.
The distribution of confirmed EDSS change from study entry (baseline) to the end of the study is shown inFigure 2. There was a statistically significant difference between the AVONEX and placebo groups in confirmed change for patients with at least 2 scheduled visits (p = 0.006).
Exacerbations
The rate and frequency of MS exacerbations were secondary outcomes. For all patients included in the study, irrespective of time on study, the annual exacerbation rate was 0.67 per year in the AVONEX-treated group and 0.82 per year in the placebo-treated group (p = 0.04).
AVONEX treatment significantly decreased the frequency of exacerbations in the subset of patients who were enrolled in the study for at least 2 years (87 placebo-treated patients and 85 AVONEX-treated patients; p = 0.03; seeTable 3).
MRI Results
Gadolinium (Gd)-enhanced and T2-weighted magnetic resonance imaging (MRI) scans of the brain were obtained in most patients at baseline and at the end of 1 and 2 years of treatment. Secondary outcomes included Gd-enhanced lesion number and volume, and T2-weighted lesion volume. Gd-enhancing lesions seen on brain MRI scans represent areas of breakdown of the blood brain barrier thought to be secondary to inflammation. AVONEX-treated patients demonstrated significantly lower Gd-enhanced lesion number after 1 and 2 years of treatment than placebo-treated patients (p ≤ 0.05; seeTable 3). The volume of Gd-enhanced lesions showed similar treatment effects in the AVONEX and placebo groups (p ≤ 0.03). Percentage change in T2-weighted lesion volume from study entry to Year 1 was significantly lower in AVONEX-treated than placebo-treated patients (p = 0.02). A significant difference in T2-weighted lesion volume change was not seen between study entry and Year 2 in the AVONEX and placebo groups.
Summary of Effects of Clinical and MRI Endpoints in Study 1
A summary of the effects of AVONEX on the clinical and MRI endpoints of this study is presented inTable 3.
Table 3: Clinical and MRI Endpoints in Patients with MS in Study 1 Endpoint Placebo AVONEX P-Value PRIMARY ENDPOINT : Time to sustained progression in disability (N: 143, 158) 1 --- See Figure 1 --- 0.02 2 Percentage of patients progressing in disability at 2 years (Kaplan-Meier estimate) 1 35% 22% SECONDARY ENDPOINTS : DISABILITY Mean confirmed change in EDSS from study entry to end of study (N: 136, 150) 1 0.50 0.20 0.006 3 EXACERBATIONS Number of exacerbations in subset completing 2 years (N: 87, 85) 0 26% 38% 0.03 3 1 30% 31% 2 11% 18% 3 14% 7% ≥ 4 18% 7% Percentage of patients exacerbation-free in subset completing 2 years (N: 87, 85) 26% 38% 0.10 4 Annual exacerbation rate (N: 143, 158)1 0.82 0.67 0.04 5
Table 3 (continued): Clinical and MRI Endpoints in Study 1 Note: (N: , ) denotes the number of evaluable placebo and AVONEX patients, respectively. 1 Patient data included in this analysis represent variable periods of time on study. 2 Analyzed by Mantel-Cox (logrank) test. 3 Analyzed by Mann-Whitney rank-sum test. 4 Analyzed by Cochran-Mantel-Haenszel test. 5 Analyzed by likelihood ratio test. Endpoint Placebo AVONEX P-Value MRI Number of Gd-enhanced lesions : At study entry (N: 132, 141) Mean (Median) 2.3 (1.0) 3.2 (1.0) Range 0-23 0-56 Year 1 (N: 123, 134) Mean (Median) 1.6 (0) 1.0 (0) 0.02 3 Range 0-22 0-28 Year 2 (N: 82, 83) Mean (Median) 1.6 (0) 0.8 (0) 0.05 3 Range 0-34 0-13 T2 lesion volume : Percentage change from study entry to Year 1 (N: 116, 123) Median -3.3% -13.1% 0.02 3 Percentage change from study entry to Year 2 (N: 83, 81) Median -6.5% -13.2% 0.36 3
In Study 2, 383 patients who had recently experienced an isolated demyelinating event involving the optic nerve, spinal cord, or brainstem/cerebellum, and who had lesions typical of multiple sclerosis on brain MRI, received either 30 micrograms of AVONEX (n = 193) or placebo (n = 190) by intramuscular injection once weekly. Patients were enrolled into the study over a two-year period and followed for up to three years or until they developed a second clinical exacerbation in an anatomically distinct region of the central nervous system.
Exacerbations
In Study 2, the primary outcome measure was time to development of a second exacerbation in an anatomically distinct region of the central nervous system. Time to development of a second exacerbation was significantly delayed in AVONEX-treated compared to placebo-treated patients (p = 0.002). The Kaplan-Meier estimates of the percentage of patients developing an exacerbation within 24 months were 39% in the placebo group and 21% in the AVONEX group (seeFigure 3). The relative rate of developing a second exacerbation in the AVONEX group was 0.56 of the rate in the placebo group (95% confidence interval 0.38 to 0.81).
1Kaplan-Meier Methodology
MRI Findings
Secondary outcomes were brain MRI measures, including the cumulative increase in the number of new or enlarging T2 lesions, T2 lesion volume at baseline compared to results at 18 months, and the number of Gd-enhancing lesions at 6 months. SeeTable 4for the MRI results.
Table 4: Brain MRI Results in Study 2 1P value <0.001 2P value <0.03* P value from a Mann-Whitney rank-sum test AVONEX Placebo CHANGE FROM BASELINE IN T2 VOLUME OF LESIONS AT 18 MONTHS: N = 119 N = 109 Actual Change (mm 3 ) 1* Median (25 th %, 75 th %) 28 (-576, 397) 313 (5, 1140) Percentage Change 1* Median (25 th %, 75 th %) 1 (-24, 29) 16 (0, 53) NUMBER OF NEW OR ENLARGING T2 LESIONS AT 18 MONTHS 1* : N = 132 N (%) N = 119 N (%) 0 62 (47) 22 (18) 1-3 41 (31) 47 (40) ≥4 29 (22) 50 (42) Mean (SD) 2.13 (3.2) 4.97 (7.7) NUMBER OF GD-ENHANCING LESIONS AT 6 MONTHS 2* : N = 165 N (%) N = 152 N (%) 0 115 (70) 93 (61) 1 27 (16) 16 (11) >1 23 (14) 43 (28) Mean (SD) 0.87 (2.3) 1.49 (3.1)
16 HOW SUPPLIED/STORAGE AND HANDLING
16.1 How Supplied
AVONEX (interferon beta-1a) injection is a clear, colorless solution in a single-dose prefilled glass syringe or a single-dose prefilled autoinjector for intramuscular injection available in the following packaging configurations:
NDC number Contents NDC: 59627-002-06 one single-dose prefilled AVONEX syringe one 23-gauge, 1¼-inch needle NDC: 59627-222-05 four single-dose prefilled AVONEX syringes four 23-gauge, 1¼-inch needles four alcohol wipes four gauze pads four adhesive bandages NDC: 59627-003-01 one single-dose prefilled autoinjector (AVONEX Pen) one 25-gauge, 5/8-inch needle one AVONEX Pen cover NDC: 59627-333-04 four single-dose prefilled autoinjector (AVONEX Pens) four 25-gauge, 5/8-inch needles four AVONEX Pen covers four alcohol wipes four gauze pads four adhesive bandages
16.2 Storage and Handling
Refrigerate AVONEX prefilled syringes and autoinjectors at 2°C to 8°C (36°F to 46°F) in the original container to protect from light. DO NOT FREEZE. Once removed from the refrigerator, allow prefilled syringes and autoinjectors to warm to room temperature (about 30 minutes). Do not use external heat sources such as hot water to warm AVONEX.
Should refrigeration be unavailable, a prefilled syringe or autoinjector may be stored at room temperature up to 25°C (77°F) for a period up to 7 days. DO NOT EXPOSE TO HIGH TEMPERATURES. Once the product is removed from the refrigerator, it must not be stored above 25°C (77°F). If the product has been exposed to conditions other than those recommended, DISCARD THE PRODUCT and DO NOT USE.
Do not use beyond the expiration date.
AVONEX prefilled syringe and AVONEX PEN contain natural rubber latex which may cause allergic reactions.
17 PATIENT COUNSELING INFORMATION
See FDA-approved patient labeling (Medication GuideandPatient's Instructions for Use).
Instruct patients to carefully read the supplied AVONEX Medication Guide and caution patients not to change the AVONEX dose or schedule of administration without medical consultation.
Inform patients that the tip cap of the AVONEX Prefilled Syringe and AVONEX PEN contains natural rubber latex which may cause allergic reactions.
Instruction on Self-injection Technique and Procedures
Provide appropriate instruction for methods of self-injection of AVONEX, including careful review of the AVONEX Medication Guide. Instruct patients in the use of aseptic technique when administering AVONEX.
Inform patients that an appropriately qualified healthcare professional should show them or their caregiver how to prepare and inject AVONEX before administering the first dose. An appropriately qualified healthcare professional should watch the first AVONEX injection given. Tell patients not to re-use needles or syringes and instruct patients on safe disposal procedures. Inform patients to dispose of used needles and syringes in a puncture-resistant container and instruct the patient regarding safe disposal of full containers.
Advise patients:
of the importance of rotating areas of injection with each dose to minimize the likelihood of injection site reactions. [see Choose an Injection Site section of the Medication Guide ].
NOT to inject area of the body where the skin is irritated, reddened, bruised, infected or scarred in any way
to check the injection site after 2 hours for redness, swelling, or tenderness
contact their healthcare provider if they have a skin reaction and it does not clear up in a few days
Pregnancy
Advise patients to notify their healthcare provider if they become pregnant during treatment or plan to become pregnant [see Pregnancy ( 8.1 )].
Depression
Advise patients of the symptoms of depression, suicidal ideation, or psychotic disorders as they have been reported with the use of AVONEX and instruct patients to report them immediately to their physician [see Warnings and Precautions ( 5.1 )].
Liver Disease
Advise patients that severe hepatic injury, including hepatic failure, has been reported during the use of AVONEX. Advise patients of symptoms of hepatic dysfunction, and instruct patients to report them immediately to their physician [see Warnings and Precautions ( 5.2 )].
Allergic Reactions and Anaphylaxis
Advise patients of the symptoms of allergic reactions and anaphylaxis, and instruct patients to seek immediate medical attention if these symptoms occur [see Warnings and Precautions ( 5.3 )].
Congestive Heart Failure
Advise patients that worsening of pre-existing congestive heart failure has been reported in patients using AVONEX. Advise patients of symptoms of worsening cardiac condition, and instruct patients to report them immediately to their physician [see Warnings and Precautions ( 5.4 )].
Seizures
Advise patients that seizures have been reported in patients using AVONEX. Instruct patients to report seizures immediately to their physician [see Warnings and Precautions ( 5.7 )].
Flu-like Symptoms
Inform patients that flu-like symptoms are common following initiation of therapy with AVONEX [see Dosage and Administration ( 2.3 ) and Adverse Reactions ( 6 )]. Advise patients that starting with a lower dose than 30 micrograms and increasing the dose over 3 weeks reduces the incidence and severity of flu-like symptoms.
This Medication Guide has been approved by the U.S. Food and Drug Administration.Revised: 03/2020 MEDICATION GUIDE AVONEX ® (a-vuh-necks) (interferon beta-1a) Injection for intramuscular use Read this Medication Guide before you start using AVONEX, and each time you get a refill. There may be new information. This information does not take the place of talking with your healthcare provider about your medical condition or your treatment. What is the most important information I should know about AVONEX? AVONEX can cause serious side effects.Tell your healthcare provider right away if you have any of the symptoms listed below while taking AVONEX.1. Depression, suicidal thoughts, hallucinations or other behavioral health problems.Some people taking AVONEX may develop mood or behavior problems including: irritability (getting upset easily) depression (feeling hopeless or feeling bad about yourself) nervousness anxiety aggressive behavior thoughts of hurting yourself or suicide hearing or seeing things that others do not hear or see (hallucinations) If you have any of these mood or behavior problems, your healthcare provider may tell you to stop taking AVONEX. 2. Liver problems, or worsening of liver problems including liver failure and death. Tell your healthcare provider right away if you have any of these symptoms: nausea loss of appetite tiredness dark colored urine and pale stools yellowing of your skin or the white part of your eye bleeding more easily than normal confusion sleepiness During your treatment with AVONEX you will need to see your healthcare provider regularly and have regular blood tests to check for side effects. Tell your healthcare provider about all the medicines you take and if you drink alcohol before you start taking AVONEX. 3. Serious allergic and skin reactions. Serious allergic and skin reactions can happen when you take AVENOX. Symptoms of serious allergic and skin reactions may include: itching swelling of the face, eyes, lips, tongue or throat trouble breathing anxiousness feeling faint skin rash, hives, sores in your mouth, or your skin blisters and peels Get emergency help right away if you have any of these symptoms. Talk to your healthcare provider before taking another dose of AVONEX. What is AVONEX? AVONEX is a prescription medicine used to treat relapsing forms of multiple sclerosis (MS), to include clinically isolated syndrome, relapsing-remitting disease, and active secondary progressive disease in adults. It is not known if AVONEX is safe and effective in children. Do not take AVONEX if you: are allergic to interferon beta or any of the ingredients in AVONEX. See the end of this Medication Guide for a complete list of ingredients in AVONEX. Before taking AVONEX, tell your healthcare provider about all of your medical conditions, including if you: are being treated for a mental illness or had treatment in the past for any mental illness, including depression and suicidal behavior. have or had bleeding problems or blood clots. have or had low blood cell counts. have or had liver problems. have or had seizures. (epilepsy). have or had heart problems. have or had thyroid problems. have or had any kind of autoimmune disease (where the body's immune system attacks the body's own cells). drink alcohol. have or have had an allergic reaction to rubber or latex. The tip cap of the AVONEX prefilled syringe and prefilled autoinjector Pen contain natural rubber latex. are pregnant or plan to become pregnant. It is not known if AVONEX can harm your unborn baby. are breastfeeding or plan to breastfeed. AVONEX may pass into your breastmilk. Talk with your healthcare provider about the best way to feed your baby if you take AVONEX. Tell your healthcare provider about all the medicines you take, including prescription and over-the-counter medicines, vitamins, and herbal supplements. How should I use AVONEX? See the Instructions for Use for detailed instructions for preparing and injecting your dose of AVONEX. A healthcare provider should show you how to prepare your dose of AVONEX and how to inject your AVONEX before you use it for the first time. A healthcare provider or nurse should watch the first AVONEX injection you give yourself. AVONEX is given 1 time each week by injection into the muscle (intramuscular injection). Inject AVONEX exactly as your healthcare provider tells you. Your healthcare provider will tell you how much AVONEX to inject and how often to inject AVONEX. Do not inject more than your healthcare provider tells you to. Do not change your dose unless your healthcare provider tells you to. Change (rotate) your injection site you choose with each injection. This will help decrease the chance that you will have an injection site reaction. Do not inject into an area of the body where the skin is irritated, reddened, bruised, infected or scarred in any way. AVONEX comes as a: Single-dose prefilled syringe (can be used with the AVOSTARTGRIP™ titration kit) Single-dose prefilled autoinjector Pen (AVONEX PEN ® ) After 2 hours check your injection site for redness, swelling or tenderness. If you have a skin reaction and it does not clear up in a few days, contact your healthcare provider. Your healthcare provider will decide which one is best for you. Always use a new, unopened AVONEX single-dose prefilled syringe or single-dose prefilled autoinjector pen for each intramuscular injection. What are the possible side effects of AVONEX? AVONEX can cause serious side effects including: See “ What is the most important information I should know about AVONEX? ” Heart problems, including heart failure. Some people who did not have a history of heart problems developed heart muscle problems or congestive heart failure after taking AVONEX. If you already have heart failure, AVONEX may cause your heart failure to get worse. Call your healthcare provider right away if you have worsening symptoms of heart failure such as shortness of breath or swelling of your lower legs or feet while using AVONEX. Some people using AVONEX may have other heart problems including: low blood pressure fast or abnormal heart beat chest pain heart attack or a heart muscle problem (cardiomyopathy) Blood problems. AVONEX can affect your bone marrow and cause low red and white blood cell, and platelet counts. In some people, these blood cell counts may fall to dangerously low levels. If your blood cell counts become very low, you can get infections and problems with bleeding and bruising. Seizures. Some people have had seizures while taking AVONEX, including people who have never had seizures before. Tell your healthcare provider right away if you have a seizure. thrombotic microangiopathy (TMA). TMA is a condition that involves injury to the smallest blood vessels in your body. TMA can also cause injury to your red blood cells (the cells that carry oxygen to your organs and tissues) and your platelets (cells that help your blood clot) and can sometimes lead to death. Your healthcare provider may tell you to stop taking AVONEX if you develop TMA. Autoimmune diseases. Problems with easy bleeding or bruising (idiopathic thrombocytopenia), thyroid gland problems (hyperthyroidism and hypothyroidism), and autoimmune hepatitis have happened in some people who use AVONEX. The most common side effects of AVONEX include: Flu-like symptoms. Most people who take AVONEX have flu-like symptoms especially early during the course of therapy. Usually, these symptoms last for a day after the injection. Symptoms may include: muscle aches fever tiredness chills You may be able to manage these flu-like symptoms by taking over-the-counter pain and fever reducers. Talk with your healthcare provider about ways to help if you develop flu-like symptoms while taking AVONEX. These are not all of the possible side effects of AVONEX. Call your doctor for medical advice about side effects. You may report side effects to FDA at 1-800-FDA-1088. How should I store AVONEX? Store AVONEX in the refrigerator between 36°F to 46°F (2°C to 8°C). Do not freeze AVONEX. Do not use AVONEX that has been frozen. If you cannot refrigerate your AVONEX PEN and AVONEX prefilled syringes, you can store your AVONEX PEN and AVONEX prefilled syringes at room temperature up to 77°F (25°C) for up to 7 days. Do not store AVONEX above 77°F (25°C). Do not use AVONEX that is stored at temperatures higher than 77°F (25°C). Throw it away in a FDA-cleared sharps disposal container. Keep AVONEX in the original carton to protect it from light. Do not use AVONEX past the expiration date. Keep AVONEX prefilled syringes, pens, and all other medicines out of the reach of children. General information about the safe and effective use of AVONEX. Medicines are sometimes prescribed for purposes other than those listed in a Medication Guide. Do not use AVONEX for a condition for which it was not prescribed. Do not give AVONEX to other people, even if they have the same symptoms that you have. It may harm them. You can ask your pharmacist or healthcare provider for information about AVONEX that is written for health professionals. What are the ingredients in AVONEX? Active ingredient: interferon beta-1a Inactive ingredients: Single-Dose Prefilled Syringe: arginine hydrochloride, glacial acetic acid, polysorbate 20, sodium acetate trihydrate in water for inject]tion. Single-Dose Prefilled Autoinjector Pen: arginine hydrochloride, glacial acetic acid, polysorbate 20, sodium acetate trihydrate in water for injection. Manufactured by: Biogen Inc. Cambridge, MA 02142 USA U.S. License #1697 AVONEX is a registered trademark of Biogen. © Biogen 1996-2020. All rights reserved. For more information, call 1-1-800-456-2255.
INSTRUCTIONS FOR USE
INSTRUCTIONS FOR USE
AVONEX PEN ® (a-vuh-necks)
(interferon beta-1a)
injection for intramuscular use
single-dose prefilled autoinjector pen
Read the Instructions for Use before you start using AVONEX and each time you get a refill. There may be new information. This information does not take the place of talking to your healthcare provider about your medical condition or your treatment.
Your healthcare provider should show you or your caregiver how to prepare the dose of AVONEX and how to inject your AVONEX PEN the right way before AVONEX PEN is used for the first time. Your healthcare provider or nurse should watch you inject the dose of AVONEX the first time AVONEX PEN is used.
Important information:The tip of the cap of the AVONEX PEN is made of natural rubber latex. Tell your healthcare provider if you are allergic to rubber or latex.
How should I store AVONEX?
Store AVONEX in the refrigerator between 36°F to 46°F (2°C to 8°C).
Do not freeze AVONEX. Do not use AVONEX that has been frozen.
If you cannot refrigerate your AVONEX PEN, you can store your AVONEX PEN at room temperature up to 77°F (25°C) for up to 7 days.
Do not store AVONEX above 77°F (25°C). Do not use AVONEX that is stored at temperatures higher than 77°F (25°C).
Throw AVONEX away in an FDA-cleared sharps disposal container if it has not been stored as stated above. (See After the AVONEX injection section at the end of this Instructions for Use.)
Keep AVONEX in the original carton to protect it from light.
Preparing the AVONEX PEN:
Find a well lit, clean, flat work surface like a table and collect all the supplies you will need to give yourself or receive an injection.
Take 1 AVONEX PEN Administration Dose Pack out of the refrigerator about 30 minutes before you plan on injecting the AVONEX dose to allow it to reach room temperature. Do not use external heat sources such as hot water to warm the AVONEX PEN.
Check the expiration date printed on the AVONEX PEN, AVONEX PEN Administration Dose Pack carton, and the outer carton. Do not use the AVONEX PEN past the expiration date.
Wash your hands with soap and water.
Supplies you will need to give the AVONEX PEN injection:
1 AVONEX Administration Dose Pack that contains:
1 AVONEX PEN
a 25 gauge, 5/8 inch long sterile needle
1 AVONEX PEN cover
1 alcohol wipe
1 gauze pad
1 adhesive bandage
a puncture resistant container for disposal of used AVONEX PEN and needle
Identifying parts of the AVONEX PEN (See Figure A ).
Single-Dose Administration Dose Pack Contents – AVONEX PEN, Supplied Needle and AVONEX PEN Cover
(Figure A)
Preparing the AVONEX PEN injection:
Step 1: Hold the AVONEX PEN with the white tamper-evident cap (cap) pointing up (See Figure B ). Check that the cap is intact and has not been removed. If the cap has been removed or is not tightly attached, do not use it. Throw it away and get a new AVONEX PEN. (See After the AVONEX injection section at the end of this Instructions for Use.) (Figure B) Step 2: With your other hand, grasp the cap and bend it at a 90° angle until the cap snaps off (See Figure C ). After the cap comes off, you will see the glass tip of the syringe. Do not touch the glass tip of the syringe (See Figure D ). (Figure C) (Figure D) Step 3: Place the AVONEX PEN down on a flat work surface. Step 4: Pull off the sterile foil from the needle cover (See Figure E ). Only use the needle that comes with your AVONEX PEN. (Figure E) Step 5: Hold the AVONEX PEN with the glass syringe tip pointing up. Press the needle onto the AVONEX PEN glass syringe tip (See Figure F ). (Figure F) Step 6: Gently turn the needle to the right (clockwise) until it is firmly attached (See Figure G ). If the needle is not firmly attached, it may leak, and you may not get your full dose of AVONEX. (Figure G) Do not remove the plastic cover from the needle (See Figure H ). (Figure H) Step 7: Hold the body of the AVONEX PEN in 1 hand with the needle and needle cover pointing away from you and other people. Do not remove the plastic cover from the needle (See Figure I ). (Figure I) Step 8: Using your other hand, hold onto the injector shield (grooved area) tightly and quickly pull up on the injector shield until the injector shield covers the needle all the way. The plastic needle cover will “pop” off after the injector shield has been fully extended (See Figure J ). (Figure J) When the injector shield is extended the right way, you will see a small blue rectangular area next to the oval medicine display window (See Figure K ). (Figure K) Step 9: Check the oval medicine display window and make sure the AVONEX is clear and colorless (See Figure L ). You might see air bubbles in the oval medicine display window. This is normal and will not affect your dose. Do not use AVONEX PEN if the liquid is colored, cloudy, or contains any lumps or particles. Throw away the AVONEX PEN in an FDA-cleared sharps container and get a new one, then repeat steps 1 to 9. (See After the AVONEX injection section at the end of this Instructions for Use .) (Figure L)
Giving the AVONEX injection:
Your healthcare provider should show you or your caregiver how to prepare the dose of AVONEX and how to inject your AVONEX PEN the right way before AVONEX PEN is used for the first time. Your healthcare provider or nurse should watch you inject the dose of AVONEX the first time AVONEX PEN is used.
Inject your AVONEX PEN exactly as your healthcare provider has shown you.
AVONEX PEN is injected into the muscle (intramuscularly).
AVONEX PEN should be injected into the upper, outer thigh (See Figure M ).
Change (rotate) injection sites for each dose. Do not use the same injection site for each injection.
Do not inject into an area of the body where the skin is irritated, reddened, bruised, infected or scarred in any way.
Do not push down on the injector shield and the blue activation button at the same time until you are ready to give your injection.
Figure M
Step 10: Choose an injection site and wipe the skin with an alcohol wipe (See Figure N ). Let the injection site dry before injecting the dose. Do not touch this area again before giving the injection. (Figure N) Step 11: Place the AVONEX PEN on the injection site (See Figure O ). (Figure O) Step 12: Hold the body of the AVONEX PEN at a 90º angle to the injection site, and make sure you can see the window (See Figure P ). (Figure P) Step 13: Keeping your fingers away from the blue activation button, firmly push the body of the AVONEX PEN down against the thigh to release the safety lock (See Figure Q ). Do not lift the AVONEX PEN off the injection site. Check to make sure the safety lock has been released. You will know the safety lock is released when the small blue rectangular area above the oval medicine display window is gone (See Figure R ). (Figure Q) (Figure R) Step 14: Continue to firmly maintain pressure and push down on the AVONEX PEN against the injection site, then push down on the blue activation button with your thumb (See Figure S ). Keep the AVONEX PEN pushed down against the injection site and slowly count to 10. You will hear a “click” when the injection starts. If you do not hear a “click”, your injection was not given the right way. If this happens, make sure that the injector shield is extended, the safety lock is completely released, and that you are firmly maintaining pressure and pushing down against the injection site. Press the blue activation button with your thumb again. If you still do not hear a “click”, call Biogen at 1-800-456-2255. (Figure S) Step 15: After you count to 10, pull the AVONEX PEN straight out of the skin (See Figure T ). Use the gauze pad to apply pressure to the injection site for a few seconds or rub gently in a circular motion. If you see blood after you press the injection site for a few seconds, wipe it off with the gauze pad and apply an adhesive bandage. (Figure T) Step 16: Check the circular display window on the AVONEX PEN to make sure that it is yellow. This is to be sure that you have been given your full dose (See Figure U ). If you did not receive your full dose of AVONEX, throw away the AVONEX PEN in a FDA-cleared sharps disposal container and call your healthcare provider. Do not re-use the AVONEX PEN. (Figure U) Step 17: Do not hold the AVONEX PEN cover with your hands. Place the AVONEX PEN cover on a flat work surface. Line up the exposed needle with the hole of the AVONEX PEN cover , and insert directly into the opening (See Figure V ). (Figure V) Step 18: Firmly press the AVONEX PEN down until you hear a “click” to seal the needle (See Figure W ). You may need to hold both hands around the AVONEX PEN body to snap the AVONEX PEN cover into place. (Figure W)
After the AVONEX injection:
Throw Away your AVONEX:
Put your used needles and PENS in an FDA-cleared sharps disposal container right away after use. Do not throw away (dispose of) loose needles and syringes in your household trash.
If you do not have an FDA-cleared sharps disposal container, you may use a household container that is:
made of a heavy-duty plastic,
can be closed with a tight-fitting, puncture-resistant lid, without sharps being able to come out,
upright and stable during use,
leak-resistant, and
properly labeled to warn of hazardous waste inside the container.
When your sharps disposal container is almost full, you will need to follow your community guidelines for the right way to dispose of your sharps disposal container. There may be state or local laws about how you should throw away used needles and syringes. For more information about safe sharps disposal, and for specific information about sharps disposal in the state that you live in, go to the FDA's website at: http://www.fda.gov/safesharpsdisposal
Do not dispose of your used sharps disposal container in your household trash unless your community guidelines permit this. Do not recycle your used sharps disposal container.
Check Your Injection Site:
After 2 hours, check the injection site for redness, swelling or tenderness. If you have a skin reaction and it does not clear up in a few days, contact your healthcare provider.
General information about the safe and effective use of AVONEX PEN
Always use a new AVONEX PEN and needle for each injection. Do not re-use your AVONEX PEN or needle.
Do not share your AVONEX PEN or needles.
Keep AVONEX PEN and needles and all medicines out of the reach of children.
This Instructions for Use has been approved by the U.S. Food and Drug Administration.
Manufactured by:
Biogen Inc.
Cambridge, MA 02142 USA
U.S. License # 1697
1-800-456-2255
AVONEX is a registered trademark of Biogen.
©Biogen 1996-2020. All rights reserved.
41610-03
INSTRUCTIONS FOR USE
INSTRUCTIONS FOR USE
AVONEX ® (a-vuh-necks)
(interferon beta-1a)
injection for intramuscular use
single-dose prefilled syringe
Read the Instructions for Use before you start using AVONEX and each time you get a refill. There may be new information. This information does not take the place of talking to your healthcare provider about your medical condition or your treatment.
Important information:The tip of the cap of the AVONEX prefilled syringe is made of natural rubber latex. Tell your healthcare provider if you are allergic to rubber or latex.
How should I store AVONEX?
Store AVONEX in the refrigerator between 36°F to 46°F (2°C to 8°C).
Do not freeze AVONEX. Do not use AVONEX that has been frozen.
If you cannot refrigerate your AVONEX prefilled syringes, you can store your AVONEX prefilled syringes at room temperature up to 77°F (25°C) for up to 7 days.
Do not store AVONEX above 77°F (25°C). Do not use AVONEX that is stored at temperatures higher than 77°F (25°C).
Throw AVONEX away in an FDA-cleared sharps disposal container if it has not been stored as stated above. (See After the AVONEX injection section at the end of this Instructions for Use.)
Keep AVONEX in the original carton to protect it from light.
Supplies you will need for the AVONEX injection:
1 AVONEX Administration Dose Pack that contains:
1 AVONEX prefilled syringe
23 gauge, 1¼ inch long sterile needle
1 alcohol wipe
1 gauze pad
1 adhesive bandage
a puncture resistant container for disposal of used syringes and needles
Preparing the dose of AVONEX:
Find a well-lit, clean, flat work surface like a table and collect all the supplies you will need to give yourself or receive an injection.
Take 1 AVONEX Administration Dose Pack out of the refrigerator about 30 minutes before you plan on injecting the AVONEX dose to allow it to reach room temperature. Do not use external heat sources such as hot water to warm the AVONEX prefilled syringe.
Check the expiration date printed on AVONEX prefilled syringe, AVONEX Administration Dose Pack, and the outer carton. Do not use AVONEX prefilled syringe past the expiration date.
Wash your hands with soap and water.
Identifying parts of the AVONEX prefilled syringe (See Figure A ):
Preparing the AVONEX injection:
Step 1: Hold the AVONEX prefilled syringe with the cap pointing down and with the 0.5 mL mark at eye level (See Figure A ). Check the syringe: The syringe should not have any cracks or damage. Check that the cap is intact and has not been removed. The amount of liquid in the syringe should be at or very close to the 0.5 mL mark. AVONEX should look clear, colorless, and should not have any particles in it. Do not use the AVONEX prefilled syringe if: the syringe is cracked or damaged the solution is cloudy, colored, or has lumps or particles in it the cap has been removed or is not tightly attached or there is not enough liquid in the syringe If you cannot use that syringe, you will need to get a new syringe. Contact Biogen at 1-800-456-2255. (Figure A) Step 2: With 1 hand, hold the AVONEX prefilled syringe right under the cap and with the cap pointing up (See Figure B ). Make sure you are holding the AVONEX prefilled syringe by the ridged part, directly under the cap. (Figure B) Step 3: With the other hand, grasp the cap and bend it at a 90º angle until the cap snaps off (See Figure C and Figure D ). (Figure C) (Figure D) Step 4: Open the sterile needle package and take out the covered needle. Hold the AVONEX prefilled syringe with the glass syringe tip pointing up. Press the needle on the AVONEX prefilled syringe glass tip (See Figure E ). (Figure E) Step 5: Gently turn the needle to the right (clockwise) until it is tight and firmly attached (See Figure F ). If the needle is not firmly attached, it may leak and you may not get your full dose of AVONEX. Do not remove the plastic cover from the needle. (Figure F)
Giving the AVONEX injection:
Your healthcare provider should show you or a caregiver how to prepare and inject the dose of AVONEX before AVONEX prefilled syringe is used for the first time. Your healthcare provider or nurse should watch you inject the dose of AVONEX the first time AVONEX prefilled syringe is used.
Inject your AVONEX exactly as your healthcare provider has shown you.
AVONEX is injected into the muscle (intramuscularly).
AVONEX should be injected into the thigh or upper arm (See Figures G and H ).
Change (rotate) your injection sites for each dose. Do not use the same injection site for each injection.
Do not inject into an area of the body where the skin is irritated, reddened, bruised, infected or scarred in any way.
Step 6: Choose an injection site and wipe the skin with an alcohol wipe (See Figures G and H ). Let the injection site dry before injecting the dose. Do not touch this area again before giving the injection. (Figure G) (Figure H) Step 7: Pull the protective cover straight off the needle (See Figure I ). Do not twist the cover off. (Figure I) Step 8: With 1 hand, stretch the skin out around the injection site. With the other hand, hold the syringe like a pencil. Use a quick dart-like motion and insert the needle at a 90 degree angle, through the skin and into the muscle (See Figure J ). After the needle is in, let go of the skin. (Figure J) Step 9: Slowly push the plunger down until the syringe is empty (See Figure K ). (Figure K) Step 10: Pull the needle out of the skin (See Figure L ). Press down on the injection site with the gauze pad for a few seconds or rub gently in a circular motion. If you see blood after you press the injection site for a few seconds, wipe it off with the gauze pad and apply an adhesive bandage. (Figure L)
After the AVONEX injection:
Do not recap the needle. Recapping the needle can lead to a needle stick injury.
Put your used needles and syringes in an FDA-cleared sharps disposal container right away after use. Do not throw away (dispose of) loose needles and syringes in your household trash.
If you do not have an FDA-cleared sharps disposal container, you may use a household container that is:
made of a heavy-duty plastic,
can be closed with a tight-fitting, puncture-resistant lid, without sharps being able to come out,
upright and stable during use,
leak-resistant, and
properly labeled to warn of hazardous waste inside the container.
When your sharps disposal container is almost full, you will need to follow your community guidelines for the right way to dispose of your sharps disposal container. There may be state or local laws about how you should throw away used needles and syringes. For more information about safe sharps disposal, and for specific information about sharps disposal in the state that you live in, go to the FDA's website at: http://www.fda.gov/safesharpsdisposal
Do not dispose of your used sharps disposal container in your household trash unless your community guidelines permit this. Do not recycle your used sharps disposal container.
Check Your Injection Site:
After 2 hours, check the injection site for redness, swelling or tenderness. If you have a skin reaction and it does not clear up in a few days, contact your healthcare provider.
General information about the safe and effective use of AVONEX
Always use a new AVONEX prefilled syringe and needle for each injection. Do not re-use your AVONEX prefilled syringe or needles.
Do not share your AVONEX prefilled syringe or needles.
Keep the AVONEX prefilled syringe and needles and all medicines out of the reach of children.
Revised: 03/2020
41611-03
INSTRUCTIONS FOR USE
Instructions for Use
AVOSTARTGRIP ® Titration Kit
Use with AVONEX ® (interferon beta-1a) Prefilled Syringe Only
Read the Instructions for Use before you start using AVONEX and each time you get a refill. There may be new information. This information does not take the place of talking to your healthcare provider about your medical condition or your treatment.
Preparing the AVONEX Prefilled Syringe:
Find a well lit, clean, flat work surface like a table and collect all the supplies you will need to give yourself or receive an injection.
Take 1 AVONEX Administration Dose Pack out of the refrigerator about 30 minutes before you plan on injecting the AVONEX dose to allow it to reach room temperature. Do not use external heat sources such as hot water to warm the AVONEX prefilled syringe.
Check the expiration date printed on the AVONEX prefilled syringe, AVONEX prefilled syringe Administration Dose Package carton, and the outer carton. Do not use the AVONEX prefilled syringe past the expiration date.
Wash your hands with soap and water.
Supplies you will need for the AVONEX injection:
1 AVONEX Administration Dose Pack that contains:
1 AVONEX prefilled syringe
23 gauge, 1¼ inch long sterile needle
1 alcohol wipe
1 gauze pad
1 adhesive bandage
a puncture resistant container for disposal of used syringes and needles
Identifying parts of the AVONEX prefilled syringe (See Figure A ):
Preparing the AVONEX injection:
Step 1: Hold the AVONEX prefilled syringe with the cap pointing down and with the 0.5 mL mark at eye level (See Figure A ). Check the syringe: The syringe should not have any cracks or damage. Check that the cap is intact and has not been removed. The amount of liquid in the syringe should be at or very close to the 0.5 mL mark. AVONEX should look clear, colorless, and should not have any particles in it. Do not use the AVONEX prefilled syringe if: the syringe is cracked or damaged the solution is cloudy, colored, or has lumps or particles in it the cap has been removed or is not tightly attached or there is not enough liquid in the syringe Do not use that syringe. Get a new syringe. Contact MS ACTIVESOURCE at 1-800-456-2255. (Figure A) Step 2: With 1 hand, hold the AVONEX prefilled syringe right under the cap and with the cap pointing up (See Figure B ). Make sure you are holding the AVONEX prefilled syringe by the ridged part, directly under the cap. (Figure B) Step 3: With the other hand, grasp the cap and bend it at a 90º angle until the cap snaps off (See Figure C and Figure D ). (Figure C) (Figure D) Step 4: Open the sterile needle package and take out the covered needle. Hold the AVONEX prefilled syringe with the glass syringe tip pointing up. Press the needle on the AVONEX prefilled syringe glass tip (See Figure E ). (Figure E) Step 5: Gently turn the needle forward (clockwise) until it is tight and firmly attached (See Figure F ). If the needle is not firmly attached, it may leak and you may not get your full dose of AVONEX. Do not remove the plastic cover from the needle. (Figure F)
Using the AVONEX prefilled syringe with the AVOSTARTGRIP titration kit:
Your AVONEX dose may be titrated over 3 weeks by using AVONEX prefilled syringe with the AVOSTARTGRIP titration kit. The AVOSTARTGRIP is used for giving the week 1, 2, and 3 (¼, ½, ¾) injections.
Week 1: ¼ dose (white device)
Week 2: ½ dose (yellow device)
Week 3: ¾ dose (purple device)
Week 4: a full dose
The 3 AVOSTARTGRIP devices are for single-use only with the AVONEX prefilled syringe. Do not re-use the AVONEX prefilled syringe and AVOSTARTGRIP devices.
You must prepare the AVONEX prefilled syringe and needle before you put it into the AVOSTARTGRIP device. Follow steps 1 to 5 above to prepare the AVONEX prefilled syringe.
Identifying the parts of AVOSTARTGRIP titration kit (See Figure G ):
(Figure G)
AVOSTARTGRIP has a “collar” on top of the device that will stop the syringe from injecting a full dose (See Figure H ). The “collar” makes sure that you do not get the full dose of AVONEX.
(Figure H)
Attaching the AVOSTARTGRIP device:
Step 6: Choose the right AVOSTARTGRIP titration device for your weekly dose. Week 1 Injection: Choose the white device to give ¼ dose (See Figure I ). (Figure I) Week 2 Injection: Choose the yellow device to give ½ dose (See Figure J ). (Figure J) Week 3 Injection: Choose the purple device to give ¾ dose (See Figure K ). (Figure K) Step 7: Put the right AVOSTARTGRIP device on a flat surface with the door open (See Figure L ). (Figure L) Step 8: Line up the AVONEX prefilled syringe over the AVOSTARTGRIP device with the plunger pointing to the left and the needle pointing to the right (See Figure M ). (Figure M) Step 9: Push the AVONEX prefilled syringe down into the AVOSTARTGRIP device until both ends “snap” into place (See Figure N ). (Figure N) Step 10: Using two fingers, push the door down until it closes over the AVONEX prefilled syringe (See Figure O ). You will hear a “snap” when the door is closed the right way. Do not open door after it is closed. (Figure O) Step 11: Check to make sure that the AVONEX prefilled syringe is in the AVOSTARTGRIP device the right way and that the door is tightly closed.
Giving the AVONEX injection:
Your healthcare provider should show you or a caregiver how to prepare and inject the dose of AVONEX before AVONEX prefilled syringe is used for the first time. Your healthcare provider or nurse should watch you inject the dose of AVONEX the first time AVONEX prefilled syringe is used.
Inject your AVONEX exactly as your healthcare provider has shown you.
AVONEX is injected into the muscle (intramuscularly).
AVONEX should be injected into the thigh or upper arm (See Figures P and Q ).
Change (rotate) your injection sites for each dose. Do not use the same injection site for each injection.
Do not inject into an area of the body where the skin is irritated, reddened, bruised, infected or scarred in any way.
Step 12: Choose an injection site and wipe the skin with an alcohol wipe (See Figures P and Q ). Let the injection site dry before injecting the dose. Do not touch this area again before giving the injection. (Figure P) (Figure Q) Step 13: Pull the protective cover straight off the needle (See Figure R ). Do not twist the cover off. (Figure R) Step 14: With 1 hand, stretch the skin out around the injection site. With the other hand, hold the syringe like a pencil. Use a quick dart-like motion and insert the needle at a 90º angle, through the skin and into the muscle (See Figure S ). Once the needle is in, let go of the skin. (Figure S) Step 15: Make sure that you push the plunger all the way down until it touches the collar (See Figure T ). (Figure T) Step 16: Pull the needle out of the skin (See Figure U ). Press down on the injection site with the gauze pad for a few seconds or rub gently in a circular motion. If you see blood after you press the injection site for a few seconds, wipe it off with gauze and apply an adhesive bandage. (Figure U)
After the AVONEX injection:
Do notrecap the needle. Recapping the needle can lead to a needle stick injury.
Throw away the used AVONEX prefilled syringes, AVOSTARTGRIP devices, and needles in a sharps container or some type of hard plastic or metal container with a screw cap such as a detergent bottle or coffee can. Check with your healthcare provider about the right way to throw away the container. There may be local or state laws about how to throw away used AVONEX prefilled syringes, AVOSTARTGRIP devices, and needles. Do not throw away used AVONEX prefilled syringes, AVOSTARTGRIP devices, and needles in household trash or recycling bins.
After 2 hours, check the injection site for redness, swelling or tenderness. If you have a skin reaction and it does not clear up in a few days, contact your healthcare provider.
General information about the safe and effective use of AVONEX
Always use a new AVONEX prefilled syringe, AVOSTARTGRIP device, and needle for each injection. Do not re-use your AVONEX prefilled syringe, AVOSTARTGRIP device, or needles.
Do not share your AVONEX prefilled syringe, AVOSTARTGRIP device, or needles.
Keep the AVONEX prefilled syringe, AVOSTARTGRIP device, and needles out of the reach of children.
You can use the table below to keep track of your weekly injections.
This Instructions for Use has been approved by the U.S. Food and Drug Administration.
Revised 09/2016Manufactured for:Biogen Inc.250 Binney StreetCambridge, MA 02142 USA©2012-2016 Biogen. All rights reserved.1-800-456-2255
I11073-05
PRINCIPAL DISPLAY PANEL
Principal Display Panel - 30 mcg Carton Label
NDC: 59627-003-01
Avonex Pen ®
(interferon beta-1a)
Injection
30 mcg/0.5 mL Single-Use Prefilled Autoinjector
For Intramuscular Injection
Once a Week
Avonex Pen ®Administration Dose Pack
ATTENTION PHARMACIST: Each patient is required to receive the enclosed Medication Guide.
Store refrigerated at 2-8°C (36-46°F).
Do not freeze or expose to high temperatures. Protect from light.
The recommended dosage of Avonex ®is 30 mcg injected intramuscularlyonce weekly. See package insert for full prescribing information.
This Product Contains Dry Natural Rubber.
Rx only
PRINCIPAL DISPLAY PANEL
Principal Display Panel - 30 mcg Carton Label
NDC: 59627-002-06
Avonex ® (interferon beta-1a)Injection
30 mcg/0.5 mL Single-Use Prefilled Syringe
For Intramuscular Injection
Once a Week
Avonex ®Administration Dose Pack
ATTENTION PHARMACIST: Each patient is requiredto receive the enclosed Medication Guide.
Store refrigerated at 2-8°C (36-46°F)
Do not freeze or expose to high temperatures.
Protect from light.
See package insert for dosage and administration.
This Product Contains Dry Natural Rubber.
Rx only
PRINCIPAL DISPLAY PANEL
Principal Display Panel - Carton Label
NDC: 59627-333-04
Avonex Pen ® (interferon beta-1a) Injection
30 mcg/0.5 mL Single-Use Prefilled Autoinjector
For Intramuscular Injection
Once a Week
Contents:
4 Avonex Pen ®Administration Dose Packs
Store refrigerated at 2-8°C (36-46°F)
Do not freeze or expose to high temperatures. Protect from light.
The recommended dosage of Avonex ®is 30 mcg injected intramuscularlyonce weekly. See package insert for full prescribing information.
ATTENTION PHARMACIST: Each patient is required to receive the enclosed Medication Guide.
PRINCIPAL DISPLAY PANEL
Principal Display Panel - Carton Label
NDC: 59627-222-05
Avonex ® (interferon beta-1a) Injection
30 mcg/0.5 mL Single-Use Prefilled Syringe
For Intramuscular Injection
Once a Week
Contents:
4 Avonex ® Administration Dose Packs
ATTENTION PHARMACIST: Each patient is required to receive the enclosed Medication Guide.
This Product Contains Dry Natural Rubber.
Rx only
Store refrigerated at 2-8°C (36-46°F).
Do not freeze or expose to high temperatures.
Protect from light.
See package insert for dosage and administration.
PRINCIPAL DISPLAY PANEL
Principal Display Panel - Tray Lid Label
Avonex ® (interferon beta-1a)
30 mcg/0.5 mL Single-Use Prefilled Syringe
For Intramuscular Injection
Store refrigerated at 2-8°C (36-46°F). Do not freeze or expose to high temperatures.
Protect from light. Contents: 1 single-use prefilled syringe of Avonex ®and 1, 23G, 1 1/4" needle. See package insert for dosage and administration. This Product Contains Dry Natural Rubber. ATTENTION PHARMACIST: Each patient is required to receive the enclosed Medication Guide.U.S. License# 1697
Biogen Inc., Cambridge, MA 02142 1-800-456-2255 Rx only 46043 -02
NDC:59627-002-07
INGREDIENTS AND APPEARANCE
AVONEX interferon beta-1a kit Product Information Product Type HUMAN PRESCRIPTION DRUG Item Code (Source) NDC: 59627-333 Packaging # Item Code Package Description Marketing Start Date Marketing End Date 1 NDC: 59627-333-04 1 in 1 CARTON; Type 3: Prefilled Biologic Delivery Device/System (syringe, patch, etc.) 08/29/2014 Quantity of Parts Part # Package Quantity Total Product Quantity Part 1 4 SYRINGE 2 mL Part 2 4 POUCH 1.6 mL Part 1 of 2 AVONEX PEN interferon beta-1a injection, solution Product Information Route of Administration INTRAMUSCULAR Active Ingredient/Active Moiety Ingredient Name Basis of Strength Strength interferon beta-1a (UNII: XRO4566Q4R ) (interferon beta-1a - UNII: XRO4566Q4R ) interferon beta-1a 30 ug in 0.5 mL Inactive Ingredients Ingredient Name Strength Sodium acetate (UNII: 4550K0SC9B ) 0.79 mg in 0.5 mL Arginine hydrochloride (UNII: F7LTH1E20Y ) 15.8 mg in 0.5 mL acetic acid (UNII: Q40Q9N063P ) 0.25 mg in 0.5 mL polysorbate 20 (UNII: 7T1F30V5YH ) 0.025 mg in 0.5 mL Water (UNII: 059QF0KO0R ) Packaging # Item Code Package Description Marketing Start Date Marketing End Date 1 1 in 1 BOX 1 0.5 mL in 1 SYRINGE; Type 3: Prefilled Biologic Delivery Device/System (syringe, patch, etc.) Marketing Information Marketing Category Application Number or Monograph Citation Marketing Start Date Marketing End Date BLA BLA103628 05/23/2003 Part 2 of 2 DUKAL ALCOHOL PREP isopropyl alcohol swab Product Information Route of Administration TOPICAL Active Ingredient/Active Moiety Ingredient Name Basis of Strength Strength ISOPROPYL ALCOHOL (UNII: ND2M416302 ) (ISOPROPYL ALCOHOL - UNII: ND2M416302 ) ISOPROPYL ALCOHOL 0.70 mL in 1 mL Inactive Ingredients Ingredient Name Strength WATER (UNII: 059QF0KO0R ) Packaging # Item Code Package Description Marketing Start Date Marketing End Date 1 4 in 1 POUCH 1 0.4 mL in 1 POUCH; Type 0: Not a Combination Product Marketing Information Marketing Category Application Number or Monograph Citation Marketing Start Date Marketing End Date OTC monograph final part344 05/01/2010 Marketing Information Marketing Category Application Number or Monograph Citation Marketing Start Date Marketing End Date BLA BLA103628 08/29/2014 AVONEX interferon beta-1a kit Product Information Product Type HUMAN PRESCRIPTION DRUG Item Code (Source) NDC: 59627-222 Packaging # Item Code Package Description Marketing Start Date Marketing End Date 1 NDC: 59627-222-05 1 in 1 CARTON; Type 3: Prefilled Biologic Delivery Device/System (syringe, patch, etc.) 08/29/2014 Quantity of Parts Part # Package Quantity Total Product Quantity Part 1 4 SYRINGE 2 mL Part 2 4 POUCH 1.6 mL Part 1 of 2 AVONEX interferon beta-1a injection, solution Product Information Route of Administration INTRAMUSCULAR Active Ingredient/Active Moiety Ingredient Name Basis of Strength Strength interferon beta-1a (UNII: XRO4566Q4R ) (interferon beta-1a - UNII: XRO4566Q4R ) interferon beta-1a 30 ug in 0.5 mL Inactive Ingredients Ingredient Name Strength Sodium acetate (UNII: 4550K0SC9B ) 0.79 mg in 0.5 mL Arginine hydrochloride (UNII: F7LTH1E20Y ) 15.8 mg in 0.5 mL acetic acid (UNII: Q40Q9N063P ) 0.25 mg in 0.5 mL polysorbate 20 (UNII: 7T1F30V5YH ) 0.025 mg in 0.5 mL Water (UNII: 059QF0KO0R ) Packaging # Item Code Package Description Marketing Start Date Marketing End Date 1 1 in 1 TRAY 1 0.5 mL in 1 SYRINGE; Type 3: Prefilled Biologic Delivery Device/System (syringe, patch, etc.) Marketing Information Marketing Category Application Number or Monograph Citation Marketing Start Date Marketing End Date BLA BLA103628 05/23/2003 Part 2 of 2 DUKAL ALCOHOL PREP isopropyl alcohol swab Product Information Route of Administration TOPICAL Active Ingredient/Active Moiety Ingredient Name Basis of Strength Strength ISOPROPYL ALCOHOL (UNII: ND2M416302 ) (ISOPROPYL ALCOHOL - UNII: ND2M416302 ) ISOPROPYL ALCOHOL 0.70 mL in 1 mL Inactive Ingredients Ingredient Name Strength WATER (UNII: 059QF0KO0R ) Packaging # Item Code Package Description Marketing Start Date Marketing End Date 1 4 in 1 POUCH 1 0.4 mL in 1 POUCH; Type 0: Not a Combination Product Marketing Information Marketing Category Application Number or Monograph Citation Marketing Start Date Marketing End Date OTC monograph final part344 05/01/2010 Marketing Information Marketing Category Application Number or Monograph Citation Marketing Start Date Marketing End Date BLA BLA103628 08/29/2014 AVONEX interferon beta-1a kit Product Information Product Type HUMAN PRESCRIPTION DRUG Item Code (Source) NDC: 59627-111 Packaging # Item Code Package Description Marketing Start Date Marketing End Date 1 NDC: 59627-111-03 4 in 1 CARTON 08/29/2014 1 NDC: 59627-111-04 1 in 1 TRAY; Type 1: Convenience Kit of Co-Package Quantity of Parts Part # Package Quantity Total Product Quantity Part 1 1 VIAL, GLASS 1 mL Part 2 1 VIAL 10 mL Part 3 2 POUCH 0.8 mL Part 1 of 3 AVONEX interferon beta-1a injection, powder, lyophilized, for solution Product Information Route of Administration INTRAMUSCULAR Active Ingredient/Active Moiety Ingredient Name Basis of Strength Strength interferon beta-1a (UNII: XRO4566Q4R ) (interferon beta-1a - UNII: XRO4566Q4R ) interferon beta-1a 30 ug in 1 mL Inactive Ingredients Ingredient Name Strength Sodium acetate (UNII: 4550K0SC9B ) 1.58 mg in 1 mL Arginine hydrochloride (UNII: F7LTH1E20Y ) 31.6 mg in 1 mL acetic acid (UNII: Q40Q9N063P ) 0.5 mg in 1 mL polysorbate 20 (UNII: 7T1F30V5YH ) Water (UNII: 059QF0KO0R ) Packaging # Item Code Package Description Marketing Start Date Marketing End Date 1 1 mL in 1 VIAL, GLASS; Type 1: Convenience Kit of Co-Package Marketing Information Marketing Category Application Number or Monograph Citation Marketing Start Date Marketing End Date BLA BLA103628 05/17/1996 Part 2 of 3 STERILE WATER water injection, solution Product Information Route of Administration INTRAMUSCULAR Inactive Ingredients Ingredient Name Strength WATER (UNII: 059QF0KO0R ) 10 mL in 10 mL Packaging # Item Code Package Description Marketing Start Date Marketing End Date 1 10 mL in 1 VIAL; Type 0: Not a Combination Product Marketing Information Marketing Category Application Number or Monograph Citation Marketing Start Date Marketing End Date NDA NDA018801 09/15/2011 Part 3 of 3 DUKAL ALCOHOL PREP isopropyl alcohol swab Product Information Route of Administration TOPICAL Active Ingredient/Active Moiety Ingredient Name Basis of Strength Strength ISOPROPYL ALCOHOL (UNII: ND2M416302 ) (ISOPROPYL ALCOHOL - UNII: ND2M416302 ) ISOPROPYL ALCOHOL 0.70 mL in 1 mL Inactive Ingredients Ingredient Name Strength WATER (UNII: 059QF0KO0R ) Packaging # Item Code Package Description Marketing Start Date Marketing End Date 1 0.4 mL in 1 POUCH; Type 0: Not a Combination Product Marketing Information Marketing Category Application Number or Monograph Citation Marketing Start Date Marketing End Date OTC monograph final part344 05/01/2010 Marketing Information Marketing Category Application Number or Monograph Citation Marketing Start Date Marketing End Date BLA BLA103628 08/29/2014 AVONEX PEN interferon beta-1a injection, solution Product Information Product Type HUMAN PRESCRIPTION DRUG Item Code (Source) NDC: 59627-003 Route of Administration INTRAMUSCULAR Active Ingredient/Active Moiety Ingredient Name Basis of Strength Strength interferon beta-1a (UNII: XRO4566Q4R ) (interferon beta-1a - UNII: XRO4566Q4R ) interferon beta-1a 30 ug in 0.5 mL Inactive Ingredients Ingredient Name Strength Sodium acetate (UNII: 4550K0SC9B ) 0.79 mg in 0.5 mL Arginine hydrochloride (UNII: F7LTH1E20Y ) 15.8 mg in 0.5 mL acetic acid (UNII: Q40Q9N063P ) 0.25 mg in 0.5 mL polysorbate 20 (UNII: 7T1F30V5YH ) 0.025 mg in 0.5 mL Water (UNII: 059QF0KO0R ) Packaging # Item Code Package Description Marketing Start Date Marketing End Date 1 NDC: 59627-003-04 4 in 1 CARTON 05/23/2003 06/30/2016 1 NDC: 59627-003-01 1 in 1 BOX 1 0.5 mL in 1 SYRINGE; Type 3: Prefilled Biologic Delivery Device/System (syringe, patch, etc.) Marketing Information Marketing Category Application Number or Monograph Citation Marketing Start Date Marketing End Date BLA BLA103628 05/23/2003 06/30/2016 AVONEX interferon beta-1a injection, solution Product Information Product Type HUMAN PRESCRIPTION DRUG Item Code (Source) NDC: 59627-002 Route of Administration INTRAMUSCULAR Active Ingredient/Active Moiety Ingredient Name Basis of Strength Strength interferon beta-1a (UNII: XRO4566Q4R ) (interferon beta-1a - UNII: XRO4566Q4R ) interferon beta-1a 30 ug in 0.5 mL Inactive Ingredients Ingredient Name Strength Sodium acetate (UNII: 4550K0SC9B ) 0.79 mg in 0.5 mL Arginine hydrochloride (UNII: F7LTH1E20Y ) 15.8 mg in 0.5 mL acetic acid (UNII: Q40Q9N063P ) 0.25 mg in 0.5 mL polysorbate 20 (UNII: 7T1F30V5YH ) 0.025 mg in 0.5 mL Water (UNII: 059QF0KO0R ) Packaging # Item Code Package Description Marketing Start Date Marketing End Date 1 NDC: 59627-002-05 4 in 1 CARTON 05/23/2003 08/31/2016 1 NDC: 59627-002-07 1 in 1 TRAY 1 0.5 mL in 1 SYRINGE; Type 3: Prefilled Biologic Delivery Device/System (syringe, patch, etc.) Marketing Information Marketing Category Application Number or Monograph Citation Marketing Start Date Marketing End Date BLA BLA103628 05/23/2003 08/31/2016 Labeler - Biogen Inc.
(009492211) Establishment Name Address ID/FEI Business Operations Biogen (Denmark) Manufacturing ApS 307258082 LABEL( 59627-333 ) , PACK( 59627-333 ) , ANALYSIS(59627-111, 59627-333, 59627-222) , MANUFACTURE( 59627-333 ) Establishment Name Address ID/FEI Business Operations Biogen MA Inc. 841087823 API MANUFACTURE(59627-333, 59627-222) , ANALYSIS(59627-111, 59627-333, 59627-222) Establishment Name Address ID/FEI Business Operations Cilag AG 483237103 MANUFACTURE(59627-333, 59627-222) , ANALYSIS(59627-333, 59627-222) Establishment Name Address ID/FEI Business Operations Packaging Coordinators, LLC 078525133 LABEL(59627-333, 59627-222) , PACK(59627-333, 59627-222) Establishment Name Address ID/FEI Business Operations Sharp Corporation 143696495 LABEL(59627-333, 59627-222) , PACK(59627-333, 59627-222) Establishment Name Address ID/FEI Business Operations Vetter Pharma Fertigung GmbH & Co. KG (Langenargen Eisenbahnstrasse) 344217323 MANUFACTURE(59627-333, 59627-222) , ANALYSIS(59627-333, 59627-222) Establishment Name Address ID/FEI Business Operations Bioreliance Corporation 147227730 ANALYSIS(59627-333, 59627-222) Establishment Name Address ID/FEI Business Operations Bioreliance Ltd. 505004556 ANALYSIS(59627-333, 59627-222) Establishment Name Address ID/FEI Business Operations Vetter Pharma Fertigung GmbH & Co. KG (Ravensburg Schuetzenstrasse) 316126754 ANALYSIS(59627-333, 59627-222) Establishment Name Address ID/FEI Business Operations Vetter Pharma Fertigung GmbH & Co. KG (Ravensburg Mooswiesen) 312670654 ANALYSIS(59627-333, 59627-222)
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DIVISION
[ GR No. L-38498, Aug 10, 1989 ]
ISAAC BAGNAS v. CA +
DECISION
257 Phil. 163
FIRST DIVISION
[ G.R. No. L-38498, August 10, 1989 ]
ISAAC BAGNAS, ENCARNACION BAGNAS, SILVESTRE BAGNAS, MAXIMINA BAGNAS, SIXTO BAGNAS, AND AGATONA ENCARNACION, PETITIONERS, VS. HON. COURT OF APPEALS, ROSA L. RETONIL, TEOFILO ENCARNACION, AND JOSE B. NAMBAYAN, RESPONDENTS. D E C I S I O N
NARVASA, J.:
The facts underlying this appeal by certiorari are not in dispute.
Hilario Mateum of Kawit , Cavite , died on March 11, 1964, single, without ascendants or descendants, and survived only by collateral relatives, of whom petitioners herein, his first cousins, were the
nearest. Mateum left no will, no debts, and an estate consisting of twenty-nine parcels of land in Kawit and Imus , Cavite , ten of which are
involved in this appeal. [1]
On April 3, 1964, the private respondents, themselves collateral relatives of Mateum though more remote in degree than the petitioners,
[2]
registered with the Registry of Deeds for the Province of Cavite two deeds of sale purportedly executed by Mateum
in
their (respondents') favor covering ten parcels of
l
and. Both deeds were in Tagalog , save for the English
descriptions of the lands conveyed under one of them; and each recited the consideration of the sale to be "*** halagang ISANG PISO (P1.00), salaping Pilipino, at mga naipaglingkod , ipinaglilingkod at ipaglilingkod sa aking kapakanan ***" ("the sum of ONE PESO (P1.00), Philippine Currency, and services rendered, being rendered and to be rendered for my benefit"). One deed was dated
February 6,
1963
and
covered
five parcels of land, and the other was dated
March 4, 1963
, covering five other parcels, both, therefore, antedating Mateum's death by more than a year.
[3]
It is asserted by the petitioners, but denied
by
the respondents, that said sales notwithstanding, Mateum continued in the
possession
of the lands purportedly conveyed until his
death, that he remained the declared owner thereof
and that the tax payments thereon continued to be paid in his name.
[4]
Whatever the truth, however, is not crucial.
What
is not disputed is
that on the strength of the deeds of sale, the respondents were able to secure title in their favor over three of the ten parcels of land conveyed thereby.
[5]
On
May 22, 1964
the petitioners commenced suit against the respondents in the Court of First Instance of Cavite , seeking annulment of the deeds of sale as fictitious, fraudulent or falsified, or, alternatively, as donations
void for want of acceptance embodied in a public instrument.
Claiming ownership
pro
indiviso
of the lands subject of the deeds by virtue of being intestate heirs of
Hilario
Mateum
, the petitioners prayed for
recovery of ownership and possession of said lands, accounting of the fruits thereof and damages.
Although the complaint originally sought recovery of
all
the twenty-nine parcels of land left by
Mateum
, at the pre-trial the parties
agreed that the controversy be limited to the ten parcels subject of the questioned sales, and the Trial Court ordered the exclusion of the nineteen other parcels from the action.
[6]
Of the ten parcels which remained in litigation,
nine were
assessed for purposes of taxation at values aggregating P10
,500.00
.
The record does not disclose the assessed value of the tenth parcel, which has an area of 1,443 square meters.
[7]
In answer to the complaint, the defendants (respondents here) denied the alleged fictitious or fraudulent character of the sales in their favor, asserting that said sales were made for good and valuable consideration; that while "*** they may have the effect of
donations, yet the formalities and solemnities of donation are not required for their validity and
effectivity
, ***;" that defendants were collateral relatives of
Hilario
Mateum
and had done many good things for him, nursing him in his last
illness, which services constituted the bulk of the consideration of the sales; and (by way of affirmative defense) that the plaintiffs could not question or seek annulment of the sales because they were mere collateral relatives of the deceased vendor and were not bound,
principally or
subsidiarily
, thereby.
[8]
After the plaintiff's had presented their evidence, the defendants filed a motion for dismissal -- in effect, a demurrer to the evidence -- reasserting the defense set up in their answer that the plaintiffs, as mere collateral relatives of Hilario Mateum , had no right to impugn the latter's disposition of his properties by means of the questioned conveyances and submitting, additionally, that no evidence of fraud tainting said transfers had been presented. [9]
The Trial Court granted the motion to dismiss, holding (a) on the authority of Armentia vs. Patriarca , [10] that the plaintiffs, as mere collateral relatives, not forced
heirs, of Hilario Mateum , could not legally question the disposition made by said deceased during his lifetime, regardless of whether, as a matter of objective reality, said dispositions were valid or not; and (b) that the
plaintiffs' evidence of alleged fraud was insufficient, the fact that the deeds of sale each stated a consideration of only P1.00 not being in itself evidence of fraud or simulation. [11]
On appeal by the plaintiffs to the Court of Appeals, that Court affirmed, adverting with approval to the Trial Court's reliance on the
Armentia
ruling which, it would appear, both courts saw as denying, without exception, to collaterals,
of a decedent, not forced heirs, the right to impugn the latter's dispositions
inter
vivos
of
property. The Appellate Court also analyzed the testimony
of
the plaintiffs' witnesses,
declared that it failed to establish fraud of any kind or that Mateum had continued paying taxes on the lands in question even after executing the deeds conveying them to the defendants, and closed with the statement that "*** since in
duly
notarized
and registered deeds of sale consideration
is
presumed, we do not find it necessary to rule on the alternative allegations of the appellants that
the
said deed of sale were (sic) in reality donations."
[12]
One issue clearly predominates here.
It is whether, in view of the fact that, for properties assuredly worth in actual value many times over their total assessed valuation of more than P10
,000.00
, the questioned deeds of sale each state a
price of only
one
peso
(P1.00) plus unspecified past, present and future services to which no value is assigned, said deeds were void or inexistent from the beginning ("
nulo
") or merely
voidable
, that is, valid until
annulled.
If they were only
voidable
, then it is a correct proposition that since the vendor
Mateum
had no forced heirs whose
legitimes
may have been impaired, and the petitioners, his collateral relatives, not being
bound either principally or
subsidiarily
to the terms of said deeds, the latter had and have no actionable right to question those transfers.
On the other hand, if said deeds were void ab initio because to all intents and purposes without consideration, then a different legal situation arises, and quite another result obtains, as pointed out by the eminent civil law
authority, Mr. Justice J.B.L. Reyes who, in his concurring opinion in Armentia , said:
"I *** cannot bring myself to agree to the proposition that the heirs intestate would have no legal standing to contest the conveyance made by the deceased if the same were made without any consideration, or for a false and fictitious
consideration.
For under the Civil Code of the
Philippines
, Art.
1409, par. 3, contracts with a cause that did not exist at the time of the transaction are inexistent and void from the beginning.
The
same is true of contracts stating a false cause (consideration) unless the persons interested in upholding the contract should prove that there is another true and lawful consideration
therefor
.
(
Ibid. ,
Art. 1353).
If therefore the contract has no
causa
or consideration, or the
causa
is false and fictitious (and no true hidden
causa
is proved) the property allegedly conveyed never really leaves the patrimony of the
transferor, and upon the latter's death without a testament,
such
property would pass to the transferor's heirs intestate and be recoverable by them or by the Administrator of the transferor's estate.
In this particular regard, I think
Concepcion
vs. Sta. Ana, 87 Phil. 787 and Solis vs. Chua
Pua
Hermanos
, 50 Phil. 536, do not correctly state the present law, and must be clarified."
To
be sure the quoted passage does not reject -- and is not to be construed as rejecting -- the Concepcion and Solis rulings
[13]
as
outrightly
erroneous,
far from it.
On the contrary, those rulings undoubtedly read and applied correctly the law extant in their time:
Art. 1276 of the Civil Code of 1889 under which the statement of a false cause in a contract rendered it
voidable
only, not void
ab
initio
.
In observing that they "*** do not correctly state the present law and must be clarified," Justice Reyes clearly had in mind the fact that the law as it is now (and already was in the time of
Armentia
) no longer deems contracts with a false cause, or which are absolutely simulated or fictitious, merely
voidable
, but declares them void,
i
.
e
., inexistent ("
nulo
") unless it
is
shown
that they are supported by another true and lawful cause or consideration.
[14]
A logical consequence of that change in the juridical status of contracts without, or with a false, cause is that conveyances of property
affected with such
a
vice cannot operate to divest and transfer ownership, even if unimpugned . If afterwards the transferor dies the property descends to his heirs, and without regard to the manner in which they are
called to the succession, said heirs may bring an action to recover the property from the purported transferee. As pointed o
ut,
such an action is not founded on fraud, but on the premise that the property never leaves the estate of the transferor
and is transmitted upon his death to heirs, who would labor under
no
incapacity to maintain the action from the mere fact that they may be only collateral relatives and bound neither principally or subsidiarily under the deed
or
contract of conveyance.
In
Armentia
the Court determined that the conveyance questioned was merely annullable, not void ab
initio
,
and that the plaintiff's action was based on fraud vitiating said
conveyance.
The Court said:
"Hypothetically admitting the truth of these allegations (of plaintiff's complaint), the conclusion is irresistible that the sale is merely
voidable
.
Because Marta
Armentia
executed the document, and this is not
controverted
by plaintiff.
Besides, the fact that the vendees were
minors,
makes the contract, at worst, annullable
by
them.
Then again, inadequacy of consideration does not imply total want of
consideration.
Without more, the purported acts of Marta
Armentia
after the sale did not indicate that the said sale was void from the beginning.
The sum total of all these is that, in essence, plaintiff's
case
is bottomed on fraud,
which
renders the contract
voidable
."
It therefore seems clear that insofar as it may be considered as setting or reaffirming precedent, Armentia only ruled that transfers made by a decedent in his lifetime, which are voidable for having been fraudulently made or obtained, cannot be posthumously impugned by collateral relatives succeeding to his estate who are not principally or subsidiarily bound by such transfers. For the reasons already stated,
that ruling is not extendible to transfers which, though made under closely similar circumstances, are void ab initio for lack or falsity of consideration.
The petitioners here argue on a broad front that the very recitals of the questioned deeds of sale reveal such want or spuriousness of consideration and therefore the void character of said sales. They:
1.
advert to a decision of the Court of Appeals in
Montinola
vs.
Herbosa
(59
O.G.
No. 47, pp. 8101, 8118) holding that a price of P1.00 for the sale of things worth at least
P20,000.00
is so
insignificant as to amount to no price at all, and does not satisfy the law which, while not requiring for the validity of a sale that the price be adequate, prescribes that it must be real, not fictitious,
stressing the obvious parallel between that case and the present
one
in
stated price and actual value of the property sold;
2.
cite
Manresa
to the same effect:
that true price, which is essential to the validity of a sale, means existent, real and effective price, that which does not consist in an insignificant amount as, say, P.20 for a house;
that it is not the same as the concept o
f a just price which entails weighing and measuring, for economic equivalence, the amount of price against
all
the factors that determine the value of the thing sold; but that there
is
no need
of such a close examination when the immense disproportion between such economic values is patent -- a case of insignificant or ridiculous price, the unbelievable amount of which at once points out its inexistence;"
[15]
3.
assert
that Art. 1458 of the Civil Code, in prescribing that a sale be for a "*** price certain in money or its equivalent ***," requires that "equivalent" be something representative of money,
e
.
g
., a check or draft, again
citing
Manresa
[16]
to the effect that services are not the equivalent of money insofar as said requirement is concerned and that
a
contract is not a true sale where the price consists of services or
prestations
;
4.
once more citing
Manresa
,
[17]
also point out that the "services" mentioned in the questioned deeds of sale are not
only
vague and uncertain, but are unknown and not susceptible of
determination without the necessity of a new agreement between the parties to said deeds.
Without necessarily according all these assertions
its
full concurrence, but upon the consideration alone that the apparent gross, not to
s
ay enormous, disproportion between the stipulated price (in each deed) of P1.00
plus unspecified and unquantified services and the undisputably valuable real estate allegedy sold -- worth at least P10,500.00 going only by assessments for tax purposes which, it is well-known, are notoriously low indicators of actual
value -- plainly and unquestionably demonstrates that t
h
ey state a false and
fictitious consideration,
and no
other true and lawful cause having been shown, the Court finds both said deeds, insofar as they purport
to be sales, not merely voidable , but void ab
initio
.
Neither can the validity of said conveyances be defended on the theory that their true
causa
is the liberality of the transferor and they may be considered in reality donations,
[18]
because the law
[19]
also prescribes
that donations of immovable property, to be valid, must be made
and
accepted
in a public instrument, and it is not denied by the
respondents that there has been
no such
acceptance which they claim is not required.
[20]
The transfers in question being void, it follows as a necessary consequence and conformably to the concurring opinion in Armentia , with which the Court fully agrees, that the properties purportedly conveyed remained part of the estate of Hilario Mateum , said transfers notwithstanding, recoverable by his intestate heirs,
the
petitioners herein, whose status as such is not challenged.
The private respondents have only themselves to blame for the lack of proof that might have saved the questioned transfers from the taint of invalidity as being fictitious and without licit cause; proof, to be brief, of the character and value of the services, past,
present and future, constituting -- according to the very terms of said
transfers -- the principal consideration
therefor
.
The
petitioners' complaint (par. 6)
[21]
averred
that the transfers were "*** fraudulent, fictitious and/or falsified and (were) *** in reality donations of immovables ***," an averment that the private respondents not only specifically denied, alleging that the transfers had been made "*** for good and valuable
consideration ***," but to which they also interposed the affirmative defenses that said transfers were "***' valid, binding and effective ***," and,
in an obvious reference to the services mentioned in the deeds, that they "*** had done many good things to
(the transferor) during his lifetime, nursed him during his ripe years and took care of him during his previous and last illness ***," (pars. 4, 6, 16 and 17, their answer).
[22]
The
onus
, therefore, of showing the existence
of valid and licit consideration for the questioned conveyances rested
on
the private respondents.
But even on a
contrary
assumption, and positing that the petitioners initially had the burden of showing that the transfers lacked such
consideration as they alleged in their complaint, that burden was shifted to the private respondents when the petitioners presented the deeds which they claimed showed that defect on their face and it became the duty of said respondents to offer evidence of existent, lawful
consideration.
As the record clearly demonstrates, the respondents not
only failed to offer any proof whatsoever, opting to rely on a demurrer to the petitioners' evidence and upon the thesis, which they have maintained all the way to this
C
ourt, that petitioners,
being mere collateral relatives of the deceased transferor, were without right to the
conveyances in question. In effect, they gambled their right to adduce evidence on a dismissal in the Trial Court and lost, it being the rule that when a dismissal thus
obtained is reversed on appeal, the movant
loses
the right to present evidence in his behalf.
[23]
WHEREFORE
, the appealed Decision of the Court of Appeals is reversed.
The questioned transfers are declared void and of no force or effect.
Such certificates of title as the private
respondents
may have obtained over
the properties subject of said transfers are hereby annulled, and said respondents are ordered to return to the
petitioners
possession of all the properties involved
in
this action, to account to the petitioners for the fruits thereof during the period
of their pos
s
ession, and to pay the costs.
No damages, attorney's fees or litigation expenses are awarded, there
being
no evidence thereof before the Court.
SO ORDERED.
Cruz, Gancayco , Griño-Aquino , and Medialdea , JJ., concur.
[1] Rollo , pp. 3, 50, 51.
[2]
Id .
;
two of the respondents are nephews, and the third is a niece, of
Mateum
;
Rollo
, p. 50.
[3]
record
on
appeal, pp. 15-25.
[4]
petitioners
' brief, p. 8; respondents' brief, p. 5.
[5]
record
on appeal, pp. 11, 26.
[6]
record
on appeal, pp. 35-39.
[7] s upra ; id ., pp. 15-25.
[8]
id
., pp. 25-32.
[9]
record
on appeal, pp. 43-49.
[10] 18 SCRA 1253.
[11]
record
on
appeal, pp. 79-89.
[12] Rollo , pp. 30-40.
[13]
Solis
, the earlier case (the correct volume and page citation of which is 50 Phil. 636), held that a voluntary conveyance, without any consideration whatever, is
prima
facie
good
as
between
the parties.
In
Concepcion
, the Court ruled that the surviving brother of a decedent cannot bring action to annul, for
being
based on a false or fictitious consideration, a sale of real property made by the latter in her
lifetime; this because the effect of a false consideration was limited to making the contract
voidable
, and the action to annul
voidable
contracts could only be brought by the persons bound thereto or by the heir/s to whom the rights and obligations
arising from such contracts are transmitted.
[14] Arts. 1353 and 1409, Civil Code of the Philippines .
[15]
Vol. 10, 3rd. ed., p. 47.
[16]
Vol. 8, 3rd ed., pp. 59-60.
[17] Vol. 10, 3rd ed., pp. 47-48.
[18] Art. 1471, Civil Code of the Philippines .
[19] Art. 749, id .
[20] Answer to the Complaint; record on appeal, p. 27.
[21]
record
on appeal, p. 11.
[22]
record
on appeal, pp. 25-26, 29-30.
[23]
Rule 35, Sec. 1, Rules of Court;
Siayngco
vs
.
Costibolo
, 27 SCRA 272, 283-384.
tags
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Abstract
Responding to the coronavirus disease-2019 pandemic with innovative data use: The role of data challenges
Innovative, responsible data use is a critical need in the global response to the coronavirus disease-2019 (COVID-19) pandemic. Yet potentially impactful data are often unavailable to those who could utilize it, particularly in data-poor settings, posing a serious barrier to effective pandemic mitigation. Data challenges, a public call-to-action for innovative data use projects, can identify and address these specific barriers. To understand gaps and progress relevant to effective data use in this context, this study thematically analyses three sets of qualitative data focused on/based in low/middle-income countries: (a) a survey of innovators responding to a data challenge, (b) a survey of organizers of data challenges, and (c) a focus group discussion with professionals using COVID-19 data for evidence-based decision-making. Data quality and accessibility and human resources/institutional capacity were frequently reported limitations to effective data use among innovators. New fit-for-purpose tools and the expansion of partnerships were the most frequently noted areas of progress. Discussion participants identified building capacity for external/national actors to understand the needs of local communities can address a lack of partnerships while de-siloing information. A synthesis of themes demonstrated that gaps, progress, and needs commonly identified by these groups are relevant beyond COVID-19, highlighting the importance of a healthy data ecosystem to address emerging threats. This is supported by data holders prioritizing the availability and accessibility of their data without causing harm; funders and policymakers committed to integrating innovations with existing physical, data, and policy infrastructure; and innovators designing sustainable, multi-use solutions based on principles of good data governance.
Responding to the coronavirus disease-2019 pandemic with innovative data use: The role of data challenges
Danemayer, J., Young, A., Green, S., Ezenwa, L., & Klein, M. (2023). Responding to the coronavirus disease-2019 pandemic with innovative data use: The role of data challenges. Data & Policy, 5, E11. doi:10.1017/dap.2023.6
Responding to the coronavirus disease-2019 pandemic with innovative data use: The role of data challenges
Type
Journal Paper
Themes
Assistive & Accessible Technology
Assistive Technology Use and Provision During COVID19: Results From a Rapid Global Survey
Emma M Smith, Maria Luisa Toro Hernandez, Ikenna D Ebuenyi, Elena V Syurina,Giulia Barbareschi, Krista L Best,Jamie Danemayer,Ben Oldfrey, Nuha Ibrahim,Catherine Holloway, Malcolm MacLachlan
The coronavirus disease 2019 (COVID-19) pandemic has impacted all segments of society, but it has posed particular challenges for the inclusion of persons with disabilities, those with chronic illness and older people regarding their participation in daily life. These groups often benefit from assistive technology (AT) and so it is important to understand how use of AT may be affected by or may help to mitigate the impacts of COVID-19.Objective:The objectives of this study were to explore the how AT use and provision have been affected during the initial stages of the COVID-19 pandemic, and how AT policies and systems may be made more resilient based on lessons learned during this global crisis.
International Journal of Health Policy and Management; 2020
Abstract
Assistive Technology Use and Provision During COVID19: Results From a Rapid Global Survey
Abstract
Background:The coronavirus disease 2019 (COVID-19) pandemic has impacted all segments of society, but it has posed particular challenges for the inclusion of persons with disabilities, those with chronic illness and older people regarding their participation in daily life. These groups often benefit from assistive technology (AT) and so it is important to understand how use of AT may be affected by or may help to mitigate the impacts of COVID-19.Objective:The objectives of this study were to explore the how AT use and provision have been affected during the initial stages of the COVID-19 pandemic, and how AT policies and systems may be made more resilient based on lessons learned during this global crisis.
Methods:This study was a rapid, international online qualitative survey in the 6 United Nations (UN) languages (English, French, Spanish, Russian, Arabic, Mandarin Chinese) facilitated by extant World Health Organization (WHO) and International Disability Alliance networks. Themes and subthemes of the qualitative responses were identified using Braun and Clarke's 6-phase analysis.
Results:Four primary themes were identified in in the data: Disruption of Services, Insufficient Emergency Preparedness, Limitations in Existing Technology, and Inadequate Policies and Systems. Subthemes were identified within each theme, including subthemes related to developing resilience in AT systems, based on learning from the pandemic.
Conclusion:COVID-19 has disrupted the delivery of AT services, primarily due to infection control measures resulting in lack of provider availability and diminished one-to-one services. This study identified a need for stronger user-centred development of funding policies and infrastructures that are more sustainable and resilient, best practices for remote service delivery, robust and accessible tools and systems, and increased capacity of clients, caregivers, and clinicians to respond to pandemic and other crisis situations.
Assistive Technology Use and Provision During COVID19: Results From a Rapid Global Survey
Smith EM, Toro Hernandez ML, Ebuenyi ID, Syurina EV, Barbareschi G, Best KL, Danemayer J, Oldfrey B, Ibrahim N, Holloway C, MacLachlan M. Assistive Technology Use and Provision During COVID-19: Results From a Rapid Global Survey. Int J Health Policy Manag. 2022 Jun 1;11(6):747-756. doi: 10.34172/ijhpm.2020.210. PMID: 33201656;
Assistive Technology Use and Provision During COVID19: Results From a Rapid Global Survey
Type
Journal Paper
Themes
Assistive & Accessible Technology
Applying market shaping approaches to increase access to assistive technology in low- and middle-income countries
Margaret Savage, Sarah Albala, Frederic Seghers, Rainer Katte, Cynthia Liao, Mathilde Chaudron, Novia Afdhila
Development outcomes are inextricably linked to the health of the marketplace that delivers products and services to people in low- and middle- income countries (LMIC). Shortcomings in the market for assistive technology (AT) contribute to low access in LMIC. Market shaping is aimed at improving a market’s specific outcomes, such as access to high quality, affordable AT, by targeting the root causes of these shortcomings. The paper summarizes the findings of a market and sector analysis that was conducted under the UK aid funded AT2030 programme and aims to discuss how market shaping can help more people gain access to the AT that they need and what are the best mechanisms to unlock markets and commercial opportunity in LMICs.
Assistive Technology The Official Journal of RESNA; 2021
Abstract
Applying market shaping approaches to increase access to assistive technology in low- and middle-income countries
Development outcomes are inextricably linked to the health of the marketplace that delivers products and services to people in low- and middle-income countries (LMIC). Shortcomings in the market for assistive technology (AT) contribute to low access in LMIC. Market shaping is aimed at improving a market’s specific outcomes, such as access to high quality, affordable AT, by targeting the root causes of these shortcomings. The paper summarizes the findings of market analyses conducted under the UK aid funded AT2030 programme in support of ATscale and aims to discuss how market shaping can help more people gain access to the AT that they need and what are the best mechanisms to unlock markets and commercial opportunity in LMICs. The paper also explores how market shaping for AT markets could be part of a mission-oriented approach AT policy. A mission-oriented approach can help accelerate progress toward a common objective among stakeholders, at country or global level. While market-shaping activities direct the outcomes of the market toward a specific end goal, such as access to quality, affordable products and services, missions are more comprehensive and include other policy interventions and stakeholder collaborations in order to create a robust and sustainable structure.
Applying market shaping approaches to increase access to assistive technology in low- and middle-income countries
Margaret Savage, Sarah Albala, Frederic Seghers, Rainer Kattel, Cynthia Liao, Mathilde Chaudron & Novia Afdhila (2021) Applying market shaping approaches to increase access to assistive technology in low- and middle-income countries, Assistive Technology, 33:sup1, 124-135, DOI: 10.1080/10400435.2021.1991050
Applying market shaping approaches to increase access to assistive technology in low- and middle-income countries
Type
Journal Paper
Themes
Assistive & Accessible Technology
Assistive technology access in longitudinal datasets: a global review
Jamie Danemayer, Sophie Mitra,Cathy Holloway, Shereen Hussein
A person’s access to assistive products such as hearing aids, wheelchairs, and glasses, is an essential part of their ability to age in a healthy way. But, according to the World Health Organization, a staggering 90% of people who need assistive products worldwide, do not have access to them. In many instances access is limited or simply non-existent. This is often due to assistive products being too expensive, demand outweighing supply, not always being suitable to use in different environments, or even the lack of availability of trained providers. In such circumstances, people are more likely to age ‘unhealthily’ if they do not have access to assistive products that are designed to support their day to day functioning and independence.
International Journal of Population Data Science; 2023
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Abstract
Assistive technology access in longitudinal datasets: a global review
Functional limitations become more prevalent as populations age, emphasising an increasingly urgent need for assistive technology (AT). Critical to meeting this need trajectory is understanding AT access in older ages. Yet few publications examine this from a longitudinal perspective.
This review aims to identify and collate what data exist globally, seeking all population-based cohorts and repeated cross-sectional surveys through the Maelstrom Research Catalogue (searched May 10, 2022) and the Disability Data Report (published 2022), respectively. Datasets incorporating functional limitations modules and question(s) dedicated to AT, with a wave of data collection since 2009, were included.
Of 81 cohorts and 202 surveys identified, 47 and 62 meet inclusion criteria, respectively. Over 40% of cohorts were drawn from high-income countries which have already experienced significant population ageing. Cohorts often exclude participants based on pre-existing support needs. For surveys, Africa is the most represented region (40%). Globally, 73% of waves were conducted since 2016. 'Use' is the most collected AT access indicator (69% of cohorts and 85% of surveys). Glasses (78%) and hearing aids (77%) are the most represented AT. While gaps in data coverage and representation are significant, collating existing datasets highlights current opportunities for analyses and methods for improving data collection across the sector.
Assistive technology access in longitudinal datasets: a global review
Danemayer, J., Mitra, S., Holloway, C. and Hussein, S. (2023) “Assistive technology access in longitudinal datasets: a global review”, International Journal of Population Data Science, 8(1). doi: 10.23889/ijpds.v8i1.1901.
Type
Journal Paper
Themes
Assistive & Accessible Technology
Estimating need and coverage for five priority assistive products: A systematic review of global population based research
Jamie Danemayer, Dorothy Boggs, Vinicius Delgado Ramos, Emma M. Smith, Ariana Kular, William Bhot, Felipe Ramos Barajas, Sarah Polack,Catherine Holloway
Assistive technology (AT) includes assistive products (APs) and related services that can improve health and well-being, enable increased independence and foster participation for people with functional difficulties, including older adults and people with impairments or chronic health conditions. 1This paper uses the umbrella term ‘functional difficulty’ (FD) to refer to all of these groups. This systematic review was undertaken to identify studies presenting population-based estimates of need and coverage for five APs (hearing aids, limb prostheses, wheelchairs, glasses and personal digital assistants) grouped by four functional domains (hearing, mobility, vision and cognition).
BMJ Global Health; 2021
Abstract
Estimating need and coverage for five priority assistive products: A systematic review of global population based research
Introduction:To improve access to assistive products (APs) globally, data must be available to inform evidence based decision-making, policy development and evaluation, and market-shaping interventions.
Methods:This systematic review was undertaken to identify studies presenting population-based estimates of need and coverage for five APs (hearing aids, limb prostheses, wheelchairs, glasses and personal digital assistants) grouped by four functional domains (hearing, mobility, vision and cognition).
Results:Data including 656 AP access indicators were extracted from 207 studies, most of which (n=199, 96%) were cross-sectional, either collecting primary (n=167) or using secondary (n=32) data. There was considerable heterogeneity in assessment approaches used and how AP indicators were reported; over half (n=110) used a combination of clinical and self-reported assessment data. Of 35 studies reporting AP use out of all people with functional difficulty in the corresponding functional domains, the proportions ranged from 4.5% to 47.0% for hearing aids, from 0.9% to 17.6% for mobility devices, and from 0.1% to 86.6% for near and distance glasses. Studies reporting AP need indicators demonstrated >60% unmet need for each of the five APs in most settings.
Conclusion:Variation in definitions of indicators of AP access have likely led to overestimates/underestimates of need and coverage, particularly, where the relationship between functioning difficulty and the need for an AP is complex. This review demonstrates high unmet need for APs globally, due in part to disparate data across this sector, and emphasises the need to standardise AP data collection and reporting strategies to provide a comparable evidence base to improve access to APs.
Estimating need and coverage for five priority assistive products: A systematic review of global population based research
Danemayer J, Boggs D, Delgado Ramos V, et al. Estimating need and coverage for five priority assistive products: a systematic review of global population-based research. BMJ Global Health 2022;7:e007662. doi:10.1136/bmjgh-2021-007662
Estimating need and coverage for five priority assistive products: A systematic review of global population based research
Type
Journal Paper
Themes
Assistive & Accessible Technology
Experiences of lower limb prosthesis users in Kenya: a qualitative study to understand motivation to use and satisfaction with prosthetic outcomes
Kate Mattick,Ben Oldfrey, Maggie Donovan-Hall, Grace Magomere, Joseph Gakunga,Catherine Holloway
An estimated 1.5 million people undergo limb amputation each year [1]. Low- and middle-income countries (LMICs) are projected to have a rapid increase in people living with an amputation in the coming years due to prevalence of non-communicable dis-ease, trauma and conflict [1–3]. This paper explores the personal and system factors that motivate and enhance outcomes for patients accessing a prosthetic service and using a lower-limb prosthesis within a low resource setting.
Disability and Rehabilitation; 2022
Abstract
Experiences of lower limb prosthesis users in Kenya: a qualitative study to understand motivation to use and satisfaction with prosthetic outcomes
PurposeTo explore the personal and system factors that motivate and enhance outcomes for patients accessing a prosthetic service and using a lower-limb prosthesis within a low resource setting.
Materials and methodsThis study employed a qualitative approach to explore the motivations and satisfaction of individuals with lower limb loss engaging with a prosthetic service in Mombasa, Kenya. In-depth interviews were conducted over Microsoft Teams with 10 lower limb prosthesis users and thematic analysis was applied.
ResultsFive key themes emerged: acceptance, self-determination, hope, clinician relationship and perception. These findings demonstrate the importance of hopeful thinking and a supportive community in overcoming physical and stigmatising challenges. The findings further highlight the value of the service provider relationship beyond just prescribing an assistive device.
ConclusionThese results have relevance in developing patient-centred services, assistive devices and personnel training that are responsive, motivating, and cognisant of the service user. This is of particular interest as assistive technology services are newly developed in low resource settings.
Experiences of lower limb prosthesis users in Kenya: a qualitative study to understand motivation to use and satisfaction with prosthetic outcomes
Kate Mattick, Ben Oldfrey, Maggie Donovan-Hall, Grace Magomere, Joseph Gakunga & Catherine Holloway (2022) Experiences of lower limb prosthesis users in Kenya: a qualitative study to understand motivation to use and satisfaction with prosthetic outcomes, Disability and Rehabilitation, DOI:10.1080/09638288.2022.2152875
Experiences of lower limb prosthesis users in Kenya: a qualitative study to understand motivation to use and satisfaction with prosthetic outcomes
Type
Article
Themes
Assistive & Accessible Technology
These tools help visually impaired scientists read data and journals
Alla Katsnelson
This article was featured in Nature and discusses tools that help visually impaired scientists read data and Journals. Innovation Manager, Daniel Hajas, was interviewed as part of this piece and highlights the need for an ecosystem approach, and access to data / visualisations for blind members of the research and science community.
Nature; 2023
Type
Journal Paper
Themes
Culture and Participation
Research Group
Social Justice
“Give Us the Chance to Be Part of You, We Want Our Voices to Be Heard”: Assistive Technology as a Mediator of Participation in (Formal and Informal) Citizenship Activities for Persons with Disabilities Who Are Slum Dwellers in Freetown, Sierra Leone
Victoria Austin,Catherine Holloway, Ignacia Ossul Vermehren, Abs Dumbuya,Giulia Barbareschiand Julian Walker
The World Health Organisation (WHO) estimates that there are currently one billion people in the world who need access to assistive technology (AT). Yet over 90% currently do not have access to assistive products (AP)—such as wheelchairs, hearing aids, walking sticks and eyeglasses—they need, nor and the systems and services necessary to support their appropriate provision [1]. This shocking deficit is set to double by 2050, with about two billion of us likely to require AT but no anticipated reduction in lack of access. The World Health Organisation defines AT as the “the umbrella term covering the systems and services related to the delivery of assistive products and services”, which are products that “maintain or improve an individual’s functioning and independence, thereby promoting their well-being” [2], and the importance of AT provision is strongly highlighted in the Convention on the Rights of Persons with Disabilities (CRPD) [3]. AT has also been shown to be essential to achieving many of the United Nation’s Sustainable Development Goals (SDG) [4]. Without access to AT, many persons with disabilities are unable to go to school, be active in their communities, earn an income, or play a full role in their families [5]. As a recent study found, “AT can make the impossible possible for people living with a wide range of impairments, but a lack of access to basic AT …excludes individuals and reduces their ability to live full, enjoyable, and independent lives” [6].
International Journal of Environmental Research and Public Health; 2021
Abstract
“Give Us the Chance to Be Part of You, We Want Our Voices to Be Heard”: Assistive Technology as a Mediator of Participation in (Formal and Informal) Citizenship Activities for Persons with Disabilities Who Are Slum Dwellers in Freetown, Sierra Leone
The importance of assistive technology (AT) is gaining recognition, with the World Health Organisation (WHO) set to publish a Global Report in 2022. Yet little is understood about access for the poorest, or the potential of AT to enable this group to participate in the activities of citizenship; both formal and informal. The aim of this qualitative study was to explore AT as mediator of participation in citizenship for persons with disabilities who live in two informal settlements in Freetown, Sierra Leone (SL). The paper presents evidence from 16 participant and 5 stakeholder interviews; 5 focus groups and 4 events; combining this with the findings of a house-to-house AT survey; and two national studies—a country capacity assessment and an informal markets deep-dive. Despite citizenship activities being valued, a lack of AT was consistently reported and hindered participation. Stigma was also found to be a major barrier. AT access for the poorest must be addressed if citizenship participation for persons with disabilities is a genuine global intention and disability justice is to become a reality.
“Give Us the Chance to Be Part of You, We Want Our Voices to Be Heard”: Assistive Technology as a Mediator of Participation in (Formal and Informal) Citizenship Activities for Persons with Disabilities Who Are Slum Dwellers in Freetown, Sierra Leone
Austin, V.; Holloway, C.; Ossul Vermehren, I.; Dumbuya, A.; Barbareschi, G.; Walker, J. “Give Us the Chance to Be Part of You, We Want Our Voices to Be Heard”: Assistive Technology as a Mediator of Participation in (Formal and Informal) Citizenship Activities for Persons with Disabilities Who Are Slum Dwellers in Freetown, Sierra Leone. Int. J. Environ. Res. Public Health2021, 18, 5547.https://doi.org/10.3390/ijerph...
Type
Journal Paper
Themes
Assistive & Accessible Technology
Research Group
Local Productions
Additive manufacturing techniques for smart prosthetic liners
B Oldfrey, A Tchorzewska, R Jackson, M Croysdale, R Loureiro,C Holloway, M Miodownik
Elastomeric liners are commonly worn between socket and limb by prosthetic wearers. This is due to their superior skin adhesion, load distribution and their ability to form a seal. Laboratory tests suggest that elastomeric liners allow reduced shear stress on the skin and give a higher cushioning effect on bony prominences, since they are soft in compression, and similar to biological tissues [1]. However, they also increase perspiration reducing hygiene and increasing skin irritations. Prosthetic users in general face a myriad of dermatological problems associated with lower limb prosthesis such as ulcers, cysts, and contact dermatitis, which are exacerbated by the closed environment of a fitted socket where perspiration is trapped and bacteria can proliferate [2].
Medical Engineering & Physics; 2021
Abstract
Additive manufacturing techniques for smart prosthetic liners
Elastomeric liners are commonly worn between the prosthetic socket and the limb. A number of improvements to the state of the art of liner technology are required to address outstanding problems. A liner that conforms to the residuum more accurately, may improve the skin health at the stump-socket interface. Previous work has shown that for effective thermal management of the socket environment, an active heat removal system is required, yet this is not available. Volume tracking of the stump could be used as a diagnostic tool for looking at the changes that occur across the day for all users, which depend on activity level, position, and the interaction forces of the prosthetic socket with the limb. We believe that it would be advantageous to embed these devices into a smart liner, which could be replaced and repaired more easily than the highly costly and labour-intensive custom-made socket. This paper presents the work to develop these capabilities in soft material technology, with: the development of a printable nanocomposite stretch sensor system; a low-cost digital method for casting bespoke prosthetic liners; a liner with an embedded stretch sensor for growth / volume tracking; a model liner with an embedded active cooling system.
Additive manufacturing techniques for smart prosthetic liners
, Additive manufacturing techniques for smart prosthetic liners, Medical Engineering & Physics, Volume 87, 2021, Pages 45-55, ISSN 1350-4533,https://doi.org/10.1016/j.mede....
Type
Journal Paper
Themes
Assistive & Accessible Technology
Culture and Participation
Research Group
Disability Interactions
“When They See a Wheelchair, They’ve Not Even Seen Me”—Factors Shaping the Experience of Disability Stigma and Discrimination in Kenya
Giulia Barbareschi, Mark T. Carew, Elizabeth Aderonke Johnson, Norah Kopi,Catherine Holloway
Stigmatizing attitudes and beliefs towards disability represent one of the most pervasive and complex barriers that limits access to health care, education, employment, civic rights and opportunities for socialization for people with disabilities [1,2,3]. The damaging impact of disability stigma is widely acknowledged and, according to article 8 of the UN Convention on the Rights of Persons with disabilities, developing strategies, campaigns, policies and other initiatives to combat disability stigma and ensure that all people with disabilities are treated with dignity and respect is also a duty of the 182 countries who ratified the treaty [4]. Although the majority of literature focused on understanding disability stigma has been carried out in high-income settings [5,6,7], in the last decade, an increasing number of scholars have conducted studies looking at the negative stereotypes, prejudices and inaccurate beliefs that shape disability stigma in the Global South [3,8,9,10]. Most of these studies have described how these stigmatizing beliefs are often driven by a combination of personal and societal factors, ranging from misconceptions concerning the causes of different impairments (e.g., disability to be seen as a form of curse or punishment); assumptions about the lack of capabilities of people with disabilities; or discriminatory practices that actively endorse separation between people with and without disabilities [3,9,11,12]. Yet, there is a dearth of comparative studies that examine the perspectives of both people with and without disabilities of disability stigma and discrimination, including how the use of assistive technology may shape stigmatizing interactions.
International Journal of Environmental Research and Public Health; 2021
Abstract
“When They See a Wheelchair, They’ve Not Even Seen Me”—Factors Shaping the Experience of Disability Stigma and Discrimination in Kenya
Disability stigma in many low- and middle-income countries represents one of the most pervasive barriers preventing people with disabilities from accessing equal rights and opportunities, including the uptake of available assistive technology (AT). Previous studies have rarely examined how disability stigma may be shaped through factors endemic to social interactions, including how the use of assistive technology itself may precipitate or alleviate disability stigma. Through two strands of work, we address this gap. Via a series of focus groups with Kenyans without disabilities (Study 1) and secondary data analysis of consultations with Kenyans with disabilities and their allies (Study 2), we identify shared and divergent understandings of what shapes disability stigma and discrimination. Specifically, Kenyans with and without disabilities were cognizant of how religious/spiritual interpretations of disability, conceptions of impairments as “different” from the norm, and social stereotypes about (dis)ability shaped the experience of stigma and discrimination. Moreover, both groups highlighted assistive technology as an influential factor that served to identify or “mark” someone as having a disability. However, whereas participants without disabilities saw assistive technology purely as an enabler to overcome stigma, participants with disabilities also noted that, in some cases, use of assistive technologies would attract stigma from others.
“When They See a Wheelchair, They’ve Not Even Seen Me”—Factors Shaping the Experience of Disability Stigma and Discrimination in Kenya
Barbareschi G, Carew MT, Johnson EA, Kopi N, Holloway C. “When They See a Wheelchair, They’ve Not Even Seen Me”—Factors Shaping the Experience of Disability Stigma and Discrimination in Kenya. International Journal of Environmental Research and Public Health. 2021; 18(8):4272.https://doi.org/10.3390/ijerph...
“When They See a Wheelchair, They’ve Not Even Seen Me”—Factors Shaping the Experience of Disability Stigma and Discrimination in Kenya
Type
Journal Paper
Themes
Inclusive Design
Culture and Participation
Research Group
Disability Interactions
Bridging the Divide: Exploring the use of digital and physical technology to aid mobility impaired people living in an informal setlement
Giulia Barbareschi,Ben Oldfrey, Long Xin, Grace N. Magomere, Wyclife A. Wetende, Carol Wanjira, Joyce Olenja,Victoria Austin, andCatherine Holloway
The World Health Organisation estimate that there are approximately a billion people with disabilities who require access to appropriate assistive technology and this number is set to double by 2050 [82]. Assistive technologies (ATs) play a crucial role in the lives of people with disabilities and are necessary to be able to access essential services and participate in family and community life according to one’s aspirations [40, 62, 68, 81]. Although this is not often specifcally mentioned, the large majority of people with disabilities will routinely use more than one assistive device in their everyday lives [25, 26]. For example a person with a visual impairment is likely to use a white cane to navigate from their house to the office where they work and have a screen-reader, or an equivalent accessibility software, on their computer to be able to do their work once in the office [17].
ASSETS '20: Proceedings of the 22nd International ACM SIGACCESS Conference on Computers and Accessibility; 2020
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Abstract
Bridging the Divide: Exploring the use of digital and physical technology to aid mobility impaired people living in an informal setlement
Living in informality is challenging. It is even harder when you have a mobility impairment. Traditional assistive products such as wheelchairs are essential to enable people to travel. Wheelchairs are considered a Human Right. However, they are difficult to access. On the other hand, mobile phones are becoming ubiquitous and are increasingly seen as an assistive technology. Should therefore a mobile phone be considered a Human Right? To help understand the role of the mobile phone in contrast of a more traditional assistive technology – the wheelchair, we conducted contextual interviews with eight mobility impaired people who live in Kibera, a large informal settlement in Nairobi. Our findings show mobile phones act as an accessibility bridge when physical accessibility becomes too challenging. We explore our findings from two perspective – human infrastructure and interdependence, contributing an understanding of the role supported interactions play in enabling both the wheelchair and the mobile phone to be used. This further demonstrates the critical nature of designing for context and understanding the social fabric that characterizes informal settlements. It is this social fabric which enables the technology to be useable.
Bridging the Divide: Exploring the use of digital and physical technology to aid mobility impaired people living in an informal setlement
Giulia Barbareschi, Ben Oldfrey, Long Xin, Grace Nyachomba Magomere, Wycliffe Ambeyi Wetende, Carol Wanjira, Joyce Olenja, Victoria Austin, and Catherine Holloway. 2020. Bridging the Divide: Exploring the use of digital and physical technology to aid mobility impaired people living in an informal settlement. In Proceedings of the 22nd International ACM SIGACCESS Conference on Computers and Accessibility (ASSETS '20). Association for Computing Machinery, New York, NY, USA, Article 50, 1–13.https://doi.org/10.1145/337362...
Bridging the Divide: Exploring the use of digital and physical technology to aid mobility impaired people living in an informal setlement
Type
Book
Research Group
Disability Interactions
Disability Interactions Creating Inclusive Innovations
Catherine Holloway,Giulia Barbareschi
; 2021
Abstract
Disability Interactions Creating Inclusive Innovations
Disability interactions (DIX) is a new approach to combining cross-disciplinary methods and theories from Human Computer Interaction (HCI), disability studies, assistive technology, and social development to co-create new technologies, experiences, and ways of working with disabled people. DIX focuses on the interactions people have with their technologies and the interactions which result because of technology use. A central theme of the approach is to tackle complex issues where disability problems are part of a system that does not have a simple solution. Therefore, DIX pushes researchers and practitioners to take a challenge-based approach, which enables both applied and basic research to happen alongside one another. DIX complements other frameworks and approaches that have been developed within HCI research and beyond. Traditional accessibility approaches are likely to focus on specific aspects of technology design and use without considering how features of large-scale assistive technology systems might influence the experiences of people with disabilities. DIX aims to embrace complexity from the start, to better translate the work of accessibility and assistive technology research into the real world. DIX also has a stronger focus on user-centered and participatory approaches across the whole value chain of technology, ensuring we design with the full system of technology in mind (from conceptualization and development to large-scale distribution and access). DIX also helps to acknowledge that solutions and approaches are often non-binary and that technologies and interactions that deliver value to disabled people in one situation can become a hindrance in a different context. Therefore, it offers a more nuanced guide to designing within the disability space, which expands the more traditional problem-solving approaches to designing for accessibility. This book explores why such a novel approach is needed and gives case studies of applications highlighting how different areas of focus—from education to health to work to global development—can benefit from applying a DIX perspective. We conclude with some lessons learned and a look ahead to the next 60 years of DIX.
Disability Interactions Creating Inclusive Innovations
Type
Journal Paper
Themes
Assistive & Accessible Technology
Climate & Crisis Resilience
Research Group
Disability Interactions
Measuring assistive technology supply and demand: A scoping review
Jamie Danemayer,Dorothy Boggs, Emma M. Smith, Vinicius Delgado Ramos, Linamara Rizzo Battistella,Cathy Holloway,and Sarah Polack
An assistive product (AP) is defined as a product used exter-nally to the human body, whose primary purpose is to main-tain or improve an individual’s functioning and independence and thereby promote his or her well-being (WHO, 2016). Global population aging forecasts a rise in the need for solu-tions that support participation and independence, including APs. In this paper, we review current population-level AP supply and demand estimation methods for five priority APs and provide recommendations for improving national and global AP market evaluation.
Assistive Technology The Official Journal of RESNA; 2021
Abstract
Measuring assistive technology supply and demand: A scoping review
The supply of and market demand for assistive products (APs) are complex and influenced by diverse stakeholders. The methods used to collect AP population-level market data are similarly varied. In this paper, we review current population-level AP supply and demand estimation methods for five priority APs and provide recommendations for improving national and global AP market evaluation. Abstracts resulting from a systematic search were double-screened. Extracted data include WHO world region, publication year, age-groups, AP domain(s), study method, and individual assessment approach.497 records were identified. Vision-related APs comprised 65% (n = 321 studies) of the body of literature; hearing (n = 59), mobility (n = 24), cognitive (n = 2), and studies measuring multiple domains (n = 92) were proportionately underrepresented. To assess individual AP need, 4 unique approaches were identified among 392 abstracts; 45% (n = 177) used self-report and 84% (n = 334) used clinical evaluation. Study methods were categorized among 431 abstracts; Cross-sectional studies (n = 312, 72%) and secondary analyses of cross-sectional data (n = 61, 14%) were most common. Case studies illustrating all methods are provided. Employing approaches and methods in the contexts where they are most well-suited to generate standardized AP indicators will be critical to further develop comparable population-level research informing supply and demand, ultimately expanding sustainable access to APs.
Measuring assistive technology supply and demand: A scoping review
Jamie Danemayer, Dorothy Boggs, Emma M. Smith, Vinicius Delgado Ramos, Linamara Rizzo Battistella, Cathy Holloway & Sarah Polack (2021) Measuring assistive technology supply and demand: A scoping review, Assistive Technology, 33:sup1, S35-S49, DOI: 10.1080/10400435.2021.1957039
Type
Journal Paper
Themes
Assistive & Accessible Technology
Research Group
Humanitarian & Disasters
Meeting AT needs in humanitarian crises: The current state of provision
Golnaz Whittaker, Gavin Adam Wood, Giulia Oggero,Maria Kett, Kirstin Lange
This paper discusses the evidence available in the literature for the scale and quality of AT provision interventions in crises, and what is known about the challenges and facilitators of provision. We conducted a search of the academic literature and retained literature that reported on any form of AT provision following crisis, where international humanitarian response was in place, published in English between January 2010 and June 2020.
Assistive Technology The Official Journal of RESNA; 2021
Abstract
Meeting AT needs in humanitarian crises: The current state of provision
Humanitarian coordination systems increasingly recognize and aim to respond to the needs of people with disabilities within populations affected by crises, spurred on by the UN Convention on the Rights of Persons with Disabilities (CRPD) which was adopted in 2006. Many agencies state their aim to meet the requirements of the CRPD using a “twin track” approach: ensuring the inclusion of people with disabilities in mainstream provision, alongside targeted support for their needs, which may include the need for Assistive Technology (AT). However, there is very little evidence of AT provision in humanitarian settings, which is a specific and urgent need for many people including the elderly and people with disabilities, and an implicit requirement of Article 11 of the CRPD and World Health Assembly resolution on improving access to assistive technology. There is also little evidence of effective mechanisms for AT provision in humanitarian settings. This is despite high and growing levels of unmet AT need in crises, and despite the legally binding requirement in the CRPD to provide AT for those who need it. AT provision faces unique challenges in humanitarian settings. This paper discusses the evidence available in the literature for the scale and quality of AT provision interventions in crises, and what is known about the challenges and facilitators of provision. We conducted a search of the academic literature and retained literature that reported on any form of AT provision following crisis, where international humanitarian response was in place, published in English between January 2010 and June 2020. We found very few examples in that academic literature of systematic and coordinated AT provision at the acute stage of crisis, and even less in the preparedness and post-acute stages. However, it is difficult to assess whether this is the result of insufficient academic attention or reflects a lack of provision. The small body of academic literature that describes AT provision in humanitarian settings paints a picture of small-scale provision, specialized to single types of impairments, and delivered by predominantly by NGOs. We also conducted a search of the gray literature, using the same inclusion criteria, in two countries: Afghanistan and South Sudan (case studies forthcoming). This gray literature provided supplementary evidence of the types of AT providers and AT provision available in those protracted crises. There are very few examples of how AT services can be scaled up (from a very low baseline) and maintained sustainably within a strengthened health system. The literature also describes more examples of provision of assistive products for mobility over assistive products for other impairments. If the paucity of literature on AT provision in humanitarian settings is a reflection of the scale of provision, this implies a deficiency in humanitarian response when it comes to providing people with AT needs with the essential products and services to which they have a right, and which will enable their access to basic, life-saving assistance. We conclude by providing recommendations for urgent actions that the AT and humanitarian community must take to fill this critical gap in the provision of essential products and services for a potentially marginalized and excluded group.
Meeting AT needs in humanitarian crises: The current state of provision
Golnaz Whittaker, Gavin Adam Wood, Giulia Oggero, Maria Kett & Kirstin Lange (2021) Meeting AT needs in humanitarian crises: The current state of provision, Assistive Technology, 33:sup1, S3-S16, DOI: 10.1080/10400435.2021.1934612
Meeting AT needs in humanitarian crises: The current state of provision
Type
Journal Paper
Themes
Assistive & Accessible Technology
Research Group
Local Productions
Could Assistive Technology Provision Models Help Pave the Way for More Environmentally Sustainable Models of Product Design, Manufacture and Service in a Post-COVID World?
Ben Oldfrey,Giulia Barbareschi, Priya Morjaria, Tamara Giltsoff, Jessica Massie, Mark Miodownik andCatherine Holloway
From multiple studies conducted through the FCDO AT2030 Programme, as well as key literature, we examine whether Assistive Technology (AT) provision models could look towards more sustainable approaches, and by doing this benefit not only the environment, but also address the problems that the current provision systems have.
Sustainability
Abstract
Could Assistive Technology Provision Models Help Pave the Way for More Environmentally Sustainable Models of Product Design, Manufacture and Service in a Post-COVID World?
From multiple studies conducted through the FCDO AT2030 Programme, as well as key literature, we examine whether Assistive Technology (AT) provision models could look towards more sustainable approaches, and by doing this benefit not only the environment, but also address the problems that the current provision systems have. We show the intrinsic links between disability inclusion and the climate crisis, and the particular vulnerability people with disabilities face in its wake. In particular, we discuss how localised circular models of production could be beneficial, facilitating context driven solutions and much needed service elements such as repair and maintenance. Key discussion areas include systems approaches, digital fabrication, repair and reuse, and material recovery. Finally, we look at what needs be done in order to enable these approaches to be implemented. In conclusion, we find that there are distinct parallels between what AT provision models require to improve equitable reliable access, and strategies that could reduce environmental impact and bring economic benefit to local communities. This could allow future AT ecosystems to be key demonstrators of circular models, however further exploration of these ideas is required to make sense of the correct next steps. What is key in all respects, moving forward, is aligning AT provision with sustainability interventions.
Could Assistive Technology Provision Models Help Pave the Way for More Environmentally Sustainable Models of Product Design, Manufacture and Service in a Post-COVID World?
Oldfrey, B.; Barbareschi, G.; Morjaria, P.; Giltsoff, T.; Massie, J.; Miodownik, M.; Holloway, C. Could Assistive Technology Provision Models Help Pave the Way for More Environmentally Sustainable Models of Product Design, Manufacture and Service in a Post-COVID World? Sustainability2021, 13, 10867.https://doi.org/10.3390/su1319...
Could Assistive Technology Provision Models Help Pave the Way for More Environmentally Sustainable Models of Product Design, Manufacture and Service in a Post-COVID World?
Type
Journal Paper
Themes
Assistive & Accessible Technology
Research Group
Local Productions
A review of innovation strategies and processes to improve access to AT: Looking ahead to open innovation ecosystems
Catherine Holloway, Dafne Zuleima Morgado Ramirez,Tigmanshu Bhatnagar,Ben Oldfrey, Priya Morjaria, Soikat Ghosh Moulic, Ikenna D. Ebuenyi,Giulia Barbareschi,Fiona Meeks, Jessica Massie, Felipe Ramos-Barajas, Joanne McVeigh, Kyle Keane, George Torrens, P. V.M. Rao, Malcolm MacLachlan,Victoria Austin, Rainer Kattel, Cheryl D Metcalf & Srinivasan Sujatha
It is essential to understand the strategies and processes which are deployed currently across the Assistive Technology (AT) space toward measuring innovation. The main aim of this paper is to identify functional innovation strategies and processes which are being or can be deployed in the AT space to increase access to AT globally.
Assistive Technology The Official Journal of RESNA
Abstract
A review of innovation strategies and processes to improve access to AT: Looking ahead to open innovation ecosystems
It is essential to understand the strategies and processes which are deployed currently across the Assistive Technology (AT) space toward measuring innovation. The main aim of this paper is to identify functional innovation strategies and processes which are being or can be deployed in the AT space to increase access to AT globally. We conducted a scoping review of innovation strategies and processes in peer-reviewed literature databases and complemented this by identifying case studies demonstrating innovation strategies. The review includes WHO world region, publication year, AT type and a sector analysis against the Systems-Market for Assistive and Related Technologies Framework. We analyzed the case studies and interviews using thematic analysis. We included 91 papers out of 3,127 after review along with 72 case studies. Our results showed that product innovations were more prevalent than provision or supply innovations across papers and case studies. Case studies yielded two themes: open innovation (OI); radical and disruptive innovation. Financial instruments which encourage OI are needed and we recommend pursuing OI for AT innovation. Embedding AT within larger societal missions will be key to success governments and investors need to understand what AT is and their translational socioeconomic value.
A review of innovation strategies and processes to improve access to AT: Looking ahead to open innovation ecosystems
Catherine Holloway, Dafne Zuleima Morgado Ramirez, Tigmanshu Bhatnagar, Ben Oldfrey, Priya Morjaria, Soikat Ghosh Moulic, Ikenna D. Ebuenyi, Giulia Barbareschi, Fiona Meeks, Jessica Massie, Felipe Ramos-Barajas, Joanne McVeigh, Kyle Keane, George Torrens, P. V.M. Rao, Malcolm MacLachlan, Victoria Austin, Rainer Kattel, Cheryl D Metcalf & Srinivasan Sujatha (2021) A review of innovation strategies and processes to improve access to AT: Looking ahead to open innovation ecosystems, Assistive Technology, 33:sup1, 68-86, DOI:10.1080/10400435.2021.1970653
A review of innovation strategies and processes to improve access to AT: Looking ahead to open innovation ecosystems
Type
Journal Paper
Themes
Inclusive Design
Co-creating Inclusive Public Spaces: Learnings from Four Global Case Studies on inclusive Cities
Mikaela Patrick,Iain McKinnon
Public spaces, including recreational and social spaces, are often not prioritised. Inclusive public spaces are fundamental to participation and inclusive in society. Including persons with disabilities in the design and planning of the built environment supports equal rights and helps identify people’s aspirations for inclusive environments. Four city case studies will be discussed in this paper: Ulaanbaatar, Mongolia; Varanasi, India; Surakarta, Indonesia; and Nairobi, Kenya.
The Journal of Public Space
Abstract
Co-creating Inclusive Public Spaces: Learnings from Four Global Case Studies on inclusive Cities
This paper presents some of the findings from a global research study on inclusive infrastructure and city design and will focus on inclusive public spaces. Persons with disabilities can experience multi-dimensional exclusion from urban life, including but not limited to physical, attitudinal and social barriers. Public spaces, including recreational and social spaces, are often not prioritised. Inclusive public spaces are fundamental to participation and inclusive in society. Including persons with disabilities in the design and planning of the built environment supports equal rights and helps identify people’s aspirations for inclusive environments.Four city case studies will be discussed in this paper: Ulaanbaatar, Mongolia; Varanasi, India; Surakarta, Indonesia; and Nairobi, Kenya. Research participants and objectives are organised by three stakeholder groups:
People - first-hand experiences of persons with disabilities living in the city and their aspirations for a more inclusive city
Policy - the awareness and understanding of inclusive design among policy-makers
Practice - the awareness and understanding of inclusive design among practitioners including barriers to implementation, opportunities and the relationship with assistive technology
Methods include document reviews, interviews, photo diaries and co-design workshops with participatory and inclusive engagement of persons with disabilities throughout. Findings on public spaces are discussed in three ways:
The types of public spaces valued by participants in each of the four cities.
The barriers and challenges experienced by persons with disabilities in the public realm.
Aspirations for more inclusive public spaces and opportunities for inclusive design
The paper concludes by discussing how the targeted stakeholder groups of people, policy and practice also help represent three essential dimensions of inclusive city design and forming a framework for successful implementation and delivery and supporting targets set out through the UNCRPD and Sustainable Development Goals (SDGs).
Co-creating Inclusive Public Spaces: Learnings from Four Global Case Studies on inclusive Cities
Patrick, M. and McKinnon, I. (2022) “Co-creating Inclusive Public Spaces: Learnings from Four Global Case Studies on inclusive Cities”, The Journal of Public Space, 7(2), pp. 93–116. doi: 10.32891/jps.v7i2.1500.
Type
Journal Paper
Themes
Culture and Participation
Research Group
Social Justice
Paralympic Broadcasting in Sub-Saharan Africa: Sport, Media and Communication for Social Change
Jessica Noske-Turner, Emma Pullen, Mufunanji Magalasi, Damian Haslett, Jo Tacchi
Communication & Sport
Abstract
Paralympic Broadcasting in Sub-Saharan Africa: Sport, Media and Communication for Social Change
The purpose of this commentary is to discuss how Paralympic coverage in sub-Saharan Africa can be effectively mobilised to stimulate discursive and structural change around disability. Paralympic coverage has demonstrated its pedagogical power to engage public(s) and challenge stigma toward disability. Yet, the Global picture of Paralympic broadcasting is deeply uneven, with audiences in parts of the Global South afforded limited opportunities to watch the Games. Considering this, the International Paralympic Committee has begun to broadcast Paralympic coverage across sub-Saharan Africa with an explicit aim to challenge stigma toward disability. In this article, we draw on examples from research to argue that ideas from the field of Communication for Social Change (CfSC) can add value towards this aim. We begin by providing a brief overview of CfSC before critically examining one of the field’s key concepts – Communicative (E)ecologies. Following this, we critically reflect on the potential of Paralympic broadcasting as a vehicle for social change and disability rights agendas in sub-Saharan Africa. We argue that thinking with CfSC concepts show the importance of a ‘decentred’ media approach that engages with disability community advocacy groups, localised communication activities and practices, and culturally specific disability narratives.
Paralympic Broadcasting in Sub-Saharan Africa: Sport, Media and Communication for Social Change
Noske-Turner, J., Pullen, E., Magalasi, M., Haslett, D., & Tacchi, J. (2022). Paralympic Broadcasting in Sub-Saharan Africa: Sport, Media and Communication for Social Change. Communication & Sport, 10(5), 1001–1015.https://doi.org/10.1177/216747...
Paralympic Broadcasting in Sub-Saharan Africa: Sport, Media and Communication for Social Change
Type
Journal Paper
Themes
Culture and Participation
Research Group
Social Justice
This Is the Story of Community Leadership with Political Backing. (PM1)" Critical Junctures in Paralympic Legacy: Framing the London 2012 Disability Inclusion Model for New Global Challenges ?"
Victoria Austin,Kate Mattick, andCathy Holloway
Disability inclusion necessitates proactive efforts to ensure everybody has an independent and equitable opportunity to meaningfully participate in the activities of their choosing [1,2,3]. Furthermore, disability justice is not a minority concern. There are more than a billion disabled people worldwide, and impairment is something which affects most people’s family right now and will impact all of us over our lifetime. The United Nations Convention on the Rights of Persons with Disabilities (UNCRPD) enshrines human rights of all disabled people [4], and in 2015 the Sustainable Development Goals (SDG’s) recognised disability inclusion for the first time with the call to ‘leave no-one behind’. Increasingly, governments, non-governmental agencies and businesses alike are seeking to develop and implement policy and practice which enables greater social inclusion for disabled people (In this paper, Disabled People is used in line with the Social Model of Disability in the UK, though please note the UN uses ‘Persons with Disabilities’ as is common in North America) [5]. Eighty percent of the disabled people in the world live in low resource settings in the Global South [3] with a projected growth of this number due to an increase in population age, there is the ever-pressing need to critically evaluate how best to approach disability inclusion to build a societies where we all can flourish. Despite this, we lack case studies of how disability inclusion can be done well—in the literature and in practice. For this reason, we set out to undertake this research using one the most recognised cases of ‘disability inclusion done well’.
Sustainability
Abstract
This Is the Story of Community Leadership with Political Backing. (PM1)" Critical Junctures in Paralympic Legacy: Framing the London 2012 Disability Inclusion Model for New Global Challenges ?"
The London 2012 Paralympic Games was called “the most successful Paralympic Games ever” (by the then-President of the IPC), and it saw more athletes from more countries than ever before compete and become global heroes for the first time in a redeveloped part of East London which also hosted “the most accessible Olympic Games ever” that summer. However, the model used to design and deliver disability inclusion for London 2012, and its legacy, has never been explicitly written up. This paper presents new primary evidence from first-hand research from those who were involved; retrospectively framing the London 2012 Disability Inclusion Model such that it might be usable and developed for other global disability challenges. We used an adapted Delphi methodology, through four rounds: beginning with an initial hypothesis and testing through semi-structured interviews with ten key players in the London 2012 disability inclusion approach. Using thematic analysis with consensus building surveys and workshops we came to a settled unanimous agreement on the 12-step London 2012 Disability Inclusion Modelcomprising three parts: (Get ready) community-led mission setting, (Get set) essential building blocksand (Go) enabling a culture of success. The model is presented here, alongside a narrative on its uniqueness and replicability to other major programs, as a public good. We welcome its active use, testing and adaption by others in service of disability innovation for a fairer world.
This Is the Story of Community Leadership with Political Backing. (PM1)" Critical Junctures in Paralympic Legacy: Framing the London 2012 Disability Inclusion Model for New Global Challenges ?"
Victoria Austin, Kate Mattick, and Cathy Holloway. 2021. "“This Is the Story of Community Leadership with Political Backing. (PM1)” Critical Junctures in Paralympic Legacy: Framing the London 2012 Disability Inclusion Model for New Global Challenges" Sustainability13, no. 16: 9253.https://doi.org/10.3390/su13169253
Type
Journal Paper
Themes
Assistive & Accessible Technology
Research Group
Disability Interactions
Physiological Computing
STEP-UP: Enabling Low-Cost IMU Sensors to Predict the Type of Dementia During Everyday Stair Climbing
Catherine Holloway, William Bhot, Keir X. X. Yong, Ian McCarthy, Tatsuto Suzuki, Amelia Carton, Biao Yang, Robin Serougne, Derrick Boampong, Nick Tyler, Sebastian J. Crutch, Nadia Berthouze andYoungjun Cho
Posterior Cortical Atrophy is a rare but significant form of dementia which affects people's visual ability before their memory. This is often misdiagnosed as an eyesight rather than brain sight problem. This paper aims to address the frequent, initial misdiagnosis of this disease as a vision problem through the use of an intelligent, cost-effective, wearable system, alongside diagnosis of the more typical Alzheimer's Disease.
Frontiers in Computer Science
Abstract
STEP-UP: Enabling Low-Cost IMU Sensors to Predict the Type of Dementia During Everyday Stair Climbing
Posterior Cortical Atrophy is a rare but significant form of dementia which affects people's visual ability before their memory. This is often misdiagnosed as an eyesight rather than brain sight problem. This paper aims to address the frequent, initial misdiagnosis of this disease as a vision problem through the use of an intelligent, cost-effective, wearable system, alongside diagnosis of the more typical Alzheimer's Disease. We propose low-level features constructed from the IMU data gathered from 35 participants, while they performed a stair climbing and descending task in a real-world simulated environment. We demonstrate that with these features the machine learning models predict dementia with 87.02% accuracy. Furthermore, we investigate how system parameters, such as number of sensors, affect the prediction accuracy. This lays the groundwork for a simple clinical test to enable detection of dementia which can be carried out in the wild.
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MARUBENI AMERICA CORP. v. | 35 F.3d 530 (1994) | 5f3d5301456 | Leagle.com
RICH Circuit Judge. The United States the government appeals the May 14 1993 judgment of the Court of International Trade CIT...5f3d5301456
MARUBENI AMERICA CORP. v. U.S.
No. 93-1467.
View Case
Cited Cases
Citing Case
35 F.3d 530 (1994)
MARUBENI AMERICA CORP., Plaintiff-Appellee,
v.
The UNITED STATES, Defendant-Appellant.
United States Court of Appeals, Federal Circuit. https://leagle.com/images/logo.png
September 7, 1994.
September 7, 1994.
Attorney(s) appearing for the Case
Gail T. Cumins, Sharretts, Paley, Carter & Blauvelt, P.C., New York City, argued, for plaintiff-appellee. With her on the brief, were Ned H. Marshak and Peter Jay Baskin.
Saul Davis, Commercial Litigation Branch, Dept. of Justice, Washington, DC, argued, for defendant-appellant. With him on the brief, were Frank W. Hunger, Asst. Atty. Gen., David M. Cohen, Director, Joseph I. Liebman, Atty. in Charge, Intern. Trade Field Office, Carla Garcia-Benitez and Edith Sanchez Shea, Attorneys. Also on the brief, was Karen P. Binder, Office of the Asst. Chief Counsel, Intern. Trade Litigation, U.S. Customs Service, of counsel.
Wesley K. Caine and C. Dean McGrath, Jr., Stewart & Stewart, of Washington, DC, were on the brief, for amicus curiae, American Auto. Mfrs. Ass'n, Inc.
John B. Rehm and Munford Page Hall, II, Dorsey & Whitney, of Washington, DC, were on the brief, for amicus curiae, Ass'n of Intern. Auto. Mfrs. and Walter E. Huizenga, of Alexandria, VA, was on the brief, for amicus curiae, American Intern. Auto. Dealers Ass'n.
Before RICH, NEWMAN, and MAYER, Circuit Judges.
United States Court of Appeals, Federal Circuit.
RICH, Circuit Judge.
The United States (the government) appeals the May 14, 1993, judgment of the Court of International Trade (CIT), No. 90-04-00210,821 F.Supp. 1521, holding that 1989 and 1990, two door, two-wheel and four-wheel drive, Nissan 1Pathfinder (Pathfinder) vehicles are correctly classified under heading 8703.23.00 (8703) of the Harmonized Tariff Schedule of the United States (HTSUS) as motor vehicles principally designed for the transport of persons. We affirm.
I
BACKGROUND
A. The Merchandise
The merchandise at issue is a two door, two-wheel or four-wheel drive, dual-purpose or multipurpose passenger vehicle, generally referred to as a compact sports utility vehicle. The Pathfinder does not have a cargo box or bed like a truck. Instead, its body is one unit that is configured much like an ordinary station wagon in that it has rear seats that fold forward, but not flat, for extra cargo space. These seats, however, are not removable. The spare tire is housed within the cargo space or alternatively, it may be attached outside the vehicle on the rear hatch. The rear hatch operates like those on a station wagon; it has a window that may be opened to place small packages in the cargo area without opening the tailgate. The Pathfinder is mechanically designed for both on-and off-road use.
B. Conversion to the Harmonized System.
On August 23, 1988, the Omnibus Trade and Competitiveness Act of 1988 (Pub.L. 100-418) was enacted. The Act adopted the new tariff nomenclature — the HTSUS, which became effective on January 1, 1989. The new nomenclature system developed as follows. The Trade Act of 1974 mandated that the United States participate in the development of an international product nomenclature known as the Harmonized System. The
[35 F.3d 533]
Harmonized System is a detailed product classification system developed through the Customs Co-Operation Council (CCC). The System provides a common core language for trade; it does not, however, carry any obligations with respect to tariff rates. To facilitate the conversion from the then existing Tariff Schedules of the United States (TSUS) to the HTSUS, a draft conversion was prepared by the International Trade Commission (ITC). The conversion report cross-references items under the TSUS with the HTSUS and vice versa. USITC Pub. 2030 (1983). This draft conversion was reviewed by government agencies, the private sector, and the trading partners. Later that year, the conversion document was republished for private sector review.
There are no HTSUS headings that expressly include vehicles for transport of goods and persons as did 692.10 TSUS. The final cross-referencing report, however, paired 692.10 TSUS, "motor vehicles for the transport of goods and persons," with 8703 HTSUS, "motor vehicles principally designed for the transport of persons;" and 692.02, "automotive trucks," with 8704 HTSUS, "motor vehicles for the transport of goods." SeeUSITC Pub. 2051 (1988). Note, however, that the TSUS/HTSUS cross-references should not be viewed as a substitute for the traditional classification process. TSUS/HTSUS Cross Reference Clarification, 53 Fed.Reg. 27,447. Prior to January 1, 1989, the effective date of the HTSUS, the Pathfinder was classified under 692.10 TSUS (motor vehicles for the transport of goods and persons), 2.5% ad valorem.While not determinative, prior classification of Pathfinders is instructive. H.R.Con.Rep. No. 576, 100th Cong., 2nd Sess. 549-50 (1988), 1988 U.S.C.C.A.N. 1547. Legislative history also shows that any changes in the rates of duty from the TSUS to the HTSUS are consequential to the process of converting to the new nomenclature. Id.at 1581.
C. Proceedings below.
The Pathfinder was classified by the United States Customs Service (Customs) under 8704.31.00 (8704) of the HTSUS as a "motor vehicle for the transport of goods." Pursuant to 9903.87.00 of the HTSUS, a 25% ad valoremduty was assessed.
Nissan administratively protested this decision, pursuant to 19 U.S.C. § 1514, claiming that the Pathfinder should be classified as "motor cars and other motor vehicles principally designed for the transport of persons ... including station wagons" under 8703 HTSUS. This protest was denied. Nissan then brought an action in the CIT. The CIT conducted a three week trial de novo,pursuant to 28 U.S.C. § 2640, that included test driving the Pathfinder and comparison vehicles, videotape viewing, and extensive presentation of both testimonial and documentary evidence. The government argued that the Pathfinder is more like a pick-up truck; therefore, it was a "motor vehicle for the transport of goods." The CIT concluded that Customs' classification of the Pathfinder under 8704 HTSUS, "motor vehicle for the transport of goods," was incorrect, and that the correct classification was under 8703 HTSUS, "motor vehicle principally designed for the transport of persons." The duty assessed under 8703 HTSUS is 2.5% ad valorem.The United States now appeals from the judgment of the CIT. We have jurisdiction under 28 U.S.C. § 1295(a)(5) (1988).
II
ANALYSIS
The issue is whether the Pathfinder has been classified under the appropriate tariff provision. Resolution of that issue entails a two step process: (1) ascertaining the proper meaning of specific terms in the tariff provision; and (2) determining whether the merchandise at issue comes within the description of such terms as properly construed. The first step is a question of law which we review de novoand the second is a question of fact which we review for clear error. Stewart-Warner Corp. v. United States,748 F.2d 663, 664-65, 3 Fed.Cir. (T) 20, 22 (Fed.Cir.1984).
The government asserts that the CIT erred by applying improper and inconsistent standards, and that the Pathfinder is not primarily designed for the transport of persons
[35 F.3d 534]
based on the practice of Nissan and the industry.
A. Proper meaning
It is well settled that "[t]he ultimate issue, whether particular merchandise has been classified under an appropriate tariff provision, necessarily depends on the meaning of the terms of that provision, which is a question of law subject to de novoreview." Lynteq, Inc., v. United States,976 F.2d 693, 696 (Fed.Cir.1992). To determine the proper meaning of tariff terms as contained in the statute, the terms are "construed in accordance with their common and popular meaning, in the absence of contrary legislative intent." E.M. Chemicals v. United States,920 F.2d 910, 913 (Fed.Cir.1990). "To assist it in ascertaining the common meaning of a tariff term, the court may rely upon its own understanding of the terms used, and it may consult lexicographic and scientific authorities, dictionaries, and other reliable information sources." Brookside Veneers, Ltd. v. United States,847 F.2d 786, 789, 6 Fed.Cir. (T) 121, 125 (Fed.Cir.) cert. denied,488 U.S. 943, 109 S.Ct. 369, 102 L.Ed.2d 358 (1988).
The two competing provisions of the HTSUS are set forth below.
8703 Motor cars and other motor vehicles
principally designed for the transport
of persons (other than those of
heading 8702), including station
wagons and racing cars.
8704 Motor vehicles for the transport of
goods.
There are no legally binding notes to these headings that are relevant to the classification of dual-purpose vehicles such as the Pathfinder; therefore, we need only look to the common meaning of the terms as they appear above.
By the express language of 8703, "motor vehicle principally designed for the transport of persons," it is clear that the vehicle must be designed "more" for the transport of persons than goods. Webster's Third New International Dictionary of the English Language,Unabridged (1986) defines "principally" as "in the chief place, chiefly;" and defines "designed" as "done by design or purposefully opposed to accidental or inadvertent; intended, planned." Thus, if the vehicle is equally designed for the transport of goods and persons, it would not be properly classified under 8703 HTSUS. There is nothing in the legislative history that indicates a different meaning.
The government argues that "the correct standard to be utilized in determining the principal design of any vehicle must be its construction — its basic structure, body, components, and vehicle layout — and the proper question to be asked is whether that construction is uniquely for passenger transportation." This standard is clearly at odds with Customs' interpretation in its March 1, 1989, memorandum providing guidance in applying these headings to sports utility vehicles. Customs stated: 2
Design features, whether they accommodate passenger transport or cargo transport, or both, are of two types both of which are relevant in determining the proper classification of a sports-utility vehicle. First are what may be regarded as structural, or integral design features such as basic body, chassis, and suspension design, ... style and structure of the body [control access to rear]. The second type of design features, auxiliary design features are also relevant when determining whether, on the whole, the transport of persons was the principal design consideration. Neither type by itself can be considered determinative on the issue of the purpose for which the vehicle was principally designed. (emphasis added).
Thus, "requir[ing] that the resulting product be uniquely constructed for the purpose of transporting persons," to the exclusion of any other use, is a constrictive interpretation of the terms with which we cannot agree.
There is nothing in the statute, legislative history, or prior Customs decisions
[35 F.3d 535]
that would indicate that "principally designed" refers only to a vehicle's structural design as asserted by the government. To answer the question, whether a vehicle is principally designed for a particular purpose, not uniquely designed for a particular purpose, one must look at both the structural and auxiliary design features, as neither by itself is determinative.
The government's exclusionary construction fails on another point. Heading 8703 HTSUS specifically includes "station wagons," which are not uniquely designed for transport of persons, rather, they are designed as dual-purpose vehicles for the transport of goods and persons. The Pathfinder, like a station wagon, is a vehicle designed with a dual-purpose — to transport goods and persons.
The specific mention of "including station wagons" in 8703 can affect proper classification when dual-purpose vehicles are at issue. The Explanatory Notes define "station wagon" as "vehicles with a maximum seating capacity of nine persons (including the driver), the interior of which may be used, without structural alteration, for the transport of both persons and goods." Customs Co-operation Council (CCC), 4 Harmonized Commodity Description and Coding System, Explanatory Notes, Heading No. 87.03 (1st ed. 1987). As noted by the CIT, the Pathfinder meets the literal definition of a station wagon. Even so, the CIT accorded proper weight to the definition offered by the CCC when it stated that the "Explanatory Note definition of station wagons should not be read too literally." 3As above, we can look to Customs interpretations for instruction on the intended meaning of "including station wagons." Again in its March 1, 1989, memorandum Customs stated:
[G]iven the wording of the heading and corroborating indications in the working papers of the Customs Co-operation Council, the correct reading appears to be that the phrase `including station wagons' was not intended to expand upon or be an exception to the requirement that articles are classifiable in heading 8703 only if they are `principally designed for transport of persons.' It should be emphasized that this interpretation does not read the station wagon reference out of the statute; its inclusion is necessary to clarify that the cargo-carrying capacity of dual-purpose vehicles does not foreclose a finding that they are principally designed to carry persons. (emphasis added)
Therefore, notwithstanding the fact that a vehicle may fit the definition of a station wagon and that the term is expressly included in 8703 HTSUS, that vehicle is not automatically included in or excluded from 8703 HTSUS classification. It necessarily follows that correct interpretation of 8703 HTSUS requires a determination of whether or not the vehicle was "principally designed for the transport of persons," and not merely a finding that it is within the definition of a "station wagon," unless of course it is unquestionably a station wagon. The Pathfinder is not the latter.
In summary, we find that the proper meaning of "motor vehicle principally designed for the transport of persons" to be just that, a motor vehicle principally designed for the transport of persons. While we find it unnecessary to assign a quantitative value to "principally," the statutory language is clear that a vehicle's intended purpose of transporting persons must outweigh an intended purpose of transporting goods. To make this determination, we find that both the structural and auxiliary design features must be considered. This construction comports with Customs' interpretations and the CIT's analysis; and it is equally consistent with the common and popular meaning of the terms.
B. Proper classification.
While the meaning of a classification term is a question of law, the issue of whether merchandise comes within the definition of a classification term is a question of fact subject to the clearly erroneous standard of review.
Simod America Corp. v. United
[35 F.3d 536]
States, 872 F.2d 1572 , 1576, 7 Fed.Cir. (T) 82, 86 (Fed.Cir.1989). Customs' classification of imported merchandise is presumed to be correct, 28 U.S.C. § 2639(a)(1) (1988), and the party challenging the classification has the burden of overcoming this presumption. Id. To overcome this presumption, the court must consider "whether the government's classification is correct, both independently and in comparison with the importer's alternative." Jarvis Clark Co. v. United States, 733 F.2d 873 , 878, 2 Fed.Cir. (T) 70, 75 (Fed.Cir.1984). "Whether the court remands, conducts its own hearing, or simply examines the law and the tariff schedules on its own initiative, it is required to reach a correct result." Id. "[T]he court's duty is to find the correct result...." Id. (emphasis in original).
If the Pathfinder satisfies the requirements of 8703 HTSUS, there is no need to discuss 8704 HTSUS because under the General Rules of Interpretation (GRI) when an article satisfies the requirement of two provisions, it will be classified under the heading giving a more specific description, here 8703 HTSUS. GRI 3(a). Conversely, if the Pathfinder does not fall within 8703 HTSUS, it falls into 8704 HTSUS.
The CIT conducted a three week trial de novo,pursuant to 28 U.S.C. § 2640, to determine whether the Pathfinder was principally designed for the transport of persons or goods. The CIT looked at both design intent and execution, evaluating both structural and auxiliary design features. The CIT limited evidence to the vehicle models in the entries currently under consideration with the exception of evidence that was provided for comparison with vehicles that were readily accepted as trucks or passenger cars. These included the Nissan Hardbody truck and the Nissan Maxima sedan. 4
It is evident that the CIT carefully applied the proper standards in making its decision. In reaching its conclusion, the CIT evaluated the marketing and engineering design goals (consumer demands, off the line parts availability, etc.), the structural design necessary to meet both cargo and passenger carrying requirements for both on- and off-road use, as well as interior passenger amenities.
The CIT also recognized that the Pathfinder was basically derived from Nissan's Hardbody truck line yet, the Pathfinder was based upon totally different design concepts than a truck. The CIT correctly pointed out these differences and more importantly, the reasons behind the design decisions, including the need for speed and economy in manufacturing to capture the changing market, a market into which Nissan was a late entrant. Specifically, the designers decided to adopt the Hardbody's frame side rails and the cab portion from the front bumper to the frame just behind the driver's seats so that they could quickly and economically reach the market. The front suspension system was also adopted from Nissan's truck line but the rear suspension was not. The fact that a vehicle is derived in-part from a truck or from a sedan is not, without more, determinative of its intended principal design objectives which were passenger transport and off-road capability.
Substantial structural changes were necessary to meet the design criterion of transporting passengers. The addition of the rear passenger seat required that the gas tank be moved to the rear and the spare tire relocated. This effectively reduces the cargo carrying capacity. Of particular importance was the design of a new rear suspension that was developed specifically to provide a smooth ride for passengers. New and different cross beams, not present on the Hardbody frame, were added to the Pathfinder's frame to accommodate the above changes.
Other design aspects that point to a principal design for passengers include: the spare tire and the rear seat when folded down intrude upon the cargo space; the cargo area is carpeted; a separate window opening in the pop-up tailgate accommodates passengers loading and unloading small packages without having to lower the tailgate. In contrast, the Hardbody truck bed can accommodate loading with a fork lift, clearly a design feature for cargo. The CIT also
[35 F.3d 537]
found that the cargo volume is greatly reduced when the rear seat is up to accommodate passengers. Moreover, the axle and wheel differences are minor and consistent with the Pathfinder's off-road mission, particularly in the loaded condition. 5 The Pathfinder has the same engine size as the Maxima passenger car.
Auxiliary design aspects, in addition to those merely relating to the structural derivation of the Pathfinder, that indicate passenger use over cargo use include: vehicle height was lowered 50 millimeters; the seat slides were improved yet similar to those on two door passenger sedans. Other auxiliary design features that point to transport of passengers include: rear seats that recline, are comfortable, and fold to make a fairly flat cargo bed but are not removable; rear seat stereo outlets, ashtrays, cubbyholes, arm rests, handholds, footwells, seat belts, child seat tie down hooks and operable windows. The CIT noted that there is not much more that can be done to accommodate passengers in the rear seat. Moreover, the testimony of the three primary design engineers as well as the contemporaneous design development documents support the finding that the Pathfinder was principally designed for the transport of persons.
The non-tariff regulations (NHTSA and EPA regulations) are not dispositive for purposes of tariff classification. See International Spring Mfg. v. United States,85 Cust. Ct. 5, 8, C.D. 4862,496 F.Supp. 279, 282 (1980), aff'd68 CCPA 13, C.A.D. 1257,641 F.2d 875(1981). The government concedes this point. Nonetheless, the government goes on to argue that "the fact that safety, emission and fuel design changes required by those regulations are an element of the design process ... should afford greater import to Nissan's decisions of what features to incorporate under the ... regulatory schemes" and that these regulations are in accord with the motor vehicle industry. As noted by the CIT, the government's assessment that these regulatory schemes contain language that is substantially the same as the statutory language in the HTSUS, therefore affording these regulations greater relevance, is misplaced. The reasoning is baseless because those regulations include a category for Multipurpose Passenger Vehicles (MPV), a category that is not specifically delineated in the HTSUS.
In its March 1, 1989, memorandum referred to above, Customs has drawn what appears to be a line between two door and four door versions of sports utility vehicles. Customs' conclusion, however, that vehicles that lack rear side passenger access doors are to be classified under 8704, is de factoaffording determinative weight to this feature. This line, classifying two door dual-purpose vehicles for the transport of goods while classifying the four door version as principally designed for transport of persons, appears to be arbitrary.
Passenger cars with two doors also have restricted entry into the rear seat but this fact does not take these vehicles out of 8703 classification. Two door passenger cars are equipped with a seat slide mechanism that effectively slides the front seat forward to provide easier access to the rear seat. The doors of two door passenger cars are generally wider as well. The CIT found that the Pathfinder has both of these features so that passengers can be easily accommodated. Therefore, the two door Pathfinder accommodates passengers in the rear seat as well as two door passenger cars, if not as easily as four door sports utility vehicles. Consequently, the number of doors on a vehicle should not be determinative.
CONCLUSION
We hold that the court applied the correct legal standards, and that the evidence of
[35 F.3d 538]
record supports the CIT's decision that the Pathfinder is principally designed for the transport of persons.
Accordingly, we affirm the decision of the Court of International Trade in holding that the Pathfinder vehicle at issue is correctly classified under 8703.23.00 of the Harmonized Treaty System (US).
AFFIRMED.
FootNotes
1. Marubeni America Corp. is the importer of record for the subject merchandise. Nissan Motor Corporation U.S.A. is the real party in interest and is so treated throughout this opinion.
2. Additionally, Customs' March 1, 1989 memorandum, while instructive, was not based on a thorough factual dissection of the Pathfinder as that before the CIT. Rather, it is a general memorandum providing
guidance
for interpreting the relevant headings relating to sports utility vehicles and vans. Albeit instructive, this document is not determinative.
3. Explanatory Notes are only instructive and are not dispositive or binding.
Lynteq, Inc. v. United States,
976 F.2d 693
, 699 (Fed.Cir.1992) (quoting H.R.Conf.Rep. No. 576, 100th Cong., 2d Sess. 549 (1988),
reprinted in
1988 U.S.C.C.A.N. 1547, 1582).
4. The CIT noted that there was not a Nissan station wagon available for comparison and consequently saw little use in comparing the Pathfinder to a sedan.
5. In its March 1, 1989, memorandum Customs stated:
[Bl.Br. B-7]
... [T]he heading 8703 does not exclude multipurpose vehicles solely because they have been designed to meet the rigorous requirements of cargo transport. It would be insufficient to consider only those design features that enable a vehicle to carry loads that are large or heavy relative to vehicle size. Other design features are also relevant because they enable a given vehicle to carry passengers, they enhance its suitability for that purpose, and they may, in some cases, reveal the purpose for which the vehicle was principally designed. March 1, 1989 memorandum.
| https://www.leagle.com/decision/199456535f3d5301456 |
A SELF-MADE MAN - The Political Life of Abraham Lincoln, 1809-1849
05-27-2016, 05:11 AM Post: #1<table><tbody><tr><td></td><td> RJNorton Hero Member</td><td> Posts: 12,358Joined: Jun 2012</td></tr></tbody></table> A SELF-MADE MAN - The Political Life of Abraham Lincoln, 1809-1849 Many thanks to Bill Richter for sending this information:
A SELF-MADE MANThe Political Life of Abraham Lincoln, 1809-1849By Sidney Blumenthal556 pp. Simon & Schuster
http://www.amazon.com/Self-Made-Man-Poli...147677725X
Bill also sent this link to Steven Hahn's review in the New York Times:
http://www.nytimes.com/2016/05/15/books/....html?_r=0
***************************************************
Another book which I personally recommend isThe Lincoln Assassination Riddle. My wife had cataract surgery yesterday, and I was able to essentially read the entire book in the waiting room. Several of our forum members contributed, and there are many chapters that deal with topics we have covered on the forum. I enjoyed the book - highly interesting. Among other things, you will find out if our own emergency medicine physician, Dr. Blaine Houmes, thinks Abraham Lincoln could have been saved using modern trauma/critical care techniques.
05-27-2016, 02:34 PM Post: #2<table><tbody><tr><td></td><td> Angela Forum Master</td><td> Posts: 339Joined: Oct 2013</td></tr></tbody></table> RE: A SELF-MADE MAN - The Political Life of Abraham Lincoln, 1809-1849 (05-27-2016 05:11 AM)RJNorton Wrote:Many thanks to Bill Richter for sending this information:
A SELF-MADE MANThe Political Life of Abraham Lincoln, 1809-1849By Sidney Blumenthal556 pp. Simon & Schuster
http://www.amazon.com/Self-Made-Man-Poli...147677725X
Bill also sent this link to Steven Hahn's review in the New York Times:
http://www.nytimes.com/2016/05/15/books/....html?_r=0
***************************************************
Another book which I personally recommend isThe Lincoln Assassination Riddle. My wife had cataract surgery yesterday, and I was able to essentially read the entire book in the waiting room. Several of our forum members contributed, and there are many chapters that deal with topics we have covered on the forum. I enjoyed the book - highly interesting. Among other things, you will find out if our own emergency medicine physician, Dr. Blaine Houmes, thinks Abraham Lincoln could have been saved using modern trauma/critical care techniques.
Thank you for this, Roger! First of all - how is your wife doing? Hope she is ok after the surgery!?!
The NY review sounds as if he was able to detect the story behind the "mother" quote - so, interesting.I tried to log onto the virtualbooksigning the other night to hear his talk - but for some technical reason could not connect. Now it appears that I will have to wait till November to hear him talk and THEN decide whether there really IS need for another biography.I am really curious!
I just received "April 1865" and have to admit, my heart goes out to Robert E. Lee.I have never paid too much attention to the Generals and military tactics but this reads like a thriller and the author is a master story teller.I wonder how things would have been different if Lee and Grant or Lee and Lincoln had met under different circumstances (Lee and Grant DID but there wasn't any room for actually "meeting").In case of emergency, Lincoln and children first.
06-23-2016, 11:36 AM Post: #3<table><tbody><tr><td></td><td> Richard Lawrence Miller Junior Member</td><td> Posts: 9Joined: Aug 2012</td></tr></tbody></table> RE: A SELF-MADE MAN - The Political Life of Abraham Lincoln, 1809-1849 In the past week I have read the first volume of Sidney Blumenthal’s four-volume Lincoln biography, and would like to share some thoughts about A Self-Made Man: The Political Life of Abraham Lincoln 1809—1849 (New York: Simon & Schuster, 2016).
The book attracted my attention because it deals with my own particular interest in Lincoln, his pre-presidential years. Moreover, the author is an experienced politician and therefore can be expected to offer a slant promoting an understanding of Lincoln that is seldom found in products from academic writers. And, indeed, Blumenthal sees political angles throughout the Lincoln story. The chapter on Lincoln’s interactions with Joseph Smith and Smith’s Mormon followers is especially welcome. Blumenthal also pauses occasionally for a sentence or two about how one character has a family connection with another one. The relationship may be distant, but characters are aware of dealing with relatives.
Given Blumenthal’s continuing involvement with politics at the highest level, his ability to produce such a fine biography amazes me. He has stated that he spent about ten years working on the project. I cannot imagine how he found time to do it. His passion for the subject must be intense. Such dedication is evident in the current book.
Readers won’t go wrong by treating A Self-Made Man as authoritative. Blumenthal’s volume is quite accurate. On some topics his understanding differs from mine, but I detect only a handful of outright factual mistakes, and all are historical equivalents of typographical errors, such as describing Lincoln as a presidential elector instead of being a CANDIDATE for the Electoral College.
Having written a multi-volume biography of Lincoln myself, I appreciate the difficulty of avoiding an occasional factual misstep and have always considered it churlish to point where someone has stumbled. I give the above example simply because someone may wonder what I mean by trivial mistake. Blumenthal’s book is so sturdy that such a minor blemish should be disregarded.
He and I do, however, disagree on a more substantive point that wavers on the border between factual correctness and incorrectness. Blumenthal, like many other fine students of the Lincoln story, is struck by a searing quotation attributed to Lincoln: “I used to be a slave.” This presumably refers to long exploitation by his father who forced Lincoln to do heavy labor while confiscating the lad’s earnings. Interesting conclusions about Lincoln’s political motivations can be drawn from that statement. In important discussion at both the opening and ending of Blumenthal’s book he ponders the meaning of those words.
Although most Lincoln historians treat that quotation as authentic, I am not among them. My doubt is shared by Don E. Fehrenbacher and Virginia Fehrenbacher in their Recollected Words of Abraham Lincoln. The quotation’s source is Lincoln’s New Salem associate John Roll, who says Lincoln interrupted his carefully prepared House Divided speech with an aside telling the audience that he and Roll had both been treated as slaves.
Give and take between speaker and hearers enlivened western stump speaking, but House Divided was no stump oration. Lincoln crafted that address for a national audience and was unlikely to interrupt the flow of his argument with a spontaneous reminiscence about New Salem’s good old days. Both the interruption and the passionate nature of the quotation would likely have been remembered by reporters or other auditors, but Roll is the sole source that I know of.
He may be a reliable witness for other parts of the Lincoln story, but I reject Roll’s testimony on this point. Paradoxically, however, I also find Blumenthal’s commentary on the quotation to be worthwhile even though I suspect the phrase he analyzes is spurious. Go figure.
Endnotes documenting the book’s narrative are plentiful, and secondary sources chosen for citation are reliable. I feel quiet satisfaction that books written by yours truly were useful to Blumenthal.
A Self-Made Man is a pleasure to read and deserves to rank high on the list of Lincoln biographies.
06-23-2016, 12:30 PM Post: #4<table><tbody><tr><td></td><td> RJNorton Hero Member</td><td> Posts: 12,358Joined: Jun 2012</td></tr></tbody></table> RE: A SELF-MADE MAN - The Political Life of Abraham Lincoln, 1809-1849 (06-23-2016 11:36 AM)Richard Lawrence Miller Wrote:The chapter on Lincoln’s interactions with Joseph Smith
Richard, many thanks for posting about A Self-Made Man: The Political Life of Abraham Lincoln Vol. I, 1809 - 1849. I am curious about Mr. Blumenthal's references to Joseph Smith. I did not realize there was any really solid evidence the two men (Abraham Lincoln and Joseph Smith) ever met.
06-23-2016, 01:13 PM Post: #5<table><tbody><tr><td></td><td> Richard Lawrence Miller Junior Member</td><td> Posts: 9Joined: Aug 2012</td></tr></tbody></table> RE: A SELF-MADE MAN - The Political Life of Abraham Lincoln, 1809-1849 If I have left the impression that Blumenthal says Lincoln and Smith met face-to-face, I have miscommunicated. I referred to Lincoln’s involvement with projects in which Smith had a personal interest. Lincoln did have personal contact with some Mormon leaders and received their thanks for assistance given but, like you, I’ve seen nothing to suggest that Lincoln and Smith met. Blumenthal does not say the two men met. We do know that Mary Todd Lincoln was a courtroom spectator when Smith was under trial for an offense.
The Mormon situation normally gets cursory treatment from Lincoln biographers, but it was a major factor in Illinois politics of the era, which Blumenthal seems to realize.
06-23-2016, 01:35 PM (This post was last modified: 06-23-2016 02:53 PM byGene C.) Post: #6<table><tbody><tr><td></td><td> Gene C Hero Member</td><td> Posts: 5,951Joined: Jul 2012</td></tr></tbody></table> RE: A SELF-MADE MAN - The Political Life of Abraham Lincoln, 1809-1849 Slightly off subject, but interesting none the less....
In late 1839, arriving Mormons bought the small town of Commerce and in April 1840 it was renamed Nauvoo[1] by Joseph Smith, who led the Latter Day Saints to Nauvoo to escape conflict with the state government in Missouri. .... It is notable that “by 1844 Nauvoo's population had swollen to 12,000, rivaling the size of Chicago” at the time. https://en.wikipedia.org/wiki/Nauvoo,_Illinois
Nauvoo is located on the Illinois side of the Mississippi River near the where the Illinois, Missouri and Iowa state boarders meet. It is about 130 miles NW of Springfield.
Joseph Smith died in 1844. To avoid further violence, Brigham Young led most of the Mormons further west, eventually settling Utah. The population of Nauvoo has remained around 1,000 for the past 100+ years.
It is an interesting place, well worthy of a visit if you are ever in the area. http://www.beautifulnauvoo.com/ So when is this "Old Enough To Know Better" supposed to kick in?
09-06-2016, 03:44 PM Post: #7<table><tbody><tr><td></td><td> Don1946 Member</td><td> Posts: 44Joined: Jan 2014</td></tr></tbody></table> RE: A SELF-MADE MAN - The Political Life of Abraham Lincoln, 1809-1849 I apologize for posting separately my own recommendation of Blumenthal's book, which I reviewed for the Charleston Post and Courier:http://www.postandcourier.com/20160703/1...shaped-himI like the book very much. I value Burlingame for comprehensive coverage and detail, but Blumenthal has a concise argument to make about Lincoln's education. I think it is very perceptive re Lincoln's views on politics, republicanism, and especially on religion.--Don Doyle Don H. Doyle, author of The Cause of All Nations: An International History of America's Civil War, Basic Books. https://www.facebook.com/causeofallnations
| https://rogerjnorton.com/LincolnDiscussionSymposium/showthread.php?mode=linear&pid=59621&tid=3017 |
Juzwin v. Amtorg Trading Corp., Civil No. 87-3876. - Federal Cases - Case Law - VLEX 891109707
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Federal Cases
Juzwin v. Amtorg Trading Corp., Civil No. 87-3876.
<table><tbody><tr><td> Court</td><td> United States District Courts. 3th Circuit. United States District Courts. 3th Circuit. District of New Jersey</td></tr><tr><td> Citation</td><td> 705 F. Supp. 1053</td></tr><tr><td> Docket Number</td><td> Civil No. 87-3876.</td></tr><tr><td> Parties</td><td> Stephen JUZWIN and Mary Juzwin, his spouse, Plaintiffs,
v.
AMTORG TRADING CORP., et al., Defendants.
AMTORG TRADING CORP., Defendant-Third Party Plaintiff,
v.
LEONARD J. BUCK, INC., Flintkote Mines, Ltd., National Gypsum Company and Turner & Newall, PLC., Third Party Defendants.</td></tr><tr><td> Decision Date</td><td> 09 March 1989</td></tr></tbody></table>
705 F. Supp.1053
Stephen JUZWIN and Mary Juzwin, his spouse, Plaintiffs,
v.
AMTORG TRADING CORP., et al., Defendants.
AMTORG TRADING CORP., Defendant-Third Party Plaintiff,
v.
LEONARD J. BUCK, INC., Flintkote Mines, Ltd., National Gypsum Company and Turner & Newall, PLC., Third Party Defendants.
Civil No. 87-3876.
United States District Court, D. New Jersey.
March 9, 1989.
705 F. Supp. 1054
Garruto, Galex & Cantor, Francis A. Tomes, East Brunswick, N.J., for plaintiffs.
Budd Larner Gross Picillo Rosenbaum Greenberg & Sade, P.C., John J. Catino, Short Hills, N.J., for defendant-third party plaintiff Amtorg Trading Corp.
McCarter & English, Honora M. Keane, Charles F. Rysavy, Newark, N.J., for defendant Carey Canada, Inc.
Goldfein & Joseph, P.C., David A. Katzenstein, Scott I. Fegley, Princeton, N.J., for defendants Asbestos Corp. Ltd. and Bell Asbestos Mines, Ltd.
Bressler, Amery & Ross, Gladys W. Orr, Morristown, N.J., for defendant, Metropolitan Life Ins.Co.
O'Donnell, Kennedy, Vespole & Piechta, Leon B. Piechta, West Orange, N.J., for defendant, Leonard J. Buck, Inc.
OPINION
SAROKIN, District Judge.
In this asbestos-related products liability action, defendants move that the court strike plaintiffs' punitive damages claims on the ground that they are unconstitutional.
I. INTRODUCTION
Punitive damage awards have played a traditional role in our system of jurisprudence. They provide a means by which private citizens are afforded the opportunity to penalize persons or entities whose conduct has been so offensive and outrageous as to permit punishment of the wrongdoer in civil litigation. Such awards have been accepted and justified under the same rationale which guides much of sentencing in criminal matters.
The wrongdoer is punished and thus deterred from other similar conduct in the future. Others, likewise, are deterred who might be inclined to act in a similar fashion. The punitive damage award, and in particular the amount of such an award, affords a jury the unique opportunity to express the community's outrage at the particular conduct being penalized. Such awards frequently fill a void where the conduct is not
705 F. Supp. 1055
defined as criminal, or if criminal, is not prosecuted
The policy and purpose of punitive damage awards are well served in products liability cases in which manufacturers have knowingly placed dangerous or defective products into the marketplace with no or inadequate warnings. Civil penalties serve to remind manufacturers of consumer expectations regarding business ethics and standards. Therefore, there can be little doubt that the availability and even the threat of punitive damage awards serves the public interest and provides a strong inducement to the business community to act in a reasonable and responsible manner.
Punitive damage awards have their deficiencies, however, some of which inhere in all such awards and some of which are unique to mass tort claims. Common to all is the fact that the amount of the fine can be excessive in respect to the conduct involved or the person or entity assessed. No limits are imposed. Certainly, no criminal statute would be tolerated which left to a judge or a jury the unfettered discretion to determine what penalty would be appropriate in any given case. No standard or uniformity exists. Different juries hearing the identical evidence as to the same defendant might award vastly different sums or none at all.
The court in a criminal matter may consider the defendant's ability to pay in determining the fine to be imposed, but no statute would be permitted which failed to set the maximum possible penalty faced by a defendant. Although the penalty imposed in a civil matter may far exceed that provided for under a criminal statute for the same conduct, none of the same safeguards are provided. The standard of proof for the imposition of such penalties is lesser in civil matters, even though the exposure may be far greater. Privileges such as the right against self-incrimination are usually inapplicable.
Substantial punitive damage awards have the ability to financially destroy an individual, a business, or an entire industry. Such insolvency may be warranted or justified because of the nature of the conduct involved, but it is an awesome power to place in the hands of a jury without limitations or guidelines.
Fines paid in criminal matters go to the public treasury. Punitive awards go to the fortuitous plaintiff. In many instances, it is a windfall.
All of the foregoing defects are exacerbated in mass tort litigation. Defendants can be held liable over and over again for the same conduct, a result which would be barred by virtue of the right against double jeopardy in a criminal matter. Although an award in an individual case may be fair and reasonable, the cumulative effect of such awards may not be. Nor is the cumulative effect of such awards reviewable by a single court, since the matters are permitted to proceed and be reviewed separately and independently.
Payment to individual plaintiffs rather than to a fund or a class raises special problems in mass tort litigation. There is a decided risk that the earlier claimants will deplete the available assets to pay later claimants. Such a risk may exist even as to compensatory damages, but it would seem inappropriate to impose repeated penaltieson a company if the result is to deny compensatorydamages to subsequent claimants. If there is a limited fund, priority should be given to compensating those who have been injured rather than conferring windfalls on those who have already been compensated.
Although recognizing the nature of a corporation as a continuing legal entity, the fact is that punitive damage awards, if imposed decades after the wrongful conduct, frequently punish officers who did not participate in such conduct and shareholders who did not benefit from it. Furthermore, if the successive fines serve to render companies insolvent, innocent employees and trade creditors are injured as well.
It may be that the conduct of a particular defendant has been so outrageous and egregious that a jury wishes by the size of its award to prevent that company from continuing to function. Even assuming that a jury should have the awesome power
705 F. Supp. 1056
to mete out such drastic punishment, it should do so intentionally, and not inadvertently by unknowingly combining its verdict with those in the past and those yet to come
None of the foregoing, standing alone, may be sufficient to constitute a violation of the constitutional rights of these manufacturers, but taken in combination they do infringe upon their right to due process.
II.
Having set forth the potential defects and dangers of successive punitive damage awards, the court next considers the solutions suggested as potentially available to provide a cure.
It has been suggested that one of the means available to a defendant to combat the cumulative effect of successive punitive damage awards against it is to offer evidence as to the prior awards and ask the jury to offset their own verdict to the extent of those earlier awards. This alternative, although valid in concept, is unrealistic in practice. It requires a defendant to advise the jury that prior juries hearing the same evidence have already found that the defendant's conduct was so egregious as to warrant punitive damage awards. To require a defendant to present such prejudicial evidence to a jury as its only alternative is to place it between Scylla and Charybdis. 1
Individual awards are also justified on the basis that each plaintiff who has been injured is entitled to seek punishment of the offender. However, such an argument totally ignores the fact that each jury is told how many persons have been injured or have died or are likely to do so as the result of the defendant's conduct. Those statistics undoubtedly play a substantial role in the jury's decision to award punitive damages and in determining the amount to be imposed. Therefore, it is totally unrealistic to suggest that each award is predicated solely on the conduct of the defendant manufacturer as it relates only to the plaintiff on trial. The amount of the award is the product of injuries to many persons not before the court. The same statistics form the basis for all such claims. Therefore, prior punitive awards may have already factored in the injury to the plaintiff on trial.
Another suggestion for blunting the potential of multiple punitive damage awards is a preemptive class action by the manufacturer to establish a single punitive damage award binding upon all present or potential claimants. The availability of this option is undoubtedly as comforting to the defendant manufacturers as the ability to tell the jury that others had found them guilty of willful, wanton and reckless conduct. If the existence of this alternative serves to deny defendants so situated the right to claim that successive punitive damage awards for the same wrongful conduct are unconstitutional, then manufacturers would be placed in an unenviable dilemma as soon as a second suit was instituted. Should any manufacturer at that juncture be required to notify and invite all of its customers and users to file claims against it? Furthermore, even if a defendant were inclined to adopt this suicidal course, there is some doubt whether it would be successful. See, e.g., In re School Asbestos Litigation,789 F.2d 996, 1006 (3d Cir.1986), cert. denied, Celotex Corp. v. School District,479 U.S. 852, 107 S.Ct.182, 93 L.Ed. 2d 117 (1986) and cert. denied, National Gypsum Co. v. School District,479 U.S. 915, 107 S.Ct. 318, 93 L.Ed.2d 291 (1986) (noting the difficulties in expanding a class to "confront effectively the punitive damage issue in the entire asbestos area") ; see infraat 1062-64. In any event, it is not a life preserver likely to be grasped by a manufacturer.
Dunn v. HOVIC, No. 91-3837 United States United States Courts of Appeals. United States Court of Appeals (3rd Circuit) July 27, 1993 ...(8th Cir.) (Heaney, J., dissenting), cert. denied, 459 U.S. 988, 103 S.Ct. 342, 74 L.Ed.2d 383 (1982); Juzwin v. Amtorg Trading Corp., 705 F.Supp. 1053, 1056 (D.N.J.), as modified, 718 F.Supp. 1233, 1235 (D.N.J.1989); In re "Agent Orange" Prod. Liab. Litig., 100 F.R.D. 718, 728 (E.D.N.Y.198......
Owens-Corning Fiberglas Corp. v. Malone, OWENS-CORNING United States Supreme Court of Texas August 25, 1998 ...multiple awards of punitive damages for the same conduct violate a defendant's due process rights. See Juzwin v. Amtorg Trading Corp., 705 F.Supp. 1053, 1064 (D.N.J.1989) (Juzwin I), vacated, 718 F.Supp. 1233, 1234 (D.N.J.1989) ( Juzwin II) (vacated but abiding by previous ruling "that repe......
Eagle-Picher Industries, Inc. v. Balbos, EAGLE-PICHER United States Court of Appeals of Maryland September 1, 1991 ...in law limiting recovery of punitive damages to the first claimant."); Juzwin v. Amtorg Trading Corp., 718 F.Supp. 1233, modifying 705 F.Supp. 1053(D.N.J.1989). Further, we have said Page 236 that we will not impose on trial courts the "onerous burden" of conducting "complicated evidentiar......
Leonen v. Johns-Manville Corp., Civ. No. 82-2684 (CSF). United States United States District Courts. 3th Circuit. United States District Courts. 3th Circuit. District of New Jersey July 5, 1989 ...776 F.2d 1565, 1571 (6th Cir.1985), cert. denied, 478 U.S. 1021, 106 S.Ct. 3335, 92 L.Ed.2d 740 (1986); Juzwin v. Amtorg Trading Corp., 705 F.Supp. 1053, 1061 (D.N.J.1989); Campbell v. ACandS, Inc., 704 F.Supp. 1020, 1022 (D.Mont.1989).6 Thus, the court's consideration of whether an award o......
Dunn v. HOVIC, 91-3837 United States United States Courts of Appeals. United States Court of Appeals (3rd Circuit) July 27, 1993 ...(8th Cir.) (Heaney, J., dissenting), cert. denied, 459 U.S. 988, 103 S.Ct. 342, 74 L.Ed.2d 383 (1982); Juzwin v. Amtorg Trading Corp., 705 F.Supp. 1053, 1056 (D.N.J.), as modified, 718 F.Supp. 1233, 1235 (D.N.J.1989); In re "Agent Orange" Prod. Liab. Litig., 100 F.R.D. 718, 728 (E.D.N.Y.198......
Owens-Corning Fiberglas Corp. v. Malone, OWENS-CORNING United States Supreme Court of Texas August 25, 1998 ...multiple awards of punitive damages for the same conduct violate a defendant's due process rights. See Juzwin v. Amtorg Trading Corp., 705 F.Supp. 1053, 1064 (D.N.J.1989) (Juzwin I), vacated, 718 F.Supp. 1233, 1234 (D.N.J.1989) ( Juzwin II) (vacated but abiding by previous ruling "that repe......
William Dunn, Hess Oil Virgin Islands Corp. v. Hovic, 91-3837 United States United States Courts of Appeals. United States Court of Appeals (3rd Circuit) July 27, 1993 ...Cases, 680 F.2d 1175, 1188 (8th Cir.) (Heaney, J., dissenting), cert. denied, 459 U.S. 988 (1982); Juzwin v. Amtorg Trading Corp., 705 F. Supp. 1053, 105628 V.I. 489(D.N.J.), as modified, 718 F. Supp. 1233, 1235 (D.N.J. 1989); In re "Agent Orange" Prod. Liab. Litig., 100 F.R.D. 718, 728 (E.......
Eagle-Picher Industries, Inc. v. Balbos, EAGLE-PICHER United States Court of Appeals of Maryland September 1, 1991 ...in law limiting recovery of punitive damages to the first claimant."); Juzwin v. Amtorg Trading Corp., 718 F.Supp. 1233, modifying 705 F.Supp. 1053(D.N.J.1989). Further, we have said Page 236 that we will not impose on trial courts the "onerous burden" of conducting "complicated evidentiar......
| https://case-law.vlex.com/vid/juzwin-v-amtorg-trading-891109707 |
Environmental Sciences Proceedings | Free Full-Text | Renovation Process Challenges and Barriers
The implementation of Nearly Zero-Energy Buildings (NZEB) renovation packages in Europe needs to be accelerated to meet the decarbonisation goals. To achieve this level of performance, building renovation strategies should shift towards industrialised solutions that incorporate a multitude of passive and active components, increasing the complexity and cost of the execution. Moreover, it requires the involvement of different stakeholders of the building supply chain, resulting in additional difficulties in communication and coordination. To address this challenge, this study aims at mapping the renovation process and at addressing the respective bottlenecks. The objective is to identify the type of information that the stakeholders require during the different renovation phases and provide a framework to structure the workflow between all actors. By structuring the information along the renovation process phases, the different stakeholders can identify when the information can be provided and how the different types of information link to each other.
Background:
Open Access Proceeding Paper
Renovation Process Challenges and Barriers †
by Thaleia Konstantinou * , Alejandro Prieto and Tatiana Armijos-Moya
Faculty of Architecture and the Built Environment, Delft University of Technology, 2628 BL Delft, The Netherlands
*
Author to whom correspondence should be addressed.
†
Presented at the Sustainable Places 2021, Rome, Italy, 29 September–1 October 2021.
Environ. Sci. Proc. 2021 , 11 (1), 6; https://doi.org/10.3390/environsciproc2021011006
Published: 23 November 2021
(This article belongs to the Proceedings of The 9th Annual Edition of Sustainable Places (SP 2021) )
Abstract
The implementation of Nearly Zero-Energy Buildings (NZEB) renovation packages in Europe needs to be accelerated to meet the decarbonisation goals. To achieve this level of performance, building renovation strategies should shift towards industrialised solutions that incorporate a multitude of passive and active components, increasing the complexity and cost of the execution. Moreover, it requires the involvement of different stakeholders of the building supply chain, resulting in additional difficulties in communication and coordination. To address this challenge, this study aims at mapping the renovation process and at addressing the respective bottlenecks. The objective is to identify the type of information that the stakeholders require during the different renovation phases and provide a framework to structure the workflow between all actors. By structuring the information along the renovation process phases, the different stakeholders can identify when the information can be provided and how the different types of information link to each other.
;
zero-energy buildings
;
stakeholders’ communication
1. Introduction
Accounting for almost 40% of energy consumption in the European Union [ 1 ], the role of existing building stock is instrumental in energy transition and the carbon neutrality goals of the built environment. To achieve this goal, it is crucial to improve the way we carry out building renovations [ 2 ], increasing both the rate and depth of renovations [ 3 , 4 ]. An effective renovation plan that aims at zero-energy buildings, which balance a reduced energy demand against locally generated power, is essential to attain this goal. The integration of many components increases the complexity and the cost of those renovations, which is why industrialised solutions have been explored to improve the productivity of the construction industry [ 5 ], benefiting from high-performance results while minimising on-site construction time by prefabricating retrofitting components [ 6 ]. Nevertheless, the industrialization of renovation solutions needs to be made part of the supply chain operation and be prioritized in strategic decision-making [ 7 ], which requires the involvement of different stakeholders of the building supply chain, resulting in important difficulties in communication and coordination.
To this end, the main goal of this paper is to map the renovation process and address the most important bottlenecks to make the renovation process more efficient. The objective is to identify the type of information that the stakeholders require during the different renovation phases, which can be used to structure the workflow between all actors. The study builds on previous experiences in research and practice, regarding identified relevant information and data that support the different phases of the renovation process. In the next step of the framework development, the findings of the analysis were used as base materials for designing an experts’ questionnaire, which had the dual purpose of validating these parameters while gathering relevant information about the renovation process in a systematic and organized manner.
2. Method
To identify the type of information that the stakeholders require during the different renovation phases and provide a framework to structure the workflow between all the actors involved during the renovation process, two main methodological steps were executed: (1) exploration of the current renovation workflow and (2) analysis of the experts’ interaction. First, a general overview of the current literature review and data available regarding the façade retrofitting processes was developed. The analysis considered 17 relevant R&I projects, retrieved from CORDIS [ 8 ].
Based on this exploration, an experts’ questionnaire was developed to collect relevant information in a systematic and organised manner. Forty-two complete questionnaires were gathered after the campaign was over, considering different types of stakeholders in the building industry. Finally, an experts’ workshop was executed to validate the findings from the literature review and the questionnaire. The results of both steps are integrated in Section 3 , addressing the main topics of the study: (1) renovation process: phases and tasks; (2) information flow; and (3) main perceived bottlenecks.
3. Results
3.1. Renovation Process: Phases and Tasks
The exact number of phases and subphases might vary in the different publications [ 9 , 10 , 11 ], but there is consensus on the main broad stages. These are the pre-project, which defines the need for the project; the pre-construction, when an appropriate design solution is developed; the construction, which implements the solution; and the post-construction, which aims at monitoring and the maintenance of the project.
In renovations, which are still construction projects, the phases mentioned above also apply [
12
,
13
,
14
]. However, since renovations deal with an existing building, the pre-project phase includes the analysis and diagnostic of the building to define the intervention’s scope. Moreover, the current occupants, who might be there during construction, have a significant role in the execution phase, such as in the time planning. Industrialised renovation follows the same phases, but some sub-phases are specific or more essential compared to on-site renovation construction, particularly regarding the existing building analysis, the renovation design, and the components’ production. In the context of this study, the renovation phases have been defined as shown in
Table 1
. The questionnaire followed those phases and elaborated on the core tasks per phase.
Table 1. Overview of renovation process phases and tasks.
3.2. Information Flow
The information flow between the stakeholders is essential for the renovation process. Regarding the information that is required as inputs, most of them refer to information from the existing building, its envelope, and services. Moreover, other inputs refer to its occupation and operation, to information from the climate context, and cost data of building components and renovation activities. On the other hand, the main outputs along the renovation process refer to the generation of renovation scenarios and Building Information Models (BIM), energy flows data (consumption and generation), quality check and maintenance reports, Life Cycle Assessments (LCAs), and evaluations related to the cash-flow of the intervention.
During the experts’ interaction, the respondents stated the inputs they require to perform their tasks during each phase and their main outputs along the process.
Figure 1
presents the responses from the sample at each renovation phase, with colour codes based on the number of mentions for an easier appraisal of the results.
Figure 1
a depicts the input types that are more commonly required by the sample of professionals, showing the relevance of counting with enough information about the building from the initial stages to construction. Cost information is particularly relevant as an input at the final design and construction phases, while operation inputs, although relevant throughout the whole process, are markedly more needed during phase 5.
Figure 1. Overview of the main required ( a ) INPUTS and ( b ) OUTPUTS per phase according to the respondents’ mentions. Low/medium/high relative mentions per phase are shown with colours (the darker the colour, the higher the number of mentions per phase).
Figure 1 b follows the same pattern, showing the iterative process behind retrofitting design scenarios until the final design is set, and the energy use reports especially at the beginning and the end, to diagnose problems and later evaluate the solution, also considering comfort assessments. When it comes to the construction phase, the main declared outputs refer to guidelines for installation and assembly, logistics and planning, and budget estimations and cash-flow information.
3.3. Main Perceived Bottlenecks
The respondents were asked to mention the main bottlenecks they perceived based on their own experience, which would need to be solved to increase the efficiency of the overall renovation process. This was conducted through a set of questions aimed at each phase separately, targeting the experts that had previously declared to have personal experience at each phase. Seven main categories for the bottlenecks were identified, as follows: (1) lack of information; (2) unclear definitions; (3) normative and compliance; (4) coordination and communication; (5) responsibilities and guarantees; (6) unreliable assessments (7); and technical challenges.
The responses were then re-assessed and categorised based on the list of main types of bottlenecks, with the result being shown in Figure 2 . There, it is possible to see that most of the mentioned bottlenecks clearly refer to lack of information, and coordination and communication issues, followed by normative and compliance aspects throughout the process.
Figure 2. Main types of bottlenecks identified from the responses and frequency of their mentions.
4. Discussion
Further elaboration centred around the most recurrent bottlenecks: (1) lack of information, and (2) coordination and communication. Regarding the lack of information, it was mentioned that it is important to establish clear responsibilities for gathering the information needed at each phase. Moreover, to support this, it was agreed that having a comprehensive building data checklist is necessary, considering the level of detail for said information at every step of the process. Nevertheless, even if responsibilities and data gathering activities are clearly defined, there is a relevant information gap at the early design stages, especially related to technical information that could otherwise serve as valuable input for the concept design.
Regarding coordination and communication issues, in general, it was perceived as crucial to clearly define the responsibilities of all stakeholders throughout the process. Likewise, it was stated as central to have a clear definition of the requirements and key performance indicators used to evaluate the project. Thus, it is paramount to consider clear communication channels between the design team and the client team from early on, with timely and comprehensive information. Establishing a communication protocol for clear and direct interaction among the stakeholders could help reduce time throughout the process, besides supporting faster decisions in the face of changes and unforeseen events, especially during the execution phase where on-site events are bound to happen, and delays may have a sizable impact on the budget and on-site logistics.
The outcomes of the study can serve as the basis of a framework to provide stakeholders with a clear structure and access to a wide range of technologies for the deep renovation of buildings. Those results can be used in the development of communication tools to facilitate the renovation workflow, resulting in more efficient renovation of the building stock.
Author Contributions
Conceptualization, methodology and execution of the study, T.K. and A.P.; formal analysis, A.P.; analysis and reporting T.K., A.P. and T.A.-M.; writing—draft preparation, T.K., A.P. and T.A.-M. All authors have read and agreed to the published version of the manuscript.
Funding
This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No. 958445. This conference paper reflects only the authors’ views and the Commission is not responsible for any use that may be made of the information it contains.
Institutional Review Board Statement
The study was conducted according to the ethics requirements established by European Commission’s Horizon 2020 Legal Framework.
Informed Consent Statement
Informed consent was obtained from all subjects involved in the study.
Data Availability Statement
More information on the data presented in this study is available on request from the corresponding author. The data are not publicly available due to restrictions regarding the privacy of the participants and the restrictions of the project.
Acknowledgments
The study presented in this paper it part of the development of a digital platform, as part of ENSNARE (ENvelope meSh aNd digitAl framework for building Renovation). The authors would like to thank the project participants and the questionnaire respondents.
Conflicts of Interest
The authors declare no conflict of interest. The funders had no role in the design of the study; in the collection, analyses, or interpretation of data; in the writing of the manuscript, or in the decision to publish the results.
References
Tsemekidi Tzeiranaki, S.; Bertoldi, P.; Paci, D.; Castellazzi, L.; Ribeiro Serrenho, T.; Economidou, M.; Zangheri, P. Energy Consumption and Energy Efficiency Trends in the EU-28, 2000–2018 ; Publications Office of the European Union: Luxembourg, 2020. [ Google Scholar ]
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IEA Annex 50. Prefabricated Systems for Low Energy Renovation of Residential Buildings ; Project Summary Report; Zimmermann, M., Ed.; AECOM Ltd.: Hertfordshire, UK, 2012. [ Google Scholar ]
Konstantinou, T.; Heesbeen, C. Industrialized renovation of the building envelope: Realizing the potential to decarbonize the European building stock. In Rethinking Building Skins ; Elsevier: Amsterdam, The Netherlands, 2021. [ Google Scholar ]
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Cooper, R.; Aouad, G.; Lee, A.; Wu, S.; Fleming, A.; Kagioglou, M. Process Management in Design and Construction ; Blackwell Publishing Ltd.: Oxford, UK, 2005. [ Google Scholar ]
Klein, T. Integral Facade Construction. Towards a New Product Architecture for Curtain Walls ; Delft University of Technology: Delft, The Netherlands, 2013; Volume 3. [ Google Scholar ]
RIBA. Plan of Work 2020 Overview ; RIBA: London, UK, 2020. [ Google Scholar ]
Ferreira, J.; Pinheiro, M.D.; Brito, J.D. Refurbishment decision support tools review—Energy and life cycle as key aspects to sustainable refurbishment projects. Energy Policy 2013 , 62 , 1453–1460. [ Google Scholar ] [ CrossRef ]
Konstantinou, T. Facade Refurbishment Toolbox: Supporting the Design of Residential Energy Upgrades. In A+BE|Architecture and the Built Environment ; No. 9: Facade Refurbishment Toolbox; Delft University of Technology: Delft, The Netherlands, 2014; p. 420. [ Google Scholar ]
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Figure 1. Overview of the main required ( a ) INPUTS and ( b ) OUTPUTS per phase according to the respondents’ mentions. Low/medium/high relative mentions per phase are shown with colours (the darker the colour, the higher the number of mentions per phase).
Figure 2. Main types of bottlenecks identified from the responses and frequency of their mentions.
Table 1. Overview of renovation process phases and tasks.
Phase 1 2 3 4 5 Name Pre-project Concept design Final design Execution and hand-over Post-construction Description Defines the need for the project, the problems, the ambition. Setup the design team Identification and comparison of strategy, interventions, design principles Tender, specification of products, engineering of components Manufacturing, assembly off-site and on site, hand-over Post-occupancy evaluation/optimization loops Core tasks included Setting objective and criteria Diagnosis of existing condition Definition of client requirements Cost initial estimate Selection design team Identification of renovation measures Decision on industrialised components design concept Assessment and optimization Preparation of permit applications Detailed design for industrialised renovation Survey of existing building Engineering of the components Tender and products specification Manufacturing Transport Mounting Site Construction Construction quality control Hand-over Building operation optimisation Monitoring Post occupancy Phase outcome Project brief approved by the client, and confirmed feasibility Renovation strategy approved by the client All design information required to manufacture and construct the project completed Manufacturing, construction, commissioning completed and hand-over Building used, operated, and maintained efficiently. Leading stakeholder Client team Design team Specialist consultants Client team Design/construction team Specialist subcontractors Construction team Specialist subcontractors Client Facility management Specialist consultants
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Konstantinou, T.; Prieto, A.; Armijos-Moya, T.
Renovation Process Challenges and Barriers. Environ. Sci. Proc. 2021, 11, 6.
https://doi.org/10.3390/environsciproc2021011006
AMA Style
Konstantinou T, Prieto A, Armijos-Moya T.
Renovation Process Challenges and Barriers. Environmental Sciences Proceedings. 2021; 11(1):6.
https://doi.org/10.3390/environsciproc2021011006
Chicago/Turabian Style
Konstantinou, Thaleia, Alejandro Prieto, and Tatiana Armijos-Moya.
2021. "Renovation Process Challenges and Barriers" Environmental Sciences Proceedings11, no. 1: 6.
https://doi.org/10.3390/environsciproc2021011006
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Medline Indus. v. Stryker Sustainability Sols., Inc., Case No. 2:19-cv-1415-GMB - Federal Cases - Case Law - VLEX 891564324
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Federal Cases
Medline Indus. v. Stryker Sustainability Sols., Inc., Case No. 2:19-cv-1415-GMB
<table><tbody><tr><td> Court</td><td> United States District Courts. 11th Circuit. United States District Court of Northern District of Alabama</td></tr><tr><td> Writing for the Court</td><td> GRAY M. BORDEN UNITED STATES MAGISTRATE JUDGE</td></tr><tr><td> Parties</td><td> MEDLINE INDUSTRIES, INC., Plaintiff, v. STRYKER SUSTAINABILITY SOLUTIONS, INC., Defendant.</td></tr><tr><td> Docket Number</td><td> Case No. 2:19-cv-1415-GMB</td></tr><tr><td> Decision Date</td><td> 25 May 2021</td></tr></tbody></table>
MEDLINE INDUSTRIES, INC., Plaintiff,
v.
STRYKER SUSTAINABILITY SOLUTIONS, INC., Defendant.
Case No. 2:19-cv-1415-GMB
UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF ALABAMA SOUTHERN DIVISION
May 25, 2021
MEMORANDUM OPINION AND ORDER
Before the court are the Motion for Summary Judgment filed by Defendant Stryker Sustainability Solutions, Inc. ("Stryker") (Doc. 70) and the Motion to Strike filed by Plaintiff Medline Industries, Inc. ("Medline").Doc. 76. The motions have been fully briefed and are ripe for decision.Docs. 71, 76, 77, 80, 81, 83, 85 & 86. The parties have consented to the jurisdiction of a United States Magistrate Judge pursuant to28 U.S.C. § 636(c).Doc. 10. For the following reasons, the Motion for Summary Judgment is due to be granted, and the Motion to Strike is moot. 1
I. STANDARD OF REVIEW
Summary judgment is appropriate "if the movant shows that there is no
Page 2
genuine dispute as to any material fact and the movant is entitled to judgment as a matter of law."Fed. R. Civ. P. 56(a). "The purpose of summary judgment is to separate real, genuine issues from those which are formal or pretended." Tippens v. Celotex Corp. ,805 F.2d 949, 953 (11th Cir.1986). "Only disputes over facts that might affect the outcome of the suit under the governing law will properly preclude the entry of summary judgment." Anderson v. Liberty Lobby, Inc. ,477 U.S. 242, 248 (1986). A dispute of material fact is genuine only if "the evidence is such that a reasonable jury could return a verdict for the nonmoving party." Id.
The moving party "always bears the initial responsibility of informing the district court of the basis for its motion, and identifying those portions of the pleadings, depositions, answers to interrogatories, and admissions on file, together with the affidavits, if any, which it believes demonstrate the absence of a genuine [dispute] of material fact." Celotex Corp. v. Catrett,477 U.S. 317, 323 (1986) (internal quotation marks omitted). In responding to a properly supported motion for summary judgment, the nonmoving party "must do more than simply show that there is some metaphysical doubt as to the material fact." Matsushita Elec. Indus. Co., Ltd. v. Zenith Radio Corp. ,475 U.S. 574, 586 (1986). Indeed, the nonmovant must "go beyond the pleadings" and submit admissible evidence demonstrating "specific facts showing that there is a genuine [dispute] for trial." Celotex, 477 U.S. at 324 (internal quotation marks omitted).If the evidence
Page 3
is "merely colorable, or is not significantly probative, summary judgment may be granted." Anderson, 477 U.S. at 249 (citations omitted).
When a district court considers a motion for summary judgment, it "must view all the evidence and all factual inferences reasonably drawn from the evidence in the light most favorable to the nonmoving party, and must resolve all reasonable doubts about the facts in favor of the nonmovant." Rioux v. City of Atlanta, Ga. ,520 F.3d 1269, 1274 (11th Cir. 2008) (citation and internal quotation marks omitted). The court's role is not to "weigh the evidence and determine the truth of the matter but to determine whether there is a genuine issue for trial." Anderson, 477 U.S. at 249. "If a reasonable fact finder evaluating the evidence could draw more than one inference from the facts, and if that inference introduces a genuine issue of material fact, then the court should not grant summary judgment." Allen v. Bd. of Pub. Ed. for Bibb County,495 F.3d 1306, 1315 (11th Cir. 2007) (citation omitted). On the other hand, if the nonmovant "fails to adduce evidence which would be sufficient . . . to support a jury finding for [the nonmovant], summary judgment may be granted." Brooks v. Blue Cross & Blue Shield of Fla., Inc. ,116 F.3d 1364, 1370 (11th Cir. 1997) (citation omitted).
II. FACTUAL BACKGROUND
Medline is in the business of reprocessing medical products.Doc. 71-1 at 19. In reprocessing, Medline receives used medical products which it then sanitizes,
Page 4
repackages, and ships back out to be used again.Doc. 71-1 at 53. Medline outsources some of its reprocessing work to other companies.Doc. 71-2 at 10. In 2014, Medline executed a Private Label Reprocessing Agreement with Hygia Health Services, Inc. ("Hygia"), under which Hygia would reprocess certain medical products for Medline.Doc. 71-5 at 2. The Agreement included a non-solicitation provision: "HYGIA agrees not to solicit directly or indirectly any customers that MEDLINE refers, implements reprocessing services with, or issues purchase orders to HYGIA for reprocessing services during the term of this Agreement, and for a period of 18 months after the termination or expiration of this Agreement."Doc. 71-5 at 6.
The Private Label Reprocessing Agreement was "binding on each of the party's respective successors and permitted assigns, and for avoidance of doubt is binding on any purchaser of all or substantially all of the party's stock or assets, or any surviving or acquiring entity in any merger, acquisition or other similar change of control transaction."Doc. 71-5 at 6. On January 1, 2015, Medline and Hygia amended the agreement but did not revise the non-solicitation clause.Doc. 71-6. Medline referred more than 800 customers to Hygia during the life of the agreement.Doc. 71-2 at 15.
Page 5
In 2018, Stryker entered into a merger transaction with Hygia. 2Docs. 77-9 at 9 & 77-10 at 2. Following the transaction, Frank Czajka, Medline's president, believed that Stryker became subject to Hygia's obligations under the agreement.Doc. 71-1 at 47. Later that year, Czajka told Brian White, Stryker's president, that he believed Stryker was soliciting Medline's customers in violation of the non-solicitation clause in the agreement.Doc. 77-16 at 2. Czajka repeated his concerns to White in April 2019.Doc. 77-19 at 2-3. White responded to Czajka's concerns by asking for a list of Medline customers that Czajka believed Stryker had improperly solicited.Doc. 71-9 at 36. In response, Medline sent Stryker a list of names and account numbers for 863 customers.Doc. 71-14. The agreement expired in June 2019, but the non-solicitation provision remained in effect for 18 more months.Doc. 71-5 at 3 & 6. Medline filed this action in 2019, alleging that Stryker breached the non-solicitation provision by soliciting Medline's customers.Doc. 13 at 10.
III. DISCUSSION
Stryker advances three arguments in support of its motion for summary judgment. First, Stryker argues that it never assumed Hygia's obligations under the Private Label Reprocessing Agreement.Doc. 71 at 2-3. Second, Stryker contends
Page 6
that the agreement's non-solicitation clause is unenforceable under Alabama law.Doc. 71 at 3. Third, Stryker asserts that Medline cannot and has not produced evidence "in support of a cognizable damages theory."Doc. 71 at 3. For the following reasons, the court finds that the non-solicitation clause is unenforceable under Alabama law and therefore need not decide the other two issues.
Before it was repealed, Alabama Code § 8-1-1 read, "Every contract by which anyone is restrained from exercising a lawful profession, trade, or business of any kind otherwise than is provided by this section is to that extent void." The statute was repealed and replaced as of January 1, 2016. M5 Mgmt. Servs. v. Yanac,428 F. Supp. 3d 1282, 1291 n.2 (N.D. Ala. 2019). It is undisputed that the pre-2016 version of the statute governs this dispute because the parties executed the agreement (in 2014) and amended it (in 2015) while the statute remained in effect. SeeDocs. 71 at 18 & 77 at 19; M5 Mgmt. Servs., 428 F. Supp. 3d at 1291 n.2. "The burden is upon the person or entity seeking to enforce a contract which restrains a lawful trade or business to show that it is not void." DeVos v. Cunningham Group, LLC,297 So. 3d 1176, 1184 (Ala. 2019). Accordingly, it is Medline's burden to show that...
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Ego Depletion and Attention Regulation Under Pressure: Is a Temporary Loss of Self-Control Strength Indeed Related to Impaired Attention Regulation?
Chris Englert, Kris Zwemmer, Alex Bertrams, and Raôul R.D. Oudejans
In the current study we investigated whether ego depletion negatively affects attention regulation under pressure in sports by assessing participants’ dart throwing performance and accompanying gaze behavior. According to the strength model of self-control, the most important aspect of self-control is attention regulation. Because higher levels of state anxiety are associated with impaired attention regulation, we chose a mixed design with ego depletion (yes vs. no) as between-subjects and anxiety level (high vs. low) as within-subjects factor. Participants performed a perceptual-motor task requiring selective attention, namely, dart throwing. In line with our expectations, depleted participants in the high-anxiety condition performed worse and displayed a shorter final fixation on bull’s eye, demonstrating that when one’s self-control strength is depleted, attention regulation under pressure cannot be maintained. This is the first study that directly supports the general assumption that ego depletion is a major factor in influencing attention regulation under pressure.
In the current study we investigated whether ego depletion negatively affects attention regulation under pressure in sports by assessing participants’ dart throwing performance and accompanying gaze behavior. According to the strength model of self-control, the most important aspect of self-control... Show More
In Journal of Sport and Exercise Psychology Volume 37 (2015): Issue 2 (Jan 2015)
Physical Self-Concept Changes in a Selective Sport High School: A Longitudinal Cohort-Sequence Analysis of the Big-Fish-Little-Pond Effect
Herbert W. Marsh, Alexandre J.S. Morin, and Philip D. Parker
Elite athletes and nonathletes ( N= 1,268) attending the same selective sport high school (4 high school age cohorts, grades 7–10, mean ages varying from 10.9 to 14.1) completed the same physical self-concept instrument 4 times over a 2-year period (multiple waves). We introduce a latent cohort-sequence analysis that provides a stronger basis for assessing developmental stability/change than either cross-sectional (multicohort, single occasion) or longitudinal (single-cohort, multiple occasion) designs, allowing us to evaluate latent means across 10 waves spanning a 5-year period (grades 7–11), although each participant contributed data for only 4 waves, spanning 2 of the 5 years. Consistent with the frame-of-reference effects embodied in the big-fish-little-pond effect (BFLPE), physical self-concepts at the start of high school were much higher for elite athletes than for nonathlete classmates, but the differences declined over time so that by the end of high school there were no differences in the 2 groups. Gender differences in favor of males had a negative linear and quadratic trajectory over time, but the consistently smaller gender differences for athletes than for nonathletes did not vary with time.
Elite athletes and nonathletes ( N= 1,268) attending the same selective sport high school (4 high school age cohorts, grades 7–10, mean ages varying from 10.9 to 14.1) completed the same physical self-concept instrument 4 times over a 2-year period (multiple waves). We introduce a latent cohort... Show More
In Journal of Sport and Exercise Psychology Volume 37 (2015): Issue 2 (Jan 2015)
A Reciprocal Effects Model of the Temporal Ordering of Basic Psychological Needs and Motivation
Guillaume Martinent, Emma Guillet-Descas, and Sophie Moiret
Using self-determination theory as the framework, we examined the temporal ordering between satisfaction and thwarting of basic psychological needs and motivation. We accomplished this goal by using a two-wave 7-month partial least squares path modeling approach (PLS-PM) among a sample of 94 adolescent athletes ( M age= 15.96) in an intensive training setting. The PLS-PM results showed significant paths leading: (a) from T1 satisfaction of basic psychological need for competence to T2 identified regulation, (b) from T1 external regulation to T2 thwarting and satisfaction of basic psychological need for competence, and (c) from T1 amotivation to T2 satisfaction of basic psychological need for relatedness. Overall, our results suggest that the relationship between basic psychological need and motivation varied depending on the type of basic need and motivation assessed. Basic psychological need for competence predicted identified regulation over time whereas amotivation and external regulation predicted basic psychological need for relatedness or competence over time.
Using self-determination theory as the framework, we examined the temporal ordering between satisfaction and thwarting of basic psychological needs and motivation. We accomplished this goal by using a two-wave 7-month partial least squares path modeling approach (PLS-PM) among a sample of 9... Show More
In Journal of Sport and Exercise Psychology Volume 37 (2015): Issue 2 (Jan 2015)
The Relationship Between Meeting Vigorous Physical Activity Recommendations and Burnout Symptoms Among Adolescents: An Exploratory Study With Vocational Students
Catherine Elliot, Christin Lang, Serge Brand, Edith Holsboer-Trachsler, Uwe Pühse, and Markus Gerber
This study examines how students who met the current recommendations for vigorous physical activity (VPA) of the American College of Sports Medicine (ACSM) and the Centers of Disease Control and Prevention (CDC) differ from peers who did not reach these standards with regard to self-reported burnout, before and after controlling for light physical activity and moderate physical activity. A sample of 144 vocational students ( M age= 16.2 years, SD= 1.13, 98 males) completed the International Physical Activity Questionnaire, the Shirom-Melamed Burnout Measure, and the School Burnout Inventory. Bivariate correlations revealed that only VPA was associated with reduced burnout. Both the ACSM and CDC guidelines were useful to identify significant differences in burnout symptoms between students who met versus did not meet the standards. Health policy makers should develop strategies to integrate more VPA into the lives of adolescent students so as to reach a minimum of 60 min per week.
This study examines how students who met the current recommendations for vigorous physical activity (VPA) of the American College of Sports Medicine (ACSM) and the Centers of Disease Control and Prevention (CDC) differ from peers who did not reach these standards with regard to self-reporte... Show More
In Journal of Sport and Exercise Psychology Volume 37 (2015): Issue 2 (Jan 2015)
Relationships Between the Coach-Created Motivational Climate and Athlete Engagement in Youth Sport
Thomas Curran, Andrew P. Hill, Howard K. Hall, and Gareth E. Jowett
Youth sport is a source of well-being for adolescents, yet experiences vary and attrition can be high. We sought to better understand the coach behaviors that foster positive experiences in youth sport by examining relationships between the motivational climate and athlete engagement (viz., confidence, dedication, enthusiasm, and vigor). We reasoned that a mastery climate (emphasis on effort and learning) would correspond with higher engagement, whereas a performance climate (emphasis on ability and outcome) was expected to correspond with lower engagement. Two-hundred sixty adolescent soccer players completed measures of engagement and perceived coach motivational climate. All dimensions of engagement were positively predicted by a mastery climate. Furthermore, cognitive aspects of engagement were positively predicted by a performance climate. Canonical correlation analysis indicated that a composite of engagement was positively associated with a mastery climate. Results suggest that a mastery climate offers a means of promoting higher levels of overall engagement.
Youth sport is a source of well-being for adolescents, yet experiences vary and attrition can be high. We sought to better understand the coach behaviors that foster positive experiences in youth sport by examining relationships between the motivational climate and athlete engagement (viz., confide... Show More
In Journal of Sport and Exercise Psychology Volume 37 (2015): Issue 2 (Jan 2015)
Self-Control Self-Regulation, and Doping in Sport: A Test of the Strength-Energy Model
Derwin K. C. Chan, Vanessa Lentillon-Kaestner, James A. Dimmock, Robert J. Donovan, David A. Keatley, Sarah J. Hardcastle, and Martin S. Hagger
We applied the strength-energy model of self-control to understand the relationship between self-control and young athletes’ behavioral responses to taking illegal performance-enhancing substances, or “doping.” Measures of trait self-control, attitude and intention toward doping, intention toward, and adherence to, doping-avoidant behaviors, and the prevention of unintended doping behaviors were administered to 410 young Australian athletes. Participants also completed a “lollipop” decision-making protocol that simulated avoidance of unintended doping. Hierarchical linear multiple regression analyses revealed that self-control was negatively associated with doping attitude and intention, and positively associated with the intention and adherence to doping-avoidant behaviors, and refusal to take or eat the unfamiliar candy offered in the “lollipop” protocol. Consistent with the strength-energy model, athletes with low self-control were more likely to have heightened attitude and intention toward doping, and reduced intention, behavioral adherence, and awareness of doping avoidance.
We applied the strength-energy model of self-control to understand the relationship between self-control and young athletes’ behavioral responses to taking illegal performance-enhancing substances, or “doping.” Measures of trait self-control, attitude and intention toward doping, intention to... Show More
In Journal of Sport and Exercise Psychology Volume 37 (2015): Issue 2 (Jan 2015)
Applying Generalizability Theory to Examine the Antecedents of Perceived Coach Support
Adam Howard Coussens, Tim Rees, and Paul Freeman
Although social support is integral to the coaching process, there is only a limited understanding of the antecedents of perceived coach support. We applied generalizability theory to examine perceived coach support and its antecedents at perceiver, provider, and relational levels of analysis. Two studies were conducted in which athletes rated the degree to which they identified with a selection of coaches, and the personality, competency, and supportiveness of those coaches. Univariate analyses demonstrated that the relational component accounted for a significant amount of variance in perceived coach support in both studies. Multivariate analyses demonstrated that when athletes perceive specific coaches to be highly agreeable, competent, and individuals with whom they share a common identity, they also perceive these same coaches to be particularly supportive in comparison with other coaches.
Although social support is integral to the coaching process, there is only a limited understanding of the antecedents of perceived coach support. We applied generalizability theory to examine perceived coach support and its antecedents at perceiver, provider, and relational levels of analysis. Tw... Show More
In Journal of Sport and Exercise Psychology Volume 37 (2015): Issue 1 (Jan 2015)
Development and Validation of the Multidimensional Motivational Climate Observation System
Nathan Smith, Damien Tessier, Yannis Tzioumakis, Eleanor Quested, Paul Appleton, Philippe Sarrazin, Athanasios Papaioannou, and Joan L. Duda
This article outlines the development and validation of the Multidimensional Motivational Climate Observation System (MMCOS). Drawing from an integration of the dimensions of the social environment emphasized within achievement goal theory and self-determination theory (as assumed within Duda’s [2013] conceptualization of “empowering” and “disempowering” climates), the MMCOS was developed to enable an objective assessment of the coach-created motivational environment in sport. Study 1 supported the initial validity and reliability of the newly developed observation system. Study 2 further examined the interobserver reliability and factorial structure of the MMCOS. Study 3 explored the predictive validity of the observational system in relation to athletes’ reported basic psychological need satisfaction. Overall, the results of these studies provide preliminary support for the inter- and intraobserver reliability, as well as factorial and predictive validity of the MMCOS. Suggestions for the use of this observational system in future research in sport are provided.
This article outlines the development and validation of the Multidimensional Motivational Climate Observation System (MMCOS). Drawing from an integration of the dimensions of the social environment emphasized within achievement goal theory and self-determination theory (as assumed within Duda’s [... Show More
In Journal of Sport and Exercise Psychology Volume 37 (2015): Issue 1 (Jan 2015)
The Digest
Christopher Shields, Jennifer Brunet, Lori Dithurbide, Shilpa Dogra, Kim Gammage, Mary Jung, Lindsay Kipp, Tara-Leigh McHugh, Simon Sebire, Katherine Tamminen, and Kathleen Wilson
In Journal of Sport and Exercise Psychology Volume 37 (2015): Issue 1 (Jan 2015)
From the Editor
Robert C. Eklund
In Journal of Sport and Exercise Psychology Volume 37 (2015): Issue 1 (Jan 2015)
| https://journals.humankinetics.com/collection/SportExSciKin?access=all&page=29&pageSize=10&sort=datedescending&t=jsep |
Figures and data in Prospective identification of functionally distinct stem cells and neurosphere-initiating cells in adult mouse forebrain | eLife
Flow cytometric isolation and fate mapping shows that neurosphere-initiating cells are highly mitotically active and persist only transiently in vivo, and are distinct from quiescent, long-lived neural stem cells.
https://doi.org/10.7554/eLife.02669
Version of Record
Accepted for publication after peer review and revision.
John K Mich
Robert AJ Signer
Daisuke Nakada
André Pineda
Rebecca J Burgess
Tou Yia Vue
Jane E Johnson
Sean J Morrison
(2014)
Prospective identification of functionally distinct stem cells and neurosphere-initiating cells in adult mouse forebrain
eLife 3 :e02669.
https://doi.org/10.7554/eLife.02669
June 3, 2014 (This version)
May 7, 2014 (Go to version)
Accepted
May 4, 2014
Received
February 27, 2014
Daisuke Nakada
André Pineda
Rebecca J Burgess
Tou Yia Vue
Jane E Johnson
Sean J Morrison
(2014)
Prospective identification of functionally distinct stem cells and neurosphere-initiating cells in adult mouse forebrain
eLife 3 :e02669.
https://doi.org/10.7554/eLife.02669
Article
Figures and data
8 figures and 1 additional file
Figures
Figure 1 with 1 supplement
Download asset Open asset
Prospective identification and isolation of neurosphere-initiating cells.
( A) A screen of antibodies identified cell surface markers of NICs in the adult mouse SVZ. ( B) Flow cytometric gating strategy to isolate GEPCOT cells ( Glast mid Egfr high PlexinB2 high CD24 −/low O4/PSA-NCA… see more
https://doi.org/10.7554/eLife.02669.003
Figure 1—figure supplement 1
Isolating GEPCOT cells by flow cytometry.
( A) Side scatter (SSC) and forward scatter (FSC) were gated to eliminate debris. The parameters of this gate can be set using mouse bone marrow as shown in the first panel such that myeloid cells … see more
https://doi.org/10.7554/eLife.02669.004
Figure 2
Individual NICs persist only transiently within the SVZ in vivo but are constantly replenished by more primitive neural stem cells.
( A) Mice bearing inducible Cre alleles and the Rosa26-loxp-tdTomatoconditional reporter were induced with 5 consecutive days of tamoxifen injections (80 mg/kg/day) then chased for 2 to 60 days … see more
https://doi.org/10.7554/eLife.02669.005
Figure 3
Identification of a pre-GEPCOT population that gives rise to GEPCOT NICs in vivo.
( A) GFAP-CreER T2; Rosa26-loxp-tdTomatomice were induced with tamoxifen for 5 days, chased for 2 to 60 days without tamoxifen, then conditional reporter expression was analyzed in all SVZ cells, … see more
https://doi.org/10.7554/eLife.02669.006
Figure 4
Download asset Open asset
GFAP-expressing pre-GEPCOT cells are quiescent in vivo but make an enduring contribution to the SVZ.
( A) Antibody staining for GFAP among SVZ cells, GEPCOTs, and pre-GEPCOTs (scale bar = 5 μm) (n = 3 mice from three independent experiments). ( B) The frequencies of neurospheres >50 μm, multipotent … see more
https://doi.org/10.7554/eLife.02669.007
Figure 5
Treatment with temozolomide does not affect the frequency of pre-GEPCOT cells but ablates GEPCOT NICs.
( A– F) Mice were injected with TMZ (100 mg/kg/day) for three consecutive days to ablate dividing cells, then allowed to recover for 3 to 90 days before analysis (TMZ 1x). All TMZ 1x data reflect 5–7 … see more
https://doi.org/10.7554/eLife.02669.008
Figure 6 with 1 supplement
Reduced neurogenesis, SVZ cell proliferation, GEPCOT frequency, and pre-GEPCOT frequency in Nestin-Cre; Bmi-1 fl/fl adult mice.
( A) Bmi-1transcript levels in GEPCOT and pre-GEPCOT cells, normalized to β-actin and shown relative to SVZ cells (n = 5 mice in two independent experiments). ( B) Western blot of SVZ cells and … see more
https://doi.org/10.7554/eLife.02669.009
Figure 6—figure supplement 1
Targeting strategy for engineering a floxed allele of Bmi-1 for conditional deletion.
( A) A bacterial artificial chromosome containing the mouse Bmi-1gene (RP23-145I3), was modified to insert a loxP-FRT-Neo-FRT cassette 5′ to exon 2 and a loxP site 3′ to exon 3 to generate the … see more
https://doi.org/10.7554/eLife.02669.010
Figure 7 with 2 supplements
Download asset Open asset
Reduced neurogenesis, gliogenesis, SVZ cell proliferation, and GEPCOT NICs in adult Nestin-CreER T2 ; Bmi-1 fl/fl mice relative to littermate controls.
( A) Western blot of pooled neurospheres (NS) cultured at 2 weeks after tamoxifen treatment (n = 2 mice/genotype). Wild-type and germline Bmi-1 −/−bone marrow (BM) cells are shown as controls. ( B) … see more
https://doi.org/10.7554/eLife.02669.011
Figure 7—figure supplement 1
Nestin expression in GEPCOT and pre-GEPCOT cells.
( A) Nestintranscript expression relative to β-actin(n = 5 mice in two independent experiments). ( B) Frequency of cells within each cell population that stained positively for Nestin protein (n >50 … see more
https://doi.org/10.7554/eLife.02669.012
Figure 7—figure supplement 2
Adult Nestin-CreER T2 ; Bmi-1 fl/fl mice show Bmi-1 recombination in pre-GEPCOT qNSCs.
( Aand B) PCR of genomic DNA from individual neurospheres cultured from Bmi-1 fl/flcontrol ( A) or Nestin-CreER T2; Bmi-1 fl/fl( B) mice 2 weeks after tamoxifen treatment. Tail DNA was used for … see more
https://doi.org/10.7554/eLife.02669.013
Figure 8
Phenotypically and functionally distinct populations of pre-GEPCOT qNSCs and GEPCOT NICs.
Glast highEGFR −/lowPlexinB2 midCD24 −/lowO4/PSA-NCAM −/lowTer119/CD45 −pre-GEPCOT cells are a quiescent, TMZ resistant population containing qNSCs that give rise to Glast midEGFR highPlexinB2 highCD24 −/lowO… see more
https://doi.org/10.7554/eLife.02669.014
Additional files
Supplementary file 1
( A) List of antibody markers screened to purify neurosphere-initiating cells. ( B) List of growth factors screened to stimulate pre-GEPCOT growth.
https://doi.org/10.7554/eLife.02669.015
Download elife-02669-supp1-v2.docx
| https://elifesciences.org/articles/02669/figures |
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Dangers to Workers From Dusts and Fumes and Methods of Protection : Bulletin of the United States Bureau of Labor Statistics, No. 127
Day Care Services: Form and Substance: A Report of a Conference, November 17-18, 1960 : Women's Bureau Bulletin, No. 281
Day Care Services: Industry's Involvement : Women's Bureau Bulletin, No. 296
Dealer Profits and Capital Availability in the U.S. Government Securities Industry, 1955-1965 : Staff Study
Deaths From Lead Poisoning, 1925-1927 : Bulletin of the United States Bureau of Labor Statistics, No. 488
Deaths From Lead Poisoning : Bulletin of the United States Bureau of Labor Statistics, No. 426
Debt Ceiling : Hearing Before the Committee on Finance, United States Senate, Eighty-Seventh Congress, Second Session, on H.R. 11990, June 26, 1962
Debt Ceiling Increase : Hearing Before the Committee on Finance, United States Senate, Eighty-Sixth Congress, First Session, on H.R. 7749, June 25, 1959
Debt Ceiling Increase : Hearings Before the Committee on Finance, United States Senate, Eighty-Fifth Congress, Second Session, on H.R.9955, January 27, 28, February 4 and 7, 1958
Debt Ceiling Limit Issue : Hearing Before the Committee on Banking and Financial Services, House of Representatives, One Hundred Fourth Congress, Second Session, February 8, 1996
The Debt-Deflation Theory of Great Depressions
Debt Limit of the United States : Hearing Before the Committee on Ways and Means, House of Representatives,, Eighty-Fifth Congress, Second Session, on H. R. 9955 and H. R. 9956, January 17, 1958
Decasualization of Longshore Work in San Francisco : Methods and Results of the Control of Dispatching and hours Worked, 1935-37, Report No. L-2
Decision of the Reserve Bank Organization Committee Determining the Federal Reserve Districts and the Location of Federal Reserve Banks Under Federal Reserve Act Approved December 23, 1913
Decisions of Courts and Opinions Affecting Labor
Defense Production Act of 1950
Defense Production Act, Regulation W - Automotive : Hearings Before the Joint Committee on Defense Production, Congress of the United States, Eighty-First Congress, Second Session, December 6, 7, 8, and 11, 1950
Deficit Reduction Act of 2005 and Federal Deposit Insurance Reform Act of 2005
Demobilization of Manpower: 1918-19 : Bulletin of the United States Bureau of Labor Statistics, No. 784
Department of the Treasury : Documents Relating to the COVID-19 Pandemic
Department of the Treasury : Documents Relating to the Financial Crisis of 2007-2009
Deposit Insurance in Eight States During the Period 1908-1930
The Deposit Insurance Legislation of 1933 : An Examination of Its Antecedents and Its Purposes
Depository Institutions Deregulation and Monetary Control Act of 1980
Depository Institutions Deregulation and Monetary Control Act of 1980 : Conference Report (To Accompany H.R. 4986)
Deposit Velocity and Its Significance
Description of Federal Reserve Districts
Designation of William McChesney Martin, Jr. as Chairman of the Board of Governors of the Federal Reserve System
Despite Evolving Rules on Executive Compensation, SIGTARP Survey Provides Insights on Compliance, SIGTARP-09-003
The Detection and Deterrence of Mortgage Fraud Against Financial Institutions : A White Paper
Determination of the December 2007 Peak in Economic Activity
Determination of the February 2020 Peak in Economic Activity
Development of Federal Reserve Policy
The Development of Minimum-Wage Laws in the United States, 1912 to 1927 : Women's Bureau Bulletin, No. 61
Developments in Consumers' Co-ops in...
Diaries of Charles S. Hamlin
Differences in the Earnings of Women and Men : Women's Bureau Bulletin, No. 152
Digest of 50 Selected Pension Plans for Salaried Employees
Digest of Health and Insurance Plans
Digest of Nine Supplemental Unemployment Benefit Plans: Early 1963 : Bulletin of the United States Bureau of Labor Statistics, No. 1365
Digest of One-Hundred Selected Health and Insurance Plans Under Collective Bargaining, 1954 : Bulletin of the United States Bureau of Labor Statistics, No. 1180
Digest of One Hundred Selected Health and Insurance Plans Under Collective Bargaining, Early 1958 : Bulletin of the United States Bureau of Labor Statistics, No. 1236
Digest of One-Hundred Selected Pension Plans Under Collective Bargaining, Winter 1957-58 : Bulletin of the United States Bureau of Labor Statistics, No. 1232
Digest of Profit-Sharing, Savings and Stock Purchase Plans, Winter 1961-62 (20 Selected Plans) : Bulletin of the United States Bureau of Labor Statistics, No. 1325
Digest of State Banking Statutes
Digest of State Banking Statutes, Box 6, Item 1
Digital Enforcement : Effects of E-Verify on Unauthorized Immigrant Employment and Population : A Special Report of the Federal Reserve Bank of Dallas
Dimensions of Major Work Stoppages, 1947-59 : Bulletin of the United States Bureau of Labor Statistics, No. 1298
Direct Investment in the United States by Foreign Government-Owned Companies 1974-1981
Direct Loans for Industrial Purposes by Federal Reserve Banks : Conference Report (To Accompany S. 3487)
Directory of Consumers' Cooperatives in the United States
Directory of Data Sources on Racial and Ethnic Minorities : Bulletin of the United States Bureau of Labor Statistics, No. 1879
Directory of Homes for the Aged in the United States : Bulletin of the United States Bureau of Labor Statistics, No. 505
Directory of National Unions and Employee Associations
Direct Purchases of Government Securities by Federal Reserve Banks : Hearing Before the Committee on Banking and Currency, House of Representatives, Eightieth Congress, First Session, on H. R. 2233, March 3, 4, and 5, 1947
Direct Purchases of United States Obligations by Federal Reserve Banks : Hearings Before the Committee on Banking and Currency, House of Representatives, Eighty-Fourth Congress, Second Session, on H. R. 9285, February 27 and 29, 1956
Disciplinary Powers and Procedures in Union Constitutions : Bulletin of the United States Bureau of Labor Statistics, No. 1350
Discount and Discount Rate Mechanism : A Group of Special Studies
Discount and Discount Rate Mechanism : Report ... March 12, 1954
Discount and Discount Rate Mechanism : Statements of Associate Economists of the Federal Open Market Committee before the Conference of Presidents of the Federal Reserve Banks, June 21, 1954
The Discount System in Europe
Discussion on Professor Machlup's Paper [The Eurodollar System and Its Control, by Fritz Machlup, pp. 3-36]
Discussions of Industrial Accidents and Diseases: At the 1933 Meeting of the International Association of Industrial Accident Boards and Commissions, Chicago, Ill : Bulletin of the United States Bureau of Labor Statistics, No. 602
Discussions of Labor Laws and Their Administration: At the 1933 Convention of the Association of Governmental Officials in Industry of the United States and Canada. Chicago, Ill : Bulletin of the United States Bureau of Labor Statistics, No. 609
Dismissal Pay Provisions in Union Agreements, December 1944 : Bulletin of the United States Bureau of Labor Statistics, No. 808
Displaced Workers, 1979-83 : Bulletin of the United States Bureau of Labor Statistics, No. 2240
Displaced Workers, 1981-85 : Bulletin of the United States Bureau of Labor Statistics, No. 2289
Dissent Statements of Jeffrey M. Lacker
Distribution of Occupational Employment in States and Areas by Race and Sex, 1978 : Bulletin of the United States Bureau of Labor Statistics, No. 2053
District Highlights
District Notices (Federal Reserve Bank of Dallas)
Dividends and Interest Report
Dividends of the Freedman's Savings and Trust Company
Documents and Statements Pertaining to the Banking Emergency
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Dodd-Frank Wall Street Reform and Consumer Protection Act
The Dollar Rescue Operations and Their Domestic Implications : Hearings Before the Subcommittee on International Economics of the Joint Economic Committee, Congress of the United States, Ninety-Fifth Congress, Second Session, December 14 and 15, 1978
Domestic and Foreign Coins Manufactured by Mints of the United States, 1792-1965
Domestic Exchange and Rates of Collection by Bank U.S. and Its Branches : Documents submitted by Mr. Polk, from the Committee of Ways and Means
Domestic Workers and Their Employment Relations: A Study Based on the Records of the Domestic Efficiency Association of Baltimore, Maryland : Women's Bureau Bulletin, No. 39
Draft: Public Act, 73d Congress (H.R. 3757) An Act to Provide for Direct Loans by Federal Reserve Banks to State Banks and Trust Companies in Certain Cases, and for Other Purposes
Dressmaking as a Trade for Women in Massachusetts : Bulletin of the United States Bureau of Labor Statistics, No. 193
The Drought of 1934 : The Federal Government's Assistance to Agriculture
The Dual Banking System in the United States
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E.10 Finance Rates and Other Terms on Selected Types of Consumer Installment Credit Extended by Major Finance Companies
E.11 Geographical Distribution of Assets and Liabilities of Major Foreign Branches of U.S. Banks
E.12 Finance Rates on Selected Consumer Installment Loans at Reporting Commercial Banks
E.15 Agricultural Finance Databook
E.16 Country Exposure Lending Survey
E.17 Foreign Branches and Subsidiaries Lists of All U.S. Banking Organizations
E.2 Survey of Terms of Business Lending
E.3.1 Summary Report, Assets and Liabilities of Member Banks
E.3.4 Domestic Offices, Insured Commercial Bank Assets and Liabilities Consolidated Report of Condition
E.4 All Banks in the United States and Other Areas, Principal Assets and Liabilities by States
E.4 Automobile Credit
E.5 Choosing a Credit Card
E.7 List of Foreign Margin Stocks
E.8 Volume and Composition of Individuals' Saving
Earnings and Employment of Seamen on U.S. Flag Ships : Bulletin of the United States Bureau of Labor Statistics, No. 1238
Earnings and Hours in Book and Job Printing, January 1942 : Bulletin of the United States Bureau of Labor Statistics, No. 726
Earnings and Hours in Hawaii Woman-Employing Industries : Women's Bureau Bulletin, No. 177
Earnings and Hours in Men's Cotton-Garment Industries and in Plants Manufacturing Single Pants Other Than Cotton, 1939 and 1941 : Bulletin of the United States Bureau of Labor Statistics, No. 719
Earnings and Hours in Pacific Coast Fish Canneries : Women's Bureau Bulletin, No. 186
Earnings and Hours in Shoe and Allied Industries During First Quarter of 1939: Boots and Shoes, Cut Stock and Findings, Shoe Patterns : Bulletin of the United States Bureau of Labor Statistics, No. 670
Earnings and Hours in the Hat Industries, 1939 : Bulletin of the United States Bureau of Labor Statistics, No. 671
Earnings and Hours in the Leather and Leather Belting and Packing Industries, 1939 : Bulletin of the United States Bureau of Labor Statistics, No. 679
Earnings and Hours in the Paperboard Industry : Bulletin of the United States Bureau of Labor Statistics, No. 692
Earnings and Other Characteristics of Organized Workers, May 1980 : Bulletin of the United States Bureau of Labor Statistics, No. 2105
Earnings and Wage Practices in Municipal Governments of 15 Cities, 1944 : Bulletin of the United States Bureau of Labor Statistics, No. 848
The Earnings Gap between Women and Men (1976)
The Earnings Gap between Women and Men (1979)
Earnings in Aircraft-Parts Plants, November 1942 : Bulletin of the United States Bureau of Labor Statistics, No. 744
Earnings in Cotton-Goods Manufacture During the War Years : Bulletin of the United States Bureau of Labor Statistics, No. 798
Earnings in Eastern and Midwestern Airframe Plants, 1942 : Bulletin of the United States Bureau of Labor Statistics, No. 728
Earnings in Ship Construction Yards, Fall of 1942 : Bulletin of the United States Bureau of Labor Statistics, No. 752
Earnings in Southwestern Petroleum Industry, April 1943 : Bulletin of the United States Bureau of Labor Statistics, No. 762
Earnings in the Grain-Mill Products Industries, 1941 : Bulletin of the United States Bureau of Labor Statistics, No. 712
Earnings in the Manufacture of Industrial Machinery, 1942 : Bulletin of the United States Bureau of Labor Statistics, No. 720
Earnings in the Women's and Children's Apparel Industry in the Spring of 1939 : Women's Bureau Bulletin, No. 175
Earnings in Wholesale Trade, June 1958 : Distribution of Nonsupervisory Workers in Selected Wholesale Trade Industries by Straight-Time Hourly Earnings : Bulletin of the United States Bureau of Labor Statistics, No. 1253
Earnings of Bank Employees, Spring and Summer of 1943 : Bulletin of the United States Bureau of Labor Statistics, No. 774
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Economic Letter : Insights from the Federal Reserve Bank of Dallas
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Eight Years with Wilson's Cabinet, 1913 to 1920 : with a Personal Estimate of the President
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Employment Opportunities for Women in Legal Work : Women's Bureau Bulletin, No. 265
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The Employment Situation
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Visual analytics of dynamic higher order information
Visual analytics of dynamic higher order information
Wang, Ye(2017) Visual analytics of dynamic higher order information.PhD thesis, James Cook University.
Abstract
Nearest neighbour query and nearest region query providing higher-order information are the two most popular queries with spatio-temporal data. These types of higher-order information serve as the basis for "what-if" and "what-happen" scenarios. As our world turns into a more complex and uncertain environment with different emerging technologies, one of the challenging issues many decision-makers face is a data-rich, information-rich, but knowledge-poor situation. Multiple and dynamic datasets have been collected by various devices (sources). However, the time variant nature of these dynamic datasets will require different analytic tools and techniques to pre-process and analyse. Understanding and gaining insights into dynamic spatio-temporal data is of great importance in current ubiquitous environments, and visual analytics is a solid candidate to amplify user's ability to detect expected patterns and to discover unexpected patterns from this type of dynamic spatio-temporal data.
Previous "what-if" analysis research mainly focused on single (univariate) datasets only. Existing tools that work with univariate spatio-temporal data do not have the data structure and cannot effectively support trajectory datasets. Moreover, related visual analytics methods to deal with dynamic spatio-temporal data, especially for higher-order information, are very limited. These methods are usually non-interactive that cannot support data exploration for users. The visualisation techniques used in existing methods also mainly focused on quantitative information but not qualitative information. In terms of different types of information, previous studies mostly focused on geometrical information with very limited attention in topological and directional information. There is also a lack of measurements and data mining techniques for decision makers to compare similarity/dissimilarity of higher-order information of trajectories.
The overall aim of this thesis is to investigate the application of visual analytics tools to provide various higher-order information with multivariate datasets of moving objects to provide decision support for users. First, we will design a robust data structure that can effectively support multivariate Point of Interests targets and multivariate dynamic moving objects of higher-order information. Second, the data structure needs to support not only the most widely used qualitative/quantitative geometrical higher-order information, but topological and directional information. Third, we will design and develop various visual analytical tools that help users to gain insights into the higher-order nature of trajectory data. Fourth, the proposed tools will be evaluated against effectiveness and efficiency. Fifth, we will define several dissimilarity measures for geometrical/topological/directional higher-order information and related data mining algorithms that return top-k similar trajectories. Lastly, we will present case studies with real data to validate the developed data structure and visual analytics tools.
The outcomes achieved by this research provide a number of contributions to the greater body of knowledge in data analytics and spatial temporal data analysis. We propose a set of visual analytics tools for exploring and analysing multivariate Points of Interest targets and multivariate dynamic moving objects of higher-order information. The contributions of this research include a new vector-based unified data structure, which allows datasets between Points of Interest and trajectories to be modelled and quantified. Two ways of data preprocessing of trajectory can be addressed when data is too dense or too sparse. In addition, there are five different types of visual analytics tools and three types of new measurement metrics for describing and comparing the similarity of higher-order information. These include the visual analytical tools, namely, higher-order parallel coordinates, higher-order spider, higher-order radar, higher-order treemaps, and higher-order DNA. For the measurement metrics, this research introduces three metrics, namely directional dissimilarity measurement, parallel coordinate multivariate measurement, and higher-order DNA impact factor. These visual tools and measurement metrics address the limitation of existing analytical tools to provide interactive tools for users to explore both qualitative and quantitative multivariate higher-order information with integration of all three different types of higher-order information. A real-world emergency management case study will demonstrate the usefulness and applicability of these new visual analytics tools.
Item ID: 51660 Item Type: Thesis
(PhD) Keywords: emergency management, higher order information, higher order Voronoi diagrams, spatio-temporal data, spatio-temporal trajectory, trajectory data mining, trajectory datasets, Treemap, visual analytics, Voronoi diagram Related URLs: https://researchonline.jcu.edu.au/31410/ Additional Information:Publications arising from this thesis are available from the Related URLs field. The publications are:Wang, Ye, and Lee, Ickjai (2013) Visual analytics of higher order information for trajectory datasets. International Journal of Environmental, Earth Science and Engineering, 7 (12). pp. 966-971. Date Deposited: 18 Dec 2017 23:58 FoR Codes: 08 INFORMATION AND COMPUTING SCIENCES > 0801 Artificial Intelligence and Image Processing > 080109 Pattern Recognition and Data Mining @ 100% SEO Codes: 89 INFORMATION AND COMMUNICATION SERVICES > 8902 Computer Software and Services > 890299 Computer Software and Services not elsewhere classified @ 100% Downloads: Total: 79 Last 12 Months: 6 More Statistics
| https://eprints.jcu.edu.au/51660/ |
(PDF) Vaccine Hesitancy : Clarifying a Theoretical Framework for an Ambiguous Notion
PDF | Today, according to many public health experts, public confidence in vaccines is waning. The term " vaccine hesitancy" (VH) is increasingly used to... | Find, read and cite all the research you need on ResearchGate
February 2015 PLoS Currents
DOI: 10.1371/currents.outbreaks.6844c80ff9f5b273f34c91f71b7fc289.Abstract
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Patrick Peretti-Watel
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Jeremy Ward
French Institute of Health and Medical Research
William S Schulz
London School of Hygiene and Tropical Medicine
Pierre Verger
Pierre Verger
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Today, according to many public health experts, public confidence in vaccines is waning. The term "vaccine hesitancy" (VH) is increasingly used to describe the spread of such vaccine reluctance. But VH is an ambiguous notion and its theoretical background appears uncertain. To clarify this concept, we first review the current definitions of VH in the public health literature and examine its most prominent characteristics. VH has been defined as a set of beliefs, attitudes, or behaviours, or some combination of them, shared by a large and heterogeneous portion of the population and including people who exhibit reluctant conformism (they may either decline a vaccine, delay it or accept it despite their doubts) and vaccine-specific behaviours. Secondly, we underline some of the ambiguities of this notion and argue that it is more a catchall category than a real concept. We also call into question the usefulness of understanding VH as an intermediate position along a continuum ranging from anti-vaccine to pro-vaccine attitudes, and we discuss its qualification as a belief, attitude or behaviour. Thirdly, we propose a theoretical framework, based on previous literature and taking into account some major structural features of contemporary societies, that considers VH as a kind of decision-making process that depends on people's level of commitment to healthism/risk culture and on their level of confidence in the health authorities and mainstream medicine.
VH along two axes Commitment to risk culture / healthism (horizontal axis) and distrust/trust toward health authorities (vertical axis).
…
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Vaccine Hesitancy: Clarifying a Theoretical
Framework for an Ambiguous Notion
February 25, 2015
· Commentary
Patrick Peretti-Watel 1 ,
Jeremy K. Ward 2 , William S Schulz 3 , Pierre Verger 4 , Heidi J Larson 5
1 INSERM, UMR912 (SESSTIM), 13006, Marseille, France; Aix Marseille University, UMR_S912, IRD, 13006, Marseille,
France; ORS PACA, Southeastern Health Regional Observatory, 13006, Marseille, France, 2
INSERM, UMR912 (SESSTIM),
13006, Marseille, France; Université Paris Diderot, UMR8236 (LIED), 75013 Paris, 3
Department of Infectious Disease
Epidemiology, London School of Hygiene & Tropical Medicine, London, UK, 4
INSERM, UMR912 (SESSTIM), 13006,
Marseille, France; Aix Marseille University, UMR_S912, IRD, 13006, Marseille, France; ORS PACA, Southeastern Health
Regional Observatory, 13006, Marseille, France; Inserm, F-Crin, Innovative Clinical Research Network on Vaccination (I-
Reivac), 5
Department of Infectious Disease Epidemiology, London School of Hygiene and Tropical Medicine, London, UK
Peretti-Watel P, Ward JK, Schulz WS, Verger P, Larson HJ. Vaccine Hesitancy: Clarifying a Theoretical Framework
for an Ambiguous Notion. PLOS Currents Outbreaks. 2015 Feb 25. Edition 1. doi:
10.1371/currents.outbreaks.6844c80ff9f5b273f34c91f71b7fc289.
Abstract
Today, according to many public health experts, public confidence in vaccines is waning. The term “vaccine
hesitancy” (VH) is increasingly used to describe the spread of such vaccine reluctance. But VH is an ambiguous
notion and its theoretical background appears uncertain. To clarify this concept, we first review the current
definitions of VH in the public health literature and examine its most prominent characteristics. VH has been
defined as a set of beliefs, attitudes, or behaviours, or some combination of them, shared by a large and
heterogeneous portion of the population and including people who exhibit reluctant conformism (they may
either decline a vaccine, delay it or accept it despite their doubts) and vaccine-specific behaviours. Secondly,
we underline some of the ambiguities of this notion and argue that it is more a catchall category than a real
concept. We also call into question the usefulness of understanding VH as an intermediate position along a
continuum ranging from anti-vaccine to pro-vaccine attitudes, and we discuss its qualification as a belief,
attitude or behaviour. Thirdly, we propose a theoretical framework, based on previous literature and taking into
account some major structural features of contemporary societies, that considers VH as a kind of decision-
making process that depends on people’s level of commitment to healthism/risk culture and on their level of
confidence in the health authorities and mainstream medicine.
Funding Statement
Funding: Agence Nationale de Sécurité du Médicament et des Produits de Santé (ANSM) in the frame of the call
for research projects in 2013 (grant 2013S064).
Related Articles
The article is part of the PLOS Currents Outbreaks “ Vaccine Hesitancy Collection “.
Vaccine Hesitancy: Clarifying a Theoretical
Framework for an Ambiguous Notion
February 25, 2015
· Commentary
Patrick Peretti-Watel 1 ,
Jeremy K. Ward 2 , William S Schulz 3 , Pierre Verger 4 , Heidi J Larson 5
1 INSERM, UMR912 (SESSTIM), 13006, Marseille, France; Aix Marseille University, UMR_S912, IRD, 13006, Marseille,
France; ORS PACA, Southeastern Health Regional Observatory, 13006, Marseille, France, 2
INSERM, UMR912 (SESSTIM),
13006, Marseille, France; Université Paris Diderot, UMR8236 (LIED), 75013 Paris, 3
Department of Infectious Disease
Epidemiology, London School of Hygiene & Tropical Medicine, London, UK, 4
INSERM, UMR912 (SESSTIM), 13006,
Marseille, France; Aix Marseille University, UMR_S912, IRD, 13006, Marseille, France; ORS PACA, Southeastern Health
Regional Observatory, 13006, Marseille, France; Inserm, F-Crin, Innovative Clinical Research Network on Vaccination (I-
Reivac), 5
Department of Infectious Disease Epidemiology, London School of Hygiene and Tropical Medicine, London, UK
Peretti-Watel P, Ward JK, Schulz WS, Verger P, Larson HJ. Vaccine Hesitancy: Clarifying a Theoretical Framework
for an Ambiguous Notion. PLOS Currents Outbreaks. 2015 Feb 25. Edition 1. doi:
10.1371/currents.outbreaks.6844c80ff9f5b273f34c91f71b7fc289.
Abstract
Today, according to many public health experts, public confidence in vaccines is waning. The term “vaccine
hesitancy” (VH) is increasingly used to describe the spread of such vaccine reluctance. But VH is an ambiguous
notion and its theoretical background appears uncertain. To clarify this concept, we first review the current
definitions of VH in the public health literature and examine its most prominent characteristics. VH has been
defined as a set of beliefs, attitudes, or behaviours, or some combination of them, shared by a large and
heterogeneous portion of the population and including people who exhibit reluctant conformism (they may
either decline a vaccine, delay it or accept it despite their doubts) and vaccine-specific behaviours. Secondly,
we underline some of the ambiguities of this notion and argue that it is more a catchall category than a real
concept. We also call into question the usefulness of understanding VH as an intermediate position along a
continuum ranging from anti-vaccine to pro-vaccine attitudes, and we discuss its qualification as a belief,
attitude or behaviour. Thirdly, we propose a theoretical framework, based on previous literature and taking into
account some major structural features of contemporary societies, that considers VH as a kind of decision-
making process that depends on people’s level of commitment to healthism/risk culture and on their level of
confidence in the health authorities and mainstream medicine.
Funding Statement
Funding: Agence Nationale de Sécurité du Médicament et des Produits de Santé (ANSM) in the frame of the call
for research projects in 2013 (grant 2013S064).
Related Articles
The article is part of the PLOS Currents Outbreaks “ Vaccine Hesitancy Collection “.
Vaccine Hesitancy: Clarifying a Theoretical
Framework for an Ambiguous Notion
February 25, 2015
· Commentary
Patrick Peretti-Watel 1 ,
Jeremy K. Ward 2 , William S Schulz 3 , Pierre Verger 4 , Heidi J Larson 5
1 INSERM, UMR912 (SESSTIM), 13006, Marseille, France; Aix Marseille University, UMR_S912, IRD, 13006, Marseille,
France; ORS PACA, Southeastern Health Regional Observatory, 13006, Marseille, France, 2
INSERM, UMR912 (SESSTIM),
13006, Marseille, France; Université Paris Diderot, UMR8236 (LIED), 75013 Paris, 3
Department of Infectious Disease
Epidemiology, London School of Hygiene & Tropical Medicine, London, UK, 4
INSERM, UMR912 (SESSTIM), 13006,
Marseille, France; Aix Marseille University, UMR_S912, IRD, 13006, Marseille, France; ORS PACA, Southeastern Health
Regional Observatory, 13006, Marseille, France; Inserm, F-Crin, Innovative Clinical Research Network on Vaccination (I-
Reivac), 5
Department of Infectious Disease Epidemiology, London School of Hygiene and Tropical Medicine, London, UK
Peretti-Watel P, Ward JK, Schulz WS, Verger P, Larson HJ. Vaccine Hesitancy: Clarifying a Theoretical Framework
for an Ambiguous Notion. PLOS Currents Outbreaks. 2015 Feb 25. Edition 1. doi:
10.1371/currents.outbreaks.6844c80ff9f5b273f34c91f71b7fc289.
Abstract
Today, according to many public health experts, public confidence in vaccines is waning. The term “vaccine
hesitancy” (VH) is increasingly used to describe the spread of such vaccine reluctance. But VH is an ambiguous
notion and its theoretical background appears uncertain. To clarify this concept, we first review the current
definitions of VH in the public health literature and examine its most prominent characteristics. VH has been
defined as a set of beliefs, attitudes, or behaviours, or some combination of them, shared by a large and
heterogeneous portion of the population and including people who exhibit reluctant conformism (they may
either decline a vaccine, delay it or accept it despite their doubts) and vaccine-specific behaviours. Secondly,
we underline some of the ambiguities of this notion and argue that it is more a catchall category than a real
concept. We also call into question the usefulness of understanding VH as an intermediate position along a
continuum ranging from anti-vaccine to pro-vaccine attitudes, and we discuss its qualification as a belief,
attitude or behaviour. Thirdly, we propose a theoretical framework, based on previous literature and taking into
account some major structural features of contemporary societies, that considers VH as a kind of decision-
making process that depends on people’s level of commitment to healthism/risk culture and on their level of
confidence in the health authorities and mainstream medicine.
Funding Statement
Funding: Agence Nationale de Sécurité du Médicament et des Produits de Santé (ANSM) in the frame of the call
for research projects in 2013 (grant 2013S064).
Related Articles
The article is part of the PLOS Currents Outbreaks “ Vaccine Hesitancy Collection “.
1
PLOS Currents Outbreaks | https://www.researchgate.net/publication/272795521_Vaccine_Hesitancy_Clarifying_a_Theoretical_Framework_for_an_Ambiguous_Notion |
(PDF) Stepping up to genome scan allows stock differentiation in the worldwide distributed blue shark Prionace glauca
PDF | The blue shark Prionace glauca is a top predator with one of the widest geographic distributions of any shark species. It is classified as... | Find, read and cite all the research you need on ResearchGate
Article
PDF Available
Stepping up to genome scan allows stock differentiation in the worldwide distributed blue shark Prionace glauca
December 2022
Molecular Ecology32(5):1000-1019
DOI: 10.1111/mec.16822
License
CC BY-NC-ND 4.0
Authors:
<here is a image 2afc62199fab3e46-a556b0c3f7795b69>
Natacha Nikolic
French National Institute for Agriculture, Food, and Environment (INRAE)
<here is a image 823ca1a4b7ac3792-976f32f99114080c>
Floriaan Devloo-Delva
CSIRO National Collections & Marine Infrastructure
<here is a image f2f62089ad6ff61c-d19572ff1996375a>
Diane Bailleul
Diane Bailleul
<here is a image cb9c1bc5a9586d29-9e7ac801735e4aa1>
Ekaterina Noskova
ITMO University
Abstract
The blue shark Prionace glauca is a top predator with one of the widest geographic distributions of any shark species. It is classified as Critically Endangered in the Mediterranean Sea, and Near Threatened globally. Previous genetic studies did not reject the null hypothesis of a single global population. The blue shark was proposed as a possible archetype of the ‘grey zone of population differentiation’, coined to designate cases where population structure may be too recent or too faint to be detected using a limited set of markers. Here, blue shark samples collected throughout its global range were sequenced using a specific RAD method (DArTseq), which recovered 37,655 genome‐wide single nucleotide polymorphisms (SNPs). Two main groups emerged, with Mediterranean Sea and northern Atlantic samples (Northern population) significantly differentiated from the Indo‐west Pacific samples (Southern population). Significant pairwise FST values indicated further genetic differentiation within the Atlantic Ocean, and between the Atlantic Ocean and the Mediterranean Sea. Reconstruction of recent demographic history suggested divergence between Northern and Southern populations occurred about 500 generations ago and revealed a drastic reduction in effective population size from a large ancestral population. Our results illustrate the power of genome scans to detect population structure and reconstruct demographic history in highly migratory marine species. Given that the management plans of the blue shark (targeted or bycatch) fisheries currently assume panmictic regional stocks, we strongly recommend that the results presented here be considered in future stock assessments and conservation strategy.
<here is a image 175d1bd4b7439d95-754927124da715c1>
Content uploaded by Sebastián Biton Porsmoguer
1000
|
Molecular Ecology.2023;32:1000–1019.wileyonlinelibrary.com/journal/mec
Received: 28 June 2022
|
Revised: 29 November 2022
|
Accepted: 1 December 2022
DOI: 10.1111/mec.16822
ORIGINAL ARTICLE
Stepping up to genome scan allows stock differentiation in the
worldwide distributed blue shark Prionace glauca
Natacha Nikolic 1,2,3 | Floriaan Devloo-Delva 4,5 |Diane Bailleul 1 |
Ekaterina Noskova 6 |Clément Rougeux 7 |Chrystelle Delord 1 | Philippe Borsa 8 |
CathyLiautard- Haag 1 | Mohamad Hassan 1,9 | Amandine D. Marie 3 | Pierre Feutry 4 |
Peter Grewe 4 | Campbell Davies 4 |Jessica Farley 4 | Daniel Fernando 10 |
SebastianBiton- Porsmoguer 11 | François Poisson 1 | Denham Parker 12,13 |
Agostino Leone 1 |Jorden Aulich 4 | Matt Lansdell 4 | Francis Marsac 1 |
SophieArnaud- Haond 1
1 UMR MARBEC, University of Montpellier, IRD, Ifremer, CNRS, Sète, France
2 INRAE, Ecobiop, AQUA, Saint-Pée-sur-Nivelle, France
3 ARBRE, Agence de Recherche pour la Biodiversité à la Réunion, Saint-Gilles, France
4 CSIRO Environment, Hobart, Tasmania, Australia
5 School of Natural Sciences—Quantitative Marine Science, University of Tasmania, Hobart, Tasmania, Australia
6 Computer Technologies Laboratory, ITMO University, St Petersburg, Russia
7 University of Calgary, Calgary, Canada
8 Institut de recherche pour le développement, UMR ENTROPIE, Montpellier, France
9 Animal Production Department, Tishreen University, Latakia, Syria
10 Blue Resources Trust, Colombo, Sri Lanka
11 French Biodiversity Agency (OFB), Channel and North Sea Delegation, Le Havre, France
12 Department of Forestry, Fisheries and the Environment, (DFFE), Cape Town, South Africa
13 Department of Biological Sciences, University of Cape Town, Rondebosch, South Africa
Correspondence
Natacha Nikolic, UMR MARBEC, Univ.
Montpellier, IRD, Ifremer, CNRS, Sète,
France / INRAE, AQUA, ECOBIOP,
Saint-Pée-sur-Nivelle, France.
Emails: natachanikolic@hotmail.com ;
natacha.nikolic@inrae.fr
Funding information
FEAMP -Mesure 28, Grant/Award
Number: 21/DMSOI/2020
Handling Editor: J A H Benzie
Abstract
Theblueshark Prionace glaucaisatoppredator withoneofthe widestgeographi-
caldistributionsofanysharkspecies.ItisclassifiedasCriticallyEndangeredinthe
MediterraneanSea,andNearThreatenedglobally. Previousgeneticstudiesdidnot
rejectthe nullhypothesis of a single global population. The blueshark was proposed
asapossiblearchetypeofthe“greyzone ofpopulationdifferentiation,”coinedto
designatecaseswhere populationstructuremay betoo recent or too faintto bede-
tectedusingalimitedsetof markers.Here,bluesharksamplescollectedthrough-
outitsglobalrangeweresequenced usinga specificRADmethod (DArTseq), which
recovered37,655 genome-widesinglenucleotidepolymorphisms(SNPs).Two main
groupsemerged,withMediterraneanSeaandnorthernAtlanticsamples(Northern
This is an open access article under the terms of the Creative Commons Attribution-NonCommercial-NoDerivsLicense, which permits use and distribution in
any medium, provided the original work is properly cited, the use is non-commercial and no modifications or adaptations are made.
© 2022 The Authors. Molecular Ecologypublished by John Wiley & Sons Ltd.
Natacha Nikolic and Floriaan Devloo-Delva contributed equally.
1365294x, 2023, 5, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/mec.16822 by Office Français De La Biodiversité, Wiley Online Library on [20/02/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License
NIKOLIC et al .
1 | INTRODUCTION
The blue shark Prionace glauca is distributed worldwideand consid -
eredthemostabundantpelagicshark(Compagno, 1984;Nakano
& Seki, 2003).Occurringinall oceans,its habitatextendsfromthe
surface to >1100 m depth except in polar regions (i.e., from 60° N to
50° S) of the world oceans (Queiroz et al., 2012 ). Like other toppred-
ators (Estes et al., 2011; Hughes et al., 2013 ),the blue shark contrib-
utesto thetop-downregulationofmarinecommunities,andthus
tothestabilityandpersistenceofthepelagicmarineecosystems
across its vast distribution (e.g., Hernández-Aguilar et al., 2015 ).
The blueshark isthemost frequentlyfished sharkspecies world -
wide (Baum &Blanchard, 2010 ; Biton-Porsmoguer, 2018; Campana
etal., 2006) alongwithshortfinmakoandpelagicthreshersharks
(Megalofonou,Yannopoulos,etal., 2005 ).Althoughoccasion-
allytargetedforitsmeaton thewesterncoastofBajaCalifornia
Sur(Galván-Magañaetal., 2019 )andbyrecreationalfisheries
(Campana etal., 2006 ;Mejuto &Garcia-Cortés, 2005;Panayiotou
et al., 2020), the blue shark is mostly a bycatch of tuna and swordfish
longlinefisheries(Biton-Porsmoguer, 2017 ;Biton-Porsmoguer&
Lloret, 2018 ; Carvalho et al., 2015; Coelho et al., 2017). The bycatch
mortalityrate on pelagic longline fishingoperations can behigh, up
to 35%,withanadditionalpost-release mortalityat 19%(Campana
et al., 2009). The blue shark isalso the main species involved in the
shark fin trade (Clarke et al., 2006 ), inwhich thefins areretained and
thebodyismostoften discardedbecauseofitslowercommercial
value.Despitenotbeing particularly targeted foritsmeat,withan
estimate of 10–20 million individuals caught annually (Megalofonou
etal. 2005b;Stevens, 2009), theblueshark hasbeen evaluatedas
Near Threatened worldwide(Rigbyetal., 2019; Stevens, 2009) and
Critically Endangered in the Mediterranean Sea (Sims et al., 2016 ).
Evidenceofa90%declineinbluesharkabundancehas
beenreportedintheMediterraneanSea(Ferrettietal., 2008 ).
Populationdeclineshave alsobeenreportedin boththeAtlantic
(Aires-da-Silvaetal., 2008 , 2009;Baum&Blanchard, 2010 ;
Simpfendorferetal., 2002)andthePacific(Clarkeetal., 2013 )
oceans,butsomeotherstudiesinthesameareasindicatethat
thecatchperunitofeffortmightbestable,orevenslightlyin -
creasing(ISC,InternationalScientificCommitteeforTunaand
Tuna-like Speciesin thenorthPacificOcean, 2018;Matsunaga&
Nakano, 1999 ; Nakano& Clarke, 2005; Nakano& Stevens, 2008 ).
These inconsistencies point to a poor understanding ofthe biology
andecologyofthebluesharkandtothedifficultiesinestimat -
ingitsabundance.Intergovernmentalbodieshaveacknowledged
theneedtofillimportantecologicalandbiologicaldatagapsto
improvestockassessmentsintheblueshark,whichinturncan
beusedto provideadviceonfisheriesmanagement(IOTC, 2017 ;
ISC, 2018).The InternationalCommission for the Conservationof
AtlanticTunas(ICCAT)acknowledgedthesteadyincreaseofblue
sharkcatchesin recentyearsand the largelevelofuncertainty in
thedatainputsandmodelassumptionsaboutthestockandthe
fishery.In2019, theICCATadoptedrecommendationsto further
limitbluesharkcatchesandencouragedfurtherresearchto pro -
videessentialknowledgeneeded foritslong-termmanagement,
including life-history parameters andmigrations (ICCAT, 2019 ).
Giventheblueshark'shighlymigratorybehaviourandits
widedistribution(Stevens, 1990),fisheriesmanagersrely onthe
assumptionthatstocksinthenorthernandsouthernAtlantic
(ICCAT, 2015 ),inthenorthernandsouthernPacific(ISC, 2018 ),
andintheIndian(IOTC, 2017)oceansareregionallyhomoge -
neous.Electronictagshaveconfirmedthatbluesharksswim
overlargedistances,evencrossingfromoneoceantoanother
(daSilvaetal., 2010;Kohleretal., 2002;Maxwelletal., 2019 ;
Queirozet al., 2012 ;Vandeperre etal., 2014 ).However,nonover -
lappingreproductivecycleshavebeenreportedin theNorthern
andSouthernHemispheres(Nakano&Seki, 2003 ;Nakano&
Stevens, 2008 ) andtransequatorialmigration is assumed to be lim -
ited (Kohler and Kohler & Turner, 2008 ).
population)differentiated significantly from the Indo-west Pacific samples(Southern
population). Significantpairwise F ST valuesindicatedfurthergeneticdifferentiation
withintheAtlanticOcean,andbetweentheAtlanticOceanandtheMediterranean
Sea.Reconstructionof recentdemographichistorysuggesteddivergencebetween
NorthernandSouthernpopulationsoccurredabout500generationsagoandre-
vealed adrastic reductionin effective populationsize froma large ancestralpopula-
tion. Our results illustrate the power of genome scans to detect population structure
andreconstructdemographichistoryin highlymigratorymarinespecies.Giventhat
the managementplansof the blue shark (targetedor bycatch) fisheriescurrently as-
sumepanmicticregionalstocks, westronglyrecommendthattheresultspresented
here be considered in future stock assessments and conservation strategies.
KEYWORDS
blue shark, bycatch, genome scans, pelagic, population genetics, SNPs, stock differentiation
and assessment
1365294x, 2023, 5, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/mec.16822 by Office Français De La Biodiversité, Wiley Online Library on [20/02/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License
1002
|
NIKOLIC et al .
BasedonmitochondrialDNAor/andmicrosatellitemarkers,
noconsistentpatternofgeneticdifferentiationhasbeende -
tected,evenbetweentheNorthernandSouthernHemispheres
(Bitencourtetal., 2019;Kingetal., 2015;Lietal., 2017 ; Taguchi
etal., 2015;Verissimoetal., 2017).Onlyweakdifferentiationof
theMediterraneanSeapopulation(Bailleuletal., 2018 ;Leone
etal., 2017),andamongthesoutheasternPacificandWestern
Australian sampling locations(Taguchiet al., 2015 ) was detected.
Traditionalgeneticapproachesonlydetectextremerestriction
togeneflow,farbelowthe thresholdofdemographicindepen -
dence(Waples, 1998 ;Waples& Gaggiotti, 2006 ),andintegrate
migrationoveranoftenlargenumber ofgenerationsthat ispro -
portionalto effective population size(Hedgecocket al., 2007 ). In
marinespecies,effectivepopulationsize canbeextremelylarge,
a situationthatprobablyapplies totheblue shark considering its
widedistribution andrelativelyhighabundance.Infact,theblue
sharkhasbeenusedas acasespeciesto illustratetheconcept of
“populationgreyzone” (Bailleulet al., 2018),whichrefers tothe
often-inconclusiveresultsofpopulationgeneticdifferentiation
studies.The“populationgreyzone”effectdescribesthepoten -
tiallyverylongtime-lag(hundredsto thousandsof generations)
between thedemographicsplitof apopulation into twoindepen -
dent demographic entities and its translation into a geneticsignal
strongenough tobedetectedbya handfulof molecularmarkers
(Bailleuletal., 2018).Genomescanmethodssuchasrestriction
site-associated DNA sequencing (RADseq; Davey & Blaxter, 2010 )
orDiversityArraysTechnologysequencing(DArTseq;DArTPty
Ltd: Georges et al., 2018 ) provide a much denser array of markers,
typicallythousandsofsinglenucleotidepolymorphisms(SNPs)
alongthe genome,increasing thepowerto detect subtlelevels of
geneticdifferentiation(Fosteretal., 2021). Therecentuseof ge -
nome scans to detect genetic structure in large pelagic species in -
cludingyellowfintuna (Grewe et al., 2015;Mullins& Shaw, 2018 ;
Pecoraroetal., 2018),stripedmarlin(Mamoozadehetal., 2020 ),
spotteddolphin(Leslie&Morin, 2016 )andAtlanticmackerel
(Rodríguez-Ezpeletaetal., 2016 )provided amuchhigher resolu -
tionthantraditionalgeneticmarkersand revealedgeneticstruc -
turewhereno oronlyweak,sometimesincongruent,patternsof
differentiation had initially been detected.
Here,we used the DArTseq sequencingapproach onblueshark
samplescollectedfrom theAtlantic,PacificandIndianOceans,as
well asfromthe Western Mediterranean Sea, totest thenullhypoth -
esis of large-scale panmixia.Preliminary results on basic population
differentiation have been presented previously (Nikolic et al. 2020a).
In thispaperwe provide a more comprehensive analysis of the blue
sharkpopulationgeneticstructureaswellasinferits demographic
history forthefirst time.We takeadvantageof thepoweroffered
by genomescananalysisto delineatepotential managementunits,
andtoinvestigatethedemographichistoryup tothemostrecent
decades, whichwere marked by increasingfishing pressure onblue
sharkpopulationsworldwide(IOTC, 2017;Nakano&Seki, 2003 ;
Porcher & Darvell, 2022 ).
2 | MATERIALSANDMETHODS
2.1 | Sampling
Atotalof 376individualbluesharksweresampledby scientists
(90%)andfishermen(10%) between2009and2018,and364in -
dividuals weresuccessfullygenotyped(29individualssampledin
2009,eightin 2010,four in2011, 24in2012, 56in 2013,39 in
2014, 81in 2015,threein2017and120in2018)acrossseveral
geographicalregionsthroughoutthe speciesrange ( Figure 1 ).All
werecaughtbylonglineasbycatch,except the samples fromthe
easternIndianOceanwhereindividualswerecaughtbypurse
seine. Only deadindividuals were sampled.Individual length(cm)
andphenotypicsex(basedonthepresenceorabsenceofclasp -
ers),geographicallocation(latitudeandlongitude)anddetailson
operatingvesselwererecorded—exceptfor 93individualsmiss -
ing lengthdataand149 individualswhosesexwasnot identified.
Wheneverapplicable,curvedforklength,precaudallengthand
interdorsal (space on the dorsalsurfacebetweenthefirst and sec -
onddorsalfins)were convertedtofork length(FL)based onthe
equations ofCrameret al. ( 1997). Asmall piece of fin, skin or mus -
cle was preserved in96% ethanol atall sampling locationsexcept
theeastern Indian Oceansamples,tissues ofwhichweredried in
silicagel,andReunion Islandsamples,tissues ofwhichwerepre -
served in RNAlater solution (Qiagen).
2.2 | DArT library preparation and sequencing
Genomic DNA wasextracted from 15 mg ofmuscle tissue subsam-
pledfromindividualbiopsiesonanEppendorfEPMotion5057
liquidrobotic handlerusingamodificationoftheQIAamp 96DNA
QIAcube HT Kit (Qiagen). This extraction included a lysis step in the
presence ofproteinase Kfollowed bybind-wash-elute Qiagen pro-
cessing.Low-quality or degradedsamples wereextractedusingthe
modified CTAB method of Grewe et al. ( 1993 ).
GenomicDNAwasprocessedforthe construction ofa reduced
representationlibrary,sequencedandgenotypedbyusingthe
DArTseqtechnique. DNAsamplelibraries werecreatedthrough
digestionandligation reactionsusingtwo methylation-sensitive
restrictionenzymes, Pst Iand SphI. The Pst Isitewascompatible
with aforward adapterthat includeda flow cell(Illumina) attach -
ment sequenceand asequencing primersequenceincorporating
a staggered, barcode region ofvarying length.The Sph I digestion
generated acompatibleoverhangsequencethatwasligated toa
reverseadaptercontaininga flowcellattachmentregionanda
reverse-priming sequence.Onlymixed Pst I– Sph I restrictionfrag -
mentswereamplifiedbyPCR(polymerasechainreaction).PCR
conditionsconsistedofaninitialdenaturationat94°Cfor1 min
followedby 30 cycles of 94°Cfor 20 s,58°C for 30 s and 72°Cfor
45 s, with a final extension step at 72°C for 7 min. After PCR, equi -
molar amounts of amplification products from each sample of the
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|
1003
NIKOLIC et al .
96-well microtitre plate were bulked and subjected to cBot bridge
PCR (Illumina),followedby sequencing onan IlluminaHiseq2000
automatedsequencingsystem.The sequencing(single-end)was
runfor77 cycles.TheDNAfragmentsselectedbythisprocess
were ~ 75bplong.Furtherdetailsonthissequencingmethod
canbefoundinSansalonietal.( 2011),Kilianet al.( 2012 )and
Georges et al.( 2018 ).
2.2.1|SNP genotyping process
For initial assessmentof read quality and sequence representation,
rawreads(rawdata, Figure 2 ) wereprocessedusingthe Illumina
ConsensusAssessmentofSequenceAndVAriation(CASAVA) ver -
sion1.8.2software. Genotypesweregeneratedfromsequencing
runscompletedatDArTusingaproprietaryDArTseqanalytical
pipeline(DArT-Soft14version).TheDArTtoolboxwasthenused
tofilteraway poor-qualitysequences,applymorestringentselec -
tion criteria to the barcode region and generate the final genotypes
(Kilianetal., 2012),herecalledone-rowdata ( Figure 2).Detailsof
the bioinformatic stepsleading toSNP genotyping can be found in
Georges et al. ( 2018 ).
2.2.2|SNP filtering
Multiple stepswereperformedinthedata analysis, eachusingthe
appropriatesoftware.DetailsofthescriptsforSNPfilteringand
dataanalysesarepresentedinanRMarkdownreport( https://
cloud.r-project.org/package = rmarkdown ;Allaireetal., 2020 )as
Appendix S1 . Here, we provide an overview of the process followed
forSNPfiltering, on individual samplesgroupedpergeographical re -
gion (Filtration 1) or per sampling site (Filtration 2).
First, metadata with all informationontheindividualsincluding
sampling location,sex and length, and one-row data withboth SNP
and referencealleleswherea zero(0) score denotes ahomozygote,
one (1)a homozygote, and two (2) aheterozygote,weremerged to
buildthedatasetcalledDATA 1 ( Figure 2).Then,SNPs from DATA
1 werefilteredforlow reproducibilitybased ontechnicalreplicate
libraries,monomorphismacrossallindividuals,lowminorallele
count,lowcoverageperlocus,highmissingdataperSNP,short-
linkagedisequilibrium bykeepingoneSNPperlocus,andSNPsout
ofHardy–Weinbergequilibrium(HWE)usingthe radiatorpackage
version1.2.0(Gosselin, 2018;Gosselinetal., 2020)inRversion
4.1.0 (R Development Core Team 2020) (see details in Appendix S1).
Individuals were filtered based on high missing data, high heterozy -
gosity and duplicate individuals. At this stage, the data set was called
DATA 2 ( Figure 2 ).
Sex-linked marker identification
Theunfiltereddata(DATA 1)weretestedforthepresenceofsex-
linked markersusing the sexy_markersfunction inthe radiator pack-
age(Gosselinet al., 2020).To eliminateerroneousdetections,the
DATA1datasetwasfilteredfor highindividualmissingdataand
heterozygosity, as well as monomorphic markers and short-distance
linkageofSNPs.Subsequently,weidentifiedmarkersontheYor
FIGURE1 Location of blue shark, Prionace glauca, sample sites across several geographical regions (364 genotyped individuals). Circle
area is proportional to the number of individuals. Black and white colours indicate sex as identified from genetic markers and biological
identification. Geographical regions are Mediterranean (MED: MED1, n =34 individuals; and MED2, n =20), northern Atlantic (NATL,
n = 49), northeastern Atlantic (NEATL,n = 26), South Africa (SAF: SAF1,n = 21; and SAF2n = 89), eastern Indian Ocean (EIO,n = 8),
northern Indian Ocean (NIO, n =27), western Indian Ocean (WIO, n =29), southwestern Pacific (SWPAC: SWPAC1, n =30; SWPAC2,
n = 16; and SWPAC3,n = 11) and northeastern Pacific (NPAC,n = 4). Shaded: Species distribution area, from Compagno ( 1984 ) and the
IUCN red list ( https://www.iucnredlist.org/species/39381/2915850 ; accessed June 22, 2022).
1365294x, 2023, 5, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/mec.16822 by Office Français De La Biodiversité, Wiley Online Library on [20/02/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License
1004
|
NIKOLIC et al .
Wchromosomesby theirpresenceinone sex,butabsenceinthe
other. Similarly,X-orZ-linkedmarkers were detectedbased onthe
heterozygosityand coveragepatterns betweensexes.All identified
sex-linked markerswere eliminated from the DATA 2 data set to ob -
tain amodified data set (DATA 3) containing all other loci( Figure 2,
see Appendix S1 for details onsex-linked analysis).Markers on the Y
or W chromosomes were used to assign the genetic sex to individu -
als with missing phenotypic sex.
Outlier identification
Twocomplementaryalgorithmswereusedtoidentifyputative
outliers: pcadapt version4.3.3(Luuetal., 2017)and outflank ver-
sion0.2(Whitlock etal., 2015).We removedtheoutliersdetected
by both pcadapt and outflankfromDATA 3withindividualsamples
grouped per geographical region. The last step of filtering consisted
of removingSNPloci with overallallele frequencylowerthan0.01
(“minor”allele frequency;MAF)using dartr version1.9.9 (Georges
etal., 2018). Thus,wefinallyobtainedthe DATA 4datasetwhere
we kept only nonoutlier loci, and the DATA5 data set where we kept
only outlier loci ( Figure 2; Appendix S1 ).
Alldownstreamanalyseswererunon DATA 3withalllociin-
cluding outliers(with individualsamplesgroupedpergeographical
regionor persamplesites),andonDATA 4andDATA 5withonly
nonoutlier andonly outlierloci,respectively (withindividualsamples
groupedpergeographicalregion)( Figure 2, see Results section and
Appendix S1 ).
2.3 | Population genetic analysis
Allgroupstratificationfromgeographicalregions( Figure 1),as
Mediterraneanmergedandnot,wastestedinpopulationgenetic
analysis (see Appendix S1 ). Indices ofgenetic diversity including het -
erozygosity, allelic richness (Ar), F ISandtheir probabilities under the
nullhypothesis ofHWEwereestimatedusing the diversitypackage
version 1.9.90 (Keenan et al., 2013 ).
Pairwise F ST andaverage sample-pairwisedifferencestogether
withtheirsignificanceestimatedbybootstrapresamplingwere
obtainedusingthe stratag version2.5.01(Archeret al., 2017)and
stampp (Pembletonet al., 2013 ) packages. Principal component anal-
ysis (PCA) on allelic frequencies was run under adegenet version 2.1.5
(Jombart, 2008;Jombart& Ahmed, 2011 ).Discriminantanalysisof
principal components(DAPC; Jombartet al., 2010 ) was run using the
adegenet package.Principalcomponentswere selectedfrom cross-
validationin DAPCaccordingto theputativeoriginofindividuals
and with 1000 replicates (see Appendix S1for more details).Based
FIGURE2 Prionace glauca . Summary of the genetic data filtering process from DArT-sequencing read output to the final genotype DATA
sets (DATA 3, DATA 4 and DATA 5). In step 5, minor allele frequency is abbreviated as MAF.
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|
1005
NIKOLIC et al .
on theretained discriminantfunctions,we inferredgroup member -
shipprobabilitiestoassessthe extentofadmixtureinthe inferred
clusters.
Weestimatedthepartitionofmolecularvariancewithinindi-
vidualsamples,betweenindividualsamples fromsamplesites(or
geographicalregions),andbetweensamplesites(orgeographical
regions)usingan analysisof molecularvariance (AMOVA; Excoffier
etal., 1992)implementedintheRpackages popprversion2.9.3
(Kamvaret al., 2014)and pegasversion1.1(Paradis, 2010).To test
forsignificance,weperformedarandomizationtest.Thematri-
cesofsampleswere randomlypermutedasdescribedinExcoffier
et al. ( 1992 ).
Hierarchical genetic clustering was done using admixture version
1.3 (Alexander et al., 2009) assuming a number ( K) of ancestral pop-
ulations between two and six. The value of K with lowest associated
error value was identified using the cross-validation procedure of ad -
mixture . Then, the R packagestockr version 1.0.74 (Foster, 2020) was
used with K values (designed in stockrto correspondto a numberof
differentiatedgroups)fromtwo tosix andfollowingtheapproach
outlined in Foster et al. ( 2018), which hasbeen designedto discrim-
inategroupswithnocontemporarymixture,basedonassignment
probability.
Thecorrelationbetweenpairwisegenetic( F ST andEuclidean
Edwards'distance)andgeographicaldistanceswastestedusinga
Manteltestwith 1000 permutationsbetweenindividuals andgeo-
graphicalregionsusingtheRpackages adegenet andade4 version
1.7–18(Bougeard&Dray, 2018 ;Chessel&Dufour, 2004;Dray
etal., 2007;Dray& Dufour, 2007)on thedata setwithoutoutlier
only (DATA 4).
2.4 | Demographic analysis
We usedthesoftware gadma(GeneticAlgorithmfor Demographic
ModelAnalysis;Noskovaetal., 2020)torebuildtheevolutionary
trajectory of the two main genetic clusters detected from the previ -
ousanalyses(seeResults). Ourmainobjectivewasthereconstruc-
tion of the past and recent demographic trends of these populations,
considering the global conservation status of theblue shark. Besides,
we alsoexpected demographic reconstructionto allowa better un-
derstandingofthepositionofoneparticulargeographicalregion
(namely, South Africa or SAF) relative to the two detected clusters.
gadma implementsaglobalgeneticalgorithmanddifferentex -
isting“ engines”oflocaloptimization,suchas δ a δi(Gutenkunst
etal., 2009),moments(Jouganousetal., 2017)ormomi(Kamm
etal., 2020), tosimulatetheexpectedjoint allele-frequencyspec-
trum(JAFS) frommultiplepopulationsundervariousdemographic
scenarios,andcompare it withtheobservedJAFS.More precisely,
the genetic algorithm implemented in gadma enables us to delineate
time structures (epochs) showing particular trends in effective pop -
ulationsize ( N e)throughtime(e.g.,linear orexponentialgrowthor
declineforagivenperiodoftime).Alocaloptimizationalgorithm
supportsfinerinference ofdemographic parameter values in those
predefined structures.This favours the identificationof thedemo -
graphic scenariomost likelytoexplain theobservedgeneticvaria-
tion,even with limited apriori knowledge,implyingthe exploration
of a wide parameter space.
First, weconverted theDATA 4data set in VariantCallFormat
(VCFfile)usingthefunction genomic_converter in radiator (see
Appendix S1 ).Thenfromtheseconverteddata,webuilttheob-
served JAFS bygroupingindividual samples according tothe popula -
tions delineated fromthe previousstructure andclusteringanalyses.
However,consideringthecomputationalcostsoftheanalysisof
high-densityJAFS,wesubsampledtheoriginalJAFSusing easysfs
( https://github.com/isaacovercast/easySFS )toallowtheanalysis
with realistic computingtimeand resources. easysfsbuilds the JAFS
on this subset, while selecting the number of individual samples and
variantsneededtomaintainthe characteristicsoftheinitialJAFS.
The easysfs approach implies a subsamplingthat has an effect similar
to the reduction of population sample size, still allowing a reasonable
trade-offbetweendataresolutionandcomputationallimitations
(see Fraisse et al., 2018 ).
Thus,we ran demographic inferencesusinga JAFSwith50 ×50
cells, composed by31,901 and32,387 segregating sites for Northern
(northernAtlanticOceanandMediterraneanSea)andSouthern
(Indianandsouthwestern Pacificoceans) populations,respectively.
The populationstructureanalysis revealed a clear differentiationof
thosetwo clustersof samples(see Results).Hereafter,thiswillbe
referredasthe2-populationmodel.Thepredefined2-population
demographicscenarioallowedfor N eofanancestralpopulation
tovary,beforethatancestralpopulationssplitintotwodaughter
populations,withsteady N evariationallowedandcontinuousgene
flow occurring duringdivergence. This,overall, correspondedto an
isolation-with-migration(IM)modelintegrating N e variations.This
2-populationmodelreliedon12parameters,nineofwhichwere
quantitative( Figure 3 .1, Table 4 ). Threequalitative parameters de -
scribed trendsanddynamicsinpopulationeffectivesize(constant,
linearorexponential).Fivequantitativeparametersdescribedthe
effectivesize ofeach populationatthe startandtheend ofeach
timeperiod.Twoquantitativeparametersdescribedbidirectional
migrationrates between the twodaughter populations. Finally,two
quantitativeparametersdescribedthedurationofthedifferent
timeperiods,specificallybefore and afterthesplitoftheancestral
population.
TheSouthAfricangeographicalregionwasexcludedfromthe
2-populationmodel,duetotheinconsistentresultsobtainedde-
pendingonthemethodsemployedfordetectingdifferentiation
(see Results).Thus,weincluded SAFasa possibleundetectedthird
demographicentityinwhat wewillbe referredto, hereafter,asa
3-populationdemographicmodel.The3-populationmodelthus
distinguishedtheSouthAfrican, Northernand Southernsampling
regions.Inthe3-populationmodel,wetestedtwotreemodels:
(a)firsttreemodel—theancestralpopulationwassplitintothe
Northern population and a common population made up of SAF and
theSouthernpopulation,which was splitlater;and(b)second tree
model—the ancestral population was split intoa Southern population
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| https://www.researchgate.net/publication/366238263_Stepping_up_to_genome_scan_allows_stock_differentiation_in_the_worldwide_distributed_blue_shark_Prionace_glauca |
0133
Identification
of pancreatic intraepithelial neoplasia in the mouse pancreas with MR Microscopy
Carlos Bilreiro 1 , Rui V. Simões 1 , Francisca F. Fernandes 1 , Mireia Castillo-Martin 1 , Kevin Harkins 2 , Mark Does 2 , Celso Matos 1 , and Noam Shemesh 1 1 Champalimaud Research, Champalimaud Centre for the Unknown, Lisbon, Portugal, 2 Department of Biomedical Engineering, Vanderbilt University, Nashville, TN, United States
Synopsis
Survival
in pancreatic cancer resides on an early diagnosis, for which current imaging
methods are insufficient. Here, we investigated which MRI contrast can reflect
pancreatic pre-neoplastic lesions, particularly, pancreatic intraepithelial neoplasia (PanIN). To this end, we developed an ultrafast DWI-MGE pulse
sequence and performed MR microscopy on pancreas extracted from transgenic mice
with PanIN lesions (along with controls), and validated our findings using
histology. PanIN lesions were clearly detected in the transgenic mice and differentiated from inflammatory changes at b=1000 sec/mm 2and long
TE. Our findings are encouraging for future detection of PanIN in vivo.
Introduction
Pancreatic
cancer is the 3
rd
leading cause of cancer-related death in the US,
with an 8% survival rate at 5 years
1
. Its frequent late diagnosis in
advanced stages precludes the only curative therapeutic option – surgery, making
early diagnosis key for an effective treatment. However, patients are usually
asymptomatic early on, and medical care is only sought at advanced stages of
the disease
1
. Furthermore, current cross-sectional
imaging is unable to reliably diagnose one of the main pre-neoplastic lesions
responsible for the disease - pancreatic intraepithelial neoplasia (PanIN), due to its
microscopic size
2
.
The
use of genetically engineered mouse models for pancreatic cancer research is
now well established
3
. Pdx1-Cre, KrasG12D mice
are known to develop PanIN and pancreatic ductal adenocarcinoma, serving as a
good model for PanIN detection.
Since it remains unknown how imaging could
detect PanIN, the aim of this pre-clinical study was to identify these lesions,
probably amenable to treatment in the clinical setting, harnessing
state-of-the-art MR Microscopy.
Methods
All
experiments were preapproved by the institutional and national authorities and
in accordance with European Directive2010/63.
In
vivo MRI
N=10
Pdx1-Cre; KrasG12D mice
4
(C57BL/6J background; founders obtained from JAX-USA
via CharlesRiver-France) underwent abdominal imaging once every 3 weeks from 14-weeks-old,
on a 1T scanner (Icon
TM
, Bruker, Germany) with TSE-T2WI (TR/TE=3825/60
ms; averages=30; RARE factor=8; slice thickness=0.7mm; resolution=150x150µm
2
; respiratory triggered). Two animals showed pancreatic signal
change at 9-months-old (Figure 1), coinciding with the expected timing of PanIN
and pancreatic ductal adenocarcinoma occurrence in the model
5
.
Both mice were sacrificed for
post-mortem
analyses, together with
a 9-months-old C57BL/6J healthy control.
Tissue
extraction
The
mice’s pancreases were removed by median laparotomy and immersed in 4%-PFA for
48 hours, followed by immersion in PBS for 24 hours. The samples were then immersed
in Flourinert
®
within a 10mm NMR tube for
ex vivo
MRI.
MR
Microscopy
Pancreatic
samples were imaged in a 16.4T scanner (Ascend Aeon
TM
, Bruker,
Germany) using a unique 10mm Cryoprobe
TM
(Bruker, Germany).
A
novel pulse sequence – DWI-MGE (Figure 2) was designed to provide ultrahigh-resolution
3D images with both diffusion and T2* contrast. The sequence includes a small
flip-angle slab-selective excitation followed by diffusion gradients and phase
encoding, and a multiple-gradient-echo readout echo-train (TE=9.2ms; TR=125ms;
number of echoes=4; resolution=80x80x80µm
3
; b
values=0 and 1000s/mm
2
; δ=2ms; Δ=7ms; DWI represents powder average
from 10 directions).
The datasets were analyzed using MATLAB
™
(MathWorks Inc.,
Natick, MA) and ImageJ (US National
Institutes of Health).
Histology
Following
MRI scans, formalin-fixed paraffin blocks of the whole pancreas were produced
and histopathological evaluation was performed. Specimens were sliced with 0.5mm
intervals and 5-µm thick sections were stained with hematoxylin and eosin
(H&E). The slides were digitalized on a high-resolution scanner (Ultra-Fast
Scanner
™
, Philips), visualized using the IntelliSite Pathology Solution
™
(Philips), evaluated by a gastrointestinal pathologist (17 years of experience)
and correlated with MRI by a gastrointestinal radiologist (6 years of
experience).
Results
The
control mouse pancreas was diffusely homogeneous in all sequences, without
focal lesions or parenchymal abnormalities (Figure 3).
Figures
4 and 5 depict histological pancreatic slices from the transgenic mice
alongside DWI-MGE MR-microscopy (80µm isotropic). The images showed multiple
nodules with varying size, distributed throughout the pancreas of the
transgenic mice, most conspicuous with b=1000s/mm
2
and TE=15.5ms,
where the contrast between these nodules and the background parenchyma was
highest. These nodules were histologically found to correspond to PanIN, with
surrounding fibrosis and variable proportions of lymphocytes and fibroblasts - desmoplastic
reaction (Figures 4B and 5B, yellow arrows). No lesions of invasive pancreatic
ductal adenocarcinoma were found in both specimens.
Histopathological
analysis also evidenced inflammatory infiltrates with polymorphonuclear
leukocytes, lymphocytes and parenchymal atrophy in several areas of the
specimen, interpreted as acute pancreatitis (Figures 4A and 5A, white arrows). The
DWI-MGE with TE=15.5ms and b=1000s/mm
2
showed PanIN with high signal
intensity, allowing differentiation from inflammatory changes, which presented
with low signal intensity.
Discussion
Our
findings show, for the first time, that PanIN can be clearly identified with mixed
diffusion/T2* contrast. The increased contrast at b=1000s/mm
2
and longer
TEs can be attributed to high cellularity in pre-neoplastic lesions, which
restricts diffusion of water molecules
6
, and potentially creates internal
gradient distributions, which together contrast well with background
parenchyma. In other words, the microstructural complexity of PanIN is more
robustly highlighted when diffusion and susceptibility weighting act as mutual
contrast filters.
The
distinction between inflammation and pre-neoplastic lesions with DWI-MGE
(b=1000s/mm
2
; TE=15.5ms) is another important finding. Indeed,
distinguishing pancreatic inflammation from neoplastic tissue has been a
difficult task for radiologists in the clinical setting
7
.
These
new contrasts are an encouraging first step towards imaging an important target
in pancreatic cancer: PanIN, which could probably be subjected to early
therapeutic interventions, changing the usual course of the disease. MR-microscopy
will not be available in the clinic but we are now in the process of
iteratively degrading spatial resolution to infer on how the contrasts observed
here would translate to the clinical setting
8
.
Conclusion
PanIN
can be detected in
ex vivo
mouse pancreas with MRI. The combination of
high b-values and long TEs also appears to distinguish parenchymal inflammatory
changes from pre-neoplastic lesions. These first results represent an
encouraging step towards establishing early biomarkers in pancreatic cancer.
Acknowledgements
The first two authors contributed equally to this work.
The
authors thank Ms. Susana Dias, Histopathology Platform of the Champalimaud
Foundation.
Funding Support: Champalimaud Foundation; H2020-MSCA-IF-2018, ref:844776;
NIH EB019980.
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2017;67(1):7-30. doi:10.3322/caac.21387
2. Vullierme
M-P, Menassa L, Couvelard A, et al. Non-branched microcysts of the pancreas on MR
imaging of patients with pancreatic tumors who had pancreatectomy may predict
the presence of pancreatic intraepithelial neoplasia (PanIN): a preliminary
study. Eur Radiol. April 2019. doi:10.1007/s00330-019-06154-3
3. Colvin
EK, Scarlett CJ. A historical perspective of pancreatic cancer mouse models. Semin
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4. Hingorani
SR, Petricoin EF, Maitra A, et al. Preinvasive and invasive ductal pancreatic
cancer and its early detection in the mouse. Cancer Cell.
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5. Guerra
C, Barbacid M. Genetically engineered mouse models of pancreatic
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doi:10.1016/j.molonc.2013.02.002
6. Kartalis
N, Lindholm TL, Aspelin P, Permert J, Albiin N. Diffusion-weighted magnetic
resonance imaging of pancreas tumours. Eur Radiol.
2009;19(8):1981-1990. doi:10.1007/s00330-009-1384-8
7. Barral M, Taouli B, Guiu B, et
al. Diffusion-weighted MR imaging
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Figures
Figure
1 – Abdominal
TSE-T2WI at 1T from the two transgenic mice between 4 and 9 months of age.
Notice the intermediate signal intensity of the pancreas at 4 months of age
(white arrows), contrasting with high signal intensity at 9 months of age
(yellow arrows), consistent with pancreatic disease.
Figure
2 – Schematic
representation of the DWI-MGE sequence. RF: radiofrequency; SS: slice
selection; PE: phase encoding; RO: readout; G Diff : diffusion
gradients; δ: diffusion gradient duration; Δ: diffusion time; TE2 = TE3 = TE4.
Figure
3 – Control mouse
(C57BL/6) pancreas. Notice how the pancreatic parenchyma is homogeneous in all
images, without focal lesions. Images with b=1000 s/mm 2 and longer
echo times show progressively reduced signal intensity in the healthy
pancreatic parenchyma.
Figure
4 – Histology and
corresponding DWI-MGE in the first transgenic mouse. A – Pancreatic parenchymal
atrophy, with inflammatory infiltrates mainly composed of polymorphonuclear
leukocytes and lymphocytes. B – PanIN with surrounding desmoplastic tissue. The
PanINs (yellow arrows) become increasingly conspicuous with longer TE.
Inflammatory infiltrates (white arrows) and PanINs both have high signal
intensity in b=0s/mm 2 images. However, in b=1000s/mm 2 ,
only PanINs have high signal intensity.
Figure
5 – Histology and
corresponding DWI-MGE in the second transgenic mouse. A – Pancreatic
parenchymal atrophy, with inflammatory infiltrates mainly composed of
polymorphonuclear leukocytes and lymphocytes. B – PanIN with surrounding
desmoplastic tissue. The PanINs (yellow arrows) become increasingly conspicuous
with longer TE. Inflammatory infiltrates (white arrows) and PanINs both have
high signal intensity in b=0s/mm 2 images. However, in b=1000s/mm 2 ,
only PanINs have high signal intensity.
| https://cds.ismrm.org/protected/20MProceedings/PDFfiles/0133.html |
Critical Role for CD38-mediated Ca2+ Signaling in Thrombin-induced Procoagulant Activity of Mouse Platelets and Hemostasis* - Journal of Biological Chemistry
Signal Transduction
|
Volume 286, ISSUE 15
,
P12952-12958,
Critical Role for CD38-mediated Ca 2+Signaling in Thrombin-induced Procoagulant Activity of Mouse Platelets and Hemostasis*
Mazhar Mushtaq
Mazhar Mushtaq
Footnotes
Affiliations
From the Department of Biochemistry and
Tae-Sik Nam
Tae-Sik Nam
Affiliations
From the Department of Biochemistry and
Uh-Hyun Kim
Uh-Hyun Kim
Correspondence
To whom correspondence should be addressed: Dept. of Biochemistry, Chonbuk National University Medical School, Keumam-dong, Jeonju 561-182, Korea. Tel.: 82-63-270-3083; Fax: 82-63-274-9833;
Contact
Affiliations
From the Department of Biochemistry andInstitute of Cardiovascular Research, Chonbuk National University Medical School, Jeonju 561-182, Korea
Show footnotes Hide footnotes
Author Footnotes
* This work was supported by the Korea Science and Engineering Foundation (National Research Laboratory Grant R0A-2007-000-20121-0) (to U.-H. K.).The on-line version of this article (available athttp://www.jbc.org) contains supplemental methods, Figs. S1–S4, and supplemental movies.1 Recipient of a scholarship from the Ministry of Education, Science and Technology (BK21 Program).
Open Access Published: February 21, 2011 DOI: https://doi.org/10.1074/jbc.M110.207100
Citations
Citation Indexes: 42
Captures
CD38, a multifunctional enzyme that catalyzes the synthesis of intracellular Ca
2+
messengers, cyclic ADP-ribose (cADPR) and nicotinic acid adenine dinucleotide phosphate (NAADP), is known to be expressed on platelets. However, the role of CD38 in platelets remains unclear. Our present results show that treatment of platelets with thrombin results in a rapid and sustained Ca
2+
signal, resulting from a coordinated interplay of Ca
2+
-mobilizing messengers, inositol 1,4,5-trisphosphate, cADPR, and NAADP. By dissecting the signaling pathway using various agents, we delineated that cADPR and NAADP are sequentially produced through CD38 internalization by protein kinase C via myosin heavy chain IIA following phospholipase C activation in thrombin-induced platelets. An inositol 1,4,5-trisphosphate receptor antagonist blocked the thrombin-induced formation of cADPR and NAADP as well as Ca
2+
signals. An indispensable response of platelets relying on cytosolic calcium is the surface exposure of phosphatidylserine (PS), which implicates platelet procoagulant activity. Scrutinizing this parameter reveals that CD38
+/+
platelets fully express PS on the surface when stimulated with thrombin, whereas this response was decreased on CD38
−/−
platelets. Similarly, PS exposure and Ca
2+
signals were attenuated when platelets were incubated with 8-bromo-cADPR, bafilomycin A1, and a PKC inhibitor. Furthermore,
in vivo
, CD38-deficient mice exhibited longer bleeding times and unstable formation of thrombus than wild type mice. These results demonstrate that CD38 plays an essential role in thrombin-induced procoagulant activity of platelets and hemostasis via Ca
2+
signaling mediated by its products, cADPR and NAADP.
Calcium Intracellular Release
Endocytosis
Hemostasis
NAD
Platelet
Protein Kinase C (PKC)
Thrombin
CD38
NAADP
Cyclic ADP-ribose
Introduction
An increase in intracellular calcium ion concentrations ([Ca
2+
]
i
) is a major event for the activation of platelets (
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3
The abbreviations used are: IP 3, inositol 1,4,5-trisphosphate; IP 3R, IP 3receptor; cADPR, cyclic ADP-ribose; 8-Br-cADPR, 8-bromo-cADPR; NAADP, nicotinic acid adenine dinucleotide phosphate; PLC, phospholipase C; RyR, ryanodine receptor; PS, phosphatidylserine; TB, Tyrode's buffer; TRITC, tetramethylrhodamine isothiocyanate; XeC, xestospongin C; BAPTA-AM, 1,2-bis( o-aminophenoxy)ethane- N, N, N′, N′-tetraacetic acid; Ab, antibody.
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(PDF) Religious Freedom in Theory and Practice
PDF | This study uses the Religion and State round 2 (RAS2) dataset to examine the presence of religious freedom in 177 countries. There are many... | Find, read and cite all the research you need on ResearchGate
Religious Freedom in Theory and Practice
March 2015
Human Rights Review 16(1)
DOI: 10.1007/s12142-014-0323-5
This study uses the Religion and State round 2 (RAS2) dataset to examine the presence of religious freedom in 177 countries. There are many different conceptions of the meaning of religious freedom but they can be divided into two categories, those which focus on the free exercise of religion—that is the right to practice religion and maintain religious institutions—and those which focus on treating all religions equally, also known as the level playing field model. The results show that neither form of religious freedom is common even among democracies and states which have constitutional clauses protecting religious freedom. This finding has serious implications for our understanding of the nature of liberal democracy.
Operational standards for religious freedom using the RAS2 dataset …
Presence of religious freedom …
regressions predicting religious freedom in 2008 Free exercise strict model Free exercise loose model Free exercise partially free model Equality-level playing field strict model Equality-level playing field loose model …
Figures - uploaded by
Jonathan Fox
1 23
Human Rights Review
ISSN 1524-8879
Volume 16
Number 1
Hum Rights Rev (2015) 16:1-22
DOI 10.1007/s12142-014-0323-5
Religious Freedom in Theory and Practice
Jonathan Fox
Religiou s Freedom in Theo ry and Practic e
Abstract This study uses th e Religion an d State roun d 2 (RAS2) data set to examin e
the presence of reli gious freedo m in 177 countries . There are many dif ferent concep -
tions of the me aning of reli gious free dom but they ca n be divide d into two cate gories,
those which fo cus on the free exerci se of religion — that is the right to pr actice religi on
and maintain re ligious inst itutions — and those which fo cus on treating al l religions
equally , also kn own as the leve l playing fiel d model. The re sults show t hat neither fo rm
of religious freedom is common eve n among democracies and sta tes which have
constituti onal clause s protecti ng religiou s freedom. Th is finding ha s serious imp lica-
tions for our unde rstanding of th e nature of libera l democracy .
The question of wha t constitute s religious fr eedom seems dece ptively sim ple. Most
people have a clear id ea of what “ religiou s freedom ” me ans. Y et, ev en a cursory survey
of the literatu re reveals th at while the to pic is widely di scussed, th ere is no agreem ent
whatsoever on ho w we should define , understand , or even name this seem ingly simple
such as religi ous civil or hu man rights ), religiou s tolerance, religi ous liberty , re ligious
equality , th e free exercise of re ligion, an d the right to a le vel religiou s playing fi eld. Its
denial is vari ously terme d as religiou s discrimi nation, reli gious pers ecution, re ligious
intoleranc e, and religious re pression . All of these terms have mult iple interpre tations,
definition s, and meanings . Arguably , the li terature buil ds a tower of Babel wher e many
seeming disput es over the natu re and extent of religi ous freedom ar e attributab le to
disagreem ents over how t he term should be named an d conceptu alized.
These disput es over definition ar e significan t because defini ng what is meant by
religious free dom is central to unders tanding and studyi ng the concept. Wh en we
measure reli gious free dom, how we co nceive of th e concept will influence what we
measure. For ex ample, as I discus s in more detail belo w , some concepti ons require that
all religion s be treated equall y while others requ ire only that no religi on be restrict ed.
Thus, the form er concept ion would ban st ate support fo r only some re ligions but no t
others and ce rtainly ba n establishi ng a religi on while the lat ter concep tion would al low
this type of diffe rential supp ort. Thus, how we conc eive of religiou s freedom can, in
Hum Rights Re v (2015) 16:1 – 22
DOI 10.10 07/s121 42-014- 0323-5
J. Fox ( * )
Departme nt of Politic al Studies, Ba r Ilan Unive rsity , Ramat Gan , Israel
e-mail: J onathan. Fox@biu .ac.il
practice, determi ne whether or not we consider a government to re spect religious
freedom.
In this stu dy , I discu ss the var ied conc eptualiz ation s related t o religi ous freed om,
categor ize them and test to see whethe r they are pr esent in 17 7 states u sing the Re ligion
and State Rou nd 2 (RAS2) da taset as wel l as examin e the correl ates of reli gious fre edom.
The RAS2 dat aset and this st udy both fo cus on govern ment polic y . This is not to
downpla y the importa nce of soci al restri ctions on r eligiou s freedom bu t the questi on of
democrac y ’ s link to religious fr eedom is, I argu e, best asse ssed through ex amining
governme nt behav ior .
1
I find that whil e discuss ion of relig ious free dom is exten sive, it
is an ideal that is m ore often dis cussed tha n practic ed, even am ong those sta te which in
theory we w ould most e xpect to h ave religi ous free dom, incl uding li beral de mcoracie s.
Religious F reedom: Of t Discussed , Less Oft Defined
Religious freedom is a term that is particularly difficult to nail down because it
encompasses many of the other potential terms and definitions which I discuss
below. This makes it difficult to define and discuss in its own context. In addition,
many formal legal documents which use the term never fully define it. That is,
they will often list acts which violate r eligious freedom or rights that must be
included in it but rarely explain the justification or criteria for arriving at these
lists. For example, the US International Religious Freedom Act of 1998
2
uses the
term 173 times without defining it. The yearly reports on religious freedom
produced by the US State department based on this law also never define the
term. The meaning is taken for granted. The 1998 law does list acts which violate
religious freedom such as:
(A) arbitrar y prohibit ions on, rest rictions of , or punishme nt for (i) asse mbling for
peaceful reli gious acti vities such as wors hip, preach ing, and pray er, incl uding
arbitrary registration requirements; (ii) speaking freely about one ’ s religious
beliefs; (iii ) changing one ’ s re ligious beli efs and af filiation; (i v) posses sion and
distributi on of relig ious literat ure, includ ing Bible s; or (v) rais ing one ’ sc h i l d r e n
in the religious teachings and practices of one ’ s choice; or (B) any of the
following ac ts if commit ted on accoun t of an individu al ’ s religiou s belief or
practice: detention , interrogation, impo sition of an onerous financi al penalty ,
forced labor , forced mass re settlement , imprisonme nt, forced reli gious conver -
sion, beatin g, tortur e, mutilation , rape, ensl avement, mu rder, an d executio n.
And it also lists “ pa rticularl y severe violat ions of religiou s freedom ” incl uding
(A) torture or cruel, inhuman, or degrading treatment or p unishment; (B)
prolonged de tention w ithout char ges; (C) caus ing the disa ppearanc e of persons
1
For a discuss ion of soci al restric tions on rel igion and dem ocracy s ee Grim and Fi nke ( 2011 ).
2
For a copy of this law , see htt p://www .st ate.gov /documen ts/org anizati on/2297 .pdf .
2 J. Fox
Author's personal copy
by the abduction or cl andestine de tention of thos e persons; or (D) othe r flagrant
denial of the right to li fe, liberty , or the se curity of person s.
3
While this listing provides some insights into what the act ’ s authors consider
religious fr eedom, it does not ex plain how this li st was created. Wh y are these acti ons,
as opposed to othe rs, violati ons of religiou s freedom? What cr iteria were used to ma ke
this list? A tru e definition wou ld answer th ese question s. Farr ( 2008 ), the first Direc tor
of the State Depa rtment ’ s Offi ce of Internati onal Religiou s Freedom, simi larly dis-
cusses how re ligious free dom must be a mo re importan t political pr iority , ment ioning
the term 23 times bu t never define s it.
This critique ap plies to many inte rnationa l legal document s. For example, th e 1981
UN Declaratio n on the Eliminati on of All Forms of Intole rance and of Disc rimination
Based on Religio us Belief defi nes “ the right to free dom of though t, conscien ce and
religion ” as th e “ freedom to have a re ligion or whatev er belief of his choi ce, and
freedom, eith er individu ally or in communit y with others and in publ ic or private, to
manifest hi s religion or be lief in worsh ip, observ ance, practi ce and teac hing. ” It also
lists a number of acts which vi olate this free dom.
4
The 1966 Int ernation al Covena nt on
Civil and Poli tical Righ ts similarl y defines “ th e right to freedom of thou ght, consci ence
and religion ” as includin g the “ freedom to ha ve or to adopt a religi on or belief of his
choice, and free dom, either indi vidually or in co mmunity with othe rs and in public or
private, to mani fest his religi on or belief in worshi p, observan ce, practice an d teach-
ing. ”
5
Y et both of thes e documents, as w ell as similar ones , rely on listin g acts which
violate reli gious freedo m or acts that should be allo wed in order to main tain religiou s
freedom withou t discussi ng the criteria for crea ting these list s.
Many scholarl y discussion s of this law simil arly do not addres s the definiti on of
religious free dom. For exampl e, Richardsom ( 20 07 ) extensiv ely discusse s religious
freedom, ment ioning the term 57 ti mes. He refers to mu ltiple laws an d internation al
documents on th e topic yet nev er defines the te rm nor even ment ions a defini tion
contained in thes e laws or document s. Gwin and North ( 2004 ) perform an empi rical
study of the determ inates of religi ous freedom in 31 coun tries, ment ioning the term 60
times includ ing in the title of thei r study , without ev er actually defi ning it, though t hey
base their religi ous freedom va riable on the pres ence of violatio ns in a number of
sources incl uding the US St ate Depart ment report s.
6
Rahman ( 2013 ) si milarly an alyzes
the correlat es of religious fr eedom withou t any formal defi nition of the term , though she
does empirica lly define the vari able which measur es “ restrict ions on religio us freedom
for minoriti es ” as “ measur es the extent to whi ch a state ’ sp o l i c i e si na n yw a yr e s t r i c tt h e
personal an d/or publi c practice of a re ligious de nominati on other than th e one with th e
highest percen tage of follower s in a given state. ” (Rahma n 2013 ,p .1 1 )
7
3
For a more de tailed lis ting and di scussio n of interna tional do cument s and agree ment prote cting reli gious
rights, se e Witt e and Green ( 2009 ).
4
A copy of this do cument is av ailabl e at http://w ww .un.or g/docum ents/ga /res/36/ a36r055 .htm .
5
A copy of this do cument is av ailabl e at http://w ww .ohchr .org/en/profe ssional interes t/pages/ ccpr .aspx .
6
In a related s tudy , North an d Gwin ( 200 4 ) similar ly extensi vely analyz e religio us freedom wi thout ever
defining the term.
7
Other studies which make extensive use of the term “ religious freedom ” withou t defining it include
Morgens tern ( 2012 ); Phi lpott ( 2002 , 2007 ); Sark issian ( 2010 ); Spohn ( 2009 ) and Witte and G reen ( 2009 ).
Religiou s Freedo m in Theory a nd Practi ce 3
Author's personal copy
As I discuss in more de tail below , even when definitions di scuss the justif ications
and criteria fo r determining wh at constitute s religious fr eedom, the specif ic term which
is defined is most of ten somethin g other than “ re ligious fr eedom ” and thos e definiti ons
which are labe led as “ religiou s freedom ” up on examinat ion can be pl aced into th e
categories defined by these more specific terms. Acc ordingly , the term “ religious
freedom ” is to o ambiguous to prov ide any real unders tanding of the topi c. In the next
sections of this st udy , I examine and cate gorize severa l more specific in terpretati ons of
the universe of ac tions that co me under the head ing of religi ous freedom.
More Prec ise Concepti ons of Religi ous Free dom
While there are multiple theoretical conceptions of religious freedo m as well as
multiple te rms which rel ate to it or some as pect of it, th ese concep tions can be di vided
into two catego ries: the free ex ercise of religi on and that all reli gions must be tr eated
equally . While the content of re ligious fr eedom defi ned by these co nception s overlaps
they are neve rtheless di stinct. I di scuss each co ncept in det ail below .
Also, it is import ant to note that I take no stan d on which is the supe rior definiti on.
Which theory of religious fr eedom is the co rrect one is to a la rge exten t a normativ e
issue. Rather , my goal is to demonstrate the ex istence of mu ltiple concept ions of
religious fr eedom which have prac tical conseq uences in deter mining what cons titutes
religious fr eedom and to discus s what types of acti ons violat e each of these conc ep-
tions. Later in th e study , I assess how many demo cracies adhe re to these standa rds.
The Free Exerc ise of Religi on and Relate d Concepts
A classic exam ple of free ex ercise is th e first amen dment of the US Co nstitutio n which
states that Con gress shall ma ke no law prohibit ing the free exer cise of religi on. While
the discussi on of what th is means in th e US contex t is extensiv e in a broade r sense the
concept of “ free ex ercise ” ca n be defined as th e ability to free ly practice on e ’ sr e l i g i o n
and maintain reli gious instit utions. This is an es sential elem ent of religious fr eedom.
But what is cons idered pa rt of this righ t to practi ce? If one exam ines the worl d ’ s
constitutions, most of which enumerate this right in far more deta il than the US
constituti on, one can find dif ferent form ulations of wh at this includes in cluding:
& Freedom of wors hip, observ ance, or to practi ce religiou s rituals or rite s, both as an
individual an d in groups, both in pu blic and in priva te.
& The freedom to chan ge profess or choo se, one ’ sr e l i g i o n
& The right no t to disclose one ’ s religious affiliatio n or beliefs.
& The right to not profes s a religion or free dom from religi on or be an atheist.
& The right to hold or expr ess religiou s opinions .
& The right to form , join, or be a member of religi ous organi zations.
& The right of religious organizations to manage their own affairs without
interferen ce.
& The right not to join or be a memb er of a religious or ganizati on.
& The right to obta in, hold, and main tain places of wor ship.
& The right to prop agate or spre ad a religion.
4 J. Fox
Author's personal copy
& The right to reli gious educat ion includin g the right to educ ate and raise on e ’ s
children in one ’ sr e l i g i o n .
& The right to a chapla in in hospital s, the military , etc.
& The protecti on of religious ri ghts even in states of em ergenc y or war.
& Freedom from co ercion with rega rd to religio n.
While no one docume nt includes al l of these formulat ions, all of them are th e
elements of the conc ept of free exer cise which is coll ectively incl uded in the world ’ s
constituti ons. Whil e these cons titutions ra rely defi ne religiou s freedom be yond listin g
rights includ ed in it or acts which viol ate it, collecti vely they adhe re to the concepti on
of protecting re ligious prac tices and instit utions.
Accordingl y , restrict ions religi ous freedom ca n be divide d into three ov erlappin g
categorie s: restrictio ns on religiou s institutio ns, restrict ions on group righ ts, and restri c-
tions on indiv idual rights .
To ma ke matters more comp licated, fr ee exerci se can be interp reted dif ferently . The
definition discusse d above bans a governme nt from rest ricting the fr ee exercise of
religion. However , it can also be seen as a government obligati on to ensure that
everyone ’ s right to free exercise is protected. This means th at it is not enou gh that
government ta kes no actions whic h restrict this righ t, the governme nt must also active ly
protect this ri ght. This can invo lve policin g societal restri ctions as wel l as legislatio n to
facilitate pe ople ’ s ability to practice thei r religion su ch as provid ing funds fo r religious
institutio ns and activiti es.
Consider the di sturbingly co mmon scenar io where member s of a country ’ sm a j o r i t y
religion syst ematical ly target, atta ck, or harass memb ers of a minority re ligion or its
institutio ns. If the gove rnment take s no action to pr otect the mino rity , does it violate its
commitment to fr ee exercise? On on e hand, the govern ment is not itself viol ating this
right. On the othe r, by takin g no action it is fail s to maintain publ ic order — an es sential
obligatio n of government — and as a cons equence, a mi nority ’ s religious freedom is
violated. Eve n more ambiguou sly , what happens if a govern ment does make a real
effort to stop thes e activities bu t fails? Society -based and go vernment-b ased restri ctions
are linked in that societal restrictions are a str ong predictor of government-ba sed
restrictio ns on religi ous freedo m (Grim and Fi nke 201 1 ).
Most discussi ons which focu s on the term “ free exerci se ” focus on the US co ntext.
8
Many discussions which apply more generally use other terms such as religious
discrimina tion, persec ution, and repr ession which ar e usually defi ned as limits on the
free exercise of re ligion. For ex ample, Jenk ins ( 2007 , p. 3) defi nes religiou s persecutio n
with the goal of elimi nating that grou p in the long or short term. ” Bowen ( 2010 ,p .
1750) simila rly argues that “ freedom from ex ternal disc rimination im plies equal ri ghts
and capacitie s to practice religi on. Discrimi nation exists when ce rtain indivi duals or
groups do not enjo y the same rights or priv ileges as do memb ers of other religi ous
groups (or nonr eligious peop le) in the societ y . ”
While this co ncept certai nly inclu des a ban on limi ting the free ex ercise of re ligion,
it has another pot ential meanin g — discri mination on the ba sis of religion . This meaning
focuses not on the free ex ercise of religi on, but rather , on any restrict ion placed on a
8
See, for examp le, Demerat h ( 2001 ,p .1 8 5 – 198) and Jelen ( 2007 ).
Religiou s Freedo m in Theory a nd Practi ce 5
religious grou p regardle ss of whether it limits the practice of re ligion or religi ous
institutio ns. These li mitations ca n include any po litical soci al, cultur al, or econom ic
restrictio n paced on an iden tity group de fined by reli gion. For ex ample, Farr ( 20 08 )
argues that
Religious pe rsecutio n is generally as sociated wi th egregiou s abuse – to rture, rape,
unjust imprisonment – on the basis of religion. A political order centered on
religious li berty is free of such ab uses, to be sure, but it al so protects the righ ts
of individua ls and groups to act publ icly in ways consis tent with their be liefs.
Those righ ts include, mo st importan tly , the freedom to influenc e public poli cy
within the boun ds of liberal norm s.
religious mi norities .
9
These types of pe rsecution ar e not unique to re ligious mino rities.
Studies of ethn ic conflict, fo r example, focu s precisely on th ese types of persec ution
and repre ssion (e. g., Gurr 1993 , 2000 ;H o r o w i t z 1985 ). Thu s, while an importan t issue,
discrimina tion on the ba sis of religio n does not ne cessarily vi olate the ri ght of free
exercise.
Another widely used set of concepts are r eligious toleranc e and intolerance.
Eisenstei n ( 2008 , p. 15) defi nes toleranc e as putting up with thos e you dislike or with
whom you disagr ee. This does not requ ire acceptan ce of other religi ons. Rather it
requires re cognition th at members of these other religion s have the sa me rights and
privileges as everyone else. Most othe r definiti ons of religiou s toleranc e follow this
pattern. Karp ov ( 2002 , p. 267) defines p olitical tol erance as “ the willingness to extend
civil libert ies to politi cal outgro ups. ” Little ( 1996 , p. 81) argu es that “ to be tolera nt is, at
a minimum, to respond to a set of beliefs and practices reg arded as deviant or
objection able without fo rcible interf erence. ” Bl ake ( 2007 , p. 2) defines toleranc e as
“ a moral reason to re strain from inte rvening in the af fairs of anot her party even whe n
the interference would be neither useless nor counterproductive. ” Finally, Stepan
( 2000 ) discus ses what he calls the twin to leration s, “ the minimal bounda ries of freedo m
of action that must so mehow be craft ed for politica l institutio ns vis-a-vi s religious
authoriti es, and for re ligious in dividuals an d groups vi s-a-vis po litical inst itutions . ”
10
religious other , despit e that you object to their reli gious beliefs or activi ties. This
tolerance also , by implicatio n, extends to refrai ning from restri cting religi ous minorit ies
in matters othe r than those direct ly related to reli gion.
Another term of ten found in the li terature is religiou s human rights . Like religiou s
freedom, it is used di fferent ly throughout th e literatur e. It can mean any of the type s of
interpreta tions discus sed above, thou gh it tends to imply a govern ment obliga tion to
guarantee th ese rights ab ove and beyond a ban on govern ment violat ions of these
rights. Spick ard ( 1999 ) argues that th e discourse on hu man relights it self can be seen as
a religion-l ike belief sy stem
9
Other def initions w hich focu s on disc riminati on as the bas is of reli gious fre edom simi larly als o includ e free
exercise. Se e, for examp le, Marshal l ( 2009 ).
10
Others su ch as Servi n-Gonza lez and T orres-Reyna ( 19 99 ) and W ilson ( 2010 ) extensively disc uss religio us
toleranc e without eve r defining the te rm.
6 J. Fox
For that is what rights are: sa cred ideals. Peo ple treat human ri ghts as hallowed
organizi ng principl es for life: as prio r and superior t o ordinary lega l and social
rules. They feel th at human right s are sacrosanct , that they must be prot ected
against corr uption. T o accuse a government or a person of vi olating hu man rights
is to accuse them of more th an a crime; it is to accuse th em of boundles s evil …
sacrilege. Th e concept of human ri ghts is thus litera lly iconic: it co nnects people
to something beyo nd and greater th an themselves; it in vokes feelin gs of awe,
reverence; an d it may even motivat e people to act in ways that ma y endanger
their lives. Al l this suggests th at human rights belief s are essentia lly religiou s.
Themes in this beli ef system are very re ligion-l ike. They are held to be un iversally
true, which mean s that they cann ot be denied or trum ped by other beli ef systems. The y
include the be lief that all hu mans are equa l and have righ ts as individu als. There i s also
a social interc onnected ness which mean s that there is an acti ve moral obliga tion to
ensure rights su ch as food, empl oyment, and heal th care (Spickar d 1999 ).
Human rights as a beli ef or value sy stem can ofte n clash wit h religion-b ased belief
or value systems. Religi ons often distingu ish between believer s and non-believers
consideri ng the believ ers superior to non-believers. This theme can be found wi thin
strands of Chri stianity , Islam, and Judaism. So me religions su ch as Hinduism gr ant
different rights to different believers. Significant strands of all of these religious
traditions in clude belief s on the status of women in societ y . All of this creates an
inequality which co ntradict s the human righ ts belief sy stem. This cl ash betwee n these
two types of beli ef systems is both in evitable an d not fully solv able becaus e there are
nearly always as pects of religiou s beliefs which cl ash with human righ ts-based valu es
systems. Thu s, it is often not poss ible to be both tolera nt of others — as mo st human
rights-bas ed value syst ems advocate — while at the sam e time requiring re ligious grou ps
to meet standards se t by human rights-b ased values syst ems. In the end, a decision
balancing these two incompatible belief systems is inevitable, though the re is no
agreement on ho w this balance shou ld be achieved (Per ez 2002 ).
Equality and a Lev el Playing Field (E LPF)
Some theories an d conception s of religiou s freedom requir e more than an abse nce of
limitation s on the right of free exercise an d even more th an a governme nt guarante e
against such li mitation s. These concep tions requir e that all religi ons be treated eq ually
or, put di fferent ly , that all reli gions play on a le vel playing fi eld.
11
Like the concept o f
free exercise , the ELPF concept has mu ltiple potent ial meanings an d is considered by
many to be an essent ial element of re ligious free dom.
From this pers pective, if a gove rnment in any way give s preferen ce to one or a few
religions, th e others have a comp etitive di sadvanta ge. Such acts of su pport can in clude
establishi ng a religion as a state ’ s of ficial re ligion, en forcing the la ws of the major ity
11
This term firs t appeared in Ro ger Finke ’ s work in the context o f the suppl y-side the ory of relig ion which
focuses on under what co ndition s individ ual religio sity is mor e common and which reli gious org anizati ons are
more likely to flourish (Stark and Finke 2000 , p. 252). It l ater becam e central f or his conce ption of re ligiou s
freedom (F inke 2012 ; Grim and Fi nke 2011 .)
Religiou s Freedo m in Theory a nd Practi ce 7
Author's personal copy
religion, an d financia l support give n to one or only so me religion s, among othe rs. This
is true even if these ac ts of support for one re ligion do not in any way li mit the free
exercise of othe r religions. Ro ger Finke, amon g others, make s precisely this ar gument
positing th at religion s compete fo r members beca use a centra l goal of most re ligions is
to convince as many pe ople as possib le of the truth of their be liefs. Stat e supported or
sponsored re ligions ha ve a number of unfa ir advantag es over non-su pported re ligions
(Finke 1990 , 2012 ;G r i ma n dF i n k e 2011 ;T o f te ta l . 2011 ).
This is true even if the go vernment does no t restrict thes e non-prefer red religi ons.
Tak e, for example, go vernment fu nding for religi ous instit utions. The fund ed institu-
tions become le ss expensive fo r congregant s than unfunded in stitutio ns. Members of
non-funded re ligions need to pa y the full cost of that reli gion. Religio n is not free.
Clergy, places of worship, and other religious materials all cost money . If these
resources ar e not provided by th e government , they must be prov ided by the congre -
gants. Thus, in a country where the gove rnment su pports one re ligion or so me religions
but not others , congrega nts for the non- supporte d religions es sentiall y pay for religi on
twice, once thr ough taxes and once th rough contri butions to thei r religion (Fin ke 1990 ,
2012 ;G r i ma n dF i n k e 2011 ; Sta rk and Finke 2000 ).
This creates an ineq uality or an uneven pl aying field betw een religion s because
some religion s are better posi tioned than othe rs to compete fo r congregant s. This is a
result similar to that of religious discrimination. The mem bers of non-supported
religions ca n be made to feel like se cond class citi zens who are requ ired to carry a
heavier burden. Put differently, people compare themselves to others. When this
comparison shows them to be disadvantaged relative to others this can result in
resentment . Relative depr ivation theo ry , which is a theory de veloped to expl ain civil
wars and dome stic confli ct, is based pr ecisely on th is assumpti on. While the th eory has
several formulations, most variations agree that when a group compares itself to
another and fi nd their situ ation lackin g this can le ad to frustrat ion which can le ad to
conflict (Bru sh 1996 ;G u r r 1970 ; Rule 1988 ). Severa l, studies ar gue that religi ous
discrimina tion has this ef fect (Akbaba and T ydas 2011 ;F o x 2002 ). Thus, it is reason-
able to argu e that sele ctive suppor t for some re ligions wh ich lead to in equality can have
a similar resu lt.
Unlike the free ex ercise conc eption of reli gious freedo m, ELPF is hotly de bated. By
this I mean that whil e there is debate ov er the exact mean ing of free exer cise, there is no
debate that this is a si gnificant el ement of religi ous freedom. In co ntrast, ELPF is in an d
of itself contro versial beca use support fo r one religion does no t necessar ily entail any
restrictio ns on other religi ons. Funding th e Catholic Churc h, for example, do es not
mean that non-Ca tholics cann ot worship fr eely . There is no reas on that a state which
establishe d a religion or in some ot her manner su pports on e or a few religi ons cannot
avoid restri cting the non- supported re ligions. Ev en Alfred Ste pan ( 2012 , p. 13 3), who
is considered an ad vocate of sepa ration of reli gion and state, ar gues that st ates with
establishe d religion s can still upho ld liberal pr inciples if th ey respect mi nority righ ts. In
practice, on ly a small number of stat es accomplish th is feat. Only Papu a New Guinea,
Slovenia, an d the Solomo n Islands supp ort some re ligions but no t others whil e not
significan tly restri cting either the majo rity religi on or minorit y religion s.
12
12
This observ ation is based o n the religiou s discrimi nation and of ficial rel igion variab les discu ssed below .
8 J. Fox
Mazie ( 2004 , 20 06 ) makes precis ely this type of argu ment when discus sing whethe r
state suppor t for religi on can be compat ible with li beral demo cracy . He argues that
restrictio ns on minori ty religion s are not compat ible with libe ral democr acy but suppor t
for religion can be compatib le. He constr ucts a three -tiered cate gorizati on of types of
government supp ort for reli gion which ar e based prec isely on th e risk that th ese forms
of support can lead to re strictio ns on minority reli gions. The firs t tier includes th e
declaratio n of religious ho lidays and th e Sabbath as nation al holidays or da ys which
businesses or govern ment office s are closed. Whil e these types of ac tions may incon-
venience mino rities — fo r example they ma y have to use vacati on days in order to
celebrate th eir own holida ys — they do no t restrict the right to free exercise . Similarly ,
state use of reli gious symbol s on flags or else where may aliena te minoriti es but many
democracie s have religi ous symbols on their flag s. Refusing t he right to use re ligious
symbols, Mazi e ( 2004 :6) ar gues, “ woul d transform li beralism into a do ctrine denyin g
independen t states the moral righ t to even the most rudime ntary form of poli tical
culture. ”
Mazie ’ s( 2004 , 2006 ) second tier includ es any more substa ntial suppor t, such as
funding, whic h signific antly advant ages a religion but do es not in any way restri ct
minority reli gions. Mazi e does, however , suggest checks and balances to en sure that
this type of su pport is not th e first step on a slip pery slope wh ich will lead to rel igious
tyranny . While religious mino rities migh t object to th eir taxes be ing used to su pport a
religion othe r than their own, fe w taxpayers ag ree with every go vernment ex penditure.
Democratic go vernment s do not requir e unanimous su pport for thei r laws and polici es
and a policy of establis hing or suppor ting a religion or reli gions is no diffe rent. The
such as compulsory ch urch attendan ce and enforced reli gious gender ro les. Mazie
( 2004 , 2006 ) considers thes e incompat ible with libera l democracy bu t allows that such
actions may be perm issible in extr eme circumst ances if they are abso lutely necess ary to
solve a seriou s social prob lem
Many make simila r argument s. Driessen ( 20 10 ) allows stat e support for religi on,
including es tablishing a re ligion, as long as th e government me ets two standard s: it
must guarante e the free exerci se of religion and it mu st be independe nt from religi on in
that religiou s actors cannot ov errule gove rnment decisi ons. In fact, Drie ssen ( 2010 ,p .
57) argues that “ under certai n circumstan ces, a religi on with strong pu blic releva nce,
institutio nalized in a friendly , democrat ic church-s tate relati onship, ma y be desirabl e
and useful for th e consolid ation of newly de mocratiz ing countrie s. ” Casanova ( 2009 ,p .
1063) argues that an establ ished religi on is only incomp atible wit h religious fr eedom
when it “ claims mo nopoly over a stat e territory , impedes the free exercise of re ligion,
and undermin es equal rights or equa l access of all citize ns. ” Smar t ( 1981 , p. 19) and
Friedland ( 2002 , p. 388) argue that th e liberal desire to se parate reli gion and state ca me
from the desire to promote religious tolera nce and defuse religious conflict. This
implies that if th is toleranc e can be accomplish ed without se paration , an establishe d
religion po ses no problem.
It is importan t to emphasize th at most of thes e argument s are made in the co ntext of
what is acceptab le in a democracy ra ther than in the cont ext of discussi ons of religio us
freedom per se an d that those wh o make this ar gument are in th e minority . Mainstream
liberal demo cratic thou ght advoca tes separati on of religi on and state. S tepan ( 2000 ,p p .
Religiou s Freedo m in Theory a nd Practi ce 9
Religious in stitution sh ould not have co nstitution ally privile ged prerogat ives that
allow them to mandat e public policy to demo cratical ly elected gove rnments. At
the same time, indi vidual reli gious commun ities … mus t have complete fr eedom
to worship pr ivately . In addition, as indivi duals and grou ps they must be ab le to
advance thei r values public ally in civil soci ety and to sponso r organiza tions and
movements in poli tical soci ety , as long as their acti ons do not impinge ne gatively
on the libertie s of other citize ns or violate democr acy and law … Wh en discussi ng
the prospect s of democracy in non-W estern, non-Chri stian, civil izations , analysts
frequentl y assume that the separation of Church and stat e are core feat ures not
only of W estern demo cracy , but of democracy itself.
Stepan is not alon e in his assessment . For example, De merath ( 2001 ,p .2 )s t a t e st h a t
“ separati ng religion from th e state is both possible an d desirable. ” Similarly , Rawls
( 1993 , p. 151) make s what is, perhap s, the best known vers ion of this norm ative plea
when he argues th at we must “ take the tr uths of religi on off the po litical ag enda. ”
13
There are elem ents of the lite rature whic h, again whil e focusing on th e proper role
for religion in de mocracies, cr eate a middle gr ound which is not inco mpatible wit h the
concept ELP F . These models require that th e state be neut ral with regard to religion.
They allow govern ment suppor t for religion and even so me restrictio ns on religion, as
long as this suppor t and these restri ctions are appl ied equally to all reli gions. Thu s, this
government av oid supporti ng, or even rest ricting, reli gion altoge ther . It even allows
restrictio ns on religion t hat would violat e free exercise as lo ng as they are appl ied
equally .
Madeley disc usses two su ch models. The neutral political conc ern model fo cuses on
equality of outc omes. It “ requir es that govern ment action shou ld not help or hinder any
life-plan or wa y of life more than any othe r and that the conseq uences of gove rnment
action should th erefore be ne utral ” (Mad eley 2003 ,p p .5 – 6). Thus a government ma y
support or re strict reli gion as long as the outcome is equal for al l religions (K uru 2009 ).
The exclusio n of ideals model fo cuses on equali ty of intent requir ing that “ the st ate be
precluded fr om justify ing its action s on the basis of a pr eference fo r any partic ular way
of life ” (Madel ey 2003 , p. 6 ). Thus states can in practice religions treat religions
differently as long as there is no specific intent to support or hinder a specific
religion.
14
While it is difficu lt to find practica l examples of poli cies of support fo r religion
which treat al l religion s equally , religious educatio n in public sc hools can prov ide a
good exampl e. A number of demo cracies pr ovide religi ous educat ion in public sc hools.
Some do so for al l religions fo r which ther e are a signif icant number of students. These
include Fin land, Icel and, the Nethe rlands, an d Sweden. In thes e cases, th e governme nt
is in practi ce providin g the same le vel of supp ort for all re ligions. No t all democr acies
which provid e religious educ ation in publi c school meet this st andard of neutra lity . For
For additio nal versio ns of this argu ment, see, am ong others , Brathwait e and Bramsen ( 201 1 , p. 233), Kuru
( 2009 ), and Shah ( 2000 ).
14
For a revie w of the W estern i ntellec tual hist ory of the co ncept of sep aration o f religio n and state, see
Laycock ( 1997 )a n dW i t t e( 2006 ).
10 J. Fox
Author's personal copy
only one reli gion despit e the presence of significant number s of students w ho belong to
religious mi norities .
These models ha ve their detrac tors who essent ially argue th at to prefer no religi on is,
in effect, to give pr eference to secu larism over reli gion which is a form of disc rimina-
tion agains t religion in general. For this reas on, Gill ( 2004 , p. 742) argues th at religious
neutrality is im possible be cause “ a state th at favors ne ither one reli gion alone no r all
religions eq ually favors a secu lar society , where all religion is privat ized by defaul t. ”
Durham ( 1996 ) an d Keane ( 2000 ) similarly argu e that when secular doct rines are
applied aggr essively th ey can become hostil e to religion an d even total itarian.
Jelen ( 2006 ) makes this ar gument in the US co ntext poin ting out that th e USA
focuses on in dividual ri ghts is ofte n seen by religi ous activi sts as violat ing their righ t to
religious freedom. For ex ample, many governme ntal bodies have enact ed policies
which prohib it certain fo rms of discri mination ag ainst homo sexuals, su ch as discri m-
ination in hous ing or employ ment … . such policies vio late the f ree exercis e rights of
citizens wh ose religiou s beliefs pr oscribe in teraction wi th such sinn ers, by forc ing such
religious pe ople to engage in busi ness activity wi th gays. Thus, la ws which seem to
increase th e freedom of one gr oup (gays) ac t at the expens e of the freedom of others
(conservat ive Christia ns) (Jelen 2006 ,p .3 3 5 ) .
Be that as it may , the ELPF argument in it s various mani festatio ns requires th at all
religions be tr eated equall y . This means that the go vernment shou ld not suppor t one or
some religion s in a manner that it do es not suppor t all of them. It also me ans that some
religions ca nnot be singled ou t for restrictio ns. However th ere is some disput e over
whether this stan dard also requ ires that the gove rnment refrai n from violatio ns of free
exercise wh ich apply to al l religions.
Cross-Co untry Empir ical Studie s of Religiou s Freedom
There have been a small number of cro ss-country empirical studies of reli gious
freedom. Fox ( 20 08 , 2013 , 20 14 ), while ex amining stat e religion po licy , found that
the overwhel ming majori ty of countr ies restri ct the religi ous practice s and insti tutions
of religious mi norities. Gr im and Finke ( 201 1 ) focus on the ELPF conception and
similarly find a gene ral lack of religi ous freedom worl dwide. Marsha ll ( 2009 )a l s of i n d s
similar resu lts. Others su ch as Akbaba and T ydas ( 2011 ), Based au et al. ( 201 1 ), Fox
( 2004 ), Nort h and Gwin ( 20 04 ), Rebe ( 20 12 ), and Sommer et al. ( 20 13 )f o c u so n
religious di scrimina tion as an independ ent variab le which influe nces other fact ors such
as conflict , corruption , democrac y , and indivi dual religi osity . Other studies examine
what makes religi ous discrimi nation more like ly (Buckley and Mant illa 2013 ;F o x
2008 ; Gwin and Nort h 2004 ;R a h m a n 2013 ). Nearly all of these studie s use the data
from Fox ( 2008 , 20 13 , 2014 ) or Grim an d Finke ( 201 1 ).
Operation alizing Reli gious Free dom
This study us es the Religi on and State Ro und 2 (RAS2) da taset to oper ationali ze the
free exercise and EL PF models for re ligious fr eedom. That is , this study tr anslates
competing th eories of reli gious freedo m into concrete me asures which can be tested.
Religiou s Freedo m in Theory a nd Practi ce 11
Author's personal copy
While the RAS 2 dataset incl udes data fo r 1990 to 2008 , this study fo cuses on the 20 08
data.
15
I use four of th e RAS2 variab les to operat ionalize these concepts. First, I use the
official religion variable which divides a state ’ s of ficial religion policy into 14
categorie s. The relevant ca tegories for thi s study are:
& Separation is t: Offi cial separa tion of Church and state and the state is sl ightly host ile
toward religi on.
& Accommodati on: Official sepa ration of ch urch and stat e and the state ha s a benev-
olent or neut ral attitu de toward re ligion in ge neral.
& Supportive : The state supp orts all reli gions more or l ess equally .
These catego ries repres ent those ca ses where al l religion s are treated eq ually . There
are also two cate gories wher e the state do es not single ou t one religi on for specia l
support but does supp ort severa l religions in a way it do es not suppor t all religi ons:
& Cooperation : The state falls short of en dorsing a part icular reli gion but cert ain
religions be nefit from state su pport more than ot hers.
& Multi-T iered Prefer ences 2 : two or more religion s are clearly pr eferred by st ate,
receiving th e most benefi ts, there exis ts one or more ti ers of religi ons which rece ive
less benefits th an the prefer red religion s but more than some ot her religion s.
16
The variable also in cludes coding s for states overtl y hostile to religi on as well as
states which st rongly supp ort a religi on, includin g establis hing a religi on. I further
discuss the re asoning fo r using these ca tegories below .
The second variable is religious discrimination which includes thirty types of
restrictio ns on the religiou s practices or in stitutio ns of minority reli gions which ar e
not placed agai nst the majority re ligion. Each it em is scaled on a range of 0 to 3 so the
variable rang es from 0 to 90.
17
The third is rel igious r egulatio n which measures the extent to which the gove rnment
regulates al l religion s in a country , including the majo rity religi on. While th e source
variable incl udes 29 types of regu lation, not al l of them involve the regu lation of
religious in stitutions or pr actices but, ra ther , focus on limiting re ligion ’ si n f l u e n c ei n
politics. I in clude the fo llowing 16 ty pes of restri ction whic h clearly limi t religiou s
practices or in stitution s:
& Arrest, continued detention, or severe official harassment of relig ious figures,
official s, and/or member s of religiou s parties.
& The governme nt restrict s or harasses me mbers and or ganizati ons affili ated with the
majority re ligion but wh o operate outs ide of the st ate sponsore d or recogn ized
ecclesiast ical framew ork.
15
For more on th e RAS2 dat aset see Fo x ( 2011 , 2013 , 2014 ) and the RA S webpage at www .religionandstate.
org . This includ es the data itsel f, informat ion regard ing data col lection, dat a reliabi lity , and variabl e structu re.
Distributions for all of the variables are available at http://www .thearda.com/Archive/F iles/Codebooks/
RAS2012_ CB.asp .
16
These des criptio ns are from th e RAS2 cod ebook whi ch is availa ble at www .religionand state.o rg .
17
For a listing of these com ponent variables, see the R AS2 codebook which is availa ble at www.
religionandstate.org .
12 J. Fox
Author's personal copy
& Restricti ons on formal re ligious or ganiza tions other th an politica l parties.
& Restricti ons on the publ ic observ ance of reli gious prac tices, incl uding reli gious
holidays and th e Sabbath.
& Restricti ons on religi ous activi ties outsid e of recogniz ed religiou s faciliti es.
& Restricti ons on public religiou s speech.
& Restricti ons or monitori ng of sermons by cler gy .
& Restricti ons on access to plac es of worship.
& Restricti ons on the publ ication or di sseminat ion of writte n religious ma terial.
& People are ar rested for re ligious acti vities.
& Restricti ons on religi ous public ga therings th at are not pl aced on other ty pes of
public gather ing.
& Restricti ons on the public disp lay by privat e persons or orga nization s of religious
symbols.
& Restricti ons on or regulation of re ligious educ ation in public sc hools.
& Restricti ons on or regula tion of reli gious educat ion outsid e of public sc hools or
general govern ment contro l of religious educ ation.
& Restricti ons on or regulation of re ligious educ ation at the univ ersity level.
& Conscient ious object ors to militar y service are no t given other op tions for nati onal
service and ar e prosecut ed.
18
Each of these item s is scaled from 0 t o 3 so the composite va riable incl udes all of
these compon ents ranges from 0 to 48 .
The final variab le is religious support which includes 51 w ays in which a go vern-
ment can supp ort religi on. Each com ponent is code d as 0 or 1 so the re sulting va riable
ranges from 0 to 51.
19
Tab l e 1 shows three mode ls for each of th e two standa rds for religi ous freedo m
based on these vari ables. The free ex ercise standa rd requires that th e government do es
not limit religi on. For this reason , at least in theory , there should be no religious
discrimina tion and none of the 16 ty pes of restrict ions on all religi ons listed abov e.
Model 1 — the stri ct model — is ba sed on this stan dard. Howeve r, as will be se en below ,
very few states meet th is standard. Acc ordingly , I develop model 2 — the loose mo del —
which allow s for low leve ls of both reli gious disc rimination and religious re gulation
based on the ar gument that it is possible for a state to have an overall regime free
exercise even if th ere are some except ions to this gene ral rule. The “ lo ose ” model
allows up to one severe ty pe of religious di scrimina tion (which woul d be coded as 3) or
up to three more mi nor types of re ligious di scriminati on (each of wh ich would be co ded
as 1 or 2 as long as the total was no high er than 3). At the same ti me, it allows for a
similar amount of th e 16 types of religious re gulation list ed above. Finall y , I add a
“ partiall y free ” model whi ch describes st ates which like ly cannot be said to have full
free exerci se rights but wh ose levels of re stricti ons are suffi ciently lo w that they are no t
far from esta blishing su ch a regime. Th e model allows both religious di scriminati on
and religiou s regulatio n to be coded as hi gh as 5.
18
These des criptio ns are from th e RAS2 cod ebook whi ch is availa ble at www .religionand state.o rg .
19
For a listing of these com ponent variables, see the R AS2 codebook which is availa ble at www.
religionandstate.org .
Religiou s Freedo m in Theory a nd Practi ce 13
Author's personal copy
The ELPF model requ ires that all reli gions be trea ted equally . It is measured here
with strict , loose, and part ially free mo dels. As sing ling out minor ity religion s for
restrictio ns is by definition un equal treatm ent, the levels of rel igious disc rimination
allowed are th e same as for th e free exerci se models. The official religion vari able does
not allow for over t hostility to re ligion in any of the mod els. For the stri ct model it only
allows states wh ich treat religi ons complete ly equally , either with full separation of
religion and st ate (the sepa rationis t and accommod ation standa rds) or by supp orting all
religions eq ually (the supp ortive stan dard). The loos e and partially free models al low
for states which t reat a two or more religi ons better th an others based on th e argument
that these reli gions are us ually the most common re ligions in a st ate and the reli gions
not benefitt ing from stat e support te nd to be minor on es. Such a regi me while not fu lly
equal is equa l for a large ma jority of a stat e ’ s po pulation . However states whi ch support
a single religi on over all ot hers includ ing those whic h establish a re ligion do no t meet
this standard . Finally , the religious support vari able is kept to low le vels. As only one
state (South Af rica) is coded as 0 in 2008, ev en the strict mode l allows low levels of up
to three types of suppor t. The loose mo del allows fo r up to four and th e partially fr ee
model up to five.
20
There is s ome debate ove r whether t he ELPF stand ard require s full free e xercise.
Accordingl y , I do not include it in thi s standard but I enga ge in separate te sts to find
how many states meet both the free exercise and the equality-level playing field
standards wh ich effect ively tests th e version of th e ELPF standard which includes a
requiremen t for free exercise .
While all of the st andards I set fo r these mode ls are somewhat arbitr ary , this is
unavoidabl e. Unless on e sets the cuto ffs at 0, which is th e basis for the st rictest mode l,
Tab l e 1 Operatio nal stand ards for re ligious f reedom usi ng the RAS 2 datase t
Restrict ions
on religious
minorities
Restrict ions on
majority
religion
or all religions
Official relationship wit h religion Support
for
religion
Free exerci se
Model 1 (strict) 0 0 na na
Model 2 (loo se) Up to 3 Up to 3 na na
Model 3 (parti ally
free)
Up to 5 Up to 5 na na
Equal trea tment/le vel playin g field
Model 1 0 na Separation ist, accom modation , and
support ive
Up to 3
Model 2 Up to 3 na Separationist, ac commod ation,
support ive, and sup port multi ple
religions
Up to 4
Model 3 Up to 5 na Separationist, a ccommod ation, supp ortive,
and suppor t multiple rel igions
Up to 5
20
While it is po ssible to an alyze eac h of the ind ividual va riables o f the RAS dat aset in rela tion to dem ocracy ,
14 J. Fox
any other bounda ries cannot be an ything othe r than arbitrar y . However , as a whole this
use of multiple mode ls allows for a rang e of models with vary ing levels of stri ctness to
be tested. This, I argue, prod uces a reasonab le picture of the phen omena I attemp t to
measure.
Data Analysis an d Discussio n
In the analys is, I test all ni ne models (thr ee for each st andard and th ree for the co mbined
standards) for all states 177 states in the RAS2 dataset. I also control for democrac y and
for the presence of religious freedo m clauses in cons titution s. The former is beca use
freedom of religi on is an expected co mponent of demo cracy . I examine three co ntrols
using the polity dataset: one for the states which score a 10, which is the most
democratic sc ore on the poli ty scale of − 10 to 10 , one for all states which scor e 8 or
higher which re presents all st ates on the higher en d of the scale and one fo r states which
score 6 or high er because th e Polity proj ect designat es 6 as the lowe st score whic h can
be considered de mocratic . I also examine the re sults for W estern democracies (W estern
Europe, The USA , Canada, Aus tralia, an d New Zealand) an d for EU member st ates as
of 2008. I use th e RAS Consti tutions data set ’ s variable for pr esence of a religiou s
freedom clau se in a constituti on to measure this fa ctor
21
because stat es which declare
religious fr eedom in a constitu tion ought to be more li kely to observe reli gious freedo m
democracy , and the constitutio nal variab les in tandem . The results ar e presented in
Tab l e 2 .
When examini ng the entir e world, even using th e partially free mo del, the majo rity
of states do not have reli gious freedo m. On the free exercise mo del even using th e
partially free st andard 52 % of stat es do not have religi ous freedom and 77.4 % do no t
meet the ELPF st andard. Wh en applying th e loose stan dard, comp liance with re ligious
freedom drops dr amaticall y with an even more dramat ic drop when appl ying the strict
standard. Inter estingly , among the 89.3 % of states which have religious freed om
clauses in th eir constitu tions the re sults are not su bstantial ly diffe rent. This is co nsistent
with previo us results wh ich show that re ligious fr eedom clause s do not substa ntially
influence reli gious disc rimination (F ox and Flores 2012 ).
Controllin g for democrac y only has a limite d impact upon th e results. Wh en looking
at the free exercise m odels, for all of the cont rols other than on e of them, democr atic
states are onl y slightly more li kely to meet the stri ct standard . W estern democr atic states
with religi ous freedo m clauses in th eir consti tutions are su bstantia lly more like ly to
meet this standa rd but, even so, over th ree quarters of them do no t. When examini ng
the ELPF standa rd, the strict mo del more often th an not is less often me t by democ-
racies than stat es in general and in no case is it substa ntially more li kely to be met by
democratic st ates.
However , when looking at th e free exercise stan dard, democr atic states acro ss the
board are far more li kely to meet to the loos e and partiall y free models than st ates in
general. Among democratic states with co nstitutional religio us freedom clauses
21
The varia ble is cfre etype01x 2008. The dataset is availabl e at variab le at www .religionands tate.oo rg
Religiou s Freedo m in Theory a nd Practi ce 15
free)
All countries 177 14.1 % 36.7 % 48.0 % 5.1 % 13.6 % 23.2 % 4 .0 % 13.0 % 22.6 %
Democracies
Polity= 10 34 17.6 % 50.0 % 61.8 % 5.9 % 20.6 % 26.5 % 2.9 % 20.6 % 26.5 %
P o l i t y8t o1 0 6 9 1 4 . 5% 4 4 . 9% 6 2 . 3% 7 . 2% 1 8 . 8% 2 7 . 5% 4 . 3% 1 8 . 8% 2 7 . 5%
P o l i t y6t o1 0 9 6 1 7 . 7% 4 3 . 8% 5 9 . 4% 7 . 3% 1 8 . 8% 2 8 . 1% 5 . 2% 1 7 . 7% 2 7 . 1%
Western democracies 27 18.5 % 48.1 % 59.3 % 0.0 % 11.1 % 18.5 % 0.0 % 11.1 % 18.5 %
European Union 27 14.8 % 40.7 % 48.1 % 3.7 % 7.4 % 14.8 % 3.7 % 7.4 % 14.8 %
Constitution declares r eligious freedom
All countries 158 15.2 % 39.9 % 50.0 % 5.1 % 14.6 % 24.7 % 3.8 % 13.9 % 24.1 %
And polity= 10 29 17.2 % 55.2 % 62.1 % 3.4 % 20.7 % 27.6 % 0.0 % 20.7 % 27.6 %
And polity 8 to 10 60 15.0 % 48.3 % 63.3 % 6.7 % 20.0 % 30.0 % 3.3 % 20.0 % 30.0 %
And polity 6 to 10 85 18.8 % 47.1 % 60.0 % 7.1 % 20.0 % 29.4 % 4.7 % 18.8 % 28.2 %
And Western
democracies
21 23.8 % 61.9 % 66.7 % 0.0 % 14.3 % 23.8 % 0.0 % 14. 3 % 23.8 %
And European
Union
22 18.2 % 50.0 % 54.5 % 4.5 % 9.1 % 18.2 % 4.5 % 9.1 % 18.2 %
16 J. Fox
Author's personal copy
loose and partia lly free standa rds. The result s for the ELPF standa rd with regard to the
loose and partia lly free standa rds are mixed. In so me cases, demo cracies are a bit less
likely to meet thes e standards but in so me cases they are a bit more li kely . However , in
all cases no more than 20 .7 % meet the loose standa rd and no more than 30 % meet the
partially free st andard. The resu lts for states whi ch meet both standa rds at the same time
are nearly id entical to th e results for th e ELPF stan dard.
Overall, reli gious free dom is much rare r than one would expe ct, especi ally among
democratic states which are expected to provide a number of fr eedoms to th eir citizens ,
including reli gious free dom. For example, ba sed on a zero-toler ance policy fo r the right
to free exercise (the st rict model), de mocracies ar e only slight ly more likely th an non-
democratic st ates to provide th ese freedoms an d less than 20 % of such states, no matt er
how democrac y is measured, meet th is strict stan dard. This mean s that non-demo cratic
states such as Ca meroon, Con go-Brazz aville, and Gu inea-Bis sau have more re ligious
freedom than es tablished W estern democracie s such as Austria , Germany and Gree ce,
all of which su bstantiall y discrimi nate agains t at least some of their religious mino rities.
Germany and Gree ce place substa ntial restri ctions on Muslim s. Greece also pl aces
restrictio ns on many non-Orth odox Christia ns. All three countr ies substant ially restri ct
cults and sect s such as the Scien tologist s. The three Af rican countr ies I note abov e do
none of this to any minori ty .
Finally , I test the correlates of reli gious freedo m using all nine op eralizatio ns as the
dependent vari able using logi stic regres sions. The indep endent variab les includ e the
three democr acy variable s and the religiou s freedom clau se in constituti ons used above.
In addition , I also use vari ables prev ious studie s used to pred ict religiou s discrimi nation
(Fox 2008 ) thes e include th e whether th e majority po pulation in a coun try is Chris tian
or Muslim,
22
religious di versity ,
23
the log of the co untry ’ s p opulation,
24
the polity
variable (the fu ll − 10 to 10 versio n describe d above), and pe r-capit a GDP .
25
The results pres ented in T able 3 show that democracy ha s a limited in fluence on
religious freedom. Members hip in the EU or being a W estern democracy has no
significan t relationsh ip with religiou s freedom. The po lity variable fo r democracy is
only signific ant in three of th e nine tests. The mo st consiste ntly signifi cant variable is
religious di versity .
26
Religious ly diverse coun tries are signif icantly associ ated with
religious freedom in eight of the nine tests . Despite previous results that Musl im
majority coun tries are asso ciated with high er levels of relig ious discri mination (Fox
2008 ;G r i ma n dF i n k e 2011 ), this stud y finds no si gnificant co rrelatio n of any kind
between religi ous identity and re ligious freedo m. In four of the regressi ons, more
populous co untries have lo wer levels of rel igious freedo m as do more econom ically
prosperous co untries in two of th e tests.
22
This is take n from the RA S2 datas et.
23
For this, I use the ve rsion of the Herf indahl Inde x develop ed by Barro and McCl eary ( 2005 ).
24
Tak en from the W orld Bank.
25
Tak en from the UN Stat istical Div ision at http://www.unstats.org/unsd/default.htm .
26
For a more detail ed discussi on of the impact of re ligiou s diversity on re ligious fr eedom and dem ocracy , see
Forblets ( 2013 ), Grim and Fink e ( 2011 , pp. 3 – 6), and Kuru ( 2009 , pp. 74 – 10 2).
Religiou s Freedo m in Theory a nd Practi ce 17
Author's personal copy
Tab l e 3 Logistic regressions predicting religious freedom in 2008
Free exercise strict model Free exercise loose model Free exercise partially free model Equality-level playing field strict model Equality-level p laying field loose model
B Sig B Sig B Sig B Sig B Sig
Majority Christian − 0.216 0.754 0.094 0.862 0.316 0.576 − 0.313 0.741 0.045 0.943
Majority Muslim − 0.329 0.713 − 0.647 0.346 − 0.936 0.172 − 0.323 0.800 − 0.635 0.491
Religious diversity 1.996 0.149 2.379 0. 016 2.054 0.037 7.661 0.021 4.279 0.004
EU member 0.382 0.655 − 0.486 0.439 − 1.166 0.075 − 0.227 0.871 − 1.285 0.150
Western democracy 1.635 0.098 0.724 0.315 1.055 0.158 − 19.991 0.998 − 0.689 0.472
Polity 0.112 0.067 0.118 0.004 0. 166 0.000 0.072 0.352 0.109 0.051
Log of population − 1.083 0.015 − 1.074 0.001 − 1.173 0.000 0.048 0.935 − 0.027 0.943
Log Per capita GDP − 1.367 0.011 − 0.407 0.256 − 0.934 0.017 0.935 0.174 0.378 0.404
Constitutional clause 0.581 0.627 1.372 0.136 0.766 0.347 − 2.500 0.130 − 0.063 0.959
% Predicted 85.4 71.5 70.9 95.6 85.4
Nagelkerke R
2
0.129 0.327 0.430 0.310 0.139
Equality-level playing field partially free model Both strict model Both loose model Both partially free model
B Sig B Sig B Sig B Sig
Majority Christian − 0.688 0.223 0.762 0. 534 0.117 0.854 − 0.666 0.242
Majority Muslim − 1.205 0.128 0.939 0.541 − 1.352 0.248 − 1.650 0.066
Religious diversity 4.435 0.001 8.477 0.036 5.448 0.002 5.175 0.000
EU member − 0.711 0.345 0.637 0.678 − 1.347 0.138 − 0.729 0.339
Western democracy 0.472 0.571 − 19.155 0.998 − 0.997 0.316 0.347 0.683
Polity 0.092 0.043 0.014 0.868 0.100 0.082 0.084 0.068
Log of population − 0.714 0.047 − 0.412 0.574 − 0.003 0.995 − 0.739 0.047
Log per capita GDP − 0.182 0.645 0.062 0.938 0.632 0.188 − 0.027 0.946
Constitutional clause 0.580 0.623 − 3.273 0.080 − 0.266 0.833 0.447 0.709
% Predicted 79.1 96.2 87.3 79.7
Nagelkerke R
2
0.319 0.283 0.307 0.358
18 J. Fox
Author's personal copy
Conclusion s
While sortin g out the meanin g of religiou s freedom ca n be difficu lt, operat ionalizing
multiple mode ls of this standa rd demonstrat es that however it is de fined, relig ious
freedom is not pres ent in a majority of th e world ’ s states. Even wh en substant ially
loosening th e standards to al low for a partia lly free stan dard for religi ous freedom an d
looking only at de mocracies wh ose constitu tions guaran tee religiou s freedom, at leas t a
third of these states do no t have religious fr eedom. This nu mber increase s substantial ly
if one looks beyo nd W estern democr acies, uses a stri cter standa rd for measurin g the
free exercise st andard for rel igious freedo m or uses the ELPF stan dard.
Theoretica l discussion s of religious free dom are importan t. However , many of them
are based on assump tions of values wh ich do not appear to refl ect actual prac tice
among a large number of these democracies. If one wants even a mildly strict
applicatio n of these standard s, a clear majority of de mocracies do no t have full religio us
freedom. In fact , using a zero-tol erance stan dard, free exer cise is present only in 14.5 to
17.7 % of democracie s, depending on ho w one measures demo cracy . Only South
Africa meets a ze ro-toler ance equali ty-level pl aying fiel d standard (a s will be recall ed
the strict mode l was not zero-tol erance precis ely because ne arly no states ca n meet that
standard).
Thus, to the extent th at these standa rds exist in libera l democracies — the states we
would most expect to ha ve religious fr eedom — reli gious freedo m is far more often
discussed th an practiced. Th is finding need s to be a larger part of the conver sation. In
fact, this incl udes many W estern democracies such as Au stria, Belgium , Denmark,
France, Germ any , Greece, S pain, and Swe den who are part of the EU which has a
system-wi de regime to prot ect human ri ghts includ ing religi ous rights. Y et none of
these states meet even the minimu m requirem ent set in this st udy for bein g partially
free. Among th ese 17 states on ly Ireland an d Portugal meet the stri ct standard fo r free
exercise. On ly the Neth erlands meet s the loose st andard for EL PF and none me et the
strict versio n of that standa rd.
Based on this, I would argue that the absence of religious freedom — however
it is theorized, defined and operationalized — is sufficiently widespread that
religious freedom is more common in theoretical discussions of the nature of
democracy than in the policies of democratic governments. This leads one to
question the link between liberal de mocracy and religious freedom. Either
religious freedom is not a n ecessary tr ait for liberal democracy or there are
far fewer liberal democracies in the world than many believe to be the case.
While I would not argue that the concept of liberal democracy is theoretically
compatible with violations of religious freedom, it is clear that these violations
are so commonplace in these states that it is possible for a state to violate this
principle and still be considered by most to be a liberal democracy .
In addition, as I disc uss in detail earl ier in this articl e, most non-ac ademic discus -
sions of religiou s freedom — foun d mostly in governm ent reports and inte rnational
documents — do not addres s the issue s how religiou s freedom sh ould be concei ved
and rather focu s on a laundry list appr oach to the topic. Thi s ad hoc approach to
addressing re ligious free dom may provid e some indicati on of possible av enues for
improving re ligious fr eedom in prac tice. Inst igating a mo re basic foun dational di scus-
sion of how th e notion shou ld be theori zed and co nceived may he lp to genera te more
Religiou s Freedo m in Theory a nd Practi ce 19
interest in the issu e as well as more coherent policies in order to app ly religious
freedom.
Based on this , further re search is nece ssary alon g at least thre e lines. Fir st, why is it
that many states re gularly viol ate what many cons ider to be their co re values and are
still widel y considered liberal de mocracie s? Or perhap s we should fr ame the questi on
as how much can a de mocracy devi ate for the id eal of religi ous freedo m and still be
considered a de mocracy? Seco nd, we need more st udy into why stat es violate the
principle of rel igious free dom. Past studie s have focused on as pects of this such as th e
correlates of re ligious disc rimination (B uckley and Mantil la 2013 ;F o x 2004 , 2008 ;
Grim and Finke 201 1 ; Gwin and North 20 04 ;M a r s h a l l 2009 ;R a h m a n 2013 ) but none
have distille d these variab les into an operat ional model for re ligious free dom and asked
not only who has it bu t also why? The te sts in this stud y begin this pr ocess but re quire
further rese arch. Finall y, it is po ssible we need to reth ink how we define reli gious
freedom.
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Sommer , Udi, Paz it Ben-Nun Bloom, & Gizem Ar kian “ Does Fa ith Limit Mo rality: The Po litics of Rel igion
and Corrup tion ” Dem ocratiza tion, 20 (2) , 2013, 287 – 309
Spickar d, James V . “ Human Rights , Religious Conflict, and Glob alizatio n: Ultimat e V alues in a New Wo rld
Order ” MOST , Journal on Multicult ural Socie ties, 1 (1), 199 9, www.unesco.org./most/vl1n1ris.htm .
Spohn, Wilfri ed “ Europeanizat ion, Religion, and Coll ective Identitie s in Enlarging Europe : A Multiple
Modernities Perspective ” European Jour nal of Soci al Theory , 12 (3), 2009: 358 – 374)
Stark, Rodney & Roger Finke Act s of Faith: Explaining the Human Sid e of Religion, Berkeley , CA:
Univers ity of Califor nia Press, 20 00
Stepan, Al fred “ Relig ion, Democr acy , and the ‘ Twin To l er at i on s ’” Journal of Democr acy , 11 (4 ), 2000, 37 – 56
Stepan, Al fred “ The Mu ltiple Se cularism s of Moder n Democrat ic and Non- Democr atic Regi mes ” in Calh oun,
Craig Mar k Juergens meyer , & Jonatha n V an Antwerpwn eds. R ethinkin g Secular ism, New Y ork, NY :
Oxford Univ ersity Pre ss, 2012, 125 – 155.
Tof t, Monic a D., Danie l Philpot t, & Timo thy S. Sha h God ’ s Centu ry: Resur gent Reli gion and Gl obal Polit ics,
New Y ork, NY: W . W. Nort on & Compan y , 2011.
Wilso n, Erin “ Bey ond Dualism : Expande d Unders tandings of Religion an d Global Ju stice ” International
Studies Qu arterly , 54 (3), 2010, 733 – 754.
Witte , John Jr. “ F acts and Fi ctions A bout the Hi story of S eparatio n of Churc h and State ” Journal of Ch urch
and State, 48 (1), 2006, 15 – 45.
Witte , John Jr . & M. Chris tian Green “ Religi ous Freed om, Democr acy , and Internat ional Hum an Rights ”
Emory Inte rnationa l Law Review , 23 (2), 2009, 583 – 698
22 J. Fox
Author's personal copy
... The Maldivian state claims to be 100% Muslim. However, religious freedom remains a major problem for Muslimmajority countries, including the above-mentioned countries
Fox, 2014
Hefner, , 2011b. As Cesari (2014) says, "[t]he protection of religious freedom is the conundrum of Muslim-majority countries" (p. ...
Islam and Democracy in the Maldives: Interrogating Reformist Islam's Role in Politics
Book
... Religious freedom, as a spiritual integrity right, is often marginalized in the scientific study of international human rights, but it is a recognized international norm in human rights, and of great importance to the dignity and wellbeing of individuals and groups with religious beliefs. Given the wide spread of religious restrictions
(Fox 2015
(Fox , 2021 and discrimination (Fox 2014), and the detrimental consequences of religious restrictions and discrimination on human rights protection and ethnic conflicts (Fox 2000), it is imperative to examine whether HROs can improve the protection of religious freedom. As religion plays an increasing role in international relations in theory and practice (Fox 2001;Sandal and Fox 2013), this study will enrich the literature in IR by providing theoretical advancement and empirical findings in the intersection between religion and human rights study. ...
Are International Human Rights Organizations Effective in Protecting Religious Freedom?
Article
Full-text available
This paper examines whether international human rights organizations (HROs) influence the protection of religious freedom, and whether the effect is different on the protection of religious rights for institutions versus individuals. This study not only reveals the institutional and individual dimensions of religious restrictions with an exploratory factor analysis, but also uses fixed effects models to analyze cross-national time-series data covering 1990–2003. The results indicate that the domestic presence of HROs has a positive effect on reducing both aggregate religious restrictions and the two dimensions of religious restrictions.
... Damon MAYRL https://orcid.org/0000-0002-6763-0547 Notes 1. 'Religious freedom' is a multidimensional concept without a consensus definition (Breskaya and Giordan, 2019;
Fox, 2015)
. We follow existing scholarship (Lerner, 2013;Mayrl, 2018) Author biographies ...
The dejudicialization of religious freedom?
Article
SOC COMPASS
Despite a recent trend toward the judicialization of religious freedom (JRF), both historical experience and theoretical considerations suggest ‘dejudicialization’ is likely at some point. Yet, dejudicialization has provoked a little comment, and even less theorization, among social scientists studying religious freedom. This article conceptualizes the dejudicialization of religious freedom (DRF) in institutionalist terms, examines the structural forces that have facilitated JRF, and considers whether and how they may be waning in recent years. We argue conditions favorable toward dejudicialization in general, and DRF more specifically, are already emerging; highlight recent developments consistent with such a turn; and develop a typology of the forms that DRF may take.
Do Countries Need Religious and Educational Freedoms to Achieve Prosperity?
Article
Full-text available
Danabekova Aigerim
This study examines the impact of religious and educational freedoms on prosperity. The system GMM model is applied by using the data of 45 lower-, middle-, and high-income countries from 2009 to 2018. The results show that religious and academic freedoms are positively and statistically significantly associated with prosperity. It is revealed from the results that the lagged impact of both religious and education freedoms has a higher impact on prosperity than the current level of both variables. Interestingly, the interaction term between academic and religious freedom is also positive and statistically significant, indicating that their combined effect further increases prosperity. Further, the interaction term between government effectiveness and gross fixed capital formation is introduced. Its impact is positive and significant, indicating that capital investment positively affects prosperity in the case of higher government effectiveness. This study uses gross fixed capital formation and trade openness as control variables and these variables have a positive impact on prosperity, but the impact of trade openness on prosperity is insignificant. Thus, this study recommends religious and education freedom to achieve prosperity, especially in low-income countries that are already lagging.
Against the Religious Neutrality Requirement
Article
Full-text available
One element of the liberal ideal of secularity is the principle that the state should treat religions neutrally: This is the religious neutrality requirement. Applied to religious belief systems, the principle stipulates that the state should not take a position on whether or not a certain religion is true. I challenge this ideal and argue that teachers in public schools sometimes need to take a position on religious truth claims in order to avoid the risk of promoting false beliefs. I then argue that not acting to avert these implications is sufficiently costly to justify the abandonment of this requirement.
View
Show abstract
The Notion of Unbelief in Ancient Greece: Condemning and Persecuting Atheistic Positions in Classical Athens
Article
Ramón Soneira-Martínez
Quantifying Persecution: Developing an International Law-based Measurement of Freedom of Religion or Belief
Mauro Gatti
Pasquale Annicchino
Judd Birdsall
Marco Ventura
In this essay the authors—an international and interdisciplinary research team of scholars and practitioners—present the main challenges they faced, the solutions they developed, and their reflections and recommendations based on their research for the annual report of the European Parliament Intergroup on Freedom of Religion or Belief & Religious Tolerance. The research team elucidated international law standards on FoRB and then assessed whether the laws and practices of third countries are consistent with their international legal obligations. This grounding in international law is a distinctive contribution of the research.
The Judicialization of Religious Freedom: An Institutionalist Approach
Full-text available
Damon Mayrl
Recent years have seen growing interest in the judicialization of religious freedom (JRF). In this article, I identify two distinct meanings of JRF, which are often conflated but which need to be kept separate. I then argue for a stronger institutionalist approach to JRF. An institutionalist approach focuses our attention on both the rules internal to courts, and the relationship of courts to administrative agencies, legislatures, and other governing bodies. I argue that there is room to strengthen our analyses of JRF by paying greater attention to these institutional dynamics. I demonstrate this by highlighting two overlooked features of courts—interpretive rules and access rules—that are particularly important for governing JRF; and by developing a framework that relates the courts to other institutional venues and political actors. In so doing, I identify a number of promising directions for future research into the causes and consequences of JRF.
Religious Affiliation as a Baseline for Religious Diversity in Contemporary Europe. Making Sense of Numbers, Wordings, and Cultural Meanings
Antonius Liedhegener
Anastas Odermatt
This working paper reports on the data and findings of the SNSF-research project “Swiss
Metadatabase of Religious Affiliation in Europe (SMRE)”. Eight years ago, the two
authors started with the simple, yet irritating observation that the existing data on
religious affiliation in various European countries frequently showed substantial
differences. The SMRE-project was set up to investigate this situation in more detail and
to improve the data quality. The project became funded by the SNSF in 2015 and thus
resulted in “big data work” (in the double sense of the word). After years of collecting,
comparing, and integrating data from various sources into the newly designed, internetbased
SMRE-metadatabase, the working paper presents new statistical estimates on
religious affiliation in Europe on a country and EU-level. The numbers given are
validated and standardized estimates allowing for comparisons across countries, between
two time-periods (2000: 1996-2005, and 2010: 2006-2015). The SMRE covers 50
European and neighbouring Eastern states, as well as the European Union and the
Council of Europe as special entities. The SMRE-estimates result from a heuristic model
of religion, a working definition of religious affiliation, a transparent and consistent
rating procedure and finally a general algorithm for integrating the existing wealth of
data into a single statistical data set on religious affiliation in Europe. The SMRE
presents estimates in the sense that, to the best of our knowledge, these data are reliable
numeric expressions for the distribution of religious affiliation in Europe, i.e. the (rough)
percentage of people who say they belong to one out of eight major European religious,
including the category No religious affiliation.
The paper starts with the current state of research, documents the SMRE-approach and its
algorithm and reports the substantial results of analysing the SMRE-estimates by means
of descriptive and explorative data analysis. Our analysis shows that the religious
landscape measured by religious affiliation has become a double-layered structure in
Europe. First, the legacies of the different, historically dominant Christian traditions are
still shaping today’s religious scene. Path dependencies are clearly at work. Secondly, the
20th century shift towards larger shares of people with no religious affiliation in European
countries altered the structure of many, yet not of all countries significantly. In addition,
more recent developments of using religion in identity politics are leading to
homogenisation in a few countries. As a result, Europe and the European Union show
large differences in the degree of religious pluralisation today. In terms of EU member
states, their differences in religious affiliation and its changes even tend to separate the
old and new member states religiously and culturally. There is a need for more detailed
investigations into religious diversity and pluralisation in Europe across countries. The
SMRE-estimates on religious affiliation provide a new baseline for such research. All
SMRE-data are made available as open research data (www.smre-data.ch).
Pluralisierung
Chapter
Die soziale Tatsache religiöser und weltanschaulicher Vielfalt gehört in einer sich zunehmend globalisierenden Welt zu den zentralen Wissensbeständen und Herausforderungen der Gegenwart. Die interdisziplinäre sozialwissenschaftliche Religionsforschung greift diese Tatsache in ihrer Theoriebildung und empirischen Forschung auf. Der Beitrag zeigt, dass das Konzept der „Pluralisierung“ bzw. „religiösen Pluralisierung“ über die aktuellen Lager vor allem religionssoziologischer Theoriebildung hinweg als „Brückenkonzept“ geeignet ist, einen wesentlichen Beitrag zum Verständnis von Religion und Religionen in der Gegenwart zu leisten. Dazu werden Begriffsbildung (2), Operationalisierung, empirische Befunde zur religiösen Vielfalt weltweit und in Europa (3) und deren Wirkung im Kontext hochmoderner Gesellschaften vorgestellt (4). Insbesondere wird deutlich, dass die Unterscheidung von (empirischer) Pluralisierung und (normativem) Pluralismus das Verständnis dafür schärft, dass und wie religiöse Vielfalt eine gesellschaftliche und politische Gestaltungsaufgabe ist (5).
An Introduction to Religion and Politics: Theory and Practice
Religion, Civilization and Civil War: 1945 Through the New Millennium
In Religion, Civilization, and Civil War author Jonathan Fox carves out a new space of research and interrogation in conflict studies. As a preeminent observer of religious trends on domestic conflicts, Fox utilizes new statistical analysis in the Minorities at Risk (MAR) dataset - which tracks several hundred politically active ethnic groups across the globe, to examine the impact of religion and religious practice on rebellion, protest, discrimination, and international intervention. Fox also employs the State Failure (SF) dataset, which tracks internal wars and failed governances. Fox expertly uses this information to analyze ethnic wars, mass killings, and civil wars between 1948 and 2001. Covering over five decades, this study provides the most comprehensive and detailed empirical analysis of the impact of religion and civilization on domestic conflict to date and will become a critical resource for both international relations and political science scholars. Like his first book, Ethnoreligious Conflict in the Late 20th Century: A General Theory, which was touted as closing gaps in the concept of ethnoreligious conflict, Religion, Civilization, and Civil War provides the data to substantiate, expand, and transform the way scholars understand global conflict since World War Two.
An Introduction to Religion and Politics: Theory and Practice
An Introduction to Religion and Politics offers a comprehensive overview of the many theories of religion and politics, and provides students with an accessible but in-depth account of the most significant debates, issues and methodologies. Fox examines the ways in which religion influences politics, analyses the current key issues and provides a state of the art account of religion and politics, highlighting the diversity in state religion policies around the world.
Topics covered include:
Secularism and secularization
Religious identity
Religious worldviews, beliefs, doctrines and theologies
Religious legitimacy
Religious institutions and mobilization
Rational and functional religion
Religious fundamentalism
Conflict, violence and terror
This work combines theoretical analysis with data on the religion policies of 177 governments, showing that while most of the world's government support religion and many restrict it; true neutrality on the issue of religion is extremely rare. Religion is becoming an inescapable issue in politics.
This work will be essential reading for all students of religion and politics, and will also be of great interest to those studying related subjects such as comparative politics, international relations and war and conflict studies.
Building Composite Measures of Religion and State
Religion, law, and human rights
Managing Global Chaos: Sources of and Responses to International Conflict.
Richard B. Bilder
David Wippman
Chester A. Crocker
Acts of Faith: Explaining the Human Side of Religion
William H. Swatos
| https://www.researchgate.net/publication/271660942_Religious_Freedom_in_Theory_and_Practice |
History for draft-ietf-sipping-config-framework -18
A Framework for Session Initiation Protocol User Agent Profile Delivery RFC 6080
Revision differences
From revision
RFC 6080
(2011-03-03) draft-ietf-sipping-config-framework-18
(2010-10-07) draft-ietf-sipping-config-framework-17
(2010-02-17) draft-ietf-sipping-config-framework-16
(2009-09-30) draft-ietf-sipping-config-framework-15
(2008-02-13) draft-ietf-sipping-config-framework-14
(2007-11-18) draft-ietf-sipping-config-framework-13
(2007-10-25) draft-ietf-sipping-config-framework-12
(2007-06-04) draft-ietf-sipping-config-framework-11
(2007-03-06) draft-ietf-sipping-config-framework-10
(2007-01-22) draft-ietf-sipping-config-framework-09
(2006-10-09) draft-ietf-sipping-config-framework-08
(2006-03-08) draft-ietf-sipping-config-framework-07
(2005-07-19) draft-ietf-sipping-config-framework-06
(2005-02-23) draft-ietf-sipping-config-framework-05
(2004-11-02) draft-ietf-sipping-config-framework-04
(2004-07-21) draft-ietf-sipping-config-framework-03
(2004-05-18) draft-ietf-sipping-config-framework-02
(2004-02-16) draft-ietf-sipping-config-framework-01
(2003-10-27) draft-ietf-sipping-config-framework-00
(2003-03-03) draft-ietf-sipping-config-framework-18
(2010-10-07)
To revision
RFC 6080
(2011-03-03) draft-ietf-sipping-config-framework-18
(2010-10-07) draft-ietf-sipping-config-framework-17
(2010-02-17) draft-ietf-sipping-config-framework-16
(2009-09-30) draft-ietf-sipping-config-framework-15
(2008-02-13) draft-ietf-sipping-config-framework-14
(2007-11-18) draft-ietf-sipping-config-framework-13
(2007-10-25) draft-ietf-sipping-config-framework-12
(2007-06-04) draft-ietf-sipping-config-framework-11
(2007-03-06) draft-ietf-sipping-config-framework-10
(2007-01-22) draft-ietf-sipping-config-framework-09
(2006-10-09) draft-ietf-sipping-config-framework-08
(2006-03-08) draft-ietf-sipping-config-framework-07
(2005-07-19) draft-ietf-sipping-config-framework-06
(2005-02-23) draft-ietf-sipping-config-framework-05
(2004-11-02) draft-ietf-sipping-config-framework-04
(2004-07-21) draft-ietf-sipping-config-framework-03
(2004-05-18) draft-ietf-sipping-config-framework-02
(2004-02-16) draft-ietf-sipping-config-framework-01
(2003-10-27) draft-ietf-sipping-config-framework-00
(2003-03-03) RFC 6080
(2011-03-03)
Diff format
Document history
Date
Rev.
By
Action
2017-05-16
18
(System)
Changed document authors from "Sumanth Channabasappa" to "Sumanth Channabasappa, Daniel Petrie"
2015-10-14
18
(System)
Notify list changed from sipping-chairs@ ietf. org , dan. ietf@ SIPez. com , sumanth@ cablelabs. com , mary. ietf. barnes@ gmail. com to dan. ietf@ SIPez. com
2012-08-22
18
(System)
post-migration administrative database adjustment to the No Objection position for Sean Turner
2012-08-22
18
(System)
post-migration administrative database adjustment to the No Objection position for Dan Romascanu
2012-08-22
18
(System)
post-migration administrative database adjustment to the No Objection position for Alexey Melnikov
2011-03-03
18
Cindy Morgan
State changed to RFC Published from RFC Ed Queue.
2011-03-03
18
Cindy Morgan
[Note]: 'RFC 6080' added
2011-03-03
18
(System)
RFC published
2010-10-19
18
(System)
IANA Action state changed to RFC-Ed-Ack from Waiting on RFC Editor
2010-10-19
18
(System)
IANA Action state changed to Waiting on RFC Editor from In Progress
2010-10-19
18
(System)
IANA Action state changed to In Progress from Waiting on Authors
2010-10-18
18
(System)
IANA Action state changed to Waiting on Authors from In Progress
2010-10-18
18
Cindy Morgan
State changed to RFC Ed Queue from Approved-announcement sent by Cindy Morgan
2010-10-15
18
(System)
IANA Action state changed to In Progress
2010-10-15
18
Amy Vezza
IESG state changed to Approved-announcement sent
2010-10-15
18
Amy Vezza
IESG has approved the document
2010-10-15
18
Amy Vezza
Closed "Approve" ballot
2010-10-14
18
Alexey Melnikov
[Ballot comment] [This was a part of my DISCUSS, but after discussing this on IESG call I am Ok (not happy, but Ok) that missing …
[Ballot comment] [This was a part of my DISCUSS, but after discussing this on IESG call I am Ok (not happy, but Ok) that missing information about data model in a framework document is Ok]: I have some major concerns about lack of data model definition in this document. Without that it is not possible to write 2 interoperable implementations. The document says that specific configuration formats are going to be specified in future documents. Are there any examples of such configuration formats? 6.2.3. effective-by parameter Effective-By = "effective-by" EQUAL 1*DIGIT Does this value have an upper limit?
2010-10-14
18
Alexey Melnikov
[Ballot Position Update] Position for Alexey Melnikov has been changed to No Objection from Discuss by Alexey Melnikov
2010-10-10
18
Dan Romascanu
[Ballot Position Update] Position for Dan Romascanu has been changed to No Objection from Discuss by Dan Romascanu
2010-10-07
18
Sean Turner
[Ballot Position Update] Position for Sean Turner has been changed to No Objection from Discuss by Sean Turner
2010-10-07
18
Sean Turner
[Ballot discuss] 1) Section 5.3.5 says: While this framework does not impose specific constraints on any such framework, it does allow for the …
[Ballot discuss] 1) Section 5.3.5 says: While this framework does not impose specific constraints on any such framework, it does allow for the propagation of profile content to the PDS (specifically the PCC) from a network element or the device. Figure 1 does not show the interaction between the network element. Should Figure 1 be updated or should Section 5.3.5 be fixed?
2010-10-07
18
(System)
Sub state has been changed to AD Follow up from New Id Needed
2010-10-07
18
(System)
New version available: draft-ietf-sipping-config-framework-18. txt
2010-08-02
18
Alexey Melnikov
[Ballot comment] [This was a part of my DISCUSS, but after discussing this on IESG call I am Ok (not happy, but Ok) that missing …
[Ballot comment] [This was a part of my DISCUSS, but after discussing this on IESG call I am Ok (not happy, but Ok) that missing information about data model in a framework document is Ok]: I have some major concerns about lack of data model definition in this document. Without that it is not possible to write 2 interoperable implementations. The document says that specific configuration formats are going to be specified in future documents. Are there any examples of such configuration formats? 6.2.3. effective-by parameter Effective-By = "effective-by" EQUAL 1*DIGIT Does this value have an upper limit? 9.1. Local-network profile Alternatively, certain deployments may require the entities - device and the PDS - to authenticate each other prior to successful profile enrollment. Such networks may pre-configure user identities to the devices and allow user-specific local-network profiles. In such networks the PDS will support digest, and the devices are configured COMMENT: suggest changing "suport digest" to "support Digest authentication" or similar.
2010-08-02
18
Alexey Melnikov
[Ballot discuss] I have a couple of very minor points and some questions about this document: 1) 5.1.1. Profile Enrollment Upon failure …
[Ballot discuss] I have a couple of very minor points and some questions about this document: 1) 5.1.1. Profile Enrollment Upon failure to obtain the profile using any methods specified in this framework, the device MAY provide a user interface to allow for user intervention. This can result in temporary, one-time data to bootstrap the device. Such temporary data is not considered to be "configured" and SHOULD NOT not be cached across resets. Did you mean "SHOULD be cached" (the "NOT not" part)? 2) ABNF needs to be a Normative reference for this document.
2010-08-02
18
Dan Romascanu
[Ballot discuss] 1. I share Alexey's concern about the difficulty of proving interoperability in the absence of a data model. Actually my conern is even …
[Ballot discuss] 1. I share Alexey's concern about the difficulty of proving interoperability in the absence of a data model. Actually my conern is even broader, there are so many cases, and types of profiles, and the framework allows for newer types to be added that I cannot really see how parts of this document can be tested for interoperability. Maybe it would be useful to specify what of the whole text in the RFC is normative - probably most of section 5 and section 6, but not more. 2. [this comment cleared following editor clarification - thank you] 3. I am unconfortable with the way bootstraping of devices is described in Section 5.3.1. There are too many methods of doing the same thing, and there is no requirement for a mandatory method for compliance. Which of the ways of bootstrapping a device with the required identities and credentials is required, or if more than one is supported which one is preferred? 4. I find the discussion about Device Types in section 5.3.3 rather expedited and superficial in what concerns devices that do not directly communicate with any users like gateways, media servers or SIP servers. These ones have other functions than of an UA and may be configured by different methods and protocols, not only the ones that are being mentioned in this document. How do configuration operations that are performed part by using the framework, part by using other protocols work together?
2010-08-02
18
Peter Saint-Andre
[Ballot Position Update] Position for Peter Saint-Andre has been changed to No Objection from Discuss by Peter Saint-Andre
2010-07-26
18
Robert Sparks
Responsible AD has been changed to Gonzalo Camarillo from Robert Sparks by Robert Sparks
2010-04-28
18
Amy Vezza
State Change Notice email list have been change to
sipping-chairs@ tools. ietf. org , dan. ietf@ SIPez. com , sumanth@ cablelabs. com , mary. ietf. barnes@ gmail. com
from
sipping-chairs@ tools. ietf. org
,
dan. ietf@ SIPez. com
,
sumanth@ cablelabs. com
2010-04-23
18
(System)
Removed from agenda for telechat - 2010-04-22
2010-04-22
18
Cindy Morgan
State Changes to IESG Evaluation::Revised ID Needed from IESG Evaluation by Cindy Morgan
2010-04-22
18
Alexey Melnikov
[Ballot comment] [This was a part of my DISCUSS, but after discussing this on IESG call I am Ok (not happy, but Ok) that missing …
[Ballot comment] [This was a part of my DISCUSS, but after discussing this on IESG call I am Ok (not happy, but Ok) that missing information about data model in a framework document is Ok]: I have some major concerns about lack of data model definition in this document. Without that it is not possible to write 2 interoperable implementations. The document says that specific configuration formats are going to be specified in future documents. Are there any examples of such configuration formats? 5.2.1. Securing Profile Enrollment Transmission of sensitive profile data also requires message integrity. This can be accomplished by configuring the device with, or by ensuring that the discovery process during profile enrollment provides, a SIPS URI resulting in TLS establishment ([ RFC5246 ]). TLS also prevents offline dictionary attacks when digest authentication is used. Thus, in the absence of TLS, the device MUST NOT respond to any authentication challenges. The last sentence: are you saying that Digest authentication MUST only be used over TLS? 6.2.1. profile-type Profile-type = "profile-type" EQUAL profile-value profile-value = profile-types / token profile-types = "device" / "user" / "local-network" So just to confirm, the values are case insensitive? 6.2.3. effective-by parameter Effective-By = "effective-by" EQUAL 1*DIGIT Does this value have an upper limit? 9.1. Local-network profile Alternatively, certain deployments may require the entities - device and the PDS - to authenticate each other prior to successful profile enrollment. Such networks may pre-configure user identities to the devices and allow user-specific local-network profiles. In such networks the PDS will support digest, and the devices are configured COMMENT: suggest changing "suport digest" to "support Digest authentication" or similar.
2010-04-22
18
Alexey Melnikov
[Ballot discuss] I have a couple of very minor points and some questions about this document: 1) 5.1.1. Profile Enrollment Upon failure …
[Ballot discuss] I have a couple of very minor points and some questions about this document: 1) 5.1.1. Profile Enrollment Upon failure to obtain the profile using any methods specified in this framework, the device MAY provide a user interface to allow for user intervention. This can result in temporary, one-time data to bootstrap the device. Such temporary data is not considered to be "configured" and SHOULD NOT not be cached across resets. Did you mean "SHOULD be cached" (the "NOT not" part)? 2) ABNF needs to be a Normative reference for this document.
2010-04-22
18
Adrian Farrel
[Ballot Position Update] New position, No Objection, has been recorded by Adrian Farrel
2010-04-22
18
Tim Polk
[Ballot comment] I support the discuss positions from Sean, Dan, Peter, and Alexey.
2010-04-22
18
Tim Polk
[Ballot Position Update] New position, No Objection, has been recorded by Tim Polk
2010-04-22
18
Jari Arkko
[Ballot comment] For what it is worth, I think the configuration model is overly complicated and some of the design decisions do not IMO work …
[Ballot comment] For what it is worth, I think the configuration model is overly complicated and some of the design decisions do not IMO work well in the Internet environment. For instance, I would prefer discovery and probing of the local network conditions as opposed to expecting there to be a SIP-specific configuration server that delivers such information. For instance, for most networks there will not be a reliable way to provide any information about available bandwidth, due to inability to estimate number of concurrent users, radio conditions, and so on.
2010-04-22
18
Jari Arkko
[Ballot Position Update] New position, No Objection, has been recorded by Jari Arkko
2010-04-22
18
Dan Romascanu
[Ballot discuss] 1. I share Alexey's concern about the difficulty of proving interoperability in the absence of a data model. Actually my conern is even …
[Ballot discuss] 1. I share Alexey's concern about the difficulty of proving interoperability in the absence of a data model. Actually my conern is even broader, there are so many cases, and types of profiles, and the framework allows for newer types to be added that I cannot really see how parts of this document can be tested for interoperability. Maybe it would be useful to specify what of the whole text in the RFC is normative - probably most of section 5 and section 6, but not more. 2. In the operational model describe in Figure 3 - I cannot understand the difference between a 'Device Provider' and a 'Local Network Provider'. If a device is pre-configured, than its configuration is not subject to the framework (is it?). If not in all cases I know the 'device provider' is the same as the network provider (which needs not be only local BTW). Actually networks are configured by configuring devices. 3. I am unconfortable with the way bootstraping of devices is described in Section 5.3.1. There are too many methods of doing the same thing, and there is no requirement for a mandatory method for compliance. Which of the ways of bootstrapping a device with the required identities and credentials is required, or if more than one is supported which one is preferred? 4. I find the discussion about Device Types in section 5.3.3 rather expedited and superficial in what concerns devices that do not directly communicate with any users like gateways, media servers or SIP servers. These ones have other functions than of an UA and may be configured by different methods and protocols, not only the ones that are being mentioned in this document. How do configuration operations that are performed part by using the framework, part by using other protocols work together?
2010-04-22
18
Sean Turner
[Ballot comment] 1) 5.1.4.2: r/subscription URI/Subscription URI 2) 5.2: I noted the same thing as Peter did wrt the use of the term "privacy". 3) …
[Ballot comment] 1) 5.1.4.2: r/subscription URI/Subscription URI 2) 5.2: I noted the same thing as Peter did wrt the use of the term "privacy". 3) 5.2.1: I also noted the same thing Alexey did wrt to the use of Digest authentication over TLS. 4) 5.3.2: r/device must enroll/device MUST enroll 5) 5.3.2: I'd like to see some discussion about what happens when the device uses a cached device, user, and local network profile and it's no the same domain/local network which provided the cached data. 6) 5.3.4: r/This framework recommends the device profile to provide the identities and credentials due to a couple of reasons./This framework recommends the device profile provide the identities and credentials due to a couple of reasons. 7) 5.3.4: r/i.e., data that cannot be compromised/i.e., data that cannot be disclosed to unauthorized parties 8) 6.10: r/NOTIFY requests/NOTIFY requests. 9) 9: r/Compromise of sensitive data/Disclosure of sensitive data 10) 9: r/For sensitive data that should not be subject to snooping, privacy is also required./For sensitive data that should not be disclosed to unauthorized parties, privacy is also required. 11) 9.1: r/In such networks the PDS will support digest, and .../In such networks the PDS will support digest authentication, and ...
2010-04-22
18
Sean Turner
[Ballot discuss] 1) Section 5.3.5 says: While this framework does not impose specific constraints on any such framework, it does allow for the …
[Ballot discuss] 1) Section 5.3.5 says: While this framework does not impose specific constraints on any such framework, it does allow for the propagation of profile content to the PDS (specifically the PCC) from a network element or the device. Figure 1 does not show the interaction between the network element. Should Figure 1 be updated or should Section 5.3.5 be fixed? 2) Sec 5.2.1 caused me to pause a bit. Sec 5.2.1 requires 3921 which requires digest authentication (HTTP Digest) which uses MD5 (section 5.2.2 also requires digest authentication). MD5 is well liked anymore. I'd like to see a security consideration added that says something to the effect of: when RFC 3921 was published MD5 might have been specified because it was "reasonable choice" but it probably isn't anymore; use of another hash alg (e.g., SHA-256) is preferred/recommended as specified in some sip document (not sure where it should point). 3) The term "mandatory" is not defined and it seems to be specifying conformance requirements. Please point to where it is defined or modify the text is Sec 6.2 with something like: OLD: m - mandatory s - SHOULD be provided o - optional NEW: m - MUST be provided s - SHOULD be provided o - OPTIONAL to be provided
[Ballot Position Update] New position, Discuss, has been recorded by Sean Turner
[Ballot Position Update] New position, Discuss, has been recorded by Dan Romascanu
[Ballot Position Update] New position, No Objection, has been recorded by Gonzalo Camarillo
[Ballot comment] Section 2 uses the term "entity" inconsistently -- for example, a Device can "contain entities such as a DHCP client" but the term …
[Ballot comment] Section 2 uses the term "entity" inconsistently -- for example, a Device can "contain entities such as a DHCP client" but the term SIP Service Provider can "refer to ... "public entities". I suggest changing the first instance to "application" and the second to "services". Section 5.1.1 states: The device needs certain data to create an enrollment request, form a Request-URI, and authenticate to the network. This includes the profile provider's domain name, identities and credentials. What are the provider's credentials here? Does this in fact mean the device's or user's credentials with the provider? If so, please express this more clearly. Section 5.2 uses the term "privacy" when the term "data confidentiality" is meant. See RFC 4949 for details (and if possible please align the usage of security terminology with RFC 4949 ). Section 9.1 that "a PDS may not implement any authentication requirements or TLS". Does this mean that a PDS might happen to operate insecurely, or that it is allowed to (MAY) operate insecurely? Section 11 includes organizational affiliations. This information is not typically included in acknowledgements, since it goes against the IETF tradition of treating people as individuals, not as corporate representatives. In any case, many of the affiliations are out of date.
[Ballot discuss] [new DISCUSSes added 2010-04-21] In Section 5.1.4.2, the guidelines for generating a device identifier seem overly complex. Why not simply re-use the Instance …
[Ballot discuss] [new DISCUSSes added 2010-04-21] In Section 5.1.4.2, the guidelines for generating a device identifier seem overly complex. Why not simply re-use the Instance ID guidelines from Section 4.1 of RFC 5626 , since the Instance ID is already a "URN that uniquely identifies the device"? In Sections 5.2.1 and 5.2.2, this specification references RFC 2818 (HTTP over TLS) for authentication and server identity checking. Given that communication here occurs over SIP, the normative reference really should be draft-ietf-sip-domain-certs , not Section 3.1 of RFC 2818 .
[Ballot Position Update] Position for Peter Saint-Andre has been changed to Discuss from No Objection by Peter Saint-Andre
[Ballot Position Update] New position, No Objection, has been recorded by Ron Bonica
[Ballot comment] 5.2.1. Securing Profile Enrollment Transmission of sensitive profile data also requires message integrity. This can be accomplished by configuring the …
[Ballot comment] 5.2.1. Securing Profile Enrollment Transmission of sensitive profile data also requires message integrity. This can be accomplished by configuring the device with, or by ensuring that the discovery process during profile enrollment provides, a SIPS URI resulting in TLS establishment ([ RFC5246 ]). TLS also prevents offline dictionary attacks when digest authentication is used. Thus, in the absence of TLS, the device MUST NOT respond to any authentication challenges. The last sentence: are you saying that Digest authentication MUST only be used over TLS? 6.2.1. profile-type Profile-type = "profile-type" EQUAL profile-value profile-value = profile-types / token profile-types = "device" / "user" / "local-network" So just to confirm, the values are case insensitive? 6.2.3. effective-by parameter Effective-By = "effective-by" EQUAL 1*DIGIT Does this value have an upper limit? 9.1. Local-network profile Alternatively, certain deployments may require the entities - device and the PDS - to authenticate each other prior to successful profile enrollment. Such networks may pre-configure user identities to the devices and allow user-specific local-network profiles. In such networks the PDS will support digest, and the devices are configured COMMENT: suggest changing "suport digest" to "support Digest authentication" or similar.
[Ballot discuss] [Updated DISCUSS] I have some major concerns about lack of data model definition in this document. Without that it is not possible to …
[Ballot discuss] [Updated DISCUSS] I have some major concerns about lack of data model definition in this document. Without that it is not possible to write 2 interoperable implementations. The document says that specific configuration formats are going to be specified in future documents. Are there any examples of such configuration formats? [The remaining text is unchanged:] I have a couple of very minor points and some questions about this document: 1) 5.1.1. Profile Enrollment Upon failure to obtain the profile using any methods specified in this framework, the device MAY provide a user interface to allow for user intervention. This can result in temporary, one-time data to bootstrap the device. Such temporary data is not considered to be "configured" and SHOULD NOT not be cached across resets. Did you mean "SHOULD be cached" (the "NOT not" part)? 2) ABNF needs to be a Normative reference for this document.
[Ballot Position Update] New position, No Objection, has been recorded by Russ Housley
[Ballot comment] 5.2.1. Securing Profile Enrollment Transmission of sensitive profile data also requires message integrity. This can be accomplished by configuring the …
[Ballot comment] 5.2.1. Securing Profile Enrollment Transmission of sensitive profile data also requires message integrity. This can be accomplished by configuring the device with, or by ensuring that the discovery process during profile enrollment provides, a SIPS URI resulting in TLS establishment ([ RFC5246 ]). TLS also prevents offline dictionary attacks when digest authentication is used. Thus, in the absence of TLS, the device MUST NOT respond to any authentication challenges. The last sentence: are you saying that Digest authentication MUST only be used over TLS? 6.2.1. profile-type Profile-type = "profile-type" EQUAL profile-value profile-value = profile-types / token profile-types = "device" / "user" / "local-network" So just to confirm, the values are case insensitive? 6.2.3. effective-by parameter Effective-By = "effective-by" EQUAL 1*DIGIT Does this value have an upper limit?
[Ballot discuss] [Updated DISCUSS] I have some major concerns about lack of data model definition in this document. Without that it is not possible to …
[Ballot discuss] [Updated DISCUSS] I have some major concerns about lack of data model definition in this document. Without that it is not possible to write 2 interoperable implementations. The document says that specific configuration formats are going to be specified in future documents. Are there any examples of such configuration formats? [The remaining text is unchanged:] I have a couple of very minor points and some questions about this document: 1) 5.1.1. Profile Enrollment Upon failure to obtain the profile using any methods specified in this framework, the device MAY provide a user interface to allow for user intervention. This can result in temporary, one-time data to bootstrap the device. Such temporary data is not considered to be "configured" and SHOULD NOT not be cached across resets. Did you mean "SHOULD be cached" (the "NOT not" part)? 2) ABNF needs to be a Normative reference for this document.
[Ballot Position Update] New position, No Objection, has been recorded by Stewart Bryant
[Ballot comment] Section 3.2., paragraph 5: > In more complex deployments, devices connect via a local network that > is not controlled by …
[Ballot comment] Section 3.2., paragraph 5: > In more complex deployments, devices connect via a local network that > is not controlled by the SIP Service Provider, such as devices that > connect via available public WiFi hot spots. In such cases, local > network providers may wish to provide local network information such > as bandwidth constraints to the devices. If by "bandwidth constraints" you mean *available* bandwidth, that'd be a bad example - it's clearly not configuration data. Is there a better example or a better way to phrase this? Section 3.3., paragraph 5: > Additional profile types may also be specified. By whom? The IETF in future RFCs? Anyone out there deploying this framework? (Section 5.3.6 also doesn't make this clear.) Section 6.2.2., paragraph 1: > The > implementer SHOULD use their DNS domain name (e.g., example. com ) as > the value of the "vendor" parameter so that it is known to be unique. If you leave this a SHOULD, you cannot depend on it being unique. (Because two vendors may decide to not follow the SHOULD and pick conflicting values.) Section 6.2.3., paragraph 1: > A value of 0 (zero) indicates that the subscribing > user agent must attempt to make the profiles effective immediately > (despite possible service interruptions). s/must attempt to/MUST/ Section 6.10., paragraph 1: > The rate of notifications for the profiles in this framework is > deployment specific, but expected to be infrequent. Hence, the Event > Package specification does not specify a throttling or minimum period > between NOTIFY requests If its expected to be infrequent, you can easily specify a minimum period that won't interfere with operation and will prevent accidental bursts due to misconfiguration, etc. Please do so?
[Ballot Position Update] New position, No Objection, has been recorded by Lars Eggert
State Change Notice email list have been change to sipping-chairs@ tools. ietf. org , dan. ietf@ SIPez. com , sumanth@ cablelabs. com from sipping-chairs@ tools. ietf. org
[Ballot comment] Section 2 uses the term "entity" inconsistently -- for example, a Device can "contain entities such as a DHCP client" but the term …
[Ballot comment] Section 2 uses the term "entity" inconsistently -- for example, a Device can "contain entities such as a DHCP client" but the term SIP Service Provider can "refer to ... "public entities". I suggest changing the first instance to "application" and the second to "services". Section 5.1.1 states: The device needs certain data to create an enrollment request, form a Request-URI, and authenticate to the network. This includes the profile provider's domain name, identities and credentials. What are the provider's credentials here? Does this in fact mean the device's or user's credentials with the provider? If so, please express this more clearly. Section 5.2 uses the term "privacy" when the term "data confidentiality" is meant. See RFC 4949 for details (and if possible please align the usage of security terminology with RFC 4949 ). Section 9.1 that "a PDS may not implement any authentication requirements or TLS". Does this mean that a PDS might happen to operate insecurely, or that it is allowed to (MAY) operate insecurely? Section 11 includes organizational affiliations. This information is not typically included in acknowledgements, since it goes against the IETF tradition of treating people as individuals, not as corporate representatives. In any case, many of the affiliations are out of date.
[Ballot Position Update] New position, No Objection, has been recorded by Peter Saint-Andre
[Ballot comment] 5.2.1. Securing Profile Enrollment Transmission of sensitive profile data also requires message integrity. This can be accomplished by configuring the …
[Ballot comment] 5.2.1. Securing Profile Enrollment Transmission of sensitive profile data also requires message integrity. This can be accomplished by configuring the device with, or by ensuring that the discovery process during profile enrollment provides, a SIPS URI resulting in TLS establishment ([ RFC5246 ]). TLS also prevents offline dictionary attacks when digest authentication is used. Thus, in the absence of TLS, the device MUST NOT respond to any authentication challenges. The last sentence: are you saying that Digest authentication MUST only be used over TLS? 6.2.1. profile-type Profile-type = "profile-type" EQUAL profile-value profile-value = profile-types / token profile-types = "device" / "user" / "local-network" So just to confirm, the values are case insensitive? 6.2.3. effective-by parameter Effective-By = "effective-by" EQUAL 1*DIGIT Does this value have an upper limit?
[Ballot discuss] I have a couple of very minor points and some questions about this document: 1) 5.1.1. Profile Enrollment Upon failure …
[Ballot discuss] I have a couple of very minor points and some questions about this document: 1) 5.1.1. Profile Enrollment Upon failure to obtain the profile using any methods specified in this framework, the device MAY provide a user interface to allow for user intervention. This can result in temporary, one-time data to bootstrap the device. Such temporary data is not considered to be "configured" and SHOULD NOT not be cached across resets. Did you mean "SHOULD be cached" (the "NOT not" part)? 2) ABNF needs to be a Normative reference for this document.
Alexey Melnikov
[Ballot Position Update] New position, Discuss, has been recorded by Alexey Melnikov
2010-03-05
18
Robert Sparks
State Changes to IESG Evaluation from Waiting for AD Go-Ahead by Robert Sparks
2010-03-04
18
Robert Sparks
Placed on agenda for telechat - 2010-04-22 by Robert Sparks
2010-03-04
18
Robert Sparks
[Ballot Position Update] New position, Yes, has been recorded for Robert Sparks
2010-03-04
18
Robert Sparks
Ballot has been issued by Robert Sparks
2010-03-04
18
Robert Sparks
Created "Approve" ballot
2010-03-04
18
(System)
Ballot writeup text was added
2010-03-04
18
(System)
Last call text was added
2010-03-04
18
(System)
Ballot approval text was added
2010-02-17
17
(System)
New version available: draft-ietf-sipping-config-framework-17. txt
2010-01-14
18
Samuel Weiler
Request for Last Call review by SECDIR Completed. Reviewer: Catherine Meadows.
2009-12-22
18
(System)
State has been changed to Waiting for AD Go-Ahead from In Last Call by system
2009-12-18
18
Amanda Baber
IANA comments:
Action #1:
Upon approval of this document, IANA will make the following assignment
in the "Session Initiation Protocol (SIP) Event Types Namespace"
registry …
IANA comments: Action #1: Upon approval of this document, IANA will make the following assignment in the "Session Initiation Protocol (SIP) Event Types Namespace" registry at http://www. iana. org/assignments/sip-events Package Name Type Contact Reference -------------------------- ---------------- ----------------- -------- - ua-profile package Daniel Petrie dan.ietf AT SIPez DOT com, sumanth@ cablelabs. com [RFC-sipping-config-framework-16] Action #2: Upon approval of this document, IANA will make the following assignments in the "Header Field Parameters and Parameter Values" registry at http://www. iana. org/assignments/sip-parameters Predefined Header Field Parameter Name Values Reference ---------------------------- --------------- --------- --------- Event profile-type Yes [RFC-sipping-config-framework-16] Event vendor No [RFC-sipping-config-framework-16] Event model No [RFC-sipping-config-framework-16] Event version No [RFC-sipping-config-framework-16] Event effective-by No [RFC-sipping-config-framework-16] Action #3: Upon approval of this document, IANA will create the following registry at http://www. iana. org/assignments/sip-parameters Registry Name: SIP Configuration Profile Types Registration Procedure: Specification Required Initial contents of this registry will be: Profile Type Reference -------------- --------- local-network [RFC-sipping-config-framework-16] device [RFC-sipping-config-framework-16] user [RFC-sipping-config-framework-16] We understand the above to be the only IANA Actions for this document.
2009-12-09
18
Samuel Weiler
Request for Last Call review by SECDIR is assigned to Catherine Meadows
2009-12-09
18
Samuel Weiler
Request for Last Call review by SECDIR is assigned to Catherine Meadows
2009-12-08
18
Cindy Morgan
Last call sent
2009-12-08
18
Cindy Morgan
State Changes to In Last Call from AD Evaluation::AD Followup by Cindy Morgan
2009-09-30
18
(System)
Sub state has been changed to AD Follow up from New Id Needed
2009-09-30
16
(System)
New version available: draft-ietf-sipping-config-framework-16. txt
2009-09-28
18
Robert Sparks
State Changes to AD Evaluation::Revised ID Needed from AD Evaluation::External Party by Robert Sparks
2009-09-28
18
Robert Sparks
External review did not point to major changes. Asking for refresh of document to prep for IETF LC.
2009-09-28
18
Robert Sparks
Note field has been cleared by Robert Sparks
2009-04-01
18
Robert Sparks
Responsible AD has been changed to Robert Sparks from Jon Peterson
2008-11-11
(System)
Posted related IPR disclosure: Nortel's Statement of IPR related to draft-ietf-sipping-config-framework-15. txt
2008-06-02
18
Jon Peterson
State Changes to AD Evaluation::External Party from AD Evaluation by Jon Peterson
2008-05-14
18
Jon Peterson
State Changes to AD Evaluation from Publication Requested by Jon Peterson
2008-02-29
18
Cindy Morgan
State Changes to Publication Requested from AD is watching by Cindy Morgan
2008-02-29
18
Cindy Morgan
PROTO questionnaire for:
draft-ietf-sipping-config-framework-15
To be Published as: Proposed Standard
Prepared by: Mary Barnes (
mary. barnes@ nortel. com
) on 29 February 2008
(1.a) Who is the …
PROTO questionnaire for: draft-ietf-sipping-config-framework-15 To be Published as: Proposed Standard Prepared by: Mary Barnes ( mary. barnes@ nortel. com ) on 29 February 2008 (1.a) Who is the Document Shepherd for this document? Has the Document Shepherd personally reviewed this version of the document and, in particular, does he or she believe this version is ready for forwarding to the IESG for publication? Mary Barnes is the document shepherd. She has reviewed this version of the document and believes it is ready. (1.b) Has the document had adequate review both from key WG members and from key non-WG members? Does the Document Shepherd have any concerns about the depth or breadth of the reviews that have been performed? Yes, the document has had adequate review. The design team has thoroughly reviewed the document. The document has also been extensively reviewed by many key WG members, in particular John Elwell provided very detailed reviews and suggestions for the document. Other non-WG experts (security, Eric Rescorla and DNS, Peter Koch) have been consulted and have reviewed relevant parts and concepts in this doucment. There are no concerns about the depth or breadth of reviews that have been performed. (1.c) Does the Document Shepherd have concerns that the document needs more review from a particular or broader perspective, e.g., security, operational complexity, someone familiar with AAA, internationalization or XML? No. (1.d) Does the Document Shepherd have any specific concerns or issues with this document that the Responsible Area Director and/or the IESG should be aware of? For example, perhaps he or she is uncomfortable with certain parts of the document, or has concerns whether there really is a need for it. In any event, if the WG has discussed those issues and has indicated that it still wishes to advance the document, detail those concerns here. Has an IPR disclosure related to this document been filed? If so, please include a reference to the disclosure and summarize the WG discussion and conclusion on this issue. There are no specific concerns or issues. There is no IPR disclosure. (1.e) How solid is the WG consensus behind this document? Does it represent the strong concurrence of a few individuals, with others being silent, or does the WG as a whole understand and agree with it? There is WG consensus behind this document and no one has expressed concerns about its progression. (1.f) Has anyone threatened an appeal or otherwise indicated extreme discontent? If so, please summarise the areas of conflict in separate email messages to the Responsible Area Director. (It should be in a separate email because this questionnaire is entered into the ID Tracker.) No. (1.g) Has the Document Shepherd personally verified that the document satisfies all ID nits? (See http://www. ietf. org/ID-Checklist. html and http://tools. ietf. org/tools/idnits/ ). Boilerplate checks are not enough; this check needs to be thorough. Has the document met all formal review criteria it needs to, such as the MIB Doctor, media type and URI type reviews? Yes. The draft has been validated for nits using idnits 2.08.04. The only nits identified will be resolved before the document is published (references to RFCXXXX and older versions of drafts). (1.h) Has the document split its references into normative and informative? Are there normative references to documents that are not ready for advancement or are otherwise in an unclear state? If such normative references exist, what is the strategy for their completion? Are there normative references that are downward references, as described in [ RFC3967 ]? If so, list these downward references to support the Area Director in the Last Call procedure for them [ RFC3967 ]. Yes, the references are split and all normative references have been published. (1.i) Has the Document Shepherd verified that the document IANA consideration section exists and is consistent with the body of the document? If the document specifies protocol extensions, are reservations requested in appropriate IANA registries? Are the IANA registries clearly identified? If the document creates a new registry, does it define the proposed initial contents of the registry and an allocation procedure for future registrations? Does it suggest a reasonable name for the new registry? See [ RFC2434 ]. If the document describes an Expert Review process has Shepherd conferred with the Responsible Area Director so that the IESG can appoint the needed Expert during the IESG Evaluation? Yes, the IANA considerations section exists and includes the appropriate registration for a new Event package and defines a registry for the profile types. (1.j) Has the Document Shepherd verified that sections of the document that are written in a formal language, such as XML code, BNF rules, MIB definitions, etc., validate correctly in an automated checker? There are no sections written in a formal language per se. The Event package defined follows the requirements specificed in RFC 3265 . (1.k) The IESG approval announcement includes a Document Announcement Write-Up. Please provide such a Document Announcement Write-Up? Recent examples can be found in the "Action" announcements for approved documents. The approval announcement contains the following sections: Technical Summary This document specifies a framework to enable configuration of Session Initiation Protocol (SIP) User Agents in SIP deployments. The framework provides a means to deliver profile data that User Agents need to be functional, automatically and with minimal or no User and Administrative intervention. The framework describes how SIP User Agents can discover sources, request profiles and receive notifications related to profile modifications. As part of this framework, a new SIP event package is defined for notification of profile changes. The framework provides minimal data retrieval options to ensure interoperability. The framework does not include specification of the profile data within its scope. Working Group Summary The SIPPING WG supports the development and advancement of this document. Document Quality This document defines a new SIP event package and profile types for configuring SIP User agents. The document has been thoroughly reviewed by members of the SIPPING WG and members of the design team. Personnel Mary Barnes is the WG chair shepherd. Jon Peterson is the responsible Area director.
2008-02-13
15
(System)
New version available: draft-ietf-sipping-config-framework-15. txt
2008-02-01
15
(System)
New version available: draft-ietf-sipping-config-framework-15. txt
2007-11-18
14
(System)
New version available: draft-ietf-sipping-config-framework-14. txt
2007-10-25
13
(System)
New version available: draft-ietf-sipping-config-framework-13. txt
2007-06-04
12
(System)
New version available: draft-ietf-sipping-config-framework-12. txt
2007-03-06
11
(System)
New version available: draft-ietf-sipping-config-framework-11. txt
2007-01-22
10
(System)
New version available: draft-ietf-sipping-config-framework-10. txt
2006-10-10
18
(System)
State Changes to AD is watching from Dead by system
2006-10-09
09
(System)
New version available: draft-ietf-sipping-config-framework-09. txt
2006-09-09
18
(System)
State Changes to Dead from AD is watching by system
2006-09-09
18
(System)
Document has expired
2006-07-19
18
Jon Peterson
State Change Notice email list have been change to sipping-chairs@ tools. ietf. org from gonzalo. camarillo@ ericsson. com , dean. willis@ softarmor. com , rohan@ ekabal. com
2006-07-19
18
Jon Peterson
State Changes to AD is watching from AD Evaluation::AD Followup by Jon Peterson
2006-06-13
18
Jon Peterson
Note field has been cleared by Jon Peterson
2006-06-13
18
Jon Peterson
There is still review activity surrounding this draft in the SIPPING WG. Will hold in AD Followup until this clears, and probably until it is …
There is still review activity surrounding this draft in the SIPPING WG. Will hold in AD Followup until this clears, and probably until it is revised.
2006-03-29
18
2006-03-08
18
2006-03-08
08
18
Allison Mankin
18
Allison Mankin
2005-10-21
18
Allison Mankin
2005-08-03
18
Allison Mankin
2005-08-03
18
Allison Mankin
2005-07-25
18
Dinara Suleymanova
2005-07-19
07
(System)
2005-02-23
06
(System)
New version available: draft-ietf-sipping-config-framework-06. txt
2004-11-02
05
(System)
New version available: draft-ietf-sipping-config-framework-05. txt
2004-07-21
04
(System)
New version available: draft-ietf-sipping-config-framework-04. txt
2004-05-18
03
(System)
New version available: draft-ietf-sipping-config-framework-03. txt
2004-02-16
02
(System)
New version available: draft-ietf-sipping-config-framework-02. txt
2003-10-27
01
(System)
New version available: draft-ietf-sipping-config-framework-01. txt
2003-03-03
00
(System)
New version available: draft-ietf-sipping-config-framework-00. txt
| https://datatracker.ietf.org/doc/rfc6080/history/ |
The Original Record - Search results - wisenbrg
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Masters of Merchantmen
(1804)
The Society for the Registry of Shipping was instituted in 1760, and published an annual register and supplement. The annual register consisted of an alphabetical list of ships surveyed for insurance in Britain and Ireland, together with an alphabetical supplement. The society maintained a Registry Office at which alterations and additions were notified, and members delivering their registers when called for had them updated and returned on the following or the ensuing day. Each ship was given a number within each letter of the alphabet: ships' names were not unique, so within each name a ship was identified by the name of the captain or master at the time of the last survey. Then abbreviations indicate the type of vessel (Bg, brig; Cr, cutter; Dr, dogger; G, galliott; H, hoy; K, ketch; S, ship; Sk, smack; Sp, sloop; Sr, schooner; St, schoot; Sw, snow), and whether sheathed (s) and/or doubled (d) with copper (C) and iron bolts (I B) or over boards (W & C), or copper fastened (c f) or copper bolted (c b), sometimes with a date, such as (17)88. The third column, reserved for masters' names, is not particularly wide; with short surnames, an initial will be given; but longer surnames omit the initials, and even longer surnames are abbreviated. It will be borne in mind that these are the names of the masters not (necessarily) in 1804, but at the time of the last survey. Often new masters had been appointed by the time of re-survey, and their names are added in slightly smaller type under the original master's names in the third column. In the fourth column is the tonnage: where there is a blank under the number this indicates that the ship had two decks; more often the letters S D (B) for single deck (with beams); D W for deep waist; S D W single deck with deep waist; B D W single deck with beams and deep waist. Underneath the entry may run references to recent repairs: Cl. clincher built; Drp. damages repaired; grp. good repairs; len. lengthened; lrp. large repairs; N. (new) B. bottom, D. deck, Kl. keel, Sds. sides or UW. upper-works; rb. rebuilt; rsd. raised; S. rprs. some repairs; or trp. thorough Repair. In italics, the timber of the ship is described - B. B., black birch; C., cedar; H., hazel; J., juniper; L. O., live oak; M., mahogany; P., pine; P. P., pitch pine; S., spruce; W. H., witch hazel. Where the vessel was armed, the number of guns is given, and occasionally a remark such as 'captured' will appear. The fifth column gives the place that the ship was built. For foreign ships this may be as vague as 'Dutch' or 'French'; but nothing in this record specifically indicates the nationality of ship, master or owners, except that an A. under the owner's name indicates that the vessel was United States property. The sixth column gives the year of the ship's age; some were still sailing after 30 or 40 years. The seventh column gives the owner's name, abbreviated in the same way as the master's name. Where the master was the owner, the word Capt. will appear. With vessels owned abroad, the name in this column is sometimes that of the port of origin, not the surname of the owner. Where there has been a change of owner by the time of re-survey, the new name is put underneath in smaller type. The printer sought to avoid confusion by aligning names of ports to the left and surnames to the right, but that leaves longer names doubtful. The eighth column gives the feet of the draught of water when loaded. The ninth column shows the destined voyage for which the survey took place, with the port of survey abbreviated (Be., Belfast; Br., Bristol; Co., Cork; Cs, Cowes; Da., Dartmouth; Du., Dublin; Eh, Exmouth; Ex., Exeter; Fa., Falmouth; Gr., Greenock; Hl, Hull; La., Lancaster; Lh, Leith; Li., Liverpool; Lo., London; Ly., Lynn; Po., Poole; Ph, Portsmouth; Sc., Star-Cross; Tn., Teignmouth; Tp., Topsham; Wa., Waterford; Wn, Whitehaven; Ya., Yarmouth), and the letter C where the vessel was a constant trader between the two ports. The tenth column gives the classification of the vessel (A, first; E, second; I., third - O and U for fourth and fifth are never used) and its stores (1, first; 2, second; 3, third) and the year of survey, e. g. 00 for 1800, or, if surveyed during 1803, the month, e. g. 3 for March. Where the vessel has been re-surveyed, the classification letter and number will be repeated or revised in the final column. The sample scan is from the main list. This is the index to masters in the supplement, and so to ships that had not been registered before 1804: the supplement therefore contains many more foreign ships, and the names of the masters and owners are more up to date than those in the main register.
WISENBRG. Cost: £6.00.
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State v. Staley, 71 N.C. App. 286 (1984) | Caselaw Access Project
Full text of State v. Staley, 71 N.C. App. 286 (1984) from the Caselaw Access Project.
State v. Staley, 71 N.C. App. 286 (1984)
Nov. 6, 1984 · North Carolina Court of Appeals · No. 8318SC1217
71 N.C. App. 286
Case outline
majority — phillips, judge.
State v. Staley, 71 N.C. App. 286 (1984)
Nov. 6, 1984 · North Carolina Court of Appeals · No. 8318SC1217
71 N.C. App. 286
STATE OF NORTH CAROLINA
v.
BOBBY LEE STALEY
STATE OF NORTH CAROLINA v. BOBBY LEE STALEY
No. 8318SC1217
1. Indictment and Warrant § 11— variance in victim’s name — doctrine of idem sonans —absence of prejudice
There was no fatal variance between an indictment charging defendant with the murder of “Raleigh Edward Mortez” and evidence that the victim’s correct name was “Raleigh Edward Moretz” since the doctrine of idem sonansapplied, and since defendant well understood that he was being tried for the murder of his father-in-law.
2. Homicide § 21.7— second degree murder —sufficiency of evidence
The State’s evidence was sufficient to support defendant’s conviction of second degree murder of his father-in-law where it tended to show that defendant was angry with the victim for quarreling with and upsetting his wife and went at 1:15 a.m. to the house where the victim was visiting; the victim was lying on a couch in the living room when defendant entered the house with a loaded pistol in his hand; defendant pointed the gun at the victim’s head; and the gun, which required a pull of three and a half to five pounds to fire, went off and propelled a bullet through the victim’s brain.
3. Criminal Law 8 126.3— return of verdict in open court
The requirement of G.S. 15A-1237(b) that verdicts be “returned by the jury in open court” was not violated when the trial judge, after being informed that the jury had reached a verdict, went to the door of the jury room, received the verdict sheet from the foreman, returned to the courtroom with the jury, read the verdict sheet aloud to them, and asked if that was their verdict.
*287Appeal by defendant from Rousseau, Judge.Judgment entered 3 June 1983 in Superior Court, GUILFORD County. Heard in the Court of Appeals 28 August 1984.
Defendant, tried for first degree murder, was convicted of murder in the second degree and sentenced to the presumptive term of fifteen years. Both the State and the defendant presented evidence, and so much of it as is necessary for an understanding of our decision is stated in the opinion.
Attorney General Edmisten, by Associate Attorney General David E. Broome, Jr., for the State.
Robert S. Cahoon for defendant appellant.
PHILLIPS, Judge.
[1, 2]Defendant contends that his motion to dismiss, made at the end of all the evidence, should have been granted for two reasons: First, because of a fatal variance between the indictment and proof; and, second, because the evidence was insufficient to warrant his conviction. Though these are good grounds for dismissal in appropriatecases, this is not such a case. The variance between the indictment and proof in this case was of no consequence. In the bill of indictment, due to a typographical error, defendant was charged with the murder of Raleigh Edward Mortez, whereas the decedent’s correct name was Raleigh Edward Moretz, as all the evidence showed. Under the rule of idem sonans,which we think applies in this instance, absolute accuracy in spelling names in legal proceedings, even in felony indictments, is not required. Names are used to identify people and if the spelling used, though inaccurate, fairly identifies the right person and the defendant is not misled to his prejudice, he has no complaint. See State v. Utley,223 N.C. 39,25 S.E. 2d 195(1943); 4 Strong’s N.C. Index 3d, Criminal Law§ 107.2 (1976). In this instance the defendant was not misled. The transposition of the two letters in Moretz’s last name was not noticed until the trial was over, and defendant well understood that he was being tried for the murder of his father-in-law, Raleigh Edward Moretz. As to the sufficiency of the evidence, it is not necessary to recite all the disjointed and melancholy circumstances that led up to defendant killing his father-in-law. Suffice it to say that evidence favorable to the State*288tended to show that: Defendant, angry with his father-in-law for quarreling with and upsetting his wife, went at 1:15 o’clock in the morning to the house where Moretz was visiting; Moretz was lying on a couch in the living room when defendant entered the house with a pistol, which he knew was loaded, in his hand; defendant approached within a foot of the decedent; no one else was close to them; and defendant pointed the gun at the decedent’s head; the gun, which required a pull of three and a half to five pounds to fire, went off and propelled a bullet through the decedent’s brain. From this evidence it was proper for the jury to conclude that the defendant intentionally shot and killed the decedent. State v. Wilkerson,295 N.C. 559,247 S.E. 2d 905(1978). That defendant’s evidence tended to show that he was only trying to scare his father-in-law and the gun went off accidentally, when somebody stumbled into him, is beside the point. The conflicting evidence was for the jury to resolve, not us.
[3]Defendant also cites as error that the trial judge personally, out of the presence of defendant and his counsel, went to the jury room, asked the jury for their verdict, and took it from them. G.S. 15A-1237(b) requires that verdicts be “returned by the jury in open court.” What happened in this case, according to the record, is that: After the jury had been deliberating for some time and had been reinstructed on certain matters, they were told to resume their deliberations and that if they wanted to recess before a verdict was arrived at to knock on the door and a recess would be allowed them. About two hours later, the jury knocked on the door and told the bailiff that they had a verdict. The judge then went to the door of the jury room, received the verdict sheet from the foreman, returned to the courtroom with the jury, read the verdict sheet aloud to them, and asked if that was their verdict. The record does not show any improper or secret communication with the jury. The identical procedure followed in this case has been deemed to comply with G.S. 15A-1237(b). State v. Caudle,58 N.C. App. 89,293 S.E. 2d 205(1982), cert. denied,308 N.C. 545,304 S.E. 2d 239(1983).
The defendant’s several other assignments of error, all of which have been carefully examined and considered, likewise fail to show that during the course of the trial the court committed any error prejudicial to the defendant.
*289No error.
Judges Webb and Johnson concur.
| https://cite.case.law/nc-app/71/286/ |
Nek5 promotes centrosome integrity in interphase and loss of centrosome cohesion in mitosis | Journal of Cell Biology | Rockefeller University Press
The Nek5 protein kinase contributes not only to uncoupling of the centrosome linker but also to integrity of the pericentriolar material and centrosomal microtu
Nek5 promotes centrosome integrity in interphase and loss of centrosome cohesion in mitosis
Centre for Chromosome Biology, School of Natural Sciences, National University of Ireland Galway, Galway, Ireland
3
Lunenfeld-Tanenbaum Research Institute, Mount Sinai Hospital, Toronto, Ontario M5G 1X5, Canada
Correspondence to Suzanna L. Prosser: prosser@lunenfeld.ca ; or Andrew M. Fry: amf5@le.ac.uk
Navdeep K. Sahota
,
Navdeep K. Sahota
1
Department of Biochemistry, University of Leicester, Leicester LE1 9HN, England, UK
Laurence Pelletier
,
Laurence Pelletier
3
Department of Molecular Genetics, University of Toronto, Toronto, Ontario M5S 1A8, Canada
Ciaran G. Morrison
,
Ciaran G. Morrison
2
Centre for Chromosome Biology, School of Natural Sciences, National University of Ireland Galway, Galway, Ireland
Andrew M. Fry
Andrew M. Fry
1
Department of Biochemistry, University of Leicester, Leicester LE1 9HN, England, UK
Correspondence to Suzanna L. Prosser: prosser@lunenfeld.ca ; or Andrew M. Fry: amf5@le.ac.uk
Suzanna L. Prosser
1
Department of Biochemistry, University of Leicester, Leicester LE1 9HN, England, UK
2
Centre for Chromosome Biology, School of Natural Sciences, National University of Ireland Galway, Galway, Ireland
3
Lunenfeld-Tanenbaum Research Institute, Mount Sinai Hospital, Toronto, Ontario M5G 1X5, Canada
Navdeep K. Sahota
1
Department of Biochemistry, University of Leicester, Leicester LE1 9HN, England, UK
Laurence Pelletier
3
Lunenfeld-Tanenbaum Research Institute, Mount Sinai Hospital, Toronto, Ontario M5G 1X5, Canada
4
Department of Molecular Genetics, University of Toronto, Toronto, Ontario M5S 1A8, Canada
Ciaran G. Morrison
2
Centre for Chromosome Biology, School of Natural Sciences, National University of Ireland Galway, Galway, Ireland
Andrew M. Fry
1
Correspondence to Suzanna L. Prosser: prosser@lunenfeld.ca ; or Andrew M. Fry: amf5@le.ac.uk
Abbreviations used in this paper:
IF
immunofluorescence microscopy
MT
microtubule
MTOC
MT organizing center
Received: December 19 2014
Accepted: April 07 2015
Online ISSN: 1540-8140
Print ISSN: 0021-9525
2015
J Cell Biol (2015) 209 (3): 339–348.
https://doi.org/10.1083/jcb.201412099
Article history
Received:
December 19 2014
Accepted:
April 07 2015
Nek5 is a poorly characterized member of the NIMA-related kinase family, other members of which play roles in cell cycle progression and primary cilia function. Here, we show that Nek5, similar to Nek2, localizes to the proximal ends of centrioles. Depletion of Nek5 or overexpression of kinase-inactive Nek5 caused unscheduled separation of centrosomes in interphase, a phenotype also observed upon overexpression of active Nek2. However, separated centrosomes that resulted from Nek5 depletion remained relatively close together, exhibited excess recruitment of the centrosome linker protein rootletin, and had reduced levels of Nek2. In addition, Nek5 depletion led to loss of PCM components, including γ-tubulin, pericentrin, and Cdk5Rap2, with centrosomes exhibiting reduced microtubule nucleation. Upon mitotic entry, Nek5-depleted cells inappropriately retained centrosome linker components and exhibited delayed centrosome separation and defective chromosome segregation. Hence, Nek5 is required for the loss of centrosome linker proteins and enhanced microtubule nucleation that lead to timely centrosome separation and bipolar spindle formation in mitosis.
Introduction
The human genome encodes a family of 11 NIMA-related, or Nek, protein kinases (Moniz et al., 2011;Fry et al., 2012). Functional studies indicate that the majority have roles either in cell cycle progression or at the primary cilium (O’Connell et al., 2003;Quarmby and Mahjoub, 2005;O’Regan et al., 2007;Moniz et al., 2011;Fry et al., 2012). For example, Nek2, Nek6, Nek7, and Nek9 contribute to centrosome separation and mitotic spindle assembly; Nek1, Nek8, Nek10, and Nek11 contribute to the DNA damage response; and Nek1, Nek4, and Nek8 contribute to ciliary function.
Nek5 remains the least well characterized of this family, with the only studies to date pointing to a role in myogenic differentiation (Tadokoro et al., 2010;Shimizu and Sawasaki, 2013). Here, we demonstrate that Nek5, in common with several other family members, localizes to centrosomes. Moreover, its loss leads to premature centrosome separation, a phenotype that also results from overexpression of Nek2 (Fry et al., 1998b;Faragher and Fry, 2003). During interphase, centrosomes are held together by a proteinaceous linker that is composed of coiled-coil proteins, including C-Nap1, rootletin, Cep68, centlein, and LRRC45 (Fry et al., 1998a;Mayor et al., 2000;Bahe et al., 2005;Yang et al., 2006;Graser et al., 2007;He et al., 2013;Fang et al., 2014). This linker, which extends between and connects the proximal ends of the mother and daughter centrioles, is disassembled in late G2 as a result of phosphorylation of linker proteins by Nek2 (Hardy et al., 2014). This allows centrosomes to separate in prophase and generate a bipolar spindle capable of accurate chromosome segregation (Mardin and Schiebel, 2012).
Here, we have explored the functions of Nek5 in regulating centrosome organization. We show that it contributes not only to uncoupling of the centrosome linker but also to the integrity of the pericentriolar material (PCM) and centrosomal microtubule (MT) nucleation. Together, these processes ensure the timely separation of centrosomes in early mitosis.
Results and discussion
Nek5 is a novel component of the centrosome
To investigate the cellular role of Nek5, we first confirmed its expression using semiquantitative RT-PCR in HEK293 and U2OS cells, as well as a panel of cancer cell lines (Fig. 1, a and b). We then generated a rabbit polyclonal antibody that detected recombinant Nek5 with a Western blot (Fig. 1 c). This antibody, as well as a commercial Nek5 antibody, stained the nucleus and centrosomes under immunofluorescence microscopy (IF;Fig. 1 d). Although these antibodies did not obviously detect endogenous Nek5 when using a Western blot, the IF signals were lost upon RNAi-mediated depletion of Nek5 (Fig. 1 e; andFig. S1, a and b). Furthermore, recombinant GFP-tagged Nek5 localized to nuclei and centrosomes (Fig. 1 f). We then compared the centrosomal localization pattern of endogenous Nek5 with that of centrin1-GFP, a marker of centriole distal ends, and C-Nap1, rootletin, and Nek2, markers of centriole proximal ends (Fig. 1, g and h). Nek5 staining was clearly distinct from centrin but overlapped with the proximal end markers. Consistent with it being a centriolar protein, Nek5 colocalized with basal bodies, but not axonemal microtubules, in ciliated hTERT-RPE1 cells (Fig. 1 i). During mitotic progression, Nek5 was detectable at spindle poles, although staining was diminished in metaphase and anaphase (Fig. 1 j). Hence, these data provide good evidence that Nek5 is a novel component of the centrosome that localizes toward the proximal end of centrioles.
Figure 1.
Nek5 localizes to the centrosome.(a) RT-PCR of Nek5 and actin with RNA from U2OS or Hek293 cells. (b) RT-PCR of Nek5 and GAPDH with RNA from cancer cell lines (blue, colorectal; black, breast; orange, pancreatic) and immortalized breast epithelial cells (HBL100; bold). (c) Western blot analysis of U2OS cells that were mock-transfected or transfected with GFP-Nek5 for 24 h. Blots were probed with the in-house Nek5 antibody. α-Tubulin was used as loading control. (d) Staining of U2OS cells with either an in-house or commercial Nek5 antibody and γ-tubulin. (e) Staining of Nek5 (with in-house antibody) and γ-tubulin in U2OS cells transfected with Nek5- or GL2-specific siRNAs for 48 h. (f) GFP-Nek5–transfected U2OS cell stained for γ-tubulin. (g) HeLa::centrin1-GFP cell stained for Nek5. (h) U2OS cells stained for Nek2, rootletin, or C-Nap1 and Nek5. The schematic illustrates relative localization of proteins within centrioles. (i) Staining of a ciliated hTERT-RPE-1 cell for Nek5 and acetylated tubulin. (j) Staining of γ-tubulin and Nek5 in U2OS cells at the stages indicated. The intensity of Nek5 at the centrosome relative to interphase is indicated. Data are mean ± SD of at least 20 centrosomes ( n= 2). Bars: (d–g and i–j, main images) 10 µm; (d–f, g, and i–j, insets, and h) 1 µm.
Figure 1.
Nek5 localizes to the centrosome.(a) RT-PCR of Nek5 and actin with RNA from U2OS or Hek293 cells. (b) RT-PCR of Nek5 and GAPDH with RNA from cancer cell lines (blue, colorectal; black, breast; orange, pancreatic) and immortalized breast epithelial cells (HBL100; bold). (c) Western blot analysis of U2OS cells that were mock-transfected or transfected with GFP-Nek5 for 24 h. Blots were probed with the in-house Nek5 antibody. α-Tubulin was used as loading control. (d) Staining of U2OS cells with either an in-house or commercial Nek5 antibody and γ-tubulin. (e) Staining of Nek5 (with in-house antibody) and γ-tubulin in U2OS cells transfected with Nek5- or GL2-specific siRNAs for 48 h. (f) GFP-Nek5–transfected U2OS cell stained for γ-tubulin. (g) HeLa::centrin1-GFP cell stained for Nek5. (h) U2OS cells stained for Nek2, rootletin, or C-Nap1 and Nek5. The schematic illustrates relative localization of proteins within centrioles. (i) Staining of a ciliated hTERT-RPE-1 cell for Nek5 and acetylated tubulin. (j) Staining of γ-tubulin and Nek5 in U2OS cells at the stages indicated. The intensity of Nek5 at the centrosome relative to interphase is indicated. Data are mean ± SD of at least 20 centrosomes ( n= 2). Bars: (d–g and i–j, main images) 10 µm; (d–f, g, and i–j, insets, and h) 1 µm.
Nek5 is required for normal centrosome linker organization
Depletion of Nek5 with two independent siRNAs led to premature centrosome separation in U2OS cells. The percentage of cells in which centrosomes were separated by >2 µm increased from 20% in controls to >55% upon Nek5 depletion (Fig. 2, a–c; and Fig. S1 b). A recombinant kinase-dead Nek5 construct (Nek5KD) was then generated with mutations in two residues that are expected to be essential for catalytic activity: K33 and D128. Although we have not been able to establish kinase assays to confirm inactivation of Nek5 by these mutations, a significant increase in the proportion of interphase cells (54.7 ± 8.2% compared with 24.3 ± 3.6% in controls) in which centrosomes were separated by >2 µm was observed upon overexpression of GFP-Nek5KD. In contrast, overexpression of wild-type Nek5 did not alter the extent of centrosome separation (Fig. 2, d and e). Moreover, RNAi-resistant wild-type, but not kinase-dead, Nek5 was able to rescue the centrosome separation defect induced by Nek5 depletion (Fig. 2, f and g). Interestingly, although the frequency of centrosome separation was increased upon Nek5 depletion or overexpression of kinase-dead Nek5, the mean distance of separation was relatively modest, being increased from 1.74 to 2.59 (Nek5 depletion) and 2.44 µm (overexpression of kinase-dead;Fig. 2 h). In contrast, overexpression of wild-type Nek2 led to a mean separation of 5.36 µm, which suggests that the mechanisms of centrosome separation that result from loss of Nek5 and overexpression of Nek2 are distinct (Fig. 2 h).
Figure 2.
Nek5 loss leads to premature centrosome separation in interphase.(a) RT-PCR of Nek5 and GAPDH with RNA collected after 72 h of siRNA treatment of U2OS cells with mock, GAPDH, or Nek5 siRNAs. Three individual Nek5 siRNAs were tested. (b) Staining of Nek5 and γ-tubulin in U2OS cells transfected with Nek5- or GL2-specific siRNAs for 48 h. (c) Quantification of cells treated as in b with centrosomes split by >2 µm. (d) Staining of γ-tubulin and DNA in U2OS cells transfected for 48 h with GFP, GFP-Nek5WT, or GFP-Nek5KD. (e) Quantification of cells with centrosomes separated by >2 µm in cells treated as in d. (f) U2OS cells were transfected with either siRNAs against Nek5 or GL2, or mock treated for 24 h before GFP-Nek5WT and GFP-Nek5KD RNAi sensitive and resistant constructs were transfected into the cells. Cells were harvested 24 h after plasmid transfection and analyzed by Western blotting with Nek5, GFP, and α-tubulin antibodies. (g) Quantification of cells with centrosomes separated by >2 µm in U2OS cells treated as in f. (h) Box and whisker plot of the distance between centrosomes in mock-, GL2-, or Nek5-depleted cells, and either untransfected cells or those expressing GFP, GFP-Nek5WT, GFP-Nek5KD, or GFP-Nek2WT. Bars: (main images) 10 µm; (insets) 1 µm. *, P < 0.05; **, P < 0.01; ****, P < 0.0001. Histograms show mean + SD (error bars); n= 3, 200 cells per experiment. Boxes represent the 25th and 75th percentile, and whiskers the 10th and 90th percentile of centrosome distances measured in 50 cells.
Figure 2.
Nek5 loss leads to premature centrosome separation in interphase.(a) RT-PCR of Nek5 and GAPDH with RNA collected after 72 h of siRNA treatment of U2OS cells with mock, GAPDH, or Nek5 siRNAs. Three individual Nek5 siRNAs were tested. (b) Staining of Nek5 and γ-tubulin in U2OS cells transfected with Nek5- or GL2-specific siRNAs for 48 h. (c) Quantification of cells treated as in b with centrosomes split by >2 µm. (d) Staining of γ-tubulin and DNA in U2OS cells transfected for 48 h with GFP, GFP-Nek5WT, or GFP-Nek5KD. (e) Quantification of cells with centrosomes separated by >2 µm in cells treated as in d. (f) U2OS cells were transfected with either siRNAs against Nek5 or GL2, or mock treated for 24 h before GFP-Nek5WT and GFP-Nek5KD RNAi sensitive and resistant constructs were transfected into the cells. Cells were harvested 24 h after plasmid transfection and analyzed by Western blotting with Nek5, GFP, and α-tubulin antibodies. (g) Quantification of cells with centrosomes separated by >2 µm in U2OS cells treated as in f. (h) Box and whisker plot of the distance between centrosomes in mock-, GL2-, or Nek5-depleted cells, and either untransfected cells or those expressing GFP, GFP-Nek5WT, GFP-Nek5KD, or GFP-Nek2WT. Bars: (main images) 10 µm; (insets) 1 µm. *, P < 0.05; **, P < 0.01; ****, P < 0.0001. Histograms show mean + SD (error bars); n= 3, 200 cells per experiment. Boxes represent the 25th and 75th percentile, and whiskers the 10th and 90th percentile of centrosome distances measured in 50 cells.
Nek5 is required for PCM recruitment and MT nucleation
To investigate how Nek5 contributes to centrosome cohesion, the localization of centrosome linker proteins was assessed after Nek5 depletion (Fig. 3, a and b). C-Nap1 and Nek2 were both reduced in cells depleted of Nek5. In contrast, rootletin was increased twofold. Similar changes were observed in cells expressing kinase-inactive Nek5 (Fig. 3 c). The extra rootletin present at centrosomes in Nek5-depleted cells formed extended fibers (Fig. 3 d), similar to those formed upon overexpression of rootletin (Fig. 3 e;Bahe et al., 2005). However, centrosome separation was inhibited, rather than promoted, in the presence of overexpressed rootletin, possibly through cytoplasmic sequestration of Nek2 (Fig. 3 f).
Figure 3.
Nek5 loss leads to increased rootletin but reduced PCM at interphase centrosomes.(a) Staining of γ-tubulin together with Nek5, C-Nap1, rootletin, or Nek2 in U2OS cells treated with siRNAs against GL2 or Nek5 for 48 h. (b) Histogram of relative intensities of Nek5, γ-tubulin, C-Nap1, rootletin, and Nek2 in U2OS cells mock-treated or with siRNAs against GL2 or Nek5 for 48 h. (c) Histogram of relative intensities of γ-tubulin, C-Nap1, rootletin, and Nek2 in U2OS cells transfected with GFP, GFP-Nek5WT, or GFP-Nek5KD for 48 h. Representative images from GFP-Nek5WT– and GFP-Nek5KD–transfected cells stained for each protein are shown. (d) Staining of rootletin and γ-tubulin in mock- and Nek5-depleted cells. (e) Staining of GFP and γ-tubulin in cells transfected with GFP-rootletin for 24 h. (f) Quantification of cells with centrosomes separated by >2 µm in mock-, GFP-, or GFP-rootletin–transfected cells. (g) Staining of rootletin and γ-tubulin in mock-, Nek2-, or Nek2- and Nek5-depleted cells. (h) Western blot analysis of C-Nap1, rootletin, Nek2, and α-tubulin from mock-, GL2-, Nek5- or Nek2-depleted cells. (i) Quantification of cells with centrosomes separated by >2 µm in mock-, GL2-, Nek5-, Nek2-, or Nek2- and Nek5-depleted U2OS cells. (j) Quantification of cells with centrosomes separated by >2 µm in untransfected or GFP-Nek2KD–transfected mock-, GL2-, or Nek5-depleted U2OS cells. (k) Staining of centrin, Cdk5Rap2, Cep192, and pericentrin in GL2- and Nek5-depleted cells. (l) Histogram of intensities of centrin, Cdk5Rap2, Cep192, and pericentrin in U2OS cells treated with siRNAs against GL2 or Nek5 for 48 h relative to mock-treated cells. (m) Staining of pericentrin, EB1, and α-tubulin in GL2- and Nek5-depleted cells treated with nocodazole for 5 h and 60 s washout to allow MT regrowth. (n) Histogram of the diameter of MT asters formed after 60 s regrowth in mock-, GL2-, and Nek5-depleted cells. Bars: (a, k, and m, main images) 10 µm; (a, k, and m [insets], c–e, and g) 1 µm. *, P < 0.05; **, P < 0.01; ***, P < 0.001; ****, P < 0.0001. Histograms show mean + SD (error bars); n= 3, 40 centrosomes (b, c, l, and n) or 200 cells (f, i, and j) per experiment.
Nek5 loss leads to increased rootletin but reduced PCM at interphase centrosomes.(a) Staining of γ-tubulin together with Nek5, C-Nap1, rootletin, or Nek2 in U2OS cells treated with siRNAs against GL2 or Nek5 for 48 h. (b) Histogram of relative intensities of Nek5, γ-tubulin, C-Nap1, rootletin, and Nek2 in U2OS cells mock-treated or with siRNAs against GL2 or Nek5 for 48 h. (c) Histogram of relative intensities of γ-tubulin, C-Nap1, rootletin, and Nek2 in U2OS cells transfected with GFP, GFP-Nek5WT, or GFP-Nek5KD for 48 h. Representative images from GFP-Nek5WT– and GFP-Nek5KD–transfected cells stained for each protein are shown. (d) Staining of rootletin and γ-tubulin in mock- and Nek5-depleted cells. (e) Staining of GFP and γ-tubulin in cells transfected with GFP-rootletin for 24 h. (f) Quantification of cells with centrosomes separated by >2 µm in mock-, GFP-, or GFP-rootletin–transfected cells. (g) Staining of rootletin and γ-tubulin in mock-, Nek2-, or Nek2- and Nek5-depleted cells. (h) Western blot analysis of C-Nap1, rootletin, Nek2, and α-tubulin from mock-, GL2-, Nek5- or Nek2-depleted cells. (i) Quantification of cells with centrosomes separated by >2 µm in mock-, GL2-, Nek5-, Nek2-, or Nek2- and Nek5-depleted U2OS cells. (j) Quantification of cells with centrosomes separated by >2 µm in untransfected or GFP-Nek2KD–transfected mock-, GL2-, or Nek5-depleted U2OS cells. (k) Staining of centrin, Cdk5Rap2, Cep192, and pericentrin in GL2- and Nek5-depleted cells. (l) Histogram of intensities of centrin, Cdk5Rap2, Cep192, and pericentrin in U2OS cells treated with siRNAs against GL2 or Nek5 for 48 h relative to mock-treated cells. (m) Staining of pericentrin, EB1, and α-tubulin in GL2- and Nek5-depleted cells treated with nocodazole for 5 h and 60 s washout to allow MT regrowth. (n) Histogram of the diameter of MT asters formed after 60 s regrowth in mock-, GL2-, and Nek5-depleted cells. Bars: (a, k, and m, main images) 10 µm; (a, k, and m [insets], c–e, and g) 1 µm. *, P < 0.05; **, P < 0.01; ***, P < 0.001; ****, P < 0.0001. Histograms show mean + SD (error bars); n= 3, 40 centrosomes (b, c, l, and n) or 200 cells (f, i, and j) per experiment.
To explore the relationship between Nek5 and Nek2 in regulating centrosome cohesion, we analyzed cells that were either singly or co-depleted of Nek2 and Nek5. We found that each condition led to an approximately twofold increase in rootletin at the centrosome (Fig. 3 g). Western blot analysis indicated that the total protein levels of C-Nap1 and rootletin were unchanged (Fig. 3 h). Nek2 depletion did not lead to an increase in centrosome separation, whereas codepletion with Nek5 led to a reduced frequency of separation relative to Nek5 depletion alone (Fig. 3 i). Consistent with this, overexpression of kinase-dead Nek2 (GFP-Nek2KD) reduced the frequency of centrosome separation in Nek5-depleted cells from 54.6 ± 10.5% upon Nek5 depletion alone to 31.3 ± 3.5% in cells also expressing GFP-Nek2KD (Fig. 3 j). Hence, we conclude that Nek2 and Nek5 have distinct but cooperative functions in regulating organization of the centrosome linker.
We had noted that γ-tubulin levels were also reduced in Nek5-depleted cells (Fig. 3, a and b). We therefore assessed the abundance of other centrosomal components to determine whether there was a general loss of centrosome integrity. The PCM components pericentrin, Cep192, and Cdk5Rap2 (Cep215) were also significantly reduced, whereas the core centriole component, centrin, was unaffected (Fig. 3, k and l; and Fig. S1 c). This suggests that loss of Nek5 primarily disrupts PCM integrity as opposed to centriole structure. Consistent with this, MT regrowth was slowed after nocodazole-induced depolymerization, with the asters formed in Nek5-depleted cells being only half the diameter of those formed in control cells after 60 s (Fig. 3, m and n).
Nek5 promotes centrosome linker disassembly in mitosis
We next tested the importance of Nek5 for mitotic progression. Flow cytometry showed no major change in cell cycle profile in Nek5-depleted cells or cells overexpressing wild-type or kinase-dead Nek5 (Fig. S1 d). However, this does not rule out a more subtle cell cycle defect, and microscopy analysis revealed an increase in the relative fraction of mitotic cells in prophase/prometaphase in Nek5-depleted cells, with a concomitant decrease in metaphase cells (Fig. 4, a and b). Although no defect was observed in the spindle assembly checkpoint response to taxol (Fig. S1 e), metaphase spindles assembled in Nek5-depleted cells exhibited altered geometry, with poles often out of line with normal spindle orientation (Fig. 4, c and d). Additionally, C-Nap1 and rootletin still remained on separated centrosomes in prophase (Fig. 4, e–g). Conversely, Nek2 abundance and C-Nap1 phosphorylation were reduced at centrosomes in Nek5-depleted prophase cells. Similar increases in C-Nap1 and rootletin abundance and a decrease in phosphorylated C-Nap1 were observed at separated centrosomes in prophase after Nek2 depletion (Fig. 4 h). Thus, we propose that the absence of Nek5 hinders recruitment of Nek2 to centrosomes, leading to reduced C-Nap1 phosphorylation and inappropriate retention of centrosome linker proteins in prophase. However, although there was a decrease in phospho-C-Nap1 and Nek2 in response to Nek5 depletion, the increase in total C-Nap1 leaves it possible that there is also a change in localized activity of Nek2 at the centrosome (Fig. 4, g and h).
Figure 4.
Nek5 loss leads to retention of centrosome linker proteins and reduced MT nucleation in mitosis.(a) Staining of DNA, α-tubulin, and pericentrin in GL2- and Nek5-depleted cells at the mitotic stages indicated. (b) Histogram of cells in different stages of mitosis, as indicated, after 48 h of mock, GL2, or Nek5 depletion in U2OS cells. (c) Metaphase GL2- and Nek5-depleted cells stained for DNA, α-tubulin, and pericentrin. The yellow line indicates the plane of the metaphase plate; the white line indicates the pole-to-pole spindle axis. (d) Dot plot of the angle between the spindle axis and metaphase plate for mock-, GL2-, and Nek5-depleted cells. Each dot represents a single cell with data collected over two independent experiments, bars represents mean ± SD. (e and f) Staining of C-Nap1 or rootletin and γ-tubulin in prophase U2OS cells after mock, GL2, or Nek5 depletion. (g) Histogram of relative intensities of γ-tubulin, C-Nap1, rootletin, Nek2, and phospho-C-Nap1 (pC-Nap1) in mock-, GL2-, Nek5-, and Nek2-depleted prophase U2OS cells. Each protein was normalized to its intensity in mock-treated cells. (h) Staining of pC-Nap1 and Nek2 in prophase U2OS cells that were mock, GL2, or Nek5 depleted. The ratios of pC-Nap1/Nek2 intensities are indicated. (i) Staining of centrin, Cdk5Rap2, Cep192, and pericentrin in GL2- and Nek5-depleted prophase cells. (j) Histogram of relative intensities of centrin, Cdk5Rap2, Cep192, and pericentrin in prophase U2OS cells that were mock-, GL2-, or Nek5-depleted for 48 h. Each protein was normalized to its intensity in mock-treated cells. (k) Staining of pericentrin, EB1, and α-tubulin in GL2- and Nek5-depleted prophase cells treated with nocodazole for 5 h and 60 s washout to allow MT regrowth. (l) Histogram of the diameter of MT asters formed after 60 s of regrowth in mock-, GL2-, Nek5-, and Cep192-depleted cells. Bars: (a, c, e, f, h, and i, main images) 10 µm; (c) 5 µm; (e, f, h, i, and k, insets) 1 µm. Histograms show mean + SD (error bars); n= 3, 40 centrosomes (l) or 100 cells (b, g, and j) per experiment. *, P < 0.05; **, P < 0.01; ***, P < 0.001.
Figure 4.
Nek5 loss leads to retention of centrosome linker proteins and reduced MT nucleation in mitosis.(a) Staining of DNA, α-tubulin, and pericentrin in GL2- and Nek5-depleted cells at the mitotic stages indicated. (b) Histogram of cells in different stages of mitosis, as indicated, after 48 h of mock, GL2, or Nek5 depletion in U2OS cells. (c) Metaphase GL2- and Nek5-depleted cells stained for DNA, α-tubulin, and pericentrin. The yellow line indicates the plane of the metaphase plate; the white line indicates the pole-to-pole spindle axis. (d) Dot plot of the angle between the spindle axis and metaphase plate for mock-, GL2-, and Nek5-depleted cells. Each dot represents a single cell with data collected over two independent experiments, bars represents mean ± SD. (e and f) Staining of C-Nap1 or rootletin and γ-tubulin in prophase U2OS cells after mock, GL2, or Nek5 depletion. (g) Histogram of relative intensities of γ-tubulin, C-Nap1, rootletin, Nek2, and phospho-C-Nap1 (pC-Nap1) in mock-, GL2-, Nek5-, and Nek2-depleted prophase U2OS cells. Each protein was normalized to its intensity in mock-treated cells. (h) Staining of pC-Nap1 and Nek2 in prophase U2OS cells that were mock, GL2, or Nek5 depleted. The ratios of pC-Nap1/Nek2 intensities are indicated. (i) Staining of centrin, Cdk5Rap2, Cep192, and pericentrin in GL2- and Nek5-depleted prophase cells. (j) Histogram of relative intensities of centrin, Cdk5Rap2, Cep192, and pericentrin in prophase U2OS cells that were mock-, GL2-, or Nek5-depleted for 48 h. Each protein was normalized to its intensity in mock-treated cells. (k) Staining of pericentrin, EB1, and α-tubulin in GL2- and Nek5-depleted prophase cells treated with nocodazole for 5 h and 60 s washout to allow MT regrowth. (l) Histogram of the diameter of MT asters formed after 60 s of regrowth in mock-, GL2-, Nek5-, and Cep192-depleted cells. Bars: (a, c, e, f, h, and i, main images) 10 µm; (c) 5 µm; (e, f, h, i, and k, insets) 1 µm. Histograms show mean + SD (error bars); n= 3, 40 centrosomes (l) or 100 cells (b, g, and j) per experiment. *, P < 0.05; **, P < 0.01; ***, P < 0.001.
Nek5-depleted prophase cells also had reduced levels of γ-tubulin, Cdk5Rap2, Cep192, and pericentrin, and a reduced rate of MT regrowth (Fig. 4, e–g, and i–l). Thus, the spindle geometry defect may be attributed to both retention of linker proteins and reduced MT-nucleating capacity of prophase centrosomes. Indeed, Cdk5Rap2 has dual roles in both centrosome cohesion and PCM integrity, which suggests that its loss may contribute to both phenotypes observed upon Nek5 loss (Pagan et al., 2015).
Nek5 is required for timely centrosome separation and genome integrity
To test the impact of Nek5 depletion on the timing of centrosome separation, we performed time-lapse imaging of HeLa cells stably expressing GFP–α-tubulin. Upon mitotic entry, a bright GFP dot becomes visible as the MT organizing center (MTOC) increases nucleation activity. This MTOC then separates to opposite sides of the cell to establish a bipolar spindle. Designating the time at which a distinct MTOC is first seen as T = 0, we observed that Nek5-depleted cells take ∼15 min longer to establish a bipolar spindle with opposing poles compared with control cells (Fig. 5, a and b; and Videos 1–6). Indeed, only 48% of Nek5-depleted cells enter prometaphase with centrosomes at opposite poles, as compared with 76% of control cells ( n= 25). Additionally, the time taken from nuclear envelope breakdown to anaphase onset was increased by ∼25 min in Nek5-depleted cells (Fig. 5 c). Together, these data suggest that spindle assembly is less efficient in Nek5-depleted cells, which is consistent with the increase in prophase/prometaphase duration.
Figure 5.
Nek5 loss leads to delayed centrosome separation and chromosome segregation errors in mitosis.(a) Brightfield and GFP stills from time-lapse imaging of GL2- and Nek5-depleted HeLa cells expressing GFP–α-tubulin. Time is in minutes and t = 0 was defined as the frame in which a distinct MTOC becomes visible. (b) Dot plot of time from when an MTOC becomes visible to bipolar spindle formation in mock-, GL2-, and Nek5-depleted HeLa::GFP–α-tubulin cells. (c) Dot plot of time from nuclear envelope breakdown (NEBD) to anaphase onset in mock-, GL2-, and Nek5-depleted HeLa::GFP–α-tubulin cells. (d) DNA stain in U2OS cells depleted of Nek5 for 48 h. (e) Histogram of interphase U2OS cells that were binucleated or contained micronuclei after mock, GL2, Nek5, or Nek2 depletion or GFP-rootletin overexpression. (f) Interphase Nek5-depleted U2OS cells stained for DNA and CENP-A. (g) Anaphase Nek5-depleted U2OS cells stained for DNA. (h) Histogram of anaphase cells with lagging chromosomes after mock, GL2, Nek5, or Nek2 depletion or GFP-rootletin overexpression. (i) Anaphase Nek5-depleted U2OS cells stained for DNA and CENP-A. Bars: (a, d, and f, main images) 10 µm; (g and i, main images) 5 µm; (f and i, insets) 1 µm. Histograms show mean + SD (error bars); n= 3, 100 cells per experiment. For dot plots, each dot represents a single cell with data collected over two independent experiments; bars represent mean ± SD. *, P < 0.05; **, P < 0.01; ***, P < 0.001.
Nek5 loss leads to delayed centrosome separation and chromosome segregation errors in mitosis.(a) Brightfield and GFP stills from time-lapse imaging of GL2- and Nek5-depleted HeLa cells expressing GFP–α-tubulin. Time is in minutes and t = 0 was defined as the frame in which a distinct MTOC becomes visible. (b) Dot plot of time from when an MTOC becomes visible to bipolar spindle formation in mock-, GL2-, and Nek5-depleted HeLa::GFP–α-tubulin cells. (c) Dot plot of time from nuclear envelope breakdown (NEBD) to anaphase onset in mock-, GL2-, and Nek5-depleted HeLa::GFP–α-tubulin cells. (d) DNA stain in U2OS cells depleted of Nek5 for 48 h. (e) Histogram of interphase U2OS cells that were binucleated or contained micronuclei after mock, GL2, Nek5, or Nek2 depletion or GFP-rootletin overexpression. (f) Interphase Nek5-depleted U2OS cells stained for DNA and CENP-A. (g) Anaphase Nek5-depleted U2OS cells stained for DNA. (h) Histogram of anaphase cells with lagging chromosomes after mock, GL2, Nek5, or Nek2 depletion or GFP-rootletin overexpression. (i) Anaphase Nek5-depleted U2OS cells stained for DNA and CENP-A. Bars: (a, d, and f, main images) 10 µm; (g and i, main images) 5 µm; (f and i, insets) 1 µm. Histograms show mean + SD (error bars); n= 3, 100 cells per experiment. For dot plots, each dot represents a single cell with data collected over two independent experiments; bars represent mean ± SD. *, P < 0.05; **, P < 0.01; ***, P < 0.001.
A block to prophase centrosome separation leads to spindle assembly via a prometaphase pathway that is dependent on motor protein–driven pole separation (Toso et al., 2009;Kaseda et al., 2012;Mchedlishvili et al., 2012). However, spindles assembled via the prometaphase pathway exhibit increased frequencies of merotelic attachments and chromosome segregation defects (Silkworth et al., 2012). We noted that upon Nek5 depletion there was a fourfold increase in interphase cells that had micronuclei, as well as a significant increase in binucleated cells (Fig. 5, d and e). These observations are consistent with chromosome segregation errors and cytokinesis failure, both of which occur in response to merotelic attachments. Micronuclei in Nek5-depleted cells contained 0, 1, or 2 centromeres, which suggests that they arise from both acentric chromosome fragments and lagging whole chromosomes (Fig. 5 f). There was also an increase in the frequency of anaphase cells with lagging chromosomes, rising from 6.6% in control cells to 48.4% upon Nek5 depletion (Fig. 5, g–i). We also observed unresolved sister chromatids that gave rise to chromosome bridges (Fig. 5, g and i). Similar results were seen upon depletion of Nek2, but not after overexpression of rootletin (Fig. 5, e and h), which supports the hypothesis that both Nek2 and Nek5 are required for timely separation of centrosomes in early mitosis.
In summary, we provide the first demonstration of a cell cycle role for Nek5. We propose that Nek5 is important for both maintenance of PCM integrity and the mitotic loss of centrosome cohesion. Together, these processes are essential for the timely separation of centrosomes at the G2/M transition. Disassembly of the centrosome linker may be achieved through cooperation with Nek2, although how this happens remains to be determined. Indeed, there are many potential substrates for these kinases, given the growing list of centrosome linker components. Nevertheless, in the absence of either Nek2 or Nek5, centrosome separation is delayed, leading to chromosome segregation errors and highlighting the importance of these kinases for genome stability.
Materials and methods
Plasmid construction and site-directed mutagenesis
A full-length Nek5 cDNA clone (GenBank accession no.BC063885) encoding a 708-residue protein was obtained from GeneCopoeia. For antibody production, a Nek5 DNA fragment corresponding to amino acids 505–708 was amplified by PCR and cloned into the pETM-11 (T7 promoter; EMBL) vector. To generate tagged mammalian expression constructs, full-length Nek5 cDNA was PCR amplified and cloned into the pEGFP-T7 (pEGFP-C1 [CMV promoter; Takara Bio Inc.] with an additional T7 promoter [Fry laboratory]) or pFLAG-CMV-2 (CMV promoter; Sigma-Aldrich) vectors. Point mutations to generate the GFP-Nek5-K33R/D128A mutant were introduced by sequential site-directed mutagenesis of the GFP-Nek5WT construct using the GeneTailor Site-Directed Mutagenesis System (Invitrogen). RNAi-resistant constructs were generated using primers designed to change the third position of each codon recognized by oligos #1 and #3 (#1 forward, CCTTCTTCAATTCATTTCAAGAAAACGGGAGACTCTTCATCGTAATGGAAT, and reverse, TTGAAATGAATTGAAGAAGGCTACAATGTT; #3 forward, TCTTTCAAGTATCTCCTCGAGATCGCCCGTCGATCAACTCGATTTTGAAAA, and reverse, TCGAGGAGATACTTGAAAGAGCTGAGATAT). GFP-rootletin (full-length human rootletin), Myc-Nek2WT (full-length wild-type human Nek2A) and GFP-Nek2KD (amino acid change, K37R, in full-length Nek2A to give inactive Nek2A) have been described previously (Fry et al., 1998b;Faragher and Fry, 2003;Bahe et al., 2005). All plasmid constructs were verified by DNA sequencing (The Protein Nucleic Acid Chemistry Laboratory, University of Leicester).
Antibody generation
For production of Nek5 antibodies, rabbits were immunized by Cambridge Research Biochemicals with bacterially expressed His-tagged protein corresponding to amino acids 505–708 of Nek5. For affinity purification, His-Nek5-507-708 was coupled to CNBr-activated Sepharose according to the manufacturer’s instructions (GE Healthcare). Antiserum was passed over the column, and after extensive washing with 10 mM Tris-HCl, pH 7.5, followed by 10 mM Tris-HCl, pH 7.5, 500 mM NaCl, specific antibodies were eluted with 100 mM glycine, pH 2.5, or 100 mM Triethylamine, pH 11.5, into tubes containing neutralizing quantities of 1 M Tris-HCl, pH 8.0.
Cell culture, drug treatments and transfection
All cell lines were maintained in a humidified 5% CO 2atmosphere at 37°C. U2OS, tetracycline-inducible U2OS::GFP-Nek2WT (USOS cells with stably incorporated GFP-Nek2WT full length under a tetracycline-inducible promoter;Faragher and Fry, 2003), Hek293, HeLa::GFP–α-tubulin (stably expressing GFP-tagged full length α-tubulin), HeLa::centrin1-GFP (stably expressing GFP-tagged full-length centrin1), as well as colorectal (SW620, SW480, HT29, HCT116), breast (HBL100), and pancreatic (MIA-Pa-Ca-2, Panc-1) cancer cell lines were cultured in DMEM (Invitrogen). Other breast (MDA-MB-468) and pancreatic (AsPc, BxPc-3) cancer cell lines were cultured in RPMI 1640 media (Invitrogen). hTERT-RPE1 cells were cultured in DMEM/Ham’s F12 supplemented with 0.4% wt/vol sodium bicarbonate solution. All cell lines were supplemented with 10% vol/vol FBS and penicillin-streptomycin (100 U/ml and 100 µg/ml, respectively). Primary cilia formation was induced in hTERT-RPE1 cells by culturing cells in serum-free medium for 48 h. To induce expression of Nek2 in the U2OS::GFP-Nek2WT cell line, doxycycline was added at 1 µg/ml for 24 h. To arrest cells in mitosis, cells were treated with 10 µM taxol (Sigma-Aldrich). For MT regrowth experiments, cells were treated with 20 µM nocodazole (Sigma-Aldrich) for 5 h, then cells were washed and incubated in culture medium without nocodazole at 37°C for the indicated time. For transient transfections, 1 µg of plasmid DNA was complexed with Lipofectamine 2000 (Invitrogen) in serum-free OptiMEM (Gibco) according to the manufacturer’s instructions and added to cells at 60% confluency. Cells were fixed and analyzed 24–48 h after transfection.
RNAi
siRNA oligonucleotides specific to Nek5 (#1, GAGAAUGGCAGGCUGUUUAUU; #2, GAAUAAACCCUACAACAAUUU; #3, GACCGACCAUCCAUAAAUUUU; GE Healthcare or QIAGEN), Nek2 (GAAAGGCAAUACUUAGAUG and AAACAUCGUUCGUUACUAU; Thermo Fisher Scientific), GAPDH (AM4631; Ambion), or luciferase GL2 (D-001100-01-20; Thermo Fisher Scientific) were transfected at 50 nmol into cells using Oligofectamine or Lipofectamine 2000 (Invitrogen) in serum-free OptiMEM (Gibco) according to the manufacturer’s instructions. Cells were analyzed 48–72 h after transfection. Unless otherwise indicated, Nek5 depletions were undertaken with siRNA oligonucleotides #1 and #3 combined.
Immunofluorescence microscopy
Cells were extracted with 0.2% NP-40 in 80 mM Pipes, pH 6.8, 1 mM MgCl 2, and 1 mM EGTA for 30 s before fixation with methanol at −20°C for 10 min. After rehydration with PBS for 20 min, cells were blocked in 1% wt/vol BSA-PBS and incubated with primary antibodies for 1 h at room temperature followed by a 45-min incubation with secondary antibodies. Secondary antibodies used were Alexa Fluor 488, 594, and 647, FITC or Rhodamine-red goat or donkey anti–rabbit, goat or donkey anti–mouse, and donkey anti–rat IgGs (1 µg/ml; Invitrogen or Jackson ImmunoResearch Laboratories, Inc.). DNA was stained with Hoechst 33258 or DAPI (Sigma-Aldrich). Coverslips were mounted with 3% wt/vol N-propyl-gallate, 80% vol/vol glycerol in PBS, or ProLong Gold (Invitrogen). Images were captured as single focal planes under oil at room temperature on a microscope (TE300; Nikon) equipped with a digital camera (ORCA-R 2; Hamamatsu Photonics) and a 100× oil objective lens, NA 1.4, or a microscope (IX71; Olympus) equipped with a camera (Orca AG; Hamamatsu Photonics) and a 100× oil objective lens, NA 1.35, with 1 × 1 binning, using Volocity software (Improvision). Post-imaging merges and individual channel images were exported as TIFs for publication and cropped using Photoshop CS6 (Adobe). All intensity and distance measurements were performed using ImageJ (v1.48). Alternatively, images were captured under oil at room temperature as three-dimensional datasets acquired on an imaging system (DeltaVision RT; Applied Precision) equipped with a microscope (IX70; Olympus), a CCD camera (CoolSNAP 1,024 × 1,024; Roper Scientific), and a 60×, NA 1.42, Plan-Apochromat oil objective lens with 1 × 1 binning. Z stacks (25 sections, 0.2 µm) were collected and computationally deconvolved (Constrained Iterative Deconvolution algorithm, enhanced ratio method) with the softWoRx software package (v3.5; Applied Precision) and exported as TIFs as two-dimensional maximum intensity projections. Images were converted from 16- to 8-bit using ImageJ (v1.48) and cropped using Photoshop CS6 (Adobe). Mouse monoclonal antibodies used were as follows: Nek5 (ab77451, 1:250; Abcam), γ-tubulin (T6557, 1:1,000; Sigma-Aldrich), Nek2 (610594, 1:500; BD), acetylated tubulin (T6793, 1:2,000; Sigma-Aldrich), GFP (11814460001, 1:2,000; Roche), CENP-A (ab13939, 1:400; Abcam), centrin (04-1624, 1:1,000; EMD Millipore), and α-tubulin (T6199, 1:1,000; Sigma-Aldrich). Rat monoclonal antibody was used against EB1 (ab53358, 1:250; Abcam). Rabbit polyclonal antibodies were used against Nek5 (this study, 1:200), C-Nap1 (raised against his-tagged amino acids 1978–2442 of human C-Nap1, 1:750;Fry et al., 1998a), pC-Nap1 (raised against a phospho-peptide corresponding to residues LLEKpSLAQRVQC of human C-Nap1, 1:1,000;Hardy et al., 2014), rootletin (raised against MBP-tagged amino acids 1651–2018 of human rootletin, 1:1,000;Hardy et al., 2014), GFP (ab6556, 1:1,000; Abcam), phospho-Histone H3 (06-570, 1:500; EMD Millipore), Cep192 (sc-84784, 1:250; Santa Cruz Biotechnology, Inc.), pericentrin (ab4448, 1:1,000; Abcam), and Cdk5Rap2 (IHC-00063, 1:500; Bethyl Laboratories, Inc.).
Live cell microscopy
Time-lapse imaging was performed at 37°C under oil on a confocal microscope (TCS SP5; Leica) equipped with an inverted microscope (DMI 6000B; Leica) using a 63× oil objective lens, NA 1.4. Cells were maintained on the stage at 37°C in a 5% CO 2atmosphere using a microscope temperature control system (Life Imaging Services). HeLa cells stably expressing GFP–α-tubulin (HeLa::GFP–α-tubulin) were cultured in 35-mm glass-bottomed dishes (CellView) consisting of four compartments (Greiner Bio-One) such that each treatment condition could be imaged in the same session. Cells were treated with siRNAs for 40 h, then imaged every 5 min for 18 h. Z stacks composed of twenty 1-µm steps were acquired at each time point, and images were captured from two positions per compartment of the 35-mm dish. Stacks were processed into maximum-intensity projections using LAS-AF software (Leica) and images were processed using ImageJ (v1.48).
Flow cytometry
For flow cytometry, cells were fixed with ice-cold 70% ethanol at −20°C overnight. After fixation, cells were washed twice with PBS then resuspended in PBS containing 200 µg/ml RNase A and 40 µg/ml propidium iodide. Cytometry was performed on a FACSCanto (BD).
Western blotting
Whole-cell extracts were prepared with radioimmunoprecipitation assay buffer (50 mM Tris-HCl, pH 7.4, 1% NP-40, 0.25% sodium deoxycholate, 150 mM NaCl, and 1 mM EDTA, with protease and phosphatase inhibitor cocktails). Extracts were boiled in loading buffer for 5 min. Proteins were separated on 8 or 12% SDS PAGE gels and transferred to nitrocellulose membranes (GE Healthcare) for analysis. Blots were detected by ECL (GE Healthcare). Primary antibodies used were: rabbit polyclonals against Nek5 (this study; 1:500), C-Nap1 (raised against his-tagged amino acids 1978–2442 of human C-Nap1; 1:1,000;Fry et al., 1998a), and rootletin (raised against MBP-tagged amino acids 1651–2018 of human rootletin, 1:1,000;Hardy et al., 2014); mouse monoclonals against Nek5 (ab77451, 1:500; Abcam), α-tubulin (T5168, 1:10,000; Sigma-Aldrich), Nek2 (610594, 1:1,000; BD), and GFP (11814460001, 1:5,000; Roche). HRP-conjugated goat anti–mouse or anti–rabbit secondary antibodies were used at 1:5,000 (Jackson ImmunoResearch Laboratories, Inc.).
RT-PCR
To prepare RNA for RT-PCR, cells were homogenized with TRIzol reagent (Sigma-Aldrich). 1 (GAPDH, actin) or 5 µg (Nek5) of total RNA was then used for first strand cDNA synthesis with Superscript III reverse transcription (Invitrogen) according to the manufacturer’s instructions. 25% of the first strand reaction was then used in the PCR reaction mixture, with 25 µl total volume, containing 1.5 mM MgCl 2, 0.2 mM dNTPs, 0.8 µM of each forward and reverse primer, and 1 U TaqDNA polymerase (Invitrogen). 30 cycles of PCR were used after denaturation at 95°C for 2 min. Cycles consisted of 95°C for 1.5 min, annealing at 50°C for 2 min, and elongation at 72°C for 1 min, followed by one final extension at 72°C for 10 min. The primer pairs used were as follows: Nek5 forward, CTTAAACATCCTTTTGAGGGTAAC; and reverse, TACTCAGCAGGCCATTGACTTGGG; GAPDH forward, CGGAGTCAACGGATTTGGTCGTAT; and reverse, ATGGACTGTGGTCATGAGTCCTTC; and actin forward, TGATGGTGGGCATGGGTCAG; and reverse, CATTTGCGGTGGACGATGGAG. PCR products were analyzed by agarose gel electrophoresis.
Statistical analysis
All quantitative data represent mean and SD of at least three independent experiments in which at least 100–200 cells were quantified. For protein intensity measurements, the intensity of each protein was normalized to its intensity in control-treated cells. 40 centrosomes were quantified for each protein for each condition in three independent experiments. Statistical analyses were performed using a one-tailed unpaired Student’s ttest assuming unequal variance. P-values are defined as: *, P < 0.05; **, P < 0.01; ***, P < 0.001; ****, P < 0.0001. For box and whisker plots, boxes represent the 25th and 75th percentile, and whiskers the 10th and 90th percentile of centrosome distances measured in 50 cells. For dot plots, each dot represents a single cell with data collected over two independent experiments, and the bar represents mean ± SD.
Online supplemental material
Fig. S1 shows Western blot, IF, RT-PCR, and flow cytometry data that support conclusions drawn from the figures in the manuscript. Videos 1–6 show time-lapse imaging movies of GL2 and Nek5-depleted HeLa cells expressing GFP–α-tubulin as they progress into mitosis.
Acknowledgments
We acknowledge support of the University of Leicester Core Biotechnology Services for access to imaging facilities, plasmid construction, and DNA sequencing.
This work was supported by the Wellcome Trust (082828; to A.M. Fry), the Biotechnology and Biological Sciences Research Council (A.M. Fry), a Science Foundation Ireland Principal Investigator award 10/IN.1/B2972 (to C.G. Morrison), Canadian Institutes of Health Research (MOP-123468; to L. Pelletier), and the Krembil Foundation (to L. Pelletier).
The authors declare no competing financial interests.
References
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Supplementary data
| https://rupress.org/jcb/article-standard/209/3/339/38170/Nek5-promotes-centrosome-integrity-in-interphase |
Relation Between Respiratory Muscle Strength and Skeletal Muscle Mass and Hand Grip Strength in the Healthy Elderly-ICH GCP
Shin HI, Kim DK, Seo KM, Kang SH, Lee SY, Son S. Relation Between Respiratory Muscle Strength and Skeletal Muscle Mass and Hand Grip Strength in the Healthy Elderly. Ann Rehabil Med. 2017 Aug;41(4):686-692. doi: 10.5535/arm.2017.41.4.686. Epub 2017 Aug 31.。 ICH GCP。
Relation Between Respiratory Muscle Strength and Skeletal Muscle Mass and Hand Grip Strength in the Healthy Elderly
Hyun Iee Shin, Don-Kyu Kim, Kyung Mook Seo, Si Hyun Kang, Sang Yoon Lee, Sunhan Son, Hyun Iee Shin, Don-Kyu Kim, Kyung Mook Seo, Si Hyun Kang, Sang Yoon Lee, Sunhan Son
Abstract
Objective:To evaluate sarcopenic indices in relation to respiratory muscle strength (RMS) in elderly people.
Methods:This study included 65 volunteers over the age of 60 (30 men and 35 women). The skeletal muscle mass index (SMI) was measured using bioimpedance analysis. Limb muscle function was assessed by handgrip strength (HGS), the Short Physical Performance Battery (SPPB), and gait speed. RMS was addressed by maximal inspiratory pressure (MIP) and maximal expiratory pressure (MEP) using a spirometer. The relationships between RMS and other sarcopenic indices were investigated using the Pearson correlation coefficients and multiple regression analysis adjusted for age, HGS, and SPPB.
Results:Both MIP and MEP were positively correlated with SMI (r=0.451 and r=0.388, respectively, p<0.05 in both). HGS showed a significant correlation with both MIP and MEP (r=0.560, p<0.01 and r=0.393, p<0.05, respectively). There was no significant correlation between gait speed and either MIP or MEP. The SPPB was positively correlated with MEP (r=0.436, p<0.05). In the multiple regression analysis, MIP was significantly associated with HGS and SMI (p<0.001 and p<0.05, respectively), while MEP was related only with HGS (p<0.05).
Conclusion:This study suggests that respiratory muscles, especially inspiratory muscles, are significantly related to limb muscle strength and skeletal muscle mass. The clinical significance of MIP and MEP should be further investigated with prospective studies.
Keywords:Muscle strength; Respiratory muscles; Sarcopenia; Skeletal muscle; Spirometry.
Conflict of interest statement
CONFLICT OF INTEREST: No potential conflict of interest relevant to this article was reported.
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Source:PubMed
| https://ichgcp.net/zh/clinical-trials-registry/publications/137123-relation-between-respiratory-muscle-strength-and-skeletal-muscle-mass-and-hand-grip-strength-in-the |
Judges 19 ISV HEB Parallel
ISV Parallel HEB [BSB CSB ESV HCS KJV ISV NAS NET NIV NLT HEB]
<table><tbody><tr><td> International Standard Version</td><td> Hebrew Study Bible</td></tr></tbody></table>
<table><tbody><tr><td> 1 Now it happened in those days, before there was a king in Israel, that a certain male descendant of Levi, who lived in a remote part of the mountainous region of Ephraim, took a mistress for himself from Bethlehem in the territory of Judah.</td><td> 1 וַיְהִי֙ בַּיָּמִ֣ים הָהֵ֔ם וּמֶ֖לֶךְ אֵ֣ין בְּיִשְׂרָאֵ֑ל וַיְהִ֣י ׀ אִ֣ישׁ לֵוִ֗י גָּ֚ר בְּיַרְכְּתֵ֣י הַר־ אֶפְרַ֔יִם וַיִּֽקַּֽח־ לוֹ֙ אִשָּׁ֣ה פִילֶ֔גֶשׁ מִבֵּ֥ית לֶ֖חֶם יְהוּדָֽה׃</td></tr></tbody></table>
<table><tbody><tr><td> 2 But his mistress was sexually unfaithful to him, and then she left him to live in her father's home in Bethlehem in the territory of Judah. She had been living there for a period of about four months</td><td> 2 וַתִּזְנֶ֤ה עָלָיו֙ פִּֽילַגְשׁ֔וֹ וַתֵּ֤לֶךְ מֵֽאִתּוֹ֙ אֶל־ בֵּ֣ית אָבִ֔יהָ אֶל־ בֵּ֥ית לֶ֖חֶם יְהוּדָ֑ה וַתְּהִי־ שָׁ֕ם יָמִ֖ים אַרְבָּעָ֥ה חֳדָשִֽׁים׃</td></tr></tbody></table>
<table><tbody><tr><td> 3 when her husband got up and went after her, intending to speak lovingly to her in order to win her back. He took with him his young man servant and a pair of donkeys. When she brought him into her father's house to see him, her father was happy to have met him.</td><td> 3 וַיָּ֨קָם אִישָׁ֜הּ וַיֵּ֣לֶךְ אַחֲרֶ֗יהָ לְדַבֵּ֤ר עַל־ לִבָּהּ֙ [להשיבו] (לַהֲשִׁיבָ֔הּ) וְנַעֲר֥וֹ עִמּ֖וֹ וְצֶ֣מֶד חֲמֹרִ֑ים וַתְּבִיאֵ֙הוּ֙ בֵּ֣ית אָבִ֔יהָ וַיִּרְאֵ֙הוּ֙ אֲבִ֣י הַֽנַּעֲרָ֔ה וַיִּשְׂמַ֖ח לִקְרָאתֽוֹ׃</td></tr></tbody></table>
<table><tbody><tr><td> 4 The young woman's father (that is, his father-in-law) made him stay there for three days while they ate and drank during his visit there.</td><td> 4 וַיֶּחֱזַק־ בּ֤וֹ חֹֽתְנוֹ֙ אֲבִ֣י הַֽנַּעֲרָ֔ה וַיֵּ֥שֶׁב אִתּ֖וֹ שְׁלֹ֣שֶׁת יָמִ֑ים וַיֹּאכְלוּ֙ וַיִּשְׁתּ֔וּ וַיָּלִ֖ינוּ שָֽׁם׃</td></tr></tbody></table>
<table><tbody><tr><td> 5 On the fourth day, they got up early that morning, and the descendant of Levi got ready to leave. Then the young woman's father-in-law told him, "Fortify yourself by eating some food before you go."</td><td> 5 וַֽיְהִי֙ בַּיּ֣וֹם הָרְבִיעִ֔י וַיַּשְׁכִּ֥ימוּ בַבֹּ֖קֶר וַיָּ֣קָם לָלֶ֑כֶת וַיֹּאמֶר֩ אֲבִ֨י הַֽנַּעֲרָ֜ה אֶל־ חֲתָנ֗וֹ סְעָ֧ד לִבְּךָ֛ פַּת־ לֶ֖חֶם וְאַחַ֥ר תֵּלֵֽכוּ׃</td></tr></tbody></table>
<table><tbody><tr><td> 6 So both of them sat down for a bit, ate and drank together, and the young woman's father invited the man, "Please, enjoy yourself and spend another night."</td><td> 6 וַיֵּשְׁב֗וּ וַיֹּאכְל֧וּ שְׁנֵיהֶ֛ם יַחְדָּ֖ו וַיִּשְׁתּ֑וּ וַיֹּ֜אמֶר אֲבִ֤י הַֽנַּעֲרָה֙ אֶל־ הָאִ֔ישׁ הֽוֹאֶל־ נָ֥א וְלִ֖ין וְיִטַ֥ב לִבֶּֽךָ׃</td></tr></tbody></table>
<table><tbody><tr><td> 7 The man got up, intending to leave, but his father-in-law urged him to spend the night there again.</td><td> 7 וַיָּ֥קָם הָאִ֖ישׁ לָלֶ֑כֶת וַיִּפְצַר־ בּוֹ֙ חֹתְנ֔וֹ וַיָּ֖שָׁב וַיָּ֥לֶן שָֽׁם׃</td></tr></tbody></table>
<table><tbody><tr><td> 8 On the fifth day, he got up early in the morning, but the young woman's father-in-law told him, "Please, fortify yourself," so they delayed until later that afternoon while both of them ate together.</td><td> 8 וַיַּשְׁכֵּ֨ם בַּבֹּ֜קֶר בַּיּ֣וֹם הַחֲמִישִׁי֮ לָלֶכֶת֒ וַיֹּ֣אמֶר ׀ אֲבִ֣י הַֽנַּעֲרָ֗ה סְעָד־ נָא֙ לְבָ֣בְךָ֔ וְהִֽתְמַהְמְה֖וּ עַד־ נְט֣וֹת הַיּ֑וֹם וַיֹּאכְל֖וּ שְׁנֵיהֶֽם׃</td></tr></tbody></table>
<table><tbody><tr><td> 9 When the man got up to leave with his mistress and servant, his father-in-law, the young woman's father, told him, "Look now, evening is coming, so please spend another night. See how the daylight is fading, so spend the night here and enjoy yourself. Then tomorrow get up early and leave on your journey home."</td><td> 9 וַיָּ֤קָם הָאִישׁ֙ לָלֶ֔כֶת ה֥וּא וּפִילַגְשׁ֖וֹ וְנַעֲר֑וֹ וַיֹּ֣אמֶר ל֣וֹ חֹתְנ֣וֹ אֲבִ֣י הַֽנַּעֲרָ֡ה הִנֵּ֣ה נָא֩ רָפָ֨ה הַיּ֜וֹם לַעֲרֹ֗ב לִֽינוּ־ נָ֞א הִנֵּ֨ה חֲנ֤וֹת הַיּוֹם֙ לִ֥ין פֹּה֙ וְיִיטַ֣ב לְבָבֶ֔ךָ וְהִשְׁכַּמְתֶּ֤ם מָחָר֙ לְדַרְכְּכֶ֔ם וְהָלַכְתָּ֖ לְאֹהָלֶֽךָ׃</td></tr></tbody></table>
<table><tbody><tr><td> 10 Because the man was unwilling to spend the night, he got up, left, and arrived opposite Jebus (now known as Jerusalem). He had with him a pair of saddled donkeys, along with his mistress.</td><td> 10 וְלֹֽא־ אָבָ֤ה הָאִישׁ֙ לָל֔וּן וַיָּ֣קָם וַיֵּ֗לֶךְ וַיָּבֹא֙ עַד־ נֹ֣כַח יְב֔וּס הִ֖יא יְרוּשָׁלִָ֑ם וְעִמּ֗וֹ צֶ֤מֶד חֲמוֹרִים֙ חֲבוּשִׁ֔ים וּפִילַגְשׁ֖וֹ עִמּֽוֹ׃</td></tr></tbody></table>
<table><tbody><tr><td> 11 As they approached Jebus, the daylight was almost gone, so the servant suggested to his master, "Come on, let's spend the night in this Jebusite city."</td><td> 11 הֵ֣ם עִם־ יְב֔וּס וְהַיּ֖וֹם רַ֣ד מְאֹ֑ד וַיֹּ֨אמֶר הַנַּ֜עַר אֶל־ אֲדֹנָ֗יו לְכָה־ נָּ֛א וְנָס֛וּרָה אֶל־ עִֽיר־ הַיְבוּסִ֥י הַזֹּ֖את וְנָלִ֥ין בָּֽהּ׃</td></tr></tbody></table>
<table><tbody><tr><td> 12 But his master replied, "We're not going to turn aside into a city of foreigners who are not part of the Israelis. Instead, we'll go on to Gibeah."</td><td> 12 וַיֹּ֤אמֶר אֵלָיו֙ אֲדֹנָ֔יו לֹ֤א נָסוּר֙ אֶל־ עִ֣יר נָכְרִ֔י אֲשֶׁ֛ר לֹֽא־ מִבְּנֵ֥י יִשְׂרָאֵ֖ל הֵ֑נָּה וְעָבַ֖רְנוּ עַד־ גִּבְעָֽה׃</td></tr></tbody></table>
<table><tbody><tr><td> 13 He also told his servant, "Come on, let's go to one of these places and spend the night in Gibeah or Ramah."</td><td> 13 וַיֹּ֣אמֶר לְנַעֲר֔וֹ לְךָ֥ וְנִקְרְבָ֖ה בְּאַחַ֣ד הַמְּקֹמ֑וֹת וְלַ֥נּוּ בַגִּבְעָ֖ה א֥וֹ בָרָמָֽה׃</td></tr></tbody></table>
<table><tbody><tr><td> 14 So they continued on their way, and the sun set on them near Gibeah, which is part of Benjamin's territorial allotment.</td><td> 14 וַיַּעַבְר֖וּ וַיֵּלֵ֑כוּ וַתָּבֹ֤א לָהֶם֙ הַשֶּׁ֔מֶשׁ אֵ֥צֶל הַגִּבְעָ֖ה אֲשֶׁ֥ר לְבִנְיָמִֽן׃</td></tr></tbody></table>
<table><tbody><tr><td> 15 They turned aside there, intending to enter Gibeah and spend the night. After they entered the city, they had to sit down in the public square because no one would take them into their home for the night.</td><td> 15 וַיָּסֻ֣רוּ שָׁ֔ם לָב֖וֹא לָל֣וּן בַּגִּבְעָ֑ה וַיָּבֹ֗א וַיֵּ֙שֶׁב֙ בִּרְח֣וֹב הָעִ֔יר וְאֵ֥ין אִ֛ישׁ מְאַסֵּֽף־ אוֹתָ֥ם הַבַּ֖יְתָה לָלֽוּן׃</td></tr></tbody></table>
<table><tbody><tr><td> 16 Just then, an old man was coming out of the fields that evening from work. The man was from the mountainous region of Ephraim and had been staying in Gibeah, even though the men of that place were descendants of Benjamin.</td><td> 16 וְהִנֵּ֣ה ׀ אִ֣ישׁ זָקֵ֗ן בָּ֣א מִֽן־ מַעֲשֵׂ֤הוּ מִן־ הַשָּׂדֶה֙ בָּעֶ֔רֶב וְהָאִישׁ֙ מֵהַ֣ר אֶפְרַ֔יִם וְהוּא־ גָ֖ר בַּגִּבְעָ֑ה וְאַנְשֵׁ֥י הַמָּק֖וֹם בְּנֵ֥י יְמִינִֽי׃</td></tr></tbody></table>
<table><tbody><tr><td> 17 As the old man looked up and saw the traveling man in the public square of the city, he asked, "Now then, where are you headed? And where are you from?"</td><td> 17 וַיִּשָּׂ֣א עֵינָ֗יו וַיַּ֛רְא אֶת־ הָאִ֥ישׁ הָאֹרֵ֖חַ בִּרְחֹ֣ב הָעִ֑יר וַיֹּ֨אמֶר הָאִ֧ישׁ הַזָּקֵ֛ן אָ֥נָה תֵלֵ֖ךְ וּמֵאַ֥יִן תָּבֽוֹא׃</td></tr></tbody></table>
<table><tbody><tr><td> 18 He replied, "We're traveling from Bethlehem in Judah to the remote part of the mountainous region of Ephraim, because I'm from there, and I've been visiting Bethlehem in Judah. I'm going home now, but no one will take me into his home.</td><td> 18 וַיֹּ֣אמֶר אֵלָ֗יו עֹבְרִ֨ים אֲנַ֜חְנוּ מִבֵּֽית־ לֶ֣חֶם יְהוּדָה֮ עַד־ יַרְכְּתֵ֣י הַר־ אֶפְרַיִם֒ מִשָּׁ֣ם אָנֹ֔כִי וָאֵלֵ֕ךְ עַד־ בֵּ֥ית לֶ֖חֶם יְהוּדָ֑ה וְאֶת־ בֵּ֤ית יְהוָה֙ אֲנִ֣י הֹלֵ֔ךְ וְאֵ֣ין אִ֔ישׁ מְאַסֵּ֥ף אוֹתִ֖י הַבָּֽיְתָה׃</td></tr></tbody></table>
<table><tbody><tr><td> 19 Meanwhile, we also have straw and fodder for our donkeys, and bread and wine for me, for this young woman servant, and for the young man who is with your servants. We don't need anything else."</td><td> 19 וְגַם־ תֶּ֤בֶן גַּם־ מִסְפּוֹא֙ יֵ֣שׁ לַחֲמוֹרֵ֔ינוּ וְ֠גַם לֶ֣חֶם וָיַ֤יִן יֶשׁ־ לִי֙ וְלַֽאֲמָתֶ֔ךָ וְלַנַּ֖עַר עִם־ עֲבָדֶ֑יךָ אֵ֥ין מַחְס֖וֹר כָּל־ דָּבָֽר׃</td></tr></tbody></table>
<table><tbody><tr><td> 20 The old man replied, "Don't be alarmed. I'll take care of all your needs. Just don't spend the night in the public square."</td><td> 20 וַיֹּ֨אמֶר הָאִ֤ישׁ הַזָּקֵן֙ שָׁל֣וֹם לָ֔ךְ רַ֥ק כָּל־ מַחְסוֹרְךָ֖ עָלָ֑י רַ֥ק בָּרְח֖וֹב אַל־ תָּלַֽן׃</td></tr></tbody></table>
<table><tbody><tr><td> 21 So he took him into his home and fed the donkeys while they refreshed themselves and had dinner."</td><td> 21 וַיְבִיאֵ֣הוּ לְבֵית֔וֹ וַיָּ֖בָול לַחֲמוֹרִ֑ים וַֽיִּרְחֲצוּ֙ רַגְלֵיהֶ֔ם וַיֹּאכְל֖וּ וַיִּשְׁתּֽוּ׃</td></tr></tbody></table>
<table><tbody><tr><td> 22 While they were enjoying themselves, all of a sudden certain ungodly men who lived in the city surrounded the house, pounded on the door, and ordered the old man who owned the home, "Bring out the man who came to visit your home so we can have sex with him."</td><td> 22 הֵמָּה֮ מֵיטִיבִ֣ים אֶת־ לִבָּם֒ וְהִנֵּה֩ אַנְשֵׁ֨י הָעִ֜יר אַנְשֵׁ֣י בְנֵֽי־ בְלִיַּ֗עַל נָסַ֙בּוּ֙ אֶת־ הַבַּ֔יִת מִֽתְדַּפְּקִ֖ים עַל־ הַדָּ֑לֶת וַיֹּאמְר֗וּ אֶל־ הָ֠אִישׁ בַּ֣עַל הַבַּ֤יִת הַזָּקֵן֙ לֵאמֹ֔ר הוֹצֵ֗א אֶת־ הָאִ֛ישׁ אֲשֶׁר־ בָּ֥א אֶל־ בֵּיתְךָ֖ וְנֵדָעֶֽנּוּ׃</td></tr></tbody></table>
<table><tbody><tr><td> 23 The man who owned the house went out to talk to them and pleaded with them, "No, my brothers, please don't act so wickedly. This man is my guest! Don't try to do this stupid thing.</td><td> 23 וַיֵּצֵ֣א אֲלֵיהֶ֗ם הָאִישׁ֙ בַּ֣עַל הַבַּ֔יִת וַיֹּ֣אמֶר אֲלֵהֶ֔ם אַל־ אַחַ֖י אַל־ תָּרֵ֣עוּ נָ֑א אַ֠חֲרֵי אֲשֶׁר־ בָּ֞א הָאִ֤ישׁ הַזֶּה֙ אַל־ בֵּיתִ֔י אַֽל־ תַּעֲשׂ֖וּ אֶת־ הַנְּבָלָ֥ה הַזֹּֽאת׃</td></tr></tbody></table>
<table><tbody><tr><td> 24 Instead, here's my virgin daughter and my visitor's mistress. Please let me bring them out to you. Occupy yourselves with them, and do to them whatever you would like. But don't commit such a stupid thing against this man."</td><td> 24 הִנֵּה֩ בִתִּ֨י הַבְּתוּלָ֜ה וּפִֽילַגְשֵׁ֗הוּ אוֹצִֽיאָה־ נָּ֤א אוֹתָם֙ וְעַנּ֣וּ אוֹתָ֔ם וַעֲשׂ֣וּ לָהֶ֔ם הַטּ֖וֹב בְּעֵינֵיכֶ֑ם וְלָאִ֤ישׁ הַזֶּה֙ לֹ֣א תַעֲשׂ֔וּ דְּבַ֖ר הַנְּבָלָ֥ה הַזֹּֽאת׃</td></tr></tbody></table>
<table><tbody><tr><td> 25 But the men were unwilling to listen to him. So the descendant of Levi grabbed his mistress, took her out to them, and they raped and tortured her all night until morning. Then they released her as the first daylight was beginning to appear.</td><td> 25 וְלֹֽא־ אָב֤וּ הָאֲנָשִׁים֙ לִשְׁמֹ֣עַֽ ל֔וֹ וַיַּחֲזֵ֤ק הָאִישׁ֙ בְּפִ֣ילַגְשׁ֔וֹ וַיֹּצֵ֥א אֲלֵיהֶ֖ם הַח֑וּץ וַיֵּדְע֣וּ א֠וֹתָהּ וַיִּֽתְעַלְּלוּ־ בָ֤הּ כָּל־ הַלַּ֙יְלָה֙ עַד־ הַבֹּ֔קֶר וַֽיְשַׁלְּח֖וּהָ [בעלות] (כַּעֲל֥וֹת) הַשָּֽׁחַר׃</td></tr></tbody></table>
<table><tbody><tr><td> 26 As dawn was breaking, the woman approached the door of the man's home where her master was and collapsed. Eventually, full daylight came.</td><td> 26 וַתָּבֹ֥א הָאִשָּׁ֖ה לִפְנ֣וֹת הַבֹּ֑קֶר וַתִּפֹּ֞ל פֶּ֧תַח בֵּית־ הָאִ֛ישׁ אֲשֶׁר־ אֲדוֹנֶ֥יהָ שָּׁ֖ם עַד־ הָאֽוֹר׃</td></tr></tbody></table>
<table><tbody><tr><td> 27 When her master got up that morning and opened the doors of the house to leave on his way, there was his mistress, fallen dead at the door of the house with her hands grasping the threshold.</td><td> 27 וַיָּ֨קָם אֲדֹנֶ֜יהָ בַּבֹּ֗קֶר וַיִּפְתַּח֙ דַּלְת֣וֹת הַבַּ֔יִת וַיֵּצֵ֖א לָלֶ֣כֶת לְדַרְכּ֑וֹ וְהִנֵּ֧ה הָאִשָּׁ֣ה פִֽילַגְשׁ֗וֹ נֹפֶ֙לֶת֙ פֶּ֣תַח הַבַּ֔יִת וְיָדֶ֖יהָ עַל־ הַסַּֽף׃</td></tr></tbody></table>
<table><tbody><tr><td> 28 He spoke to her, "Get up, and let's go." But there was no response. So he placed her on the donkey, mounted his own animal, and went home.</td><td> 28 וַיֹּ֧אמֶר אֵלֶ֛יהָ ק֥וּמִי וְנֵלֵ֖כָה וְאֵ֣ין עֹנֶ֑ה וַיִּקָּחֶ֙הָ֙ עַֽל־ הַחֲמ֔וֹר וַיָּ֣קָם הָאִ֔ישׁ וַיֵּ֖לֶךְ לִמְקֹמֽוֹ׃</td></tr></tbody></table>
<table><tbody><tr><td> 29 When he arrived home, he grabbed a knife, took hold of his mistress, cut her apart limb by limb into twelve pieces, and sent her remains throughout the land of Israel.</td><td> 29 וַיָּבֹ֣א אֶל־ בֵּית֗וֹ וַיִּקַּ֤ח אֶת־ הַֽמַּאֲכֶ֙לֶת֙ וַיַּחֲזֵ֣ק בְּפִֽילַגְשׁ֔וֹ וַֽיְנַתְּחֶ֙הָ֙ לַעֲצָמֶ֔יהָ לִשְׁנֵ֥ים עָשָׂ֖ר נְתָחִ֑ים וַֽיְשַׁלְּחֶ֔הָ בְּכֹ֖ל גְּב֥וּל יִשְׂרָאֵֽל׃</td></tr></tbody></table>
<table><tbody><tr><td> 30 All the witnesses said, "Nothing has happened or has been seen like this from the day the Israelis came here from the land of Egypt to this day! Think about it, get some advice about it, and then speak up about it!"</td><td> 30 וְהָיָ֣ה כָל־ הָרֹאֶ֗ה וְאָמַר֙ לֹֽא־ נִהְיְתָ֤ה וְלֹֽא־ נִרְאֲתָה֙ כָּזֹ֔את לְמִיּ֞וֹם עֲל֤וֹת בְּנֵֽי־ יִשְׂרָאֵל֙ מֵאֶ֣רֶץ מִצְרַ֔יִם עַ֖ד הַיּ֣וֹם הַזֶּ֑ה שִֽׂימוּ־ לָכֶ֥ם עָלֶ֖יהָ עֻ֥צוּ וְדַבֵּֽרוּ׃ פ</td></tr></tbody></table>
<table><tbody><tr><td> The Holy Bible: International Standard Version® Release 2.1 Copyright © 1996-2012 The ISV FoundationALL RIGHTS RESERVED INTERNATIONALLY.</td><td>Greek and Hebrew Study Biblecourtesy Bible Hub and the Discovery Bible team.</td></tr></tbody></table>
| https://www.biblehub.com/p/isv/heb/judges/19.shtml |
Individual-based modelling of tropical forests : role of biodiversity and responses to drought | Request PDF
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Abstract
A great part of uncertainties in our current understanding and projections of the carbon cycle lies in the vegetation compartment. The problem of biodiversity representation in vegetation models has long been an impediment to a detailed understanding of ecosystem processes. The high biodiversity of tropical forests, their disproportionate role in global biogeochemical cycles, together with their vulnerability to direct and indirect anthropogenic perturbations, amplify the relevance of this research challenge. In particular, the predicted increase in drought intensity and frequency in the tropics may impact forest structure and composition, as already observed in natural and artificial experiments. This thesis explores how new advances in modelling and ecophysiology should help improve our understanding of these processes in the future. In the first chapter, I describe an individual-based and spatially-explicit forest growth simulator, TROLL, that integrates recent advances in plant physiology. Processes are linked to species-specific functional traits parameterized for an Amazonian tropical rainforest. This model is used to simulate a forest regeneration, which is validated against observations in French Guiana. Model sensitivity is assessed for a number of key global parameters. Finally, we test the influence of varying the species richness and composition on ecosystem properties. Tropical forest response to drought is not well understood, and this hampers attempts to model these processes. In chapters 2 to 5 I aimed at documenting drought-tolerance and its diversity in an Amazonian forest. A rapid method of determination of a leaf drought tolerance trait, the leaf water potential at turgor loss point (ptlp), was validated and applied to a range of plant species. We established the first community-wide assessment of drought tolerance in an Amazonian forest. These results inform on the drivers and determinants of leaf drought tolerance, across tree species and lianas, tree size, successional stages, light exposition, and seasons. Variability in ptlp among species indicates the potential for a range of species responses to drought within Amazonian forest communities. This is further confirmed by direct monitoring of whole-plant water use on diverse canopy trees during a marked dry season. Finally, I discuss the implications of these results to increase the dialogue between the vegetation modeling community and ecology, to enhance model's predictive ability, and to inform policy choices.
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cwd measurements conducted on 42 dead trees (26 species) at the Paracou Research Station in French Guiana. R
cwd measurements were repeated 13 times on each CWD sample from July to November 2011, spanning the transition from wet to dry season, and then from dry season to the following wet season. Seasonal drought caused monthly R
cwd to drop by 20.5 ± 5.1% over the wet–dry transition. Changes in woody tissue moisture content explained 41.9% of the measured seasonal variability in R
cwd, but 60% of the seasonal variability in mean forest R
cwd rates could be modelled using surface soil water content. We estimate that R
cwd is approximately 5% of annual ecosystem respiration (R
eco) and that seasonal variations in R
cwd contribute appreciably to seasonal variations of R
eco, and should be included in functional models simulating the response of tropical rainforest ecosystems to current and future climate.
View full-text
Book
Conifer Cold Hardiness
January 2001
Francine J. Bigras Steve Colombo
Conifer Cold Hardiness provides an up-to-date synthesis by leading scientists in the study of the major physiological and environmental factors regulating cold hardiness of conifer tree species. This state-of-the-art reference comprehensively explains current understanding of conifer cold hardiness ranging from the gene to the globe and from the highly applied to the very basic. Topics addressed
... [Show full abstract]
encompass cold hardiness from the perspectives of ecology, ecophysiology, acclimation and deacclimation, seedling production and reforestation, the impacts of biotic and abiotic factors, and methods for studying and analyzing cold hardiness. The content is relevant to geneticists, ecologists, stress physiologists, environmental and global change scientists, pathologists, advanced nursery and silvicultural practitioners, and graduate students involved in plant biology, plant physiology, horticulture and forestry with an interest in cold hardiness.
Read more
Article
Effects of Atmospheric POTENTIAL SULPHUR GAS EMISSIONS FROM A TROPICAL RAINFOREST AND A SOUTHERN APP...
January 1987
B Haines M Black J Fail [...] G Howell
Potential emission rates of reduced sulphur gases were estimated for a tropical rainforest and a southern Appalachian deciduous forest. Potential emissions were sampled by using cuvettes placed on the forest floor, by incubating samples of leaf litter and soil in closed containers, by incubating living plant material in closed containers, and by pumping air from around plant canopies enclosed in
... [Show full abstract]
transparent Tedlar bags. A gas Chromatograph fitted with a sulphur specific detector identified and quantified sulphur gases from cuvette sampling and incubations. Quantification of potential H2S emissions from plant canopies was attempted by Zn+Na acetate trapping followed by colorimetry. Sulphur emissions were not detected with cuvette sampling. Potential sulphur emission rates (± standard deviation) from the litter of the tropical rainforest at La Selva, Costa Rica estimated iy ipcubations were 5.9 (29.11, 8.4 (16.7) and 5.1 (12.9) g S.ha−1.y−1 for mature, secondary, and flooded stands, respectively. Potentiai rates from soil were 0.6 (3.2), 42 (184) and 1.2 (6.1) g S.ha−1.y−l for the same stands. Relative to the 11.7 kg S.ha−1.y−l SO4-S input-output discrepancy that volatile sulphur loss was hypothesized to explain, the observed potential emission rates are at least 200 times too small. Potential emission rates from the leaf litter of the southern Appalachian deciduous forest at Coweet ranged from 0.4 to 2.1 g S.ha−1.y~l and were less than 1 × l0−5 g S.ha−l.y−1 for soil. These rates are too low to account for the SO4-S input-output discrepancy at Coweeta. Potential emissions may be underestimated due to surface adsorption in sampling devices.
Some rainforest legumes emitted sulphur gases from seeds, wood samples, roots, or leaves, or from all these organs. The sulphur gases are ethyl mercaptan and carbon disulphide. These emissions, which are new to plant physiology research, may have community implications as anti-microbial or anti-herbivore agents and, as point sources in a rainforest, may create a sampling problem for ecosystem level studies. Sampling for H2S emissions from plant canopies in the rainforest and at Coweetahas yet to detect this sulphur gas.
Quantifying the contribution of natural sulphur emissions to the atmospheric sulphur burden and to acid rain on a global scale is hampered by the great diversity of habitats, the temporal and spatial variability of sulphur emissions within habitats, and by analytical problems. Sulphur gases exist at low concentrations in nature, consist of numerous chemical species, are transformed from one species to another, and react with analytical surfaces. Quantification of the contribution of natural sulphur emissions to acid rain on a global basis is challenging.
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Article
Leaf function in tropical rain forest canopy trees: the effect of light on leaf morphology and physi...
January 2000
T. Rijkers
In this thesis the effect of constant and fluctuating light availability on several leaf traits was studied for naturally growing trees of different sizes, i.e . from sapling to adult canopy tree, of five species in a tropical rain forest in French Guiana. Leaf acclimation responses were examined throughout the life time of leaves in order to evaluate whether leaves can profit from these ... [Show full abstract]
adjustments in terms of carbon gain. The five species, arranged in order from most shade-tolerant to pioneer, were: Duguetia surinamensis , Vouacapoua americana , Dicorynia guianensis , Pourouma bicolor spp. digitata , and Goupia glabra .For Duguetia , Vouacapoua , Dicorynia and Goupia , it was shown that tree height and light availability had independent effects on photosynthesis and other features of leaf function. Direction and magnitude of the variation in leaf variables tended to be similar among species. The morphological variable leaf mass per unit area seemed to be a key variable as it determined most of the variation in other leaf variables.The time needed to increase the photosynthetic rate (up to 90% of its capacity) to a sudden increase in light was between 7 to 11 min for shade and sun growing saplings of Vouacapoua , Dicorynia and Pourouma . The readiness to exploit the next lightfleck was substantial in these plants as the induction loss was moderate to low, except in gap saplings of Dicorynia . The time needed to reach 75% of the maximum carboxylation efficiency (V cmax ) was used to separate the relative importance of biochemical and stomatal limitation during the time course of photosynthetic induction.The mean leaf life span of different-sized trees for Vouacapoua was 61 months (range 27-101) and for Dicorynia 32 months (range 17-54). The variation in traits in response to leaf age was low. Photosynthetic capacity and nitrogen concentration were relatively constant with time; leaf mass per unit area increased during the first 18 months. Simulations of the daily carbon gain with a low- and highlight regime showed differences among both sun- and shade-leaves and trees of different sizes. Leaf construction cost was independent of leaf life span. Leaf payback time was relatively short (4 to 40 days); it was constant during a wide range of irradiance, but increased sharply in a narrow range of low light. The rate of net return on carbon investment was slow in long-lived leaves of Vouacapoua . Leaf mass per area decreased with increased leaf life span, which could be explained by a light- and height-dependent selection pressure for leaf life span and leaf mass per area.The integration of the results with those at higher organisation levels, such as branch and tree crown, is briefly discussed, and the applicability in silvicultural systems in which light is manipulated to enhance growth and production of timber species is evaluated.Key-words: tropical rain forest, leaf morphology, photosynthesis, leaf age, tree height, shade tolerance, leaf construction costs, leaf payback time, ecophysiology.
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Article
Forest Recovery in Abandoned Cattle Pastures Along an Elevational Gradient in Northeastern Puerto Ri...
December 1996
· Biotropica
T. Mitchell Aide Jess Zimmerman
Maydee Rosario Humfredo Marcano-Vega
A major cause of tropical deforestation has been the conversion of lowland forest into pastures for cattle grazing. We studied forest structure and species composition following abandonment of cattle pastures in 23 abandoned pastures 9.5-60 yr old and seven forested sites > 60 yr old. Sires were chosen along an elevational gradient from 10-450 m and represented subtropical wet and moist forest ... [Show full abstract]
life zones. Age since abandonment was the best predictor of stand characteristics. Woody plant density, basal area, species number, and diversity were low 10 yr after abandonment, but increased rapidly after 10 to 15 yr pose-abandonment. Although distance to nearest seed source and hurricane exposure are factors char could affect forest recovery there was little variation among sires and no effects were detected. Elevation and age were significant determinants of species composition. At higher elevations (> 100 m), the shrub Miconia prasina (Melastomataceae) was the dominant pioneer species, bur in the low elevation, a larger group of shrubs and small trees colonized abandoned pastures. At higher elevations, the species composition of recovering sires did nor include many mature forest species. After 40 yr of recovery, secondary forest stands cannot be distinguished from undisturbed sites in terms of density, basal area, species number, or diversity, but it appears that it will require centuries for these sires to return to a species composition similar to undisturbed forests.
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Article Full-text available
Ecological Studies on a Lowland Evergreen Rain Forest on Maraca Island, Roraima, Brazil. I. Physical...
December 1992
· Journal of Ecology
Jill Thompson John Proctor Virgilio Viana [...] Duncan Scott
1. Maraca, Brazil, is a large riverine island which is at the boundary between lowland evergreen rain forest and savanna. The island is now uninhabited but there is evidence that much of its forest (including the plots described in this paper) is secondary, dating from before 1880. 2. The mean annual rainfall is about 2300 mm and there is a dry season from October to March. 3. Six replicate plots
... [Show full abstract]
of 0.25 ha each were set up in the rain forest. Three of these were later felled, as part of a long-term study on forest regeneration, and three left undisturbed. 4. Soils were described from a profile pit and for surface samples (0-10 cm) in the three undisturbed plots. The soils were a Grossarenic Plinthic Paleudult (USDA). They were acid, had exceptionally low concentrations of total phosphorus, low concentrations of exchangeable cations but a fairly high base saturation, and a sandy texture. There was no surface root mat, no surface accumulation of organic matter, and no sign of podzolization. 5. All trees and lianas ⩾ 10cm d.b.h. in the forest plots were enumerated, and structural features of the trees (including fine-root biomass) and smaller plants were quantified. The plots had a mean tree basal area of 23.8 m2 and the emergents were up to 40 m tall. 6. The mean tree species richness for the plots was forty per 0.25 ha and overall the Moraceae were the most important family in terms of basal area. 7. Analyses of leaves of 38 tree species showed wide interspecific variations but, in general, leaf nutrient concentrations were moderate or high. 8. It is concluded that although the Maraca forest occurs on very nutrient-poor soils it shows neither physiognomic nor foliar chemical features which are held to be characteristic of rain forests on such soils. Moreover, even though the soils are dry and sandy, the Maraca forest shows no features of heath forests.
View full-text
Chapter
Perspectives in Tropical Rain Forest Research
January 1995
Timothy C. Whitmore
Research into tropical rain forests developed as two streams. Academic scientists, mainly from Europe on short visits, focused on problems that preoccupied them at home. Foresters made studies that backed up their work on forest utilization and conservation. The two streams coalesced when academics began to study “gap-phase dynamics,” namely, the processes of forest regeneration after canopy
... [Show full abstract]
disturbance, which has become a major field in the past decade. Ecophysiological studies have burgeoned recently, focusing on the nature of shade tolerance. The study of dynamics has also illuminated discussions into the floristic stability of rain forests with time. Tropical rain forests are currently under heavy threat at the hands of humans. Today’s generation of scientists has a responsibility to address problems that underpin sustainable utilization and conservation as rising populations and demand for forest products put the remaining rain forests under threat.
Read more
Article Full-text available
Confirmation of the Occurrence of Anopheles (Nyssorhynchus) Marajoara in French Guiana
December 2012
· Journal of the American Mosquito Control Association
Isabelle Dusfour Fanny Jarjaval
Pascal Gaborit [...] Frédéric Pagès
Throughout the early entomological campaigns in French Guiana (1900-1945), the presence of members of the Anopheles albitarsis Complex was reported in many places across the territory. However, since then no specimen has been caught despite many entomological studies conducted on the littoral and along the main rivers in places where malaria was endemic. We report here the 1st catches in the
... [Show full abstract]
modern period of specimens of the An. albitarsis Complex in the deep rainforest. During a military intervention, Mosquito-Magnet traps and the Centers for Disease Control and Prevention light traps were used to sample malaria vectors in an illegal gold mining area and a permanent checkpoint. Members of the An. albitarsis caught were molecularly identified using DNA barcoding. In the 2 sites where An. albitarsis s.l. were caught, all specimens were An. marajoara. As An. marajoara is considered as an important malaria vector in Amazonia, the highest interest must be shown to this species in French Guiana.
View full-text
Article Full-text available
An individual-based forest model to jointly simulate carbon and tree diversity in Amazonia: Descript...
July 2017
· Ecological Monographs
Isabelle Maréchaux Jérôme Chave
Forest dynamic models predict the current and future states of ecosystems and are a nexus between physiological processes and empirical data, forest plot inventories and remote-sensing information. The problem of biodiversity representation in these models has long been an impediment to a detailed understanding of ecosystem processes. This challenge is amplified in species-rich and high-carbon
... [Show full abstract]
tropical forests. Here we describe an individual-based and spatially-explicit forest growth simulator, TROLL, that integrates recent advances in plant physiology. Processes (carbon assimilation, allocation, reproduction and mortality) are linked to species-specific functional traits, and the model was parameterized for an Amazonian tropical rainforest. We simulated a forest regeneration experiment from bare soil, and we validated it against observations at our sites. Simulated forest regeneration compared well with observations for stem densities, gross primary productivity, aboveground biomass, and floristic composition. After 500 years of regrowth, the simulated forest displayed structural characteristics similar to observations (e.g. leaf area index and trunk diameter distribution). We then assessed the model's sensitivity to a number of key model parameters: light extinction coefficient and carbon quantum yield, and to a lesser extent mortality rate, and carbon allocation, all influenced ecosystem features. To illustrate the potential of the approach, we tested whether variation in species richness and composition influenced ecosystem properties. Overall, species richness had a positive effect on ecosystem processes, but this effect was controlled by the identity of species rather by richness per se. Also, functional trait community means had a stronger effect than functional diversity on ecosystem processes. TROLL should be applicable to many tropical forests sites, and data requirement is tailored to ongoing trait collection efforts. Such a model should foster the dialogue between ecology and the vegetation modeling community, help improve the predictive power of models, and eventually better inform policy choices. This article is protected by copyright. All rights reserved.
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Article Full-text available
The Value of Primary, Secondary, and Plantation Forests for a Neotropical Herpetofauna
July 2007
· Conservation Biology
Toby Alan Gardner Marco Antonio Ribeiro Junior Jos Barlow [...] Carlos A. Peres
Plantation forests and second-growth forests are becoming dominant components of many tropical forest landscapes. Yet there is little information available concerning the consequences of different forestry options for biodiversity conservation in the tropics. We sampled the leaf-litter herpetofauna of primary, secondary, and Eucalyptus plantation forests in the Jari River area of northeastern
... [Show full abstract]
Brazilian Amazonia. We used four complementary sampling techniques, combined samples from 2 consecutive years, and collected 1739 leaf-litter amphibians (23 species) and 1937 lizards (30 species). We analyzed the data for differences among forest types regarding patterns of alpha and beta diversity, species-abundance distributions, and community structure. Primary rainforest harbored significantly more species, but supported a similar abundance of amphibians and lizards compared with adjacent areas of second-growth forest or plantations. Plantation forests were dominated by wide-ranging habitat generalists. Secondary forest faunas contained a number of species characteristic of primary forest habitat. Amphibian communities in secondary forests and Eucalyptus plantations formed a nested subset of primary forest species, whereas the species composition of the lizard community in plantations was distinct, and was dominated by open-area species. Although plantation forests are relatively impoverished, naturally regenerating forests can help mitigate some negative effects of deforestation for herpetofauna. Nevertheless, secondary forest does not provide a substitute for primary forest, and in the absence of further evidence from older successional stands, we caution against the optimistic claim that natural forest regeneration in abandoned lands will provide refuge for the many species that are currently threatened by deforestation.
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Re: echinacea and slugs
medit-plants | Re: echinacea and slugs | Sat, 20 Jul 2002 19:50:11
Re: echinacea and slugs
Subject : Re: echinacea and slugs
david feix wrote:
>
> --- Anthony Lyman-Dixon
> <lyman@lyman-dixon.freeserve.co.uk> wrote:
>
> > Do you get slugs in California? they devour every
> > Echinacea we put out
> > in England and would love your mulch, but in one of
> > the tunnels that is
> > too dry for them, the Echinacea purpurea are more
> > than five feet tall.
> > Anthony
> >
>
> We certainly do have slugs here in California, though
> they are less of a problem in hotter inland areas than
> nearer the coast where the fog keeps things moister.
> Here in my own Berkeley garden, I have noticed that
> since I put down new mulch in one virtually unwatered
> bed, that the slug numbers have increased explosively,
> such that I had to bait for the first time. They were
> devouring my succulent Graptoverias, which perhaps
> were more prone to such damage for being grown in deep
> shade. The same plant in same mulch conditions were
> untouched in full sun areas. They were also eating
> the succulent Graptopetalum paraguayense, which is
> normally immune to attack. I don't know about
> Echinacea being fatally attractive to slugs here, as I
> don't grow it.
>
David
I wonder if there is a possibility that while mulching for the first
time would cause a sudden rise in the slug population, this might
correct itself naturally after a time.
I am lucky that slugs (or much more commonly snails) are only a very
occasional severe problem in my garden, especially on some of their
particularly favoured plants like Hostas and Arthropodiums and on things
in containers outdoors waiting till spring to be planted out (They can
shelter between the pots if one is not sufficiently diligent). In the
veg garden. where I have mulched every bed (summer and winter)for
upwards of twenty years, I often find small snails or the odd slug
during winter sheltering in the folds of celery or under the leaves of
winter chard or other greens, but the only time in many years I can
recollect any serious sign of damage was one spring where I began to
lose young broccoli transplants bitten off near the base. I simply
applied a sprinkling of diatomaceous earth round the remaining plants
and saw no more damage.
A few of my observations on the frequency of snail attacks:-
1) In one particularly bad season, when in spite of traps my
Arthropodium plants (mulched) had their leaves shredded, the same
species in the gardens of Government House in Wellington (which I
visited that spring with the Institute of Horticulture) were equally
badly damaged although NOT mulched.
This was also the season when I found literally hundreds of (mainly
large) snails sheltering under the plastic covers of my compost bins and
duely made them into compost. What made tham so bad that year was a
mystery, as we had had a quite normal mostly dry summer. It was not that
spring eitheer but a later one, with little other trouble, that the
damage to the broccoli occurred.
For the following several years snails were at a low ebb regardless of
weather and mulching, but this winter there has been a new buildup,
which I suppose one might ascribe to an extremely unusual wet summer
followed by a normally wet but exceptionally mild winter. So far there
is little damage but baby snails are everywhere on the winter
vegetables. In addition a couple of months ago I began to see damage to
the fruits on the one tomato I grow in the glasshouse and a protracted
snail hunt over about four weeks finally rooted out the entire gang of
close on 200 small snails, which were hiding among the thick foliage.
Since then I have found a few stragglers, but at last I think I have
them all and general damage to other things in the house as well as the
very last of the tomatoes thankfully seems to have ceased.
What I think I am trying to say is that, while one can in this patch
perhaps see some correlation between epidemics of molluscs and unusually
wet weather, I have no firm evdence that in my garden mulching actually
makes an appreciable difference. What is the real factor which causes
the level to fluctuate markedly from year to year I find quite unclear.
One other point, while there are native species of both slugs and snails
here, they almost never come into gardens, being adapted to life in the
bush and most of these local snails are in any case carnivores.
So all snail and slug damage in gardens can be traced to imported pests,
and like most of such they came here without any natural enemies apart
from a few birds which were brought in also (but deliberately rather
than by accident!).. What I am wondering is, if the slugs causing your
problems are indigenous, what creatures should be controlling them?
Perhaps it is one of these cases where civilization has destroyed the
natural checks and balances in your area.
Moira
--
Tony & Moira Ryan,
Wainuiomata, North Island, NZ, "two and a bit" islands surrounded
by water in all directions - 5000 miles to Chile to the east,
Australia 1500 miles NW, South Africa 6000 miles to the west.
Follow-Ups
:
Re: echinacea and slugs
References
:
Re: echinacea and slugs
| https://www.hort.net/lists/medit-plants/jul02/msg00063.html |
Frank Lambert :: xeno-canto
Frank Lambert
About
I have been birding since a young age, and take my hobby very seriously...My first major birding trip was overland from UK to India (through Afghanistan and Iran), followed a few years later with a trip from Egypt through the Sudan to Kenya (it took 8 months). Sadly, I had no recording gear in those days... I subsequently spent about 12 years based in Southeast Asia, doing my PhD in Malaysia and later did a post-doc at Danum Valley, Sabah. After that I lived in Thailand and then five years in Indonesia before moving to the Neotropics. I was based in the beautiful Andean town of Cusco (Peru) for nearly seven years whilst traveling extensively throughout the neotropics and elsewhere in pursuit of good birding. In 2009, however, I moved back to Malaysia, and was based there until the beginning of the pandemic in March 2019. Since that time I have been living in Norfolk, UK.
I used to work in bird conservation (for IUCN, BirdLife International etc) but now I work primarily as a bird guide. I have been leading bird tours for various well-known companies, currently Limosa (limosaholidays.co.uk) and Wildwings (wildwings-tours.com), but also work for myself, mostly taking private clients to destinations I know well.
I was using a Sony TCM5000 (modified bird version) for recording until mid 2008 and then a Roland Edirol R-09 (and a Marantz PMD661 before it inexplicably stopped working). My microphone is a Sennheiser ME66 connected to the recorder using Thomann.de cables. I used to connect the microphone using a Shure A96F, however, has turned out to be very unreliable - not recommended. Perhaps it is not designed for use in field conditions - at any rate, I have now used five of these and the last one stopped functioning in a week (usually they last 8-12 months, which is very poor value considering they cost about GBP80). In windy conditions I normally use a Rycote softie. I used to think that this was a great setup (especially when combined with a pair of 8x30 Swarovision bins!) but I have now had to bin three R-09's because the microphone input jack has stopped functioning properly- I think partly due to the rough nature of the Shure A96F input jack). I replaced my Edirol with an Olympus LS-11 - this turns out to be an excellent machine and so far I've been very happy with it most of the time, although it does seem to very occasionally and inexplicably loose some recordings.
The majority of my original recordings made on tapes as well as many of my more recent digital recordings are deposited at the National Sound Archive at the British Library in London. Some of my older digital recordings and some from tapes have been uploaded as WAV files to the Avian Vocalizations Center http://avocet.zoology.msu.edu/ and the majority of these are now also on Xeno-canto.
XC309954 play pause stop 0:06 Locust Finch ( Paludipasser locustella ) · flight call Frank Lambert Malawi, Lilongwe airport dambo, Central Region, Malawi 2015-12-04Calls just at taking off and in flight. Small group of about 5-6 in the area, but sometimes on ground as single pair. A B C D E
XC309958 play pause stop 0:07 Locust Finch ( Paludipasser locustella ) · flight call Frank Lambert Malawi, Lilongwe airport dambo, Central Region, Malawi 2015-12-04Calls just at taking off and in flight. Small group of about 5-6 in the area, but sometimes on ground as single pair. A B C D E
XC309957 play pause stop 0:09 Locust Finch ( Paludipasser locustella ) · flight call Frank Lambert Malawi, Lilongwe airport dambo, Central Region, Malawi 2015-12-04Calls just at taking off and in flight. Small group of about 5-6 in the area, but sometimes on ground as single pair. A B C D E
Locust Finch ( Paludipasser locustella ) · flight call
Frank Lambert
Malawi, Lilongwe airport dambo, Central Region, Malawi
Calls just at taking off and in flight. Small group of about 5-6 in the area, but sometimes on ground as single pair.
XC366548 play pause stop 1:12 Lizard Buzzard ( Kaupifalco monogrammicus meridionalis ) · call, perched Frank Lambert Dzalamyama - s of lodge nr dambo, Central Region, Malawi 2015-12-12 A B C D E
Lizard Buzzard ( Kaupifalco monogrammicus meridionalis ) · call, perched
Dzalamyama - s of lodge nr dambo, Central Region, Malawi
XC366165 play pause stop 0:40 Livingstone's Turaco ( Tauraco livingstonii livingstonii ) · song Frank Lambert Zomba Plateau, Southern Region, Malawi 2015-12-08 A B C D E XC366164 play pause stop 0:42 Livingstone's Turaco ( Tauraco livingstonii livingstonii ) · song Frank Lambert Zomba Plateau, Southern Region, Malawi 2015-12-07 A B C D E XC365915 play pause stop 0:28 Livingstone's Turaco ( Tauraco livingstonii livingstonii ) · song Frank Lambert Tea Estate NW of Thyolo, Southern Region, Malawi 2015-12-09 A B C D E
XC429590 play pause stop 1:10 Livingstone's Turaco ( Tauraco livingstonii reichenowi ) · song Frank Lambert Vicongwa Camp area, Udzungwa NP, Iringa Region, Tanzania 2017-10-07 A B C D E
XC366624 play pause stop 0:25 (?) Livingstone's Turaco ( Tauraco livingstonii livingstonii ) · song Frank Lambert Dzalamyama - s of lodge nr dambo, Central Region, Malawi 2015-12-14ID under discussion.See the forum. A B C D E
XC365913 play pause stop 0:35 Livingstone's Turaco ( Tauraco livingstonii livingstonii ) · song Frank Lambert Tea Estate NW of Thyolo, Southern Region, Malawi 2015-12-09 A B C D E
Livingstone's Turaco ( Tauraco livingstonii livingstonii ) · song
Frank Lambert
Tea Estate NW of Thyolo, Southern Region, Malawi
XC365269 play pause stop 0:54 Livingstone's Flycatcher ( Erythrocercus livingstonei francisi? ) · song Frank Lambert Liwonde NP southern area, Machinga, Southern Region, Malawi 2015-12-06 A B C D E
Livingstone's Flycatcher ( Erythrocercus livingstonei francisi? ) · song
Frank Lambert
Liwonde NP southern area, Machinga, Southern Region, Malawi
XC466966 play pause stop 0:25 Little Yellow Flycatcher ( Erythrocercus holochlorus ) · song Frank Lambert Arabuko-Sokoke Forest, Kenya 2018-12-05Two cuts joined A B C D E
Frank Lambert
Arabuko-Sokoke Forest, Kenya
XC451576 play pause stop 0:15 Little Weaver ( Ploceus luteolus kavirondensis ) · call, song Frank Lambert Sandia Lodge nr Lake Baringo, Kenya 2018-11-20 A B C D E
XC12055 play pause stop 0:39 Little Tinamou ( Crypturellus soui ) · song Frank Lambert Allpahuayo-Mishana Reserve, Loreto, Peru 2006-02-13 A B C D E
XC665292 play pause stop 1:14 Little Tern ( Sternula albifrons albifrons ) · flight call Frank Lambert Blakeney Point, first half from car park, Norfolk, England, United Kingdom 2021-07-09group of 15-20 A B C D E
XC665291 play pause stop 0:11 Little Tern ( Sternula albifrons albifrons ) · flight call Frank Lambert Blakeney Point, first half from car park, Norfolk, England, United Kingdom 2021-07-09 A B C D E
XC114502 play pause stop 0:49 Little Tern ( Sternula albifrons sinensis ) · begging call, flight call Frank Lambert Inner Mongolia, nr Tumuji Town, China 2012-07-09Several adult birds were coming to feed a couple of fully fledged young sitting at the edge of the lake. Same birds as onXC114500-501. This track is mainly calls of the adult in flight. [I think there are a few distant flight calls of Whiskered Tern on this track as well] A B C D E
XC114501 play pause stop 0:37 Little Tern ( Sternula albifrons sinensis ) · begging call, flight call Frank Lambert Inner Mongolia, nr Tumuji Town, China 2012-07-09Several adult birds were coming to feed a couple of fully fledged young sitting at the edge of the lake. Same birds as onXC114500. A B C D E
Little Tern ( Sternula albifrons sinensis ) · begging call, flight call
Frank Lambert
Inner Mongolia, nr Tumuji Town, China
Several adult birds were coming to feed a couple of fully fledged young sitting at the edge of the lake
XC455537 play pause stop 0:12 Little Swift ( Apus affinis aerobates ) · flight call Frank Lambert Kilgoris, Narok County, Kenya 2018-11-25 A B C D E
Little Swift ( Apus affinis aerobates ) · flight call
Frank Lambert
Mkhuze Game Reserve, Kwazulu-Natal, South Africa
A
C
D
E
XC518601 play pause stop 0:48 Little Swift ( Apus affinis aerobates ) · flight call Frank Lambert Mkhuze Game Reserve, Kwazulu-Natal, South Africa 2019-11-07 A B C D E
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Diabetic Retinopathy | Diabetes Care | American Diabetes Association
Diabetic retinopathy is the most frequent cause of new cases of blindness among adults aged 20–74 years. During the first two decades of disease, nearly all pat
Diabetic Retinopathy
Donald S. Fong, MD, MPH
Donald S. Fong, MD, MPH
Lloyd Aiello, MD, PHD
Thomas W. Gardner, MD
Thomas W. Gardner, MD
George L. King, MD
George L. King, MD
George Blankenship, MD
Jerry D. Cavallerano, OD, PHD
Jerry D. Cavallerano, OD, PHD
Fredrick L. Ferris, III, MD
Fredrick L. Ferris, III, MD
Ronald Klein, MD, MPH
Ronald Klein, MD, MPH
Diabetes Care 2003;26(1):226–229
https://doi.org/10.2337/diacare.26.1.226
PubMed:
12502685
Diabetic retinopathy is the most frequent cause of new cases of blindness among adults aged 20–74 years. During the first two decades of disease, nearly all patients with type 1 diabetes and >60% of patients with type 2 diabetes have retinopathy. In the Wisconsin Epidemiologic Study of Diabetic Retinopathy (WESDR), 3.6% of younger-onset patients (type 1 diabetes) and 1.6% of older-onset patients (type 2 diabetes) were legally blind. In the younger-onset group, 86% of blindness was attributable to diabetic retinopathy. In the older-onset group, in which other eye diseases were common, one-third of the cases of legal blindness were due to diabetic retinopathy.
Diabetic retinopathy progresses from mild nonproliferative abnormalities, characterized by increased vascular permeability, to moderate and severe nonproliferative diabetic retinopathy (NPDR), characterized by vascular closure, to proliferative diabetic retinopathy (PDR), characterized by the growth of new blood vessels on the retina and posterior surface of the vitreous. Macular edema, characterized by retinal thickening from leaky blood vessels, can develop at all stages of retinopathy. Pregnancy, puberty, blood glucose control, hypertension, and cataract surgery can accelerate these changes.
Vision-threatening retinopathy is rare in type 1 diabetic patients in the first 3–5 years of diabetes or before puberty. During the next two decades, nearly all type 1 diabetic patients develop retinopathy. Up to 21% of patients with type 2 diabetes have retinopathy at the time of first diagnosis of diabetes, and most develop some degree of retinopathy over time. Vision loss due to diabetic retinopathy results from several mechanisms. Central vision may be impaired by macular edema or capillary nonperfusion. New blood vessels of PDR and contraction of the accompanying fibrous tissue can distort the retina and lead to tractional retinal detachment, producing severe and often irreversible vision loss. In addition, the new blood vessels may bleed, adding the further complication of preretinal or vitreous hemorrhage. Finally, neovascular glaucoma associated with PDR can be a cause of visual loss.
RISK FACTORS AND TREATMENTS
Duration of disease
The duration of diabetes is probably the strongest predictor for development and progression of retinopathy. Among younger-onset patients with diabetes in the WESDR, the prevalence of any retinopathy was 8% at 3 years, 25% at 5 years, 60% at 10 years, and 80% at 15 years. The prevalence of PDR was 0% at 3 years and increased to 25% at 15 years (1). The incidence of retinopathy also increased with increasing duration. The 4-year incidence of developing proliferative retinopathy in the WESDR younger-onset group increased from 0% during the first 5 years to 27.9% during years 13–14 of diabetes. After 15 years, the incidence of developing PDR remained stable.
GLYCEMIC CONTROL
The Diabetes Control and Complications Trial (DCCT) investigated the effect of hyperglycemia in type 1 diabetic patients, as well as the incidence of diabetic retinopathy, nephropathy, and neuropathy. A total of 1,441 patients who had either no retinopathy at baseline (primary prevention cohort) or minimal-to-moderate NPDR (secondary progression cohort) were treated by either conventional treatment (one or two daily injections of insulin) or intensive diabetes management with three or more daily insulin injections or a continuous subcutaneous insulin infusion. In the primary prevention cohort, the cumulative incidence of progression in retinopathy over the first 36 months was quite similar between the two groups. After that time, there was a persistent decrease in the intensive group. Intensive therapy reduced the mean risk of retinopathy by 76% (95% CI 62–85). In the secondary intervention cohort, the intensive group had a higher cumulative incidence of sustained progression during the first year. However, by 36 months, the intensive group had lower risks of progression. Intensive therapy reduced the risk of progression by 54% (95% CI 39–66).
The protective effect of glycemic control has also been for confirmed patients with type 2 diabetes. The U.K. Prospective Diabetes Study (UKPDS) demonstrated that improved blood glucose control reduced the risk of developing retinopathy and nephropathy and possibly reduces neuropathy. The overall rate of microvascular complications was decreased by 25% in patients receiving intensive therapy versus conventional therapy. Epidemiological analysis of the UKPDS data showed a continuous relationship between the risk of microvascular complications and glycemia, such that for every percentage point decrease in HbA 1c(e.g., from 8 to 7%), there was a 35% reduction in the risk of microvascular complications.
BLOOD PRESSURE CONTROL
The UKPDS also investigated the influence of tight blood pressure control (2). A total of 1,148 hypertensive patients with type 2 diabetes were randomized to less tight (<180/105 mmHg) and tight blood pressure control (<150/85 mmHg) with the use of an ACE inhibitor or a β-blocker. With a median follow-up of 8.4 years, patients assigned to tight control had a 34% reduction in progression of retinopathy and a 47% reduced risk of deterioration in visual acuity of three lines in association with a 10/5 mmHg reduction in blood pressure. In addition, there were reductions in deaths related to diabetes and strokes.
To determine whether intensive blood pressure control offers additional benefit over moderate control, the Appropriate Blood Pressure Control in Diabetes (ABCD) Trial (3) randomized patients to either intensive or moderate blood pressure control. Hypertensive subjects, defined as having a baseline diastolic blood pressure of ≥90 mmHg, were randomized to intensive blood pressure control (diastolic blood pressure goal of 75 mmHg) versus moderate blood pressure control (diastolic blood pressure goal of 80–89 mmHg). A total of 470 patients were randomized to either nisoldipine or enalapril and followed for a mean of 5.3 years. The mean blood pressure achieved was 132/78 mmHg in the intensive group and 138/86 mmHg in the moderate control group. Although intensive therapy demonstrated a lower incidence of deaths (5.5 vs. 10.7%, P= 0.037), there was no difference between the intensive and moderate groups with regard to the progression of diabetic retinopathy and neuropathy.
To determine whether inhibitors of ACE can slow progression of nephropathy in patients without hypertension, the EURODIAB Controlled Trial of Lisinopril in Insulin Dependent Diabetes (EUCLID) study group investigated the effect of lisinopril on retinopathy in type 1 diabetes. Eligible patients were not hypertensive, and were normoalbuminuric (85%) or microalbuminuric. The proportion of patients with retinopathy at baseline was similar, but patients assigned to lisinopril had significantly lower HbA 1cat baseline. Treatment reduced the development of retinopathy, but the effect may have been due to its pressure-lowering effect in patients who had undetected hypertension. Until these issues are addressed, these findings need to be confirmed before changes to clinical practice can be advocated.
ASPIRIN TREATMENT
The Early Treatment Diabetic Retinopathy Study (ETDRS) investigated whether aspirin (650 mg/day) could retard the progression of retinopathy. After examining progression of retinopathy, development of vitreous hemorrhage, or duration of vitreous hemorrhage, aspirin was shown to have no effect on retinopathy. With these findings, there are no ocular contraindications to the use of aspirin when required for cardiovascular disease or other medical indications.
LASER PHOTOCOAGULATION
The Diabetic Retinopathy Study (DRS) investigated whether scatter (panretinal) photocoagulation, compared with indefinite deferral, could reduce the risk of vision loss from PDR. After only 2 years, photocoagulation was shown to significantly reduce severe visual loss (i.e., best acuity of 5/200 or worse). The benefit persisted through the entire duration of follow-up and was greatest among patients whose eyes had high-risk characteristics (HRCs; disc neovascularization or vitreous hemorrhage with any retinal neovasculariztion). The treatment effect was much smaller for eyes that did not have HRCs.
To determine the timing of photocoagulation, the ETDRS examined the effect of treating eyes with mild NPDR to early PDR. The rates of visual loss were low with either treatment applied early or delayed until development of HRCs. Because of this low rate and the risk of complications, the report suggested that scatter photocoagulation be deferred in eyes with mild-to-moderate NPDR. The ETDRS also demonstrated the effectiveness of focal photocoagulation in eyes with macular edema. In patients with clinically significant macular edema, 24% of untreated eyes, compared with 12% of treated eyes, developed doubling of the visual angle.
EVALUATION OF DIABETIC RETINOPATHY
An important cause of blindness, diabetic retinopathy has few visual or ophthalmic symptoms until visual loss develops. At present, laser photocoagulation for diabetic retinopathy is effective at slowing the progression of retinopathy and reducing visual loss, but the treatment usually does not restore lost vision. Because these treatments are aimed at preventing vision loss and retinopathy can be asymptomatic, it is important to identify and treat patients early in the disease. To achieve this goal, patients with diabetes should be routinely evaluated to detect treatable disease.
Dilated indirect ophthalmoscopy coupled with biomicroscopy and seven-standard field stereoscopic 30° fundus photography are both accepted methods for examining diabetic retinopathy. Stereo fundus photography is more sensitive at detecting retinopathy than clinical examination, but clinical examination is superior for detecting retinal thickening from macular edema and for early neovascularization. Fundus photography also requires both a trained photographer and a trained reader.
The use of film and digital nonmydriatic images to examine for diabetic retinopathy has been described. Although they permit undilated photographic retinopathy screening, these techniques have not been fully evaluated. The use of the nonmydriatic camera for follow-up of patients with diabetes in the physician’s office might be considered in situations where dilated eye examination cannot be obtained.
Guidelines for the frequency of dilated eye examinations have been largely based on the severity of the retinopathy (1,4). For patients with moderate-to-severe NPDR, frequent eye examinations are necessary to determine when to initiate treatment. However, for patients without retinopathy or with only few microaneurysms, the need for annual dilated eye examinations is not as well defined. For these patients, the annual incidence of progression to either proliferative retinopathy or macular edema is low; therefore, some have suggested a longer interval between examinations (5). Recently, analyses suggested that annual examination for some patients with type 2 diabetes may not be cost-effective and that consideration should be given to increasing the screening interval (6). However, these analyses may not have completely considered all the factors: 1) The analyses assumed that legal blindness was the only level of visual loss with economic consequences, but other visual function outcomes, such as visual acuity worse than 20/40, are clinically important, occur much more frequently, and have economic consequences. 2) The analyses used NPDR progression figures from newly diagnosed patients with diabetes (7). Although rates of progression are stratified by HbA 1clevels, newly diagnosed patients are different from those with the same level of retinopathy and have a longer diabetes duration. While rates of progression correlate with HbA 1clevels, newly diagnosed patients with the same level of retinopathy progress differently than those with longer duration of disease. A person with a longer duration of diabetes is more likely to progress during the next year of observation (8). 3) The rates of progression were derived from diabetic individuals of northern European extraction and are not applicable to other ethnic and racial groups who have higher rates of retinopathy progression, such as African- and Hispanic-Americans (9,10).
In determining the examination interval for an individual patient, the eye care provider should also consider the implications of less frequent eye examinations. Older people are at higher risk for cataract, glaucoma, age-related macular degeneration, and other potentially blinding disorders. Detection of these problems adds value to the examination but is rarely considered in analyses of screening interval. Patient education also occurs during examinations. Patients know the importance of controlling their blood glucose, blood pressure, and serum lipids, and this importance can be reinforced at a time when patients are particularly aware of the implications of vision loss. In addition, long intervals between follow-up visits may lead to difficulties in maintaining contact with patients. Patients may be unlikely to remember that they need an eye examination after several years have passed.
After considering these issues, and in the absence of empirical data showing otherwise, persons with diabetes should have an annual eye examination.
SUMMARY AND RECOMMENDATIONS
Treatment modalities exist that can prevent or delay the onset of diabetic retinopathy, as well as prevent loss of vision, in a large proportion of patients with diabetes. The DCCT and the UKPDS established that glycemic and blood pressure control can prevent and delay the progression of diabetic retinopathy in patients with diabetes. Timely laser photocoagulation therapy can also prevent loss of vision in a large proportion of patients with severe NPDR and PDR and/or macular edema. Because a significant number of patients with vision-threatening disease may not have symptoms, ongoing evaluation for retinopathy is a valuable and required strategy.
The recommendations for initial and subsequent ophthalmologic evaluation of patients with diabetes are stated below and summarized inTable 1.
GUIDELINES
Patients with type 1 diabetes should have an initial dilated and comprehensive eye examination by an ophthalmologist or optometrist within 3–5 years after the onset of diabetes. In general, evaluation for diabetic eye disease is not necessary before 10 years of age. However, some evidence suggests that the prepubertal duration of diabetes may be important in the development of microvascular complications; therefore, clinical judgment should be used when applying these recommendations to individual patients. (B)
Patients with type 2 diabetes should have an initial dilated and comprehensive eye examination by an ophthalmologist or optometrist shortly after diabetes diagnosis. (B)
Subsequent examinations for both type 1 and type 2 diabetic patients should be repeated annually by an ophthalmologist or optometrist who is knowledgeable and experienced in diagnosing the presence of diabetic retinopathy and is aware of its management. Examinations will be required more frequently if retinopathy is progressing. This follow-up interval is recommended recognizing that there are limited data addressing this issue. (B)
When planning pregnancy, women with preexisting diabetes should have a comprehensive eye examination and should be counseled on the risk of development and/or progression of diabetic retinopathy. Women with diabetes who become pregnant should have a comprehensive eye examination in the first trimester and close follow-up throughout pregnancy (Table 1). This guideline does not apply to women who develop gestational diabetes, because such individuals are not at increased risk for diabetic retinopathy. (B)
Patients with any level of macular edema, severe NPDR, or any PDR require the prompt care of an ophthalmologist who is knowledgeable and experienced in the management and treatment of diabetic retinopathy. Referral to an ophthalmologist should not be delayed until PDR has developed in patients who are known to have severe nonproliferative or more advanced retinopathy. Early referral to an ophthalmologist is particularly important for patients with type 2 diabetes and severe NPDR, since laser treatment at this stage is associated with a 50% reduction in the risk of severe visual loss and vitrectomy. (E)
Patients who experience vision loss from diabetes should be encouraged to pursue visual rehabilitation with an ophthalmologist or optometrist who is trained or experienced in low-vision care. (E)
Table 1—
Ophthalmologic examination schedule
Patient group . Recommended first examination . Minimum routine follow-up * . Type 1 diabetes Within 3–5 years after diagnosis of diabetes once patient is age 10 years or older † Yearly Type 2 diabetes At time of diagnosis of diabetes Yearly Pregnancy in preexisting diabetes Prior to conception and during first trimester Physician discretion pending results of first trimester exam
Patient group . Recommended first examination . Minimum routine follow-up * . Type 1 diabetes Within 3–5 years after diagnosis of diabetes once patient is age 10 years or older † Yearly Type 2 diabetes At time of diagnosis of diabetes Yearly Pregnancy in preexisting diabetes Prior to conception and during first trimester Physician discretion pending results of first trimester exam
*
Abnormal findings necessitate more frequent follow-up.
†
Some evidence suggests that the prepubertal duration of diabetes may be important in the development of microvascular complications; therefore, clinical judgment should be used when applying these recommendations to individual patients.
Article Information
This manuscript was developed in cooperation with the American Optometric Association (Michael Duneas, OD), and the American Academy of Ophthalmology (Donald S. Fong, MD, MPH). We gratefully acknowledge the invaluable assistance of these associations and their designated representatives.
References
1
Klein R, Klein BE, Moss SE, Davis MD, DeMets DL: The Wisconsin Epidemiologic Study of Diabetic Retinopathy. II. Prevalence and risk of diabetic retinopathy when age at diagnosis is less than 30 years.
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2
UK Prospective Diabetes Study Group: Tight blood pressure control and risk of macrovascular and microvascular complications in type 2 diabetes: UKPDS 38.
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708
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3
Estacio RO, Jeffers BW, Gifford N, Schrier RW: Effect of blood pressure control on diabetic microvascular complications in patients with hypertension and type 2 diabetes.
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4
Klein R, Klein BE, Moss SE, Davis MD, DeMets DL: The Wisconsin Epidemiologic Study of Diabetic Retinopathy. III. Prevalence and risk of diabetic retinopathy when age at diagnosis is 30 or more years.
Arch Ophthalmol
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5
Batchelder T, Barricks M: The Wisconsin Epidemiologic Study of Diabetic Retinopathy (Letter)
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Vijan S, Hofer TP, Hayward RA: Cost-utility analysis of screening intervals for diabetic retinopathy in patients with type 2 diabetes mellitus.
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Klein R, Klein BE, Moss SE, Cruickshanks KJ: The Wisconsin Epidemiologic Study of Diabetic Retinopathy. XIV. Ten-year incidence and progression of diabetic retinopathy.
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Harris MI, Klein R, Cowie CC, Rowland M, Byrd-Holt DD: Is the risk of diabetic retinopathy greater in non-Hispanic blacks and Mexican Americans than in non-Hispanic whites with type 2 diabetes? A U.S. population study.
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Haffner SM, Fong D, Stern MP, Pugh JA, Hazuda HP, Patterson JK, van Heuven WA, Klein R: Diabetic retinopathy in Mexican Americans and non-Hispanic whites.
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The recommendations in this paper are based on the evidence reviewed in the following publication: Diabetic retinopathy (Technical Review). Diabetes Care21:143–156, 1998.
For a summary of the American Diabetes Association evidence grading system for clinical practice recommendations, refer to Standards of medical care for patients with diabetes mellitus. Diabetes Care26 (Suppl. 1), 2003.
| https://diabetesjournals.org/care/article/26/1/226/22598/Diabetic-Retinopathy |
Nagarabenchi Branch Post Office, Lingasugur 24, Raichur, Karnataka
Get Nagarabenchi post office address, pincode, phone number, Nagarabenchi speed post tracking, saving scheme and location map.
Nagarabenchi Post Office, Lingasugur
Nagarabenchi Post Officeis located at Nagarabenchi, Lingasugur, Raichurof Karnataka state. It is a branch office (B.O.). A Post Office (PO) / Dak Ghar is a facility in charge of sorting, processing, and delivering mail to recipients. POs are usually regulated and funded by the Government of India (GOI). Pin code of Nagarabenchi POis 584124. This Postoffice falls under Raichur postal division of the Karnataka postal circle. The related head P.O. for this branch office is Raichur head post office and the related sub-post office (S.O.) for this branch office is Maski post office.
Nagarabenchi dak ghar offers all the postal services like delivery of mails & parcels, money transfer, banking, insurance and retail services. It also provides other services including passport applications, P.O. Box distribution, and other delivery services in Nagarabenchi. The official website fo this PO is http://www.indiapost.gov.in.
Types of Post Offices
are basically classified into 3 types, namely – Head Post Office, Sub-Post Office including E.D. Sub-Office and Branch Postoffice. Nagarabenchi P.O. is a Branch Post Office. So far as the public is concerned, there is basically no difference in the character of the service rendered by Sub-Post Offices and Head-Post Offices except in regard to a few Post Office Savings Bank (SB) transactions. Certain Sub Post Offices do not undertake all types of postal business. Facilities are generally provided at Branch Post Offices for the main items of postal work like delivery and dispatch of mails, booking of registered articles and parcels accepting SB deposits and effecting SB withdrawals, and issue and payment of money orders, though in a restricted manner.
Post Office Type Head Post Office Sub-Post Offices including E.D. Sub-Offices Branch Post Office
Nagarabenchi Post Office & Its Pin Code
Branch Office Information
Nagarabenchi Post Office Services
Mail Services
Parcels
Retail Services
Premium Services
Speed Post
India Post Speed Post Tracking
Tracking System
India Post Tracking Number Formats
Express Parcel Post
Media Post
Greetings Post
Logistics Post
ePost Office
Financial Services
Savings Bank (SB) Account
Recurring Deposit (RD) Account
Monthly Income Scheme (MIS)
Monthly Public Provident Fund (PPF)
Time Deposit (TD)
Senior Citizen Saving Scheme (SCSS)
National Savings Certificate (NSC)
Kisan Vikas Patra (KVP)
Sukanya Samriddhi Accounts (SSA)
Post Office Timings
India Post Tracking
Nagarabenchi Post Office Recruitment
Location Map
Contact Details
About India Post
Nagarabenchi Post Office & Its Pin Code
Often Post Offices are named after the town / village / location they serve. The Nagarabenchi Post Office has the Postal Index Number or Pin Code 584124. A Pincode is a 6 digit post code of postal numbering system used by India Post. The first digit indicates one of the regions. The first 2 digits together indicate the sub region or one of the postal circles. The first 3 digits together indicate a sorting / revenue district. The last 3 digits refer to the delivery post office type.
P.O. Name Nagarabenchi PO Pincode 584 124
The first digit of 584124 Pin Code '5' represents the region, to which this Post Office of Nagarabenchi belongs to. The first two digits of the Pincode '58' represent the sub region, i.e, Karnataka. The first 3 digits '584' represent the post-office revenue district, i.e, Raichur. The last 3 digits, i.e, '124' represent the Nagarabenchi Delivery Branch Office.
Branch Office Information
The Nagarabenchi Post Office is a branch office. The Delivery Status for this PO is that it has delivery facility. Postal division name for this Dak Ghar is Raichur, which falls under North Karnataka region. The circle name for this PO is Karnataka and it falls under Lingasugur Taluka and Raichur District. The state in which this Dakghar is situated or located is Karnataka. The related head postoffice is Raichur post office and the related sub post office is Maski post-office. The phone number of Nagarabenchi post office is unavailable at present.
PO Type Branch Office Delivery Status Delivery Postal Division Raichur Postal Region North Karnataka Postal Circle Karnataka Town / City / Tehsil / Taluka / Mandal Lingasugur District Raichur State Karnataka Related Sub PO Maski Sub Office Related Head PO Raichur Head Post Office
Nagarabenchi Post Office Services
Traditionally the primary function of Nagarabenchi post office was collection, processing, transmission and delivery of mails but as of today, a Post Office offers many other vital services in addition to its traditional services. The additional services provided by a Dak Ghar include – Mail Services, Financial Services, Retail Services and Premium Services.
Mail Services
Mail Services are the basic services provided by Nagarabenchi P.O. Mails and mail services include all or any postal articles whose contents are in the form of message which may include Letters, Postcards, Inland letter cards, packets or parcels, Ordinary mails etc.
Parcels
Mail Service also includes transmission and delivery of Parcels. A parcel can be anything ranging from a single written letter or anything addressed to an addressee. No parcel shall be by any chance be in a shape, way of packing or any other feature, such that it cannot be carried or transmitted by post or cause serious inconvenience or risk. Every parcel (including service parcels) that needs to be transmitted by post must be handed over at the window of the post office. Any parcel found in a letter box will be treated and charged as a registered parcel. Delivery services are provided by some selected delivery and branch post offices. This dakghar have the facility of delivery, thus the people of Nagarabenchi and nearby localities can avail all the types of mail services.
Retail Services
Post offices in India serve in various ways and Nagarabenchi Post Office offer most of the retail services. They offer the facility to accept or collect constomer bills like telephone or mobile bills, electricity bills for Government and private organizations through Retail Post. Some of the aditional agency services that Post offices offers through retail services are as follows - Telephone revenue collection, e-Ticketing for Road Transport Corporations and Airlines, Sale of UPSC forms, university applications, Sale of Passport application forms, Sale of Gold Coins, Forex Services, Sale of SIM and recharge coupons, Sale of India Telephone cards, e-Ticketing of Railway tickets etc. The postal customers of Nagarabenchi can pay their bills and avail other retail services from this Dak Ghar.
Premium Services
Most of the premium services can be availed by the Nagarabenchi peoples and nearby living people. The premium services provided by Nagarabenchi Post Office are - Speed Post, Business Post, Express Parcel Post, Media Post, Greeting Post, and Logistics Post.
Speed Post
Speed Post is a time bound service in express delivery of letters and parcels. The max weight up to which an article or parcel be sent is 35 kgs between any two specified stations in India. Speed Post delivers 'Value for money' to everyone and everywhere, delivering Speed Post upto 50 grams @ INR 35 across the country and local Speed Post upto 50 grams @ INR 15, excluding applicable Service Tax. Kindly check official website for updated Speed Post service charges.
India Post Speed Post Tracking
Speed Post offers a facility of on-line tracking and tracing that guarantees reliability, speed and customer friendly service. Using a 13 digit barcode that makes a Speed Post consignment unique and identifiable. A web-based technology (www.indiapost.gov.in/speednettracking.aspx) helps the Nagarabenchi customers track Speed Post consignments from booking to delivery.
Tracking System
Except Speed Post, India Post also allows people to track their order information for certain products like Parcels, Insured letters, Speed Post, Registered Post, Electronic Money Orders (EMO) and Electronic value payable parcel (EVPPs) etc. The tracking number is available on the receipt given at Nagarabenchi Post Office. Using the tracking number postal customers can find out the date and time of dispatch of an article at various locations. The time of booking and the time of delivery of article.
India Post Tracking Number Formats
Different types of postal service have different kinds of tracking number formats. The tracking number for Express Parcel is a 13 digit alphanumeric format. The format for Express Parcel is XX000000000XX. The tracking number for a Registered Mail is a 13 digit alphanumeric number and its format is RX123456789IN. But a Electronic Money Order (EMO) has a 18 digit tracking number and its format is 000000000000000000. For domestic Speed Post (EMS) there is a 13 digit alphanumeric tracking number with the format EE123456789IN.
Bharatiya Dak Ghar Seva Tracking Number Format Number of Digits Electronic Money Order (eMO) 000000000000000000 18 Express Parcel XX000000000XX 13 International EMS Artilces to be delivered in India EE123456789XX 13 Registered Mail RX123456789IN 13 Speed Post (EMS) Domestic EE123456789IN 13
Express Parcel Post
In Express Parcel Post, the Nagarabenchi postal customer gets time bound delivery of parcels. These parcels will be transmitted through air or any other fastest mean available at that time. Minimum chargeable weight for which Express Parcel consignments will be booked is 0.5 Kg. Maximum weight of Express Parcel consignments which shall be booked across the Post Office counter by a retail customer shall be 20 Kg and maximum weight that can be booked by corporate customer is 35 kgs.
Media Post
India Post offers a unique way or concept to help the Indian corporate organisations and the Government organizations reach potential customers through media post. Through media post people can advertise on postcards, letters, aerogramme, postal stationary etc. Customers get to see the logo or message of the respective corporate or government organizations. The Aerogramme even gives the organizations the opportunity to make their product have a global impact.
Greetings Post
Greeting Post is yet another innovative or unique step by India Post. It consists of a card with an envelope with pre-printed and pre attached postage stamp on the envelope. The stamp on the envelope is a replica of the design that appears upon the card but in miniature form. Thus there is no need affix postage stamps on the envelope implicitly saving your time of going to post offices and standing in the queue. All the rules and that are applicable for the postage dues will also be applicable to the Greeting Post.
Logistics Post
Logistics Post manages the entire transmission and distribution side of the parcels. It deals with collection of goods, storage of goods, carriage and distribution of the various parcels or goods, from order preparation to order fulfilment. And that too at the minimum possible price. Logistics Post services provides the Nagarabenchi postal customer with cost-effective and efficient distribution across the entire country.
ePost Office
The advent of internet made communication very rapid through emails. But, the internet has not yet reached most of the rural parts of India. To change this division between rural & urban life, and to get the benefit of internet technology to Nagarabenchi people's lives, Indian Postal Department has introduced e-post. e-post is a service in which personalized handwritten messages of customers are scanned and sent as email through internet. And at the destination address office, these messages are again printed, enveloped and delivered through postmen at the postal addresses. E-post centres are established in the Post Offices, covering a large geographical area including major cities and districts. These e-post centres are well equipped with internet connection, scanners, printers and other necessary hardware equipment. However, this e-post service doesn’t particularly need a e-post centre, but can this facility can be availed at any normal Post Office or you can visit www.epostoffice.gov.in to access postal services on your desktop, laptop or even on mobile. If a message is booked at Nagarabenchi post office, the post is scanned and sent to an e-post centre by e-mail and a mail received at e-post centre is printed and sent to nearby Post Office for dispatch.
A Nagarabenchi customer can also avail these services of an e-post, at his/ her home. All he/ she has do is to register as a user at www.epostoffice.gov.in website. After registration, a user can use e-post by scanning and sending messages, printing and receive messages. The message to be scanned must not be written in a paper not more A4. There is no limit for sending number of sheets of messages in e-post.
E-Post Office offers certain services like – Philately, Postal Life Insurance, Electronic Indian Postal Order, Information Services, Track & Trace and Complaints & Guidelines services.
Philately
Philately service deals with collection, sale and study of postage stamps. Philately includes lot of services Philately Information, Stamp issue Program, Stamps List and Buy Stamps service.
Postal Life Insurance (PLI)
A service offered by the Government to pay a given amount of money on the death of an individual to his prescribed nominee. The amount may also be paid to the person himself, in case he survives that maturity period. The two services offered under Postal Life Insurance are – Pay Premium service and PLI information.
Electronic Indian Postal Order
eIPO or Electronic Indian Postal Order is a facility to purchase an Indian Postal Order electronically by paying a fee on-line through e-Post Office. This service is launched by the Department of Posts, Ministry of Communications & IT, Government of India.
eIPO can now be used by Indian Citizens living in India for paying online fee, whoever seeks information under the RTI Act, 2005. eIPO offers 2 types of services – eIPO information and payment of online fees.
Information Services
This helps Nagarabenchi customers to get information regarding certain products like – Pin Code search, Speed post, Banking, Insurance, Business Post, Logistics Post, IMTS and many more other services.
Track & Trace
The track & trace service is very helpful as it aids in getting information of our valuables. Track & Trace service offers 5 different services – Pin Code search, EMO tracking, Speed Post tracking, WNX tracking and International mail service.
Complaints & Guidelines
Using e-post office service Nagarabenchi postal costumer can access services based on – complaint registration, complaint status and guidelines on complaints.
ePost Office Website www.epostoffice.gov.in
Financial Services
The customers of Nagarabenchi can enjoy the various savings schemes available in this post office that prove to be highly beneficial for the people living in Nagarabenchi area. The Financial service offered by PO includes Savings and Postal Life Insurance (PLI). There are various options available to save and invest with post-offices. The commonly used ones include - Savings account, Recurring Deposit, Monthly Income Scheme, Monthly Public Provident Fund, Time Deposit, Senior Citizen Saving Scheme, National Savings Certificate, Kisan Vikas Patra and Sukanya Samriddhi Yojana. Post Office also offers Insurance product through Postal Life Insurance (PLI) and Rural Postal Life Insurance (RPLI) schemes that offer low premium and high bonus.
Post Office Financial Services Kisan Vikas Patra (KVP) Monthly Income Scheme (MIS) Monthly Public Provident Fund (PPF) National Savings Certificate (NSC) Recurring Deposit (RD) Account Savings Bank (SB) Account Senior Citizen Saving Scheme (SCSS) Sukanya Samriddhi Accounts (SSA) Time Deposit (TD)
Savings Bank (SB) Account
A Savings bank account serves the need of regular deposits for its customers as well as withdrawals. Cheque facility is also avail by Nagarabenchi postal consumers.
Recurring Deposit (RD) Account
A post office offers a monthly investment option with handsome return at the time period with an option to extend the investment period. Insurance facility is also available with certain conditions.
Monthly Income Scheme (MIS)
MIS offers a fixed investment technique for five or more years with monthly interest payment to the account holder. There is also a facility of automatic crediting of interest to SB account of the Nagarabenchi postal customer.
Monthly Public Provident Fund (PPF)
This service offers intermittent deposits subject to a particular limit for a time period of 15 years with income tax exemptions, on the investment. It also offers loan and withdrawal facilities for the postal customers.
Time Deposit (TD)
Fixed deposit option for periods ranging from one, two, three to five years with facility to draw yearly interest offered at compounded rates. Automatic credit facility of interest to SB account.
Senior Citizen Saving Scheme (SCSS)
Offers fixed investment option for senior citizens for a period of five years, which can be extended, at a higher rate of interest that are paid in quarterly instalments.
National Savings Certificate (NSC)
NSC is offered with a fixed investment for 5 or 10 years on certificates of various denominations. Pledging facility available for availing loan from Banks.
Kisan Vikas Patra (KVP)
Kisan Vikas Patra is a saving certificate scheme in which the amount Invested doubles in 110 months (i.e. 9 years & 2 months). It is available in denominations of Rs 1,000, 5000, 10,000 and Rs 50,000. Minimum deposit is Rs 1000/- and there is no maximum limit. The KVP certificate can be purchased by any adult for himself or on the behalf of a minor. This certificate can also be transferred from one account holder to another and from one post office to another. This certificate can be en-cashed only after 2 and 1/2 years from the date of issue.
Sukanya Samriddhi Accounts (SSA)
Sukanya Samriddhi Account Yojana offers a small deposit investment for the girl children as an initiative under 'Beti Bachao Beti Padhao' campaign. This yojana is to facilitate girl children proper education and carefree marriage expenses. One of the main benefits of this scheme is that it is very affordable and offers one of the highest interest rates. Currently its interest rate is set as 8.6% per annum that is again compounded yearly. The minimum deposit allowed in a financial year is INR. 1000/- and Maximum is INR. 1,50,000/-. Subsequent deposits can be made in multiples of INR 100/-. Deposits can be made all at a time. No limit is set on number of deposits either for a month or a financial year. A legal Guardian can open an account in the name of a Girl Child. Account can be closed only after completion of 21 years of the respective child. The normal Premature closure allowed is after completion of 18 years only if that girl is getting married.
Post Office Timings
The official working hours of Post Offices vary from one another, but the general Post Office opening time starts from 08:00 AM or 09:00 AM or 10:00 AM and the closing time is 04:00 PM or 05:00 PM or 06:00 PM respectively. The working days are from Monday to Saturday, Sunday being a holiday. This doesn't include the public holidays or the extended working hours. You can verify the working hours of Nagarabenchi Branch Post Office from the official resources.
India Post Tracking
Online tracking of India Post allowed Nagarabenchi people to access their postal article tracking information and confirm the delivery of their postal article by using the tracking number assigned to them at the time of Booking. They can find the tracking number on the Postal acknowledgement handed over to them at the Nagarabenchi Branch Post Office counter at the time of postal article booking. Following items can track through the www.indiapost.gov.in/articleTracking.aspx official website.
Business Parcel
Business Parcel COD
Electronic Money Order (e-MO)
Electronic Value Payable Parcel (eVPP)
Express Parcel
Express Parcel COD
Insured Letter
Insured Parcel
Insured Value Payable Letter
Insured Value Payable Parcel
International EMS
Registered Letter
Registered Packets
Registered Parcel
Registered Periodicals
Speed Post
Value Payable Letter
Value Payable Parcel
The India Post tracking system is updated at regular intervals to give the Nagarabenchi postal customers with the most up to date information available about the location and status of their postal article. They'll be able to find out the following:
When their postal article was booked
When their postal article was dispatched at various locations during its Journey
When their postal article was received at various locations during its Journey
When their postal article was delivered, or
When a delivery intimation notice was issued to notify the recipient that the postal article is available for delivery
Nagarabenchi Post Office Recruitment
For latest Nagarabenchi post office recruitment kindly visit www.indiapost.gov.in/recruitment.aspx.
Location Map
Nagarabenchi Branch Post Office is located in Nagarabenchi, Lingasugur, Raichur.
Contact Details
All the queries or complaints regarding Bill Mail Service, Booking Packets, Business Post, Direct Post, Flat Rate Box, Indian Postal Orders, Inland Letters, Instant Money Orders, Insurance of Postal Articles, Insurance of Postal Parcels, Letters, Logistics Posts, MO Videsh, Money Orders, Parcels, Post Office Savings Bank, Postal Life Insurance, Postcards, Registration of Postal Articles, Registration of Postal Parcels, Rural Postal Life Insurance, Saving Certificates, Small Saving Schemes, Speed Post, Value Payable Post etc.services in Nagarabenchi Post Office, can be resolved at Nagarabenchi Branch Post Office. You can send letters to "Postmaster, Nagarabenchi Branch Post Office, Nagarabenchi, Lingasugur, Raichur, Karnataka, India, Pincode: 584 124". The official website of the Berhampur University Sub Office is http://www.indiapost.gov.in.
Nagarabenchi Branch Office
Address: Nagarabenchi Branch Post Office, Nagarabenchi, Lingasugur, Raichur , Karnataka , India
Pin Code: 584124
Website: www.indiapost.gov.in
About India Post
India Postis a government-operated postal system, which is part of the Ministry of Communications and Information Technology of the Government of India. It has the largest Postal Network in the Indiawith over 154882 Post Offices. There are around 139182 Post Offices in the rural India and 15700 Post Offices in urban India. The individual post office serves an area of 21.22 Sq. Km. and a population of 8221 people. The slogan of India Post is Dak Seva Jan Seva. There are 25464 departmental post offices and 129418 extra-departmental branch post offices in India.
Nagarabenchi Post Office Summary
Dak Ghar Name Nagarabenchi Branch Post Office Pincode 584124 Dakghar Type Branch Office Post Office Delivery Status Delivery Branch Office Postal Division Raichur Postal Region North Karnataka Postal Circle Karnataka Location Nagarabenchi Town / City / Tehsil / Taluka / Mandal Lingasugur District Raichur State Karnataka Country India Related Sub Office Maski Sub Office Related Head Office Raichur Head Post Office Website www.indiapost.gov.in ePost-office Web Site Address www.epostoffice.gov.in Speed Post Tracking Website www.indiapost.gov.in/speednettracking.aspx Recruitment Web Site Address www.indiapost.gov.in/recruitment.aspx
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Type VI collagen α1 chain polypeptide in non-triple helical form is an alternative gene product of COL6A1 | Request PDF
Request PDF | Type VI collagen α1 chain polypeptide in non-triple helical form is an alternative gene product of COL6A1 | Expression of type IV collagen α1 chain in non-triple helical form, NTH α1(IV), is observed in cultured human cells, human placenta, and rabbit... | Find, read and cite all the research you need on ResearchGate
Article
Type VI collagen α1 chain polypeptide in non-triple helical form is an alternative gene product of COL6A1
April 2018
Journal of Biochemistry164(2)
DOI: 10.1093/jb/mvy040
Authors:
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Takamichi Sato
Nippon Kayaku Co., Ltd.
<here is a image f2f62089ad6ff61c-d19572ff1996375a>
Ryo Takano
Ryo Takano
<here is a image f2f62089ad6ff61c-d19572ff1996375a>
Kazuhiro Tokunaka
Kazuhiro Tokunaka
<here is a image f2f62089ad6ff61c-d19572ff1996375a>
Kan Saiga
Kan Saiga
Abstract
Expression of type IV collagen α1 chain in non-triple helical form, NTH α1(IV), is observed in cultured human cells, human placenta, and rabbit tissues. Biological functions of NTH α1(IV) are most likely to be distinct from type IV collagen, since their biochemical characteristics are quite different. To explore the biological functions of NTH α1(IV), we prepared some anti-NTH α1(IV) antibodies. In the course of characterization of these antibodies, one antibody, #141, bound to a polypeptide of 140 kDa in size in addition to NTH α1(IV). In this study, we show evidence that the 140 kDa polypeptide is a novel non-triple helical polypeptide of type VI collagen α1 chain encoded by COL6A1, or NTH α1(VI). Expression of NTH α1(VI) is observed in supernatants of several human cancer cell lines, suggesting that the NTH α1(VI) might be involved in tumorigenesis. Reactivity with lectins indicates that sugar chains of NTH α1(VI) are different from those of the α1(VI) chain in triple helical form of type VI collagen, suggesting a synthetic mechanism and a mode of action of NTH α1(VI) is different from type VI collagen.
<here is a image 175d1bd4b7439d95-754927124da715c1>
... Owusu-Ansah et al also reported that COL6A1 is involved in the migration and invasion of highly metastatic pancreatic cancer BxPC-M8 cells (10). Recently, we reported the existence of a non-triple helical polypeptide encoded by COL6A1, NTH α1(VI), in the conditioned media of cancer cell lines
(11)
. NTH α1(VI), rather than the COL6A1 polypeptide of type VI collagen, may be directly involved in cancer cell proliferation, migration, and invasion. ...
... Antibodies and type VI collagen. A mouse monoclonal antibody (#141) that recognizes COL4A1, NTH α1(IV), COL6A1, and NTH α1(VI) was prepared in our laboratory (Nippon Kayaku, Tokyo, Japan) and characterized as previously described
(11,
18,19). Rabbit anti-COL6A1 polyclonal antibody (cat. ...
... Western blotting analysis. Western blotting was performed as previously described
(11,
18). Briefly, an equal amount of 2X concentrated sample buffer containing 2-mercaptoethanol (2-ME) [125 mM Tris-HCl (pH 6.8), 20% glycerol, 10% 2-ME, and 4% SDS] was added to each cell lysate or supernatant and heated at 95˚C for 5 min. ...
Involvement of non‑triple helical type�VI collagen�α1 chain, NTH�α1(VI), in the proliferation of cancer cells
Aug 2020
<here is a image 4045ce4b26169009-fbd2d7202685dca9> Takamichi Sato
Kazuhiro Tokunaka
Kan Saiga
Makoto Morita
It has been reported that a polypeptide encoded by collagen type VI alpha 1 chain (COL6A1), one of the three α chains of type VI collagen, is strongly associated with the migration and invasion of highly metastatic human pancreatic cancer BxPC‑M8 cells and excessive proliferation of LNCaP cells. We previously reported that non‑triple helical type VI collagen α1 chain, NTH α1(VI), a non‑triple helical polypeptide encoded by COL6A1, is not derived from type VI collagen and exists in cancer cell‑conditioned media. Therefore, NTH α1(VI) may be involved in cancer cell migration, invasion, and proliferation. The active entity that promotes cellular behaviors in cancer remains unclear. Thus, we predicted that NTH α1(VI) has cancer‑promoting activity, such as the ability to induce cell proliferation. This study was conducted to examine whether NTH α1(VI) and/or its derived peptides are involved in cancer cell proliferation. Highly metastatic human pancreatic S2‑VP10 cells were used to explore the potential of COL6A1 knockdown in reducing cell proliferation. Moreover, S2‑VP10 conditioned medium was assessed after molecular size‑fractionation to determine whether the inhibitory effect of COL6A1 knockdown could be rescued by the medium. We showed that S2‑VP10‑conditioned medium contained COL6A1 polypeptide, but not COL6A2, suggesting that COL6A1 in the conditioned medium of S2‑VP10 cells reflects the presence of NTH α1(VI). COL6A1 knockdown repressed S2‑VP10 cell proliferation and this repression was rescued using the conditioned medium of S2‑VP10 cells. The fraction of conditioned medium containing peptides smaller than 10 kDa rescued the inhibitory effect; however, the fraction containing polypeptides larger than 10 kDa, including NTH α1(VI), did not show rescue activity, indicating that NTH α1(VI) fragmentation is necessary for enhanced cancer cell proliferation. In conclusion, fragmentation of NTH α1(VI) into peptides <10 kDa is required for its cancer cell proliferation‑promoting activity.
... Although COL6A1 is widely distributed in various tissues, its expression levels are markedly higher in pancreatic cancer tumor tissues with bone metastases compared with those in tissues without bone metastases (34). These findings suggest that COL6A1 may be involved in the progression of several types of cancer (34,36,37,40,
41)
. For example, a recent study has reported that the mRNA and protein expression levels of COL6A1 are high in lung tissues of patients with pulmonary fibrosis (42), suggesting an association between COL6A1 expression and NSCLC development. ...
Identification of differentially expressed genes using microarray analysis and COL6A1 induction of bone metastasis in non-small cell lung cancer
Article
Full-text available
Oct 2021
Oncol Lett
Nan Li
Ming Liu
Xiaohui Cao
Zongmao Zhao
Non-small cell lung cancer (NSCLC) is a major cause of cancer-associated mortality worldwide, and bone metastasis is the most prevalent event observed in patients with advanced NSCLC. However, the pathogenesis of bone metastases has not been fully elucidated. In the present study, differentially expressed genes (DEGs) were identified by gene expression microarray analysis of NSCLC tissue samples with or without bone metastases. Subsequently, collagen type 6A1 (COL6A1) was chosen as the target gene through Ingenuity Pathway Analysis and reverse transcription-quantitative (RT-q) PCR validation of the top eight DEGs. COL6A1 was overexpressed or knocked down, and the proliferation and invasion of NSCLC cells was assessed using Cell Counting Kit-8, colony formation and Transwell invasion assays. Additionally, the osteogenic capacity of HOB and hES-MP 002.5 cells was assessed using RT-qPCR, western blotting, Alizarin Red and alkaline phosphatase staining. A total of 364 DEGs were identified in NSCLC tissues with bone metastases compared with NSCLC tissues without bone metastases, including 140 upregulated and 224 downregulated genes. Gene Ontology analysis results demonstrated that the upregulated and downregulated genes were primarily enriched in 'cellular process', 'metabolic process' and 'biological regulation'. Kyoto Encyclopedia of Genes and Genomes pathway enrichment analysis revealed that the upregulated genes were primarily enriched in 'cysteine and methionine metabolism', 'oxidative phosphorylation' and 'ribosome', whereas the downregulated genes were primarily enriched in the 'transcriptional misregulation in cancer', 'ribosome' and 'mitophagy-animal' pathways. COL6A1 was highly expressed in NSCLC tissue samples with bone metastases. Functionally, COL6A1 overexpression induced the proliferation and invasion of HARA cells, and its knockdown inhibited the proliferation and invasion of HARA-B4 cells. Finally, it was demonstrated that HOB and hES-MP 002.5 cells exhibited osteogenic capacity, and overexpression of COL6A1 in HARA cells increased the adhesion of these cells to the osteoblasts, whereas knockdown of COL6A1 in HARA-B4 cells reduced their adhesive ability. In conclusion, COL6A1 may serve as a potential diagnostic marker and therapeutic target for bone metastasis in NSCLC.
... Therefore, local replacement of α5/α6(VI) by α3(VI) chains during ageing may modulate stem cell niches, maybe even contribute to stem cell exhaustion, a major hallmark of ageing (178,179). But also presence of non-triple-helical (NTH) COL6A5 and COL6A6 polypeptides is conceivable, as evidence for alternative NTH collagen gene products is emerging in the literature, e.g., for COL6A1 (22,
180)
and COL4A1 (181,182). ...
Collagen Biosynthesis, Processing, and Maturation in Lung Ageing
May 2021
<here is a image 8cbc04cf7dbac708-196e2d916ce6c02f> Ceylan Onursal
Elisabeth Dick
<here is a image 8cae0677d83528e7-977931861dd7544b> Ilias Angelidis
<here is a image 089f4dc4d48d9ece-9932e2634b5d1ee7> Claudia Alma Staab-Weijnitz
In addition to providing a macromolecular scaffold, the extracellular matrix (ECM) is a critical regulator of cell function by virtue of specific physical, biochemical, and mechanical properties. Collagen is the main ECM component and hence plays an essential role in the pathogenesis and progression of chronic lung disease. It is well-established that many chronic lung diseases, e.g., chronic obstructive pulmonary disease (COPD) and idiopathic pulmonary fibrosis (IPF) primarily manifest in the elderly, suggesting increased susceptibility of the aged lung or accumulated alterations in lung structure over time that favour disease. Here, we review the main steps of collagen biosynthesis, processing, and turnover and summarise what is currently known about alterations upon lung ageing, including changes in collagen composition, modification, and crosslinking. Recent proteomic data on mouse lung ageing indicates that, while the ER-resident machinery of collagen biosynthesis, modification and triple helix formation appears largely unchanged, there are specific changes in levels of type IV and type VI as well as the two fibril-associated collagens with interrupted triple helices (FACIT), namely type XIV and type XVI collagens. In addition, levels of the extracellular collagen crosslinking enzyme lysyl oxidase are decreased, indicating less enzymatically mediated collagen crosslinking upon ageing. The latter contrasts with the ageing-associated increase in collagen crosslinking by advanced glycation endproducts (AGEs), a result of spontaneous reactions of protein amino groups with reactive carbonyls, e.g., from monosaccharides or reactive dicarbonyls like methylglyoxal. Given the slow turnover of extracellular collagen such modifications accumulate even more in ageing tissues. In summary, the collective evidence points mainly toward age-induced alterations in collagen composition and drastic changes in the molecular nature of collagen crosslinks. Future work addressing the consequences of these changes may provide important clues for prevention of lung disease and for lung bioengineering and ultimately pave the way to novel targeted approaches in lung regenerative medicine.
... 27 Collagen VI consisted of three major polypeptide chains (α1, α2 and α3) is one of the main ECM.
28
Among them, the α1 chain 16 its role in PC patients with DM remains unclear. In our study, we firstly expanded meaningful discoveries in PC patients with/without DM that high COL6A1 expression was obviously observed among PC with DM compared with PC without DM. ...
Effect of Glucose Variability on Pancreatic Cancer Through Regulation of COL6A1
Background:
Pancreatic cancer (PC), a devastating cancer worldwide, remains dismal prognosis due to its clinical elusiveness, especially in relation to diabetes mellitus (DM). The study aims to investigate the effect of glucose variability on COL6A1 in PC cancer cells and the prognostic potential of COL6A1 for PC patient associated with DM.
Methods:
After PC cancer cell lines of AsPC-1 and BxPC-3 were treated with hyperglycemia and hypoglycemia, Giemsa staining and Transwell chamber were performed to assay plate clone formation, migration and invasion. Expressions of COL6A1 of PC cancer cell lines under different extracellular glucose levels were detected by qRT-PCR and Western blotting. The level of COL6A1 expression in PC patients with/without DM was further observed with immunohistochemistry. The prognostic impact of COL6A1 on PC patients with DM was assessed by Kaplan-Meier survival curve analysis.
Results:
Hyperglycemia promoted proliferation, migration and invasion of PC cancer cells compared with hypoglycemia. Glucose variability could regulate expression of COL6A1 in PC cancer cells, both Col6a1 mRNA and COL6A1 protein upregulated in cancer cells cultured with hyperglycemic than that with hypoglycemic. The level of COL6A1 expression was higher in PC patients with DM than that without DM. Besides, COL6A1 was significantly associated with the clinical prognosis of PC patients with DM, higher COL6A1 leading to lower overall survival (OS).
Conclusion:
Glucose variability had effect on PC cancer cells through regulation of COL6A1. Accordingly, COL6A1 was associated with poorer prognosis in PC patients with DM.
... Although COL6A1 is widely distributed in different tissues, its expression is markedly higher in pancreatic cancer tumor tissues with bone metastasis than that without bone metastasis (23). Thus, COL6A1 have demonstrated to be associated with the progression of many types of cancers (23,(28)(29)
(30)
(31). For examples, a recent study reported that the mRNA expression and protein level of COL6A1 were increased in lung tissues of patients with pulmonary brosis, suggesting a strong association with between COL6A1 expression and NSCLC development. ...
Identification of Differential Genes by Microarray and COL6A1 Induced the Bone Metastasis of Non-Small Cell Lung Cancer
Background: Non-small cell lung cancer (NSCLC) is a major cause of cancer-related death worldwide with bone metastasis as the most prevalent events in advanced cancer patients. However, its pathogenesis has not been clearly described.
Methods: In the present study, differentially expressed genes (DEGs) were filtered through gene expression microarray between NSCLC tissue samples with or without bone metastasis. Subsequently, collagen family collagen 6A1 (COL6A1) was chosen as the target gene through Ingenuity Pathway Analysis and qRT-PCR validation of the 8 Top genes. And we evaluated the osteogenic capacity of HOB and hES-MP 002.5 cells through RT-qPCR, Western blot, Alizarin Red Staining and ALP staining.
Results: A total of 364 DEGs including 140 up-regulated genes and 224 down-regulated genes were identified in NSCLC tissues with bone metastasis. GO analysis indicated that the upregulated and downregulated genes were mainly enriched in cellular process, metabolic process and biological regulation. KEGG pathway analysis revealed that the upregulated genes were mainly concentrated in cysteine and methionine metabolism, oxidative phosphorylation, and ribosome; the downregulated genes were mainly concentrated in the transcriptional misregulation in cancer, ribosome, and mitophagy-animal. Besides, the results of RT-qPCR, western blot and immunohistochemistry proved that COL6A1 was highly expressed in NSCLC tissue samples with bone metastasis. And we revealed that HOB and hES-MP 002.5 cells have osteogenic capacity through RT-qPCR, Western blot, Alizarin Red Staining and ALP staining . Moreover, the results of cell adhesion assay also proved that high expression of COL6A1 in HARA-B cells can induce its adhesion ability on osteoblasts, and low expression of COL6A1 in HARA-B cells can reduce its adhesion ability on osteoblasts.
Conclusions: Therefore, our data revealed that the COL6A1 might represent a diagnostic marker or therapeutic target for bone metastasis in NSCLC.
... Enrichment analysis of the Gene ontology (GO) function and KEGG pathways for miRNA-199a-5p were performed with a significance threshold (16). All the proposed genes and pathways are involved in synthesis and production of various types of collagen in both NP and AF of the intervertebral disc (11,
15,
30). According to these findings, it could be concluded that these genes are regulated and modulated by the miR-(ADAMTSs) and the regulation of these enzymes are being conducted by several miRNAs (8,20). ...
MicroRNA-199a Upregulation Mediates Lumbar Intervertebral Disc Degeneration and is Associated with Clinical Grades of Degeneration
Aim:
Low back pain (LBP) remains among the most common causes of disability and physician referral worldwide. MicroRNAs are short nucleoid intracellular players on various physiologic and pathophysiologic processes in human body. The aim of this study was to determine the expression profile of miRNA-199a-5p in intervertebral disc degeneration (IDD) and its correlation to the grade of IDD.
Material and methods:
This case-controlled study was conducted during a 6-month period from 2017 to 2018 in two university hospitals in Shiraz, Iran. We included 15 patients with grade 3 and 4 of Pfirrmann and 5 patients with traumatic lumbosacral fractures with grade I. Total discectomy was performed in all the individuals and the samples were sent to the laboratory. The NP cells were isolated and the RNA was extracted. cDNA was synthesized by reverse transcriptase and the expression was measured using real-time polymerase chain reaction (RT-PCT).
Results:
We overall included 20 patients in two study groups. Both study groups were comparable regarding the baseline and clinical characteristics except for age (p=0.026). The fold change (p=0.007) and relative expression (p=0.012) of the miRNA-199a-5p was found to be significantly higher in patients compared to controls. The fold change (p=0.001) and relative expression (p 0.001) were also associated with the Pfirrmann grading. We found that the area under curve (AUC) was 0.880 (95%CI: 0.721-0.938) indicative of moderate accuracy.
Conclusion:
Expression of the miRNA-199a-5p is increased in the IDD. The expression of the miRNA-199a-5p was also associated with the grade of the degeneration based on the Pfirrmann grading.
... COL6A1 is a protein associated with metastasis of cervical cancer (19) and, by influencing blood pressure, it is also a risk factor for cardiovascular diseases
(28)
. In the present study, COL6A1 expression was knocked down in HA-VSMCs to study the function of COL6A1 on HA-VSMCs following PDGF-BB stimulation. ...
COL6A1 knockdown suppresses cell proliferation and migration in human aortic vascular smooth muscle cells
Vascular smooth muscle cell (VSMC) migration is an important pathophysiological signature of neointimal hyperplasia. The aim of the present study was to investigate the effects of collagen type VI α1 chain (COL6A1) on VSMC migration. COL6A1 expression was silenced in platelet-derived growth factor (PDGF-BB)-stimulated VSMCs. Cell counting kit-8, wound healing and Transwell assays were used to measure cell viability, migration and invasion, respectively. Reverse transcription-quantitative PCR and western blot analysis were performed to analyze the expression of factors associated with metastasis. COL6A1 silencing attenuated PDGF-BB-induced increases in cell viability and invasive abilities of VSMCs, in addition to partially reversing the increased expression of fibronectin (FN), matrix metalloproteinase (MMP)-2 and MMP-9 induced by PDGF-BB stimulation. The silencing of COL6A also overturned PDGF-BB-induced reduction in tissue inhibitor of metalloproteinase 2 expression in VSMCs. PDGF-BB activated the AKT/mTOR pathway, which was also inhibited by COL6A1 knockdown. Taken together, these findings suggest that COL6A1 silencing inhibited VSMC viability and migration by inhibiting AKT/mTOR activation.
... COL11A1, however, was only detected with one unique peptide (and therefore not included in our analysis), which indicates that α1(XI) is too low-abundant to interact with all α2(V) not engaged with α1(V). For type VI collagen, notably, the comparably low levels of the α2(VI) chain do not agree well with α1α2α3(VI) as the only heterotrimeric form and argue for the additional existence of an α1 2 α3(VI) form and/or of non-triple-helical α1(VI) collagen, which has been described recently
[105]
. ...
Quantitative proteomic profiling of extracellular matrix and site-specific collagen post-translational modifications in an in vitro model of lung fibrosis
Lung fibrosis is characterized by excessive deposition of extracellular matrix (ECM), in particular collagens, by fibroblasts in the interstitium. Transforming growth factor-β1 (TGF-β1) alters the expression of many extracellular matrix (ECM) components produced by fibroblasts, but such changes in ECM composition as well as modulation of collagen post-translational modification (PTM) levels have not been comprehensively investigated. Here, we performed mass spectrometry (MS)-based proteomics analyses to assess changes in the ECM deposited by cultured lung fibroblasts from idiopathic pulmonary fibrosis (IPF) patients upon stimulation with transforming growth factor β1 (TGF-β1). In addition to the ECM changes commonly associated with lung fibrosis, MS-based label-free quantification revealed profound effects on enzymes involved in ECM crosslinking and turnover as well as multiple positive and negative feedback mechanisms of TGF-β1 signaling. Notably, the ECM changes observed in this in vitro model correlated significantly with ECM changes observed in patient samples. Because collagens are subject to multiple PTMs with major implications in disease, we implemented a new bioinformatic platform to analyze MS data that allows for the comprehensive mapping and site-specific quantitation of collagen PTMs in crude ECM preparations. These analyses yielded a comprehensive map of prolyl and lysyl hydroxylations as well as lysyl glycosylations for 15 collagen chains. In addition, site-specific PTM analysis revealed novel sites of prolyl-3-hydroxylation and lysyl glycosylation in type I collagen. Interestingly, the results show, for the first time, that TGF-β1 can modulate prolyl-3-hydroxylation and glycosylation in a site-specific manner. Taken together, this proof of concept study not only reveals unanticipated TGF-β1 mediated regulation of collagen PTMs and other ECM components but also lays the foundation for dissecting their key roles in health and disease.The proteomic data has been deposited to the ProteomeXchange Consortium via the MassIVE partner repository with the data set identifier MSV000082958. Keywords: Pulmonary fibrosis, Collagen, Extracellular matrix, Transforming growth factor-β, Collagen post-translational modifications, Prolyl hydroxylation, Lysyl hydroxylation, Lysyl glycosylation
COL6A1 promotes metastasis and predicts poor prognosis in patients with pancreatic cancer
Pancreatic cancer is one of the most aggressive cancers worldwide with a high mortality rate. Prognosis remains poor even in this era of advanced medicine mainly due to early metastasis and invasion. The present study aimed to explore and validate predictors of distant metastasis and prognosis in pancreatic cancer. In our preliminary experiment, we established a novel metastatic pancreatic cancer cell line BxPC‑M8 from parent BxPC‑3 cells. Via whole genome sequencing, RT‑qPCR, western blotting, migration and invasion assays, we initially found that BxPC‑M8 shared similar biological characteristics to BxPC‑3, but only differed in enhanced metastatic and invasive capabilities with a significant increase in collagen type VI α1 chain (COL6A1) expression. Knockdown of COL6A1 via small interfering RNA led to a significant decrease in migration and invasion of BxPC‑M8 cells, suggesting suppressed epithelial‑mesenchymal transition. Furthermore, a significant increase in COL6A1 expression was observed in cancerous tissue compared with paracancerous tissue (40.7 vs 3.7, P=0.001). Additionally, its expression was observed to be significantly associated with distant metastasis and vascular invasion at the time of surgery. Multivariate analysis revealed that COL6A1 expression (hazard ratio 1.90, 95% confidence interval 1.04‑3.47, P=0.037) is an independent predictor of overall survival (OS). The median OS observed for COL6A1+ and COL6A1‑ patients was found to be 8±4 and 14±7 months (P=0.021), respectively. Of note, we identified that COL6A1 expression in tissue samples was associated with significantly reduced OS (P=0.001), demonstrating that COL6A1 may serve an important role in the metastatic process and could be considered as a predictor of poor outcomes in patients with pancreatic cancer. In addition, our findings suggest that COL6A1 could be an indicator of distant metastasis and a valid prognostic predictor in such patients; however, further investigation is required.
MicroRNA Expression Profiles, Target Genes and Pathways in Intervertebral Disc Degeneration; A Meta-analysis of Three Microarray Studies
Background:
Determining the expression profile and target genes of microRNA (miRNA) would assist in determining the pathophysiologic pathways in intervertebral disk degeneration (IDD). The aim of this study was to determine the expression profile of miRNA in degenerated intervertebral disks compared with normal healthy intervertebral disks.
Methods:
We conducted a meta-analysis of 3 available miRNA expression datasets to identify a panel of co-deregulated miRNA genes and overlapping biological processes in IDD. Degenerated intervertebral disks were compared with normal healthy disks. We selected 35 miRNA features common to all 3 platforms. Then, we calculated differential expression P values from our unpaired data using metaMA package in R statistical software according to the moderated t test method (Limma). Based on the P values (where the threshold was <0.05), a list of differentially expressed miRNAs was identified.
Results:
After normalization and selection of common miRNA features across all 3 platforms, we found a total of 5 differentially expressed miRNAs, among which miR-574-3p, miR-199a-5p, and miR-483-5p were not identified in any individual studies. Our results revealed that miR-199a-5p, miR-574-3p, miR-551a, and miR-640 are commonly upregulated in IDDs compared with control disks, whereas miR-483 is commonly downregulated. Pathway analysis of identified dysregulated miRNAs indicated the involvement of extracellular matrix-receptor interaction, adherens junction, and transforming growth factor-beta signaling pathway in the pathogenesis of IDDs. Moreover, the network of predicted targets for these miRNAs identified most affected target genes as ERBB4 and CLTC.
Conclusions:
We found that the identified miRNAs through meta-analysis are candidate predictive markers for IDDs through different pathways.
Identification of a common epitope in the sequences of COL4A1 and COL6A1 recognised by monoclonal antibody #141
Identification of a type IV collagen α1 polypeptide in non-triple helical form [NTH α1(IV)], possibly involved in angiogenesis, introduces the further possibility of the existence of non-triple helical forms of other collagen chains. We previously reported that an anti-NTH α1(IV) monoclonal antibody #141 recognises not only NTH α1(IV) but also a novel non-triple helical collagen polypeptide NTH α1(VI) encoded by COL6A1. In this study, we identified the recognition sequence in order to better understand the properties of antibody #141 and provide clues regarding the biological function of the two non-triple helical molecules. Additionally, we determined the common epitope between COL4A1 and COL6A1 as PXXGXPGLRG, with surface plasmon resonance analyses revealing KD values for the COL4A1 epitope as 5.56 ± 1.81 × 10-9 M and for the COL6A1 epitope as 7.15 ± 0.44 × 10-10 M. The specific recognition of NTH α1(IV) and NTH α1(VI) by antibody #141 can be explained by the common epitope sequence. Moreover, epitope localisation supports previous finding that NTH α1(IV) and NTH α1(VI) differ in conformation from the α1 chains in triple-helical type IV and type VI collagen. These findings suggest that antibody #141 might be useful for diagnosis of type VI collagen myopathies.
| https://www.researchgate.net/publication/324571106_Type_VI_collagen_a1_chain_polypeptide_in_non-triple_helical_form_is_an_alternative_gene_product_of_COL6A1 |
Title:Emergence: Complexity and Organization
Publisher:Emergent Publications (Litchfield Pk, Arizona, US )
Article Information
Publication date ( electronic ):31 March 2015
DOI:10.emerg/10.17357.69fc4cb80d37cf839b28994be1b20259
Does sustainability emerge from between the scales?
Helena Bender
University of Melbourne
Bio:
Helena Bender has completed a Bachelor of Science at Trent University in Canada, a PhD in Zoology at the University of Melbourne, Australia and a Bachelor of Primary and Secondary Education at Deakin University, Australia. Her current role at the University of Melbourne is Senior Tutor for a first year core subject in the Bachelor of Environments degree called Reshaping Environments that strives to practice interdisciplinarity. She is the editor of a successful university textbook published by Cambridge University Press in 2012 entitled Reshaping Environments: an Interdisciplinary Approach to Sustainability in a Complex World in which she authored the ‘Introduction’, and co-authored two chapters: ‘Sustainability: a Model for the Future’; and ‘Working with Complex Issues in Group Situations’. She has also coauthored two papers in 2010 with Ruth Beilin Beilin on the ‘getting of interdisciplinarity’ in higher education, published in an edited collection of works by Emerald Publishing, and the 'Interruption, interrogation, integration and interaction as process: how PNS informs interdisciplinary curriculum design', published in Futures. Earlier research focused on the deterrence of problem species with the use of sound. She also has research interests in assessing the aspirational goals eschewed by Australian universities in their graduate attribute statements, and how games can perhaps assist students to learn more deeply abstract concepts like complexity and scale that are important for moving towards sustainability.
Kate Judith
University of Southern Queensland
Bio:
Kate Judith has completed Masters Degrees in Environmental Science and Education (both at Monash University in Melbourne, Australia), a Graduate Diploma of Secondary Education in English and Science, also at Monash and Bachelor degrees in both Arts and Science at The University of Melbourne. Currently she works at the Open Access College at The University of Southern Queensland, as the learning and teaching coordinator. Prior to this she was the Senior Tutor for the subject Natural Environments at The University of Melbourne. She has taught in a wide range of contexts, both within the humanities and sciences. Recent publications include two textbook chapters, ‘Sustainability: a Model for the Future’ (co-authored) and ‘Understanding Research Methodology’ in Reshaping Environments: an Interdisciplinary Approach to Sustainability in a Complex World published by Cambridge University Press in 2012, and seven student guide chapters and one student guide book for Victorian Certificate of Education English texts, published by National Educational Advancement Programs (NEAP). Research interests focus on ecological ways of understanding.
Abstract
This paper applies systems thinking and emergence theory to present an understanding of sustainability in terms of the human actions and attitudes required for sustainability to emerge. Sustainability is viewed as an emergent quality that occurs when the interactions within the system, and between the system and its environment are nourishing. We suggest this conception is useful because it indicates the kinds of relationships individuals and groups need to engage in as actors; the responsibilities and importance of observers in recognising emergent patterns; and the significance of the relationship between the actor and observer scales. We aim to identify strategies in these three areas that can best facilitate the emergence of sustainability. Emergence theory is found to be a fruitful framework for generating solutions and stimulating new thinking about defining, monitoring, or acting for sustainability.
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| https://journal.emergentpublications.com/Abstract/ebddd768-6c15-4b61-8e12-b0684715c636 |
MARTIN vs. BARNES, 214 Mass. 29
LUTHER O. MARTIN vs. FREDERICK L. BARNES & others.
214 Mass. 29
October 1, 1912 - February 26, 1913
Worcester County
Present: MORTON, LORING, BRALEY, & DE COURCY, JJ.
Equity Pleading and Practice, Appeal.
On an appeal by the defendant from a decree for the plaintiff in a suit in equity for a recovery and an accounting as to certain personal property of which the plaintiff claimed to be the owner but the title to which stood in the name of the defendant, his wife, where the defendant alleged that the property was hers both by virtue of a decree in a suit for divorce instituted by her in another State and because it was given to her by the plaintiff, and also because the consideration for its purchase moved from her, the defendant also contending that the plaintiff's bill was barred by laches, it appeared upon facts found by a master that the defendant's contentions were unfounded, and, the evidence upon which the master made his findings not being reported and the findings not being plainly wrong, the decree, which was founded on the master's report, was affirmed.
MORTON, J.This is a bill in, equity in which the plaintiff seeks for a recovery and an accounting in respect to certain mortgage deeds and notes and certain bank shares of which he claims to be
Page 30
the owner, but the title to which stands in the name of the defendant Viola F. Martin, his wife. The question is one of ownership between the plaintiff and his wife.
The plaintiff is a practising physician and formerly lived in Petersham in this Commonwealth. In 1898 he and his wife went to Colorado. While there, differences arose between them and they separated. He returned to this State and his wife remained in Colorado and obtained a divorce from him and an award of alimony which includes most, if not all, of the securities in question. She claims the securities by virtue of this award of alimony and also as a gift from her husband and because the consideration moved from her in whole or in part, and on other grounds. She also claims that the plaintiff has been guilty of laches in bringing his bill and is not entitled to relief. The case was sent to a master.[Note p30-1]He found that the securities were the property of the plaintiff; that he paid the consideration therefor and that he never intended to give them and had not given them to his wife. He also found that the divorce obtained by her in Colorado was of no force and effect either as a divorce or an award of alimony, because, as he found, some time before and at the time of the divorce proceedings the plaintiff was domiciled in and was a resident of Springfield, Massachusetts, where he has since resided and where he now resides; that he never appeared himself and never authorized any one to appear for him in the divorce proceedings, and that the Colorado court had no jurisdiction over him or over any of the securities included in the award of alimony or named in the bill. He further found "on all the evidence that the plaintiff was not guilty of laches in bringing this suit."
The evidence is not reported, and the master was not obliged to report it even though requested to do so by the defendants. His findings are conclusive unless it appears from the report itself that they are plainly wrong. The question of laches is largely if not wholly one of fact. The same is true of the question of domicil and residence and of the question whether there was a gift of the securities by the plaintiff to his wife, or whether the consideration was furnished by the plaintiff or by his wife. There is nothing before us from which the correctness of the master's findings in
Page 31
regard to these matters can be determined. So far as the defendant Viola F. Martin is concerned the statute of limitations did not begin to run in her favor until there was a repudiation by her of the trust which was brought home to the knowledge of the plaintiff. Davis v. Coburn,128 Mass. 377. Campbell v. Whoriskey,170 Mass. 63. Potter v. Kimball,186 Mass. 120. It is not necessary to consider the question of res adjudicata raised as to the cases of Webb v. Martin and Martin v. Webb.[Note p31-1]So far as any question of law enters into any of the findings of the master there is nothing to show that he committed any error. We interpret the decree[Note p31-2]as not authorizing the issue of an execution with a capias against any of the female defendants. As so interpreted the entry will be
Decree affirmed with costs.
H. C. Joyner, (F. R. Shaw with him,) for the defendants.
J. Clark, Jr., (W. H. King, Jr., with him,) for the plaintiff.
FOOTNOTES
[Note p30-1]Charles H. Sibley, Esquire.
[Note p31-1]The master found on this matter as follows: "I also find that as between the plaintiff, Luther O. Martin, and the defendant Viola F. Martin it has already been adjudicated by our Superior Court at Worcester in the county of Worcester and Commonwealth of Massachusetts in the cases of Elisha Webb vs. Luther O. Martin and Viola F. Martin, and Luther O. Martin vs. Elisha Webb and Viola F. Martin; that the Colorado court had no jurisdiction over Luther O. Martin because he never appeared for himself nor authorized any one else to appear for him in said proceedings brought by the defendant Viola F. Martin in the Colorado court."
[Note p31-2]The final decree, which was ordered by Pierce, J., granted the relief sought by the plaintiff. The defendants appealed.
| http://masscases.com/cases/sjc/214/214mass29.html |
Compartmentalized nodes control mitotic entry signaling in fission yeast | Molecular Biology of the Cell
The conserved fission yeast protein Skb1 inhibits mitotic entry through the SAD kinase Cdr1. Skb1 and Cdr1 are spatially segregated in discrete sets of stable nodes at the cell cortex. This work re...
Molecular Biology of the Cell Vol. 24, No. 12
Articles
Free Access
A Highlights from MBoC Selection
Compartmentalized nodes control mitotic entry signaling in fission yeast
This is the final version - click for previous version
Lin Deng , and James B. Moseley
Lin Deng Search for more papers by this author , and James B. Moseley Search for more papers by this author
Daniel J. Lew, Monitoring Editor
Published Online: 24 Apr 2013
https://doi.org/10.1091/mbc.e13-02-0104
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Abstract
Cell cycle progression is coupled to cell growth, but the mechanisms that generate growth-dependent cell cycle progression remain unclear. Fission yeast cells enter into mitosis at a defined size due to the conserved cell cycle kinases Cdr1 and Cdr2, which localize to a set of cortical nodes in the cell middle. Cdr2 is regulated by the cell polarity kinase Pom1, suggesting that interactions between cell polarity proteins and the Cdr1-Cdr2 module might underlie the coordination of cell growth and division. To identify the molecular connections between Cdr1/2 and cell polarity, we performed a comprehensive pairwise yeast two-hybrid screen. From the resulting interaction network, we found that the protein Skb1 interacted with both Cdr1 and the Cdr1 inhibitory target Wee1. Skb1 inhibited mitotic entry through negative regulation of Cdr1 and localized to both the cytoplasm and a novel set of cortical nodes. Skb1 nodes were distinct structures from Cdr1/2 nodes, and artificial targeting of Skb1 to Cdr1/2 nodes delayed entry into mitosis. We propose that the formation of distinct node structures in the cell cortex controls signaling pathways to link cell growth and division.
INTRODUCTION
A wide variety of cell types delay cell cycle transitions until they reach a critical size threshold, but the mechanisms that relay size- and growth-dependent signals to the cell cycle machinery remain largely unclear. In yeast through mammals, SAD-family protein kinases promote the G2/M cell cycle transition by down-regulating the mitotic inhibitor Wee1 ( Coleman et al. , 1993
; Parker
et al. , 1993
; Wu and Russell, 1993
; Ma et al. , 1996
; Barral et al. , 1999
; Lu et al. , 2004
). The fission yeast SAD kinases Cdr1 and Cdr2 function in a linear pathway and localize in a band of cortical node-like structures in the cell middle (
Martin and Berthelot-Grosjean, 2009
; Moseley et al. , 2009
). These nodes also contain Wee1 ( Moseley et al. , 2009
), the inhibitory target of Cdr1 and Cdr2. The formation of cortical nodes may serve to concentrate components of a signaling pathway, such as Cdr1, Cdr2, and Wee1, although these structures may impart additional levels of spatial regulation to the pathway.
Upstream regulators of Cdr1 and Cdr2 may serve as “input” signals to the mitotic size control system, and several such factors have been identified. A key example is the cell polarity protein kinase Pom1, which regulates Cdr2 in a cell size–dependent manner (
Martin and Berthelot-Grosjean, 2009
; Moseley et al. , 2009
). Factors such as Nif1 and Fin1 have also been implicated in upstream control of Cdr1-Cdr2 signaling ( Wu and Russell, 1997
; Grallert
et al. , 2012
). The Pom1-Cdr2 connection raises the possibility that coordination of cell growth and division involves communication between the cell polarity and cell cycle systems. A complete understanding of the mitotic size control system will require systematic identification of such upstream regulators, elucidation of their underlying biochemical mechanisms, and description of how their spatial positioning controls signaling behavior in cells.
Many components of the Cdr2-Cdr1-Wee1 signaling pathway are conserved in the budding yeast Saccharomyces cerevisiae
, in which the SAD-family kinase Hsl1 negatively regulates the Wee1-like protein Swe1 ( Ma
et al. , 1996
; Barral et al. , 1999
). This signaling pathway leads to Swe1 degradation and requires the enigmatic PRMT5-family methyltransferase Hsl7 ( Ma et al. , 1996
;
McMillan et al. , 1999
, 2002
), which is believed to act as a signaling scaffold to promote mitosis. Hsl1, Hsl7, and Swe1 all colocalize at the bud neck ( Shulewitz et al. , 1999
; Cid et al. , 2001
; Theesfeld et al. , 2003
), where signaling likely occurs. In vertebrate cells, Hsl7 also functions to promote mitosis by down-regulating Wee1 ( Yamada et al. , 2004
). This conserved function to promote mitotic entry is contrasted by the fission yeast Hsl7-like protein Skb1. In fission yeast cells, Skb1 inhibits mitotic entry through Wee1 ( Gilbreth
et al. , 1998
), but the details of this Skb1 signaling pathway and its spatial control are not known. The different activities of Hsl7 versus Skb1 may reflect plasticity in how a conserved signaling module has evolved to control the cell cycle in distinct cell types.
In this study, we performed a protein–protein interaction screen to identify physical links between cell polarity and the Cdr2-Cdr1-Wee1 system. We found that Skb1 physically interacts with Cdr1 and Wee1, and genetic epistasis places Skb1 as an upstream inhibitor of Cdr1 signaling in cells. Skb1 localizes to a novel set of cortical nodes that are distinct from Cdr2-Cdr1-Wee1 nodes, and these separate structures impart spatial control of the signaling pathway. These results reveal an unexpected spatial organization of the mitotic size control system and indicate the importance of stable signaling domains at the cell cortex.
RESULTS
We assembled a list of 37 cell polarity proteins with connections to cell growth and shape. These proteins—along with Cdr1, Cdr2, and Wee1—were tested for all possible binary interactions using a directed yeast two-hybrid assay ( Figure 1A
). We tested 1271 potential interactions in the screen and identified 67 potential hits. These initial hits were retested and then analyzed under conditions that test stringency of interaction (Supplemental Figure S1B). This approach defined 38 protein–protein interactions, including 17 novel hits ( Figure 1B
and Supplemental Table S1). Some novel interactions were not observed under stringent conditions and thus require additional interaction tests for verification. We focused on strong bidirectional interactions to identify novel input signals to the Cdr2-Cdr1-Wee1 module.
Caption
FIGURE 1:
Pairwise yeast-two hybrid interaction screen. (A) Workflow of directed yeast two-hybrid screen. (B) Protein interactome found in the two-hybrid screen. Solid lines indicate protein–protein interactions; dashed lines denote previously reported interactions ( Kanai et al. , 2005
; Hachet et al. , 2011
) not found in our large-scale screen.
Two interacting proteins—the PRMT5-family arginine methyltransferase Skb1 and the NDR-family kinase Orb6—are positioned in the middle of our interactome ( Figure 1B
). Skb1 and Orb6 physically interact with each other ( Wiley et al. , 2003
), and each protein was genetically linked with both cell polarity and mitotic entry ( Gilbreth et al. , 1996
, 1998
;
Verde et al. , 1998
). In particular, Skb1 displayed strong and novel interactions with Cdr1 and Wee1 ( Figure 2A
) and was shown to inhibit mitotic entry ( Gilbreth et al. , 1998
). Therefore we decided to investigate the genetic pathway and cellular role of Skb1 in fission yeast mitotic entry.
Caption
FIGURE 2:
Skb1 physically interacts with Cdr1 and Wee1. (A) Skb1 interacts with Cdr1, Wee1, Orb6, and itself by two-hybrid assay. Transformants were selected on a double dropout (DDO) plate, and interactions were tested on a quadruple dropout + Aba (QDO/A) plate. (B) Skb1 interacts with a small region of Cdr1 outside of the kinase domain. Transformants were selected on a DDO plate, and interactions were tested on a QDO/A plate. (C, D) Skb1 interacts with Cdr1 and Wee1 by coimmunoprecipitation. The indicated constructs were overexpressed in fission yeast cells, and hexahistidine (6His)-Skb1 was purified by nickel-agarose chromatography. Whole-cell extracts (input) and immunoprecipitations (IP) were probed using anti-6His and anti-GFP or anti-Wee1 antibodies. Asterisk marks a nonspecific band that is absent in IP samples.
In our screen, Skb1 interacted with multiple protein kinases. To eliminate the possibility that Skb1 binds nonspecifically to kinase domains, we mapped the region of Cdr1 that interacts with Skb1. Skb1 did not interact with the kinase domain of Cdr1 but did with a small region (residues 291–354; Figure 2B
) outside of the catalytic domain. This region is important for Cdr1 kinase activity (
Wu and Russell, 1997
). We next tested Skb1 interaction with Cdr1 and Wee1 in fission yeast cell extracts. Both Cdr1 and Wee1 were coimmunoprecipitated with Skb1 (
Figure 2, C and D
), consistent with their strong interactions by yeast two-hybrid assay. These physical interactions raise the possibility that Skb1 acts as an input signal to Cdr1 for mitotic size control.
Skb1 inhibits mitotic entry through Cdr1 and Wee1
We used genetic epistasis to test the role of Skb1 in regulating mitotic entry. Fission yeast cells reproducibly enter into mitosis and divide at ∼14 μm in length, due in part to regulation of Cdr1 and Cdr2. We found that
skb1∆
cells divided at a smaller size than wild-type cells ( Figure 3A
), consistent with previous work ( Gilbreth et al. , 1998
). To confirm that the smaller division size of
skb1∆
mutant cells reflected premature entry into mitosis, we measured the size of cells with separated spindle pole bodies (SPBs; yeast equivalent of centrosome). SPB separation occurred at a smaller size in
skb1∆
versus wild-type cells (Supplemental Figure S2), indicating that Skb1 protein is a mitotic inhibitor. The role of Skb1 in cell cycle regulation is likely independent of its methyltransferase activity, as mutations predicted by the animal PRMT5 crystal structure to abolish catalytic activity ( Sun
et al. , 2011
) do not affect cell size at division (Supplemental Figure S3).
Caption
FIGURE 3:
Skb1 controls cell size at division through negative regulation of Cdr1. (A) Length of dividing, septated cells of the indicated genotypes (mean ± SD; n
> 50 for each value). The p
values for two-tailed Student's t
tests for unpaired data with unequal variance are indicated in brackets. Temperature-sensitive wee1-50
strains were grown at 36°C for 6 h before analysis. (B) The indicated cdr1
+ overexpression strain was transformed with control pREP3X plasmid or Skb1 overexpression plasmid. Differential interference contrast images were taken at 0 and 20 h after induction. Scale bar, 10 μm.
The skb1∆
size phenotype partially suppressed a cdc25-22
mutation, but skb1∆
did not reduce the size of cdr1∆, cdr2∆
, or
wee1-50
mutants ( Figure 3A
). This places Skb1 as an upstream inhibitor of Cdr2-Cdr1-Wee1 in regulation of cell size at division. We tested this possibility further by overexpressing both Skb1 and Cdr1 in fission yeast cells. Overexpression of Cdr1 causes a “wee” cell phenotype due to inhibition of Wee1 kinase ( Russell and Nurse, 1987
). We found that overexpression of Skb1 partially suppressed this “wee” phenotype caused by increased Cdr1 levels ( Figure 3B
), and this suppression was not due to changes in Cdr1 expression (Supplemental Figure S4). By combining our genetic epistasis experiments and physical interactions, we conclude that Skb1 is a novel input to the Cdr2-Cdr1-Wee1 module that acts in part by negatively regulating Cdr1. In cells, this regulation may be facilitated by additional Skb1 interactions with Wee1. This possibility is supported by the observation that the elongated cell phenotype caused by Skb1 overexpression is suppressed by wee1∆
but not by cdr1∆
, cdr2∆
, pom1∆
, or nif1∆
(Supplemental Figure S5).
We next examined the relationship between Skb1 and other inputs to Cdr2-Cdr1 signaling. The cell polarity kinase Pom1 forms a spatial gradient that inhibits Cdr2 in a cell size–dependent manner (
Martin and Berthelot-Grosjean, 2009
; Moseley et al. , 2009
). pom1∆
cells enter into mitosis and divide at a reduced size, and we found that the pom1∆
and skb1∆
size phenotypes were not additive ( Figures 3A
and 4A
). This indicates that Skb1 may act upstream of Pom1 in regulation of Cdr2-Cdr1 signaling. An alternative possibility is that Skb1 regulates Cdr1 in a manner that depends on upstream control of Cdr2 by Pom1. Additional work is needed to decipher between these possibilities. In contrast, the
skb1∆
phenotype was additive with nif1∆
( Figure 4A
), which has been proposed to regulate Cdr1 ( Wu and Russell, 1997
). These genetic relationships were verified by both cell length measurements and suppression of cdc25-22
growth ( Figure 4, A and B
) and suggest that Skb1 and Nif1 are separate inputs to the mitotic size control system. These separate signals may converge on a common target, as Skb1 and Nif1 physically interact with the same region of Cdr1 (
Wu and Russell, 1997
). These combined genetic epistasis experiments show that Skb1 acts in a Pom1-dependent pathway to regulate mitotic entry through Cdr2-Cdr1-Wee1 ( Figure 4C
). The genetic and physical interactions that we uncovered suggest that the pathway might operate through complex combinatorial signals.
Caption
FIGURE 4:
Genetic analysis of Skb1 with Pom1 and Nif1. (A) Length of dividing, septated cells of the indicated genotypes (mean ± SD; n
> 50 for each value). Measurements were performed in the elongated cdc25-22
strain background to increase sensitivity. (B) Growth assay for indicated strains. Tenfold serial dilutions of cells from the indicated genotypes grown at 25 and 34°C. Note that skb1∆
and nif1∆
exhibit additive suppression of cdc25-22
temperature sensitivity, consistent with cell length measurements. (C) Schematic of genetic pathway for Skb1. Proteins in red are mitotic inhibitors and those in green are mitotic inducers. Question mark denotes unclear role for Pom1 in Skb1 function.
Skb1 forms novel growth-positioned cortical nodes
Protein–protein interactions and genetic epistasis often present a picture of ordered pathways with linear connections, but signal transduction occurs in the dynamic cellular environment in which spatial constraints shape the behavior of signaling pathways. Therefore we next examined how the subcellular distribution of Skb1 might affect signaling through the Cdr2-Cdr1-Wee1 pathway. We integrated a C-terminal triple–green fluorescent protein (3GFP) tag at the endogenous skb1
+ locus and found that Skb1-3GFP localized to a set of nodes that were restricted to the cell cortex ( Figure 5A
). An additional pool of Skb1-3GFP was present in the cytoplasm. Our Skb1 localization results differ from those of a previous study ( Bao et al. , 2001
), in which Skb1 overexpressed by a plasmid was found at cell tips and the nucleus. However, we note that integrated Skb1-3GFP is fully functional (Supplemental Figure S3), and our results are supported by a genome-wide localization study ( Matsuyama et al. , 2006
).
Caption
FIGURE 5:
Skb1 forms cortical nodes positioned by growth. (A) Localization of Skb1-3GFP in vegetative cells. Single focal planes from deconvolved z
-series and maximum projection for a single cell are shown. (B) Localization of Skb1-3GFP. Green indicates Skb1-3GFP, and blue indicates Blankophor staining. Image is maximum intensity from deconvolved z
-series. Scale bar, 3 μm. (C) Skb1 nodes are excluded from sites of cell growth. Images of Skb1-3GFP are inverted maximum projections. Blankophor marks sites of cell growth. (D) Skb1 localization in monopolar pom1∆
and tea1∆
mutants. Images are inverted maximum projections from deconvolved z
-series. (E) Skb1 cortical nodes do not overlap with cortical actin patches. Lifeact-mCherry labels actin patches and cables. Images are inverted maximum projections from deconvolved z
-series. (F) The number of Skb1-3GFP cortical nodes scales with cell length ( n
= 194 cells), graphed as box-and-whisker plot.
The distribution of Skb1-3GFP suggested a link with cellular growth patterns. We found that Skb1 nodes were excluded from sites of cell growth, which were marked with the cell wall dye Blankophor ( Figure 5, B and C
). During interphase, Skb1 nodes were excluded from the single growing end of small monopolar cells and then restricted from both ends of larger bipolar cells. On cell division, when growth is redirected to the cell middle, Skb1 nodes were absent from the division septum. Further, Skb1 nodes were restricted only from one end of monopolar mutants such as tea1∆
and pom1∆
( Figure 5D
) and did not overlap with cortical actin patches at growing ends ( Figure 5E
). We conclude that Skb1 nodes cover nongrowing regions of the cell cortex. This pattern could result from a set number of Skb1 nodes that move away from each other during growth or alternatively from the formation of new Skb1 nodes as the cell cortex expands. The number of Skb1 nodes scales with cell size ( Figure 5F
), indicating that new Skb1 nodes assemble during cell growth.
Time-lapse imaging revealed that Skb1 nodes are stable structures that do not move or rapidly disassemble (Supplemental Movie S1). At growing cell tips, we observed weak and transient localization of Skb1-3GFP puncta ( Figure 6A
and Supplemental Movie S2). This suggests a mechanism that actively prevents the formation of Skb1 nodes at growth zones. This possibility was supported by node dynamics during cell division. When growth was redirected to the cell middle for septation, we observed both formation of new nodes at cell ends and movement of existing nodes away from the cell middle (Supplemental Movie S3). Many aspects of polarized cell growth require the cytoskeleton, and so we tested the role of cytoskeletal structures in this growth zone exclusion of Skb1 nodes. Disruption of microtubules by the drug MBC (carbendazim) did not affect Skb1 node distribution, but treatment of cells with latrunculin A to disrupt F-actin structures led to a dramatic reorganization of Skb1 nodes ( Figure 6B
). In the absence of F-actin, Skb1 nodes became concentrated at cell ends, where they are normally excluded. These cell-end Skb1 nodes appeared to form de novo in time-lapse movies, similar to node dynamics during cell division (Supplemental Movies S4 and S5). We conclude that an actin-dependent mechanism actively inhibits the assembly of Skb1 nodes at cellular growth zones. This restricts the formation of stable Skb1 nodes to the nongrowing cell cortex.
Caption
FIGURE 6:
Skb1 cortical nodes are stable structures. (A) Time-lapse imaging of Skb1-3GFP localization at cell tips and cell sides. The yellow areas are shown below the cell as a kymograph; cell tip regions were contrast enhanced due to low Skb1-3GFP signal intensity. Scale bar, 10 s. (B) Exclusion of Skb1 nodes from cell ends depends on an intact actin cytoskeleton. Red arrowheads mark Skb1 cortical nodes at cell ends after latrunculin A treatment (+LatA) to disrupt F-actin structures. MBC (carbendazim) was used to disrupt microtubules; dimethyl sulfoxide was used as control treatment. (C) Skb1 nodes remain cortical in the absence of the cell wall. Arrow denotes cell wall ghost next to osmotically stabilized spheroplast. (D) In regenerating spheroplasts, Skb1 nodes are excluded from de novo growth zones. Arrows mark growth zones.
Given their stability, we considered that Skb1 nodes might associate with or require the yeast cell wall. We tested this possibility by digesting the cell wall with enzymes to generate spheroplasts. During this process, the spheroplast emerges from one cell end and leaves behind a cell wall ghost. Skb1 nodes remained intact in the spheroplast cell cortex and not the cell wall ghost ( Figure 6C
), indicating that nodes do not require a cell wall. On removal of cell wall digestion enzymes, spheroplasts generate a new growth zone ( Kelly and Nurse, 2011
). We found that Skb1 nodes were specifically excluded from these new growth zones ( Figure 6D
), supporting the conclusion that cellular growth patterns actively position Skb1 nodes.
Skb1 nodes and Cdr1/2 nodes are functionally distinct structures
What is the relationship between Skb1 nodes and the previously described nodes containing both Cdr1 and Cdr2? We used Cdr2 as a marker for Cdr1/2 nodes due to functional defects associated with integrated Cdr1 tags (
Martin and Berthelot-Grosjean, 2009
; Moseley et al. , 2009
). In cells expressing both Skb1-3GFP and Cdr2-mCherry, we observed no detectable colocalization between these two proteins ( Figure 7A
). This indicates that Skb1 nodes and Cdr1/2 nodes represent distinct stable structures at the cell cortex. In addition, Cdr1/2 nodes were not affected by skb1∆
, and Skb1 nodes localized properly in cdr2∆
cells (Supplemental Figure S6, A and B), which lack Cdr1/2 nodes (
Martin and Berthelot-Grosjean, 2009
; Moseley et al. , 2009
). We conclude that Skb1 nodes are distinct from Cdr1/2 nodes, meaning that Skb1 nodes are a novel cortical structure. This raises the possibility that the formation of these different cortical nodes controls the Skb1-Cdr1 signaling pathway.
Caption
FIGURE 7:
Compartmentalization of Skb1-Cdr1 nodes controls mitotic entry signaling. (A) Skb1 nodes and Cdr1/2 nodes do not colocalize. Images are maximum projections of z
-planes in the top half of the cell. Region boxed in red is magnified in bottom row. Scale bar, 5 μm. (B) Forced recruitment of Skb1 to Cdr1/2 nodes by GBP. Images are maximum projections of z
-planes in the top half of the cell. Region boxed in red is magnified in bottom row. Scale bar, 5 μm. (C) Length of dividing, septated cells of the indicated genotypes (mean ± SD; n
> 50 for each value). The p
values for two-tailed Student's t
tests for unpaired data with unequal variance are indicated in brackets.
We considered that separate sets of nodes might function to sequester an inhibitor (Skb1) from its target (Cdr1). To test this, we targeted Skb1 to Cdr1/2 nodes using GFP-binding protein (GBP), a single-chain antibody peptide that binds to GFP with nanomolar affinity ( Rothbauer et al. , 2006
). We integrated an in-frame GBP-mCherry tag at the 3′ end of the endogenous skb1
+ locus, which allows simultaneous targeting by GBP and imaging by mCherry. We first confirmed that Skb1-GBP-mCherry localizes similarly to Skb1-3GFP (Supplemental Figure S6C). Next we combined Skb1-GBP-mCherry with Cdr2–monomeric enhanced GFP (mEGFP). In the resulting strain, Skb1-GBP-mCherry and Cdr2-mEGFP showed clear colocalization, such that most Cdr1/2 nodes contained Skb1 (
Figure 7B
). This targeting is predicted to delay mitotic entry because Skb1 is now concentrated with its inhibitory target Cdr1. Indeed, the forced interaction of Skb1 with Cdr1/2 nodes led to an increased cell length at division ( Figure 7C
). In contrast, the forced colocalization of Skb1 and Cdr2 had no effect in cdr1∆
cells ( Figure 7C
). We conclude that targeting Skb1 to Cdr1/2 nodes delays mitotic entry through Cdr1. Taken together, these results indicate that Skb1 nodes and Cdr1/2 nodes are functionally distinct structures that impart spatial control to the Skb1-Cdr1 signaling pathway.
If Skb1 nodes and Cdr1/2 nodes are distinct structures, where do Skb1-Cdr1 interactions occur in the cell? Both Cdr1 and Skb1 are present in the cytoplasm in addition to their respective cortical nodes ( Figure 8A
), raising the possibility that Skb1 inhibits cytoplasmic Cdr1 to restrict Cdr1-Cdr2-Wee1 signals to the cell cortex. To test this, we removed Skb1 from the cytoplasm by fusing a short CAAX motif to the C-terminus of Skb1-mEGFP ( Figure 8B
). The CAAX motif is lipid modified, leading to constitutive membrane targeting. The CAAX motif increased total cellular levels of Skb1 but dramatically reduced Skb1 levels in the cytoplasm ( Figure 8C
and Supplemental Figure S6D). Of importance, cortical Skb1-mEGFP-CAAX still localized to stable nodes that were compartmentalized from Cdr1/2 nodes ( Figure 8D
). Depleting Skb1 from the cytoplasm in this manner led to a reduced cell size at division, similar to
skb1∆
( Figure 8E
). This phenotype was not caused by mislocalization of Pom1 (Supplemental Figure S6E). This result suggests that Skb1 restricts Cdr1 activity to the cell cortex, where Cdr1 and Skb1 are compartmentalized in distinct node structures. We found that the number of Cdr1/2 nodes increases with cell size (
Figure 8F
), similar to Skb1 nodes. This increase in protected microdomains for Cdr1 has the potential to increase mitotic entry signals as cells grow.
Caption
FIGURE 8:
Depletion of cytoplasmic Skb1 accelerates mitotic entry. (A) Single confocal section of Skb1-3GFP and Cdr1-3GFP cells. Both Skb1 and Cdr1 are present in the cytoplasm and cortical nodes. Scale bar, 2 μm. (B) Localization of Skb1-mEGFP and Skb1-mEGFP-CAAX. Images are single confocal section; scale bar, 5 μm. (C) Quantification of Skb1 cytoplasmic concentration in the indicated strains. Levels are presented as arbitrary fluorescence units (a.u.) and represent mean ± SD for 100 cells. (D) Skb1-mEGFP-CAAX does not colocalize with Cdr2. Images are inverted maximum projections for z
-planes in the top half of the cells. Region boxed in red is magnified in bottom row. Scale bar, 5 μm. (E) Length of dividing, septated cells of the indicated genotypes (mean ± SD; n
> 50 for each value). The p
values for two-tailed Student's t
tests for unpaired data with unequal variance are indicated in brackets. (F) Number of Cdr2 cortical nodes scales with cell length ( n
= 134 cells), graphed as box-and-whisker plot.
DISCUSSION
We identified a number of novel physical interactions between the cell polarity and cell cycle systems and used this information as a basis to study the spatial regulation of Skb1-Cdr1 signaling. We showed that Skb1 physically interacts with Cdr1 and inhibits mitotic entry through Cdr1. Cdr1 and Skb1 are spatially segregated at the cell cortex by the formation of distinct node structures. The formation of distinct node populations provides a striking example of signaling compartmentalization by microdomains in the plasma membrane. These node compartments contrast the connection between Hsl7 (Skb1-like) and Hsl1 (Cdr1-like) in budding yeast, where these proteins colocalize at the bud neck and function together to promote mitotic entry ( Ma et al. , 1996
; McMillan et al. , 1999
, 2002
; Shulewitz
et al. , 1999
; Cid et al. , 2001
; Theesfeld et al. , 2003
). The opposite phenotypes of hsl7
and
skb1
mutants may be related to the dramatic spatial differences in the signaling pathways, such that major changes in both the wiring and positioning of this pathway have occurred during evolution. The formation of these stable signaling nodes at the fission yeast cortex opens a vast number of questions: How do these nodes assemble? What are their structures? What are the various components and their stoichiometries? Answering these questions will uncover organizational principles that might operate in a wide range of cell types and signaling pathways.
We propose a model in which the formation of distinct cortical nodes ensures timely entry into mitosis through the Skb1-Cdr1 pathway. In the model, Cdr1/2 nodes act as positive clusters to promote entry into mitosis through Wee1 and Cdk1. In these nodes, Cdr1 is protected from Skb1 due to compartmentalization of the cell cortex. Thus, in addition to concentrating signaling proteins, the formation of Cdr1/2 nodes might function to protect Cdr1 from inhibition by Skb1 and/or other factors. We showed that the number of Cdr1/2 nodes scales with cell size. This size-dependent increase likely promotes mitotic entry by increasing local Cdr1 signaling at sites protected from Skb1. Inhibition of Cdr1/2 signaling by Pom1 also decreases in larger cells ( Martin and Berthelot-Grosjean, 2009
;
Moseley et al. , 2009
). This suggests the presence of two spatial mechanisms to increase mitotic entry signaling by Cdr1/2 as cells grow.
Our data suggest that Skb1 negatively regulates Cdr1 in the cytoplasm, restricting Cdr1 activity and regulation to these cortical nodes. This would effectively buffer the cytoplasm against excess Cdr1 activity. At cortical nodes, Cdr1/2 signaling is subject to additional layers of regulation, for example, by the cell polarity kinase Pom1. We note that the growing list of “input” signals to Cdr1 and Cdr2—including Skb1, Pom1, Nif1, and Fin1—act through largely undefined molecular mechanisms ( Wu and Russell, 1997
; Martin and Berthelot-Grosjean, 2009
; Moseley et al. , 2009
; Grallert et al. , 2012
). Our genetic data suggest that Skb1 inhibits Cdr1, but additional interactions between Skb1 and Wee1 likely contribute to pathway regulation. Moreover, the skb1∆
and pom1∆
cell size phenotypes are nonadditive, raising the possibility that Skb1 acts upstream of Pom1. However, we did not detect changes in Pom1 localization upon deletion or overexpression of Skb1, leaving the potential mechanism unknown. It seems likely that this growing pathway might not function as a simple linear system, but instead combined signals and/or feedback control could enhance the precision and robustness of this cellular size control system. A key future challenge will be to define the biochemical interactions and mechanisms of these multiple inputs to Cdr1 and Cdr2, both as individual and combinatorial molecular signals.
Control of signaling by compartmentalized nodes is ideally suited for yeast cells but might represent a general organizational principle that operates in many cell types. Diffusion in the yeast plasma membrane is much slower than in other cell types ( Greenberg and Axelrod, 1993
; Valdez-Taubas and Pelham, 2003
), providing a more static environment for nodes and other signaling platforms. The nongrowing region of the fission yeast cell cortex contains at least three independent and static structures—Cdr1/2 nodes, Skb1 nodes, and Pil1 eisosomes ( Kabeche et al. , 2011
)—suggesting a nondynamic and ordered environment. In animal cells with faster membrane diffusion rates, the cytoskeleton anchors an array of signaling nanoclusters that are believed to concentrate signaling proteins, promoting pathway robustness ( Cebecauer et al. , 2010
;
Hartman and Groves, 2011
). Our findings suggest that nodes and clusters might also spatially segregate signaling components to link pathway activity with changes at the cell cortex. These higher-order structures assemble by multivalent interactions of proteins and lipids, with the potential to generate emergent properties beyond the sum of their parts. The role of such nodes in a wide range of biological processes indicates a common organizational principle to control diverse signaling pathways.
MATERIALS AND METHODS
Yeast two-hybrid assay
The Matchmaker yeast two-hybrid system (Clontech, Mountain View, CA) was used to test protein–protein interactions. Bait and prey plasmids were generated using standard cloning techniques; details are available upon request. Plasmids are listed with sequencing details in Supplemental Table S2. For all interaction tests, bait and prey plasmids were cotransformed into yeast strain Y2H-Gold and selected on double dropout (DDO) plates (SD-Leu-Trp). Interactions were initially tested on a QDO/A plate (SD-Leu-Trp-Ade-His with 125 ng/ml aureobasidin A). Bait plasmids that autoactivated growth on QDO/A plates (Supplemental Figure S1A) were removed from further tests. Interactions were confirmed and classified by retransforming bait and prey plasmids, followed by selection on DDO and subsequent scoring of interactions on both QDO/A and TDO/3AT plates (SD-Leu-Trp-His with 30 mM 3-amino-1,2,4-triazole).
Yeast strains and growth
Standard Schizosaccharomyces pombe
media and methods were used ( Moreno
et al. , 1991
), and strains are listed in Supplemental Table S3. For cell length measurements, >50 septated cells grown in EMM4S at 25°C were measured by Blankophor staining in log phase. Spheroplasts were generated by treatment of zymolyase and novozyme enzymes as described ( Kabeche et al. , 2011
), and growth was recovered by washing into medium lacking digestive enzymes. For latrunculin A and MBC treatment, cells were treated with 100 μM latrunculin A, 50 μg/ml MBC (carbendazim), or dimethyl sulfoxide control for 1 h before imaging. Gene tagging and deletion were performed using PCR and homologous recombination ( Bahler et al. , 1998
), and integrations were verified by colony PCR. For Skb1-mEGFP-CAAX, we generated a pFA6a-mEGFP-CAAX-natR plasmid by insertion of amino acids LYKGKKKKKKSKTKCVIM to the C-terminus of mEGFP in the plasmid pFA6a-mEGFP-natR. Tetrad dissections were performed to create double mutants. Skb1 methyltransferase dead mutant allele was generated by QuikChange II mutagenesis (Stratagene, Santa Clara, CA) and integrated into the genome with the marker switch approach using KanMX6 as a marker and JM909 as host strain.
Coimmunoprecipitation and immunoblotting
Experiments in Figure 2, C and D
, were performed using strain JM496 (
P41nmt1-GFP-cdr1
), JM548 ( P41nmt1-GFP-wee1
), or JM837 (no GFP tag). Strains carried pREP3x-6His-Skb1 or empty pREP3x plasmids. Cells were grown at least eight generations at 32°C in minimal medium with 10 μg/ml thiamine and then washed into medium lacking thiamine. After 20 h of induction, 25 OD 595
cells were washed twice with 1 ml of lysis buffer (20 mM 4-(2-hydroxyethyl)-1-piperazineethanesulfonic acid pH 7.4, 1 mM EDTA, 150 mM NaCl, 0.2% Triton X-100, 1 mM phenylmethylsulfonyl fluoride, complete EDTA-free protease inhibitor tablets [Roche, Indianapolis, IN]) and then resuspended in 200 μl of lysis buffer together with 400 μl of glass beads and lysed using a Mini-beadbeater-16 (BioSpec, Bartlesville, OK; two cycles of 30 s at maximum speed). Lysates were then spun at 16,000 × g
for 20 min at 4°C, and supernatants were recovered. We incubated 2 mg of total protein in 700 μl of IP buffer (lysis buffer supplemented with 10 mM imidazole) with 10 μl of nickel-nitriloacetic acid agarose (Qiagen, Valencia, CA) on a rotating runner at 4°C for 2 h. Beads were then washed five times with IP buffer, resuspended in 2× SDS–PAGE sample buffer, and boiled. Western blots were probed with anti-hexahistidine (SC-8036; Santa Cruz Biotechnology, Santa Cruz, CA), anti-GFP ( Moseley et al. , 2009
), and anti-Wee1 antibodies. Anti-Wee1 antibody was generated in rabbits against recombinant Wee1 (836-877) purified from bacteria. Immune serum was affinity purified using standard techniques (
Harlow and Lane, 1988
). In Supplemental Figure S6D, mouse monoclonal anti-TAT1 antibody was used to blot α-tubulin as loading control.
Microscopy and image analysis
Cells were imaged on agar pads or in liquid medium using a DeltaVision Imaging System (Applied Precision, Issaquah, WA), comprising a customized Olympus IX-71 inverted wide-field microscope (Olympus, Tokyo, Japan), a CoolSNAP HQ2 camera (Photometrics, Tucson, AZ), and an Insight solid-state illumination unit (Applied Precision). Stacks of
z
-series were acquired at 0.5-μm intervals and processed by iterative deconvolution in SoftWoRx software (Applied Precision). Images were rendered by two-dimensional maximum intensity projection by ImageJ 1.45 (National Institutes of Health, Bethesda, MD). In Figure 8, A and B
, cells were imaged by spinning-disk confocal microscopy on an Eclipse Ti (Nikon, Melville, NY) equipped with a Yokogawa spinning disk, a Nikon 100×/1.4 numerical aperture Plan Apo VC objective, and an ImagEM C9100-13 electron-multiplying charge-coupled device camera (Hamamatsu, Hamamatsu, Japan). This system was controlled by MetaMorph 7 (Molecular Devices, Sunnyvale, CA) and assembled by Quorum Technologies (Guelph, Canada). In Figure 6A
, a 5-pixel-wide line around curved cell ends was straightened using Straighten plug-in for ImageJ 1.45. In Supplemental Movies S3–S5, photobleaching was corrected by Histogram Matching algorithm in Bleach Correction (EMBO) in ImageJ 1.45. For Figure 8C
, wild-type (no GFP), Skb1-mEGFP, and Skb1-mEGFP-CAAX cells were imaged under identical parameters. GFP intensity in the cytoplasm (12 pixel × 12 pixel box) was measured, and the background signal from wild-type cells was subtracted.
FOOTNOTES
This article was published online ahead of print in MBoC in Press (
http://www.molbiolcell.org/cgi/doi/10.1091/mbc.E13-02-0104
) on April 24, 2013.
Abbreviations used:
GBP
GFP-binding protein
GFP
green fluorescent protein
ACKNOWLEDGMENTS
We thank S. Baldissard for technical help; C. Barlowe, W. Wickner, D. Madden, and E. Schaller for reagents and shared equipment; M. Sato for the pMS-GBP-mCherry vector; and S. Marcus and M. Balasubramanian for strains. We thank A. Gladfelter, R. Carazo-Salas, and B. Goode for discussions and comments on the manuscript. J.B.M. is a Pew Scholar in the Biomedical Sciences. This work was funded by National Institutes of Health Grant GM099774 (J.B.M.).
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An idea I have for an SCP. - SCP Foundation
The SCP Foundation's 'top-secret' archives, declassified for your enjoyment.
An idea I have for an SCP.
Summary:
An idea for another one of Wondertainment's wonderful toys.
An idea I have for an SCP.
And if Wondertainment's the territory of another member here, I'll back down from making it Wondertainment.
I was thinking about those wooden skeleton model kits where you use the pieces to build models of a dinosaur or something. Then I thought "What if a completed model not only came to life, but had the same capabilities as the modeled creature, but scaled down (or up) appropriately?" Thus the idea began to stew.
The SCP would be comprised of: the box, a manuel with instructions for a few different models, and then a whole mess of assorted pieces, far more than such kits should normally have. One could build anything from a cat to a elephant to hopefully-not-mindbreaking models of Cthuhlu and his eldritch brethren. All animate upon completion and acting as their fleshy counterparts would act.
Probably be classified as safe.
I know it's not a wholly original idea, but I've checked and there apparently isn't an SCP of the same type yet.
That's what I have so far. Any suggestions?
Re: An idea I have for an SCP.
I think that would be Euclid given it's propensity for damage in the wrong hands, imagine the kind of threat a constructed 682 would pose to a public environment?
Re: An idea I have for an SCP.
It sounds like the same basic premise as 445. You can definitely still do it (and should; Dr. Wondertainment is awesome), just make sure you have a unique take on it.
I would be interested to see a something along those lines, but as a mini-ecosystem. For example, make a tiny t-rex and you have to make a tiny stegasaur or whatever for it to eat. Just my two cents.
Re: An idea I have for an SCP.
The ecosystem suggestion definitely got my cogs turning.
Instead of providing for a predator-prey thing, why not have it, given enough time and models added, develop into a full (albeit scaled-down) self-sustaining ecosystem? I've seen kits for building wood-skeleton models of plants as well. It wouldn't be stretch to make it possible for a full ecosystem to develop with the box containing the parts necessary for making plants as well as animals.
Re: An idea I have for an SCP.
That sounds pretty cool, actually. To make it slightly more dangerous/creepy, how about the ecosystem begins to spread? Either that or the figures begin to "evolve" over time, either following the progression of life on earth or some weird pattern that Dr. Wondertainment thinks is fun. "Why does the bird that I made now have razor talons and three heads?"
Re: An idea I have for an SCP.
Oh my god, I loved those things as a kid.
Taking it to a line that includes eldritch horrors and even SCPs is a good start towards making this idea stand out. Mostly, I'll just agree with what Kamelov said.
Oh, maybe a collectible build-a-figure angle? There's an extra piece with each set, and once you've collected them all (probably over a hundred), you can build 682 or something.
Re: An idea I have for an SCP.
Including 682 would probably be a bad idea.
Re: An idea I have for an SCP.
Yeah, cross-linking articles is frowned upon, especially to 076, 682, or 914.
That said, I do like the collectible idea. Maybe have it look like a [DATA EXPUNGED], but not yet be complete. Like, you need all of the pieces from all 33 model kits, but the Foundation only has 31.
Re: An idea I have for an SCP.
I'm not planning to include SCP-682 as the collect-em-all-for-a-bonus-figure thing, though that idea is interesting.
I was more planning to include a warning to not attempt to make a model of 682, something along the lines of "We don't care whether it'd be informative of XXXX's capabilities, let what happened when people did the same with 384 and 445 be a lesson to you all."
EDIT: I didn't think about making them into sets. Not only does that make more sense than my original idea of a box filled with a ton of assorted pieces, but that fits Wondertainment's style as well.
Re: An idea I have for an SCP.
Just don't make it humorous; goofy addenda seems to be a huge pet peeve of a lot of people here.
Re: An idea I have for an SCP.
You can have humor and addenda that are humorous; it's a specific style of addenda that implies that the Foundation is run entirely by idiots, or where the humor comes exclusively from mentioning another SCP, that is frowned upon, in my experience.
Re: An idea I have for an SCP.
I know. It's one of the things on the "What Not To Do" list. I've got no intention of inserting a segment of someone making a model of 682, since I've seen that happen on nearly every SCP that involves the finished model/construct/whatever coming alive.
Sure, it's usually fairly amusing, but you'd think people would learn not to do that by now.
Fold
Re: An idea I have for an SCP.
Technically, with this set you could create exact replica's of any SCP, this spans the entire list and anyone who knows what an SCP looks like can effectively own it, imagine remaking a Kane or Dr. Clef, heck you could possibly create the unborn spawn of 231 or even a 001.
682 should be on a lower risk tier than the heavy hitting specimens.
This is potentially the most dangerous Wondertainment product.
Re: An idea I have for an SCP.
Any reference to 682 would probably not be a good idea.
Collect em all foundation figurines could be a funny -J, though.
Whether you like it or not, history is on our side. We will bury you!
Re: An idea I have for an SCP.
Imagine the chaos those figurines would cause. Let's just hope the figurines aren't animate. The last thing the Foundation needs is Bright in minature.
Re: An idea I have for an SCP.
Just don't do a 682 reference. I don't know why you seem do determined to make one. And we do have a Mini-Bright. SCP-5555-J.
Whether you like it or not, history is on our side. We will bury you!
Re: An idea I have for an SCP.
I'm not going to make a 682 reference. Hence why I'm making the sets not only focus on Earth ecosystems, but also only become animate if the sets are built according to their respective instruction booklets. Don't build it according to what's in the booklet, and nothing odd happens.
In that case, the last thing we need is another mini-Bright.
| https://scp-wiki.wikidot.com/forum/t-460403/an-idea-i-have-for-an-scp |
(PDF) Appropriation of the MinD protein-interaction motif by the dimeric interface of the bacterial cell division regulator MinE
PDF | MinE is required for the dynamic oscillation of Min proteins that restricts formation of the cytokinetic septum to the midpoint of the cell in... | Find, read and cite all the research you need on ResearchGate
Appropriation of the MinD protein-interaction motif by the dimeric interface of the bacterial cell division regulator MinE
October 2010
Proceedings of the National Academy of Sciences107(43):18416-21
DOI: 10.1073/pnas.1007141107
Source
PubMed
Authors:
<here is a image f2f62089ad6ff61c-d19572ff1996375a>
Houman Ghasriani
Houman Ghasriani
<here is a image f2f62089ad6ff61c-d19572ff1996375a>
Thierry Ducat
Thierry Ducat
<here is a image f2f62089ad6ff61c-d19572ff1996375a>
Chris T Hart
Chris T Hart
<here is a image f2f62089ad6ff61c-d19572ff1996375a>
Fatima Hafizi
Fatima Hafizi
Abstract and Figures
MinE is required for the dynamic oscillation of Min proteins that restricts formation of the cytokinetic septum to the midpoint of the cell in gram negative bacteria. Critical for this oscillation is MinD-binding by MinE to stimulate MinD ATP hydrolysis, a function that had been assigned to the first ∼30 residues in MinE. Previous models based on the structure of an autonomously folded dimeric C-terminal fragment suggested that the N-terminal domain is freely accessible for interactions with MinD. We report here the solution NMR structure of the full-length MinE dimer from Neisseria gonorrhoeae, with two parts of the N-terminal domain forming an integral part of the dimerization interface. Unexpectedly, solvent accessibility is highly restricted for residues that were previously hypothesized to directly interact with MinD. To delineate the true MinD-binding region, in vitro assays for MinE-stimulated MinD activity were performed. The relative MinD-binding affinities obtained for full-length and N-terminal peptides from MinE demonstrated that residues that are buried in the dimeric interface nonetheless participate in direct interactions with MinD. According to results from NMR spin relaxation experiments, access to these buried residues may be facilitated by the presence of conformational exchange. We suggest that this concealment of MinD-binding residues by the MinE dimeric interface provides a mechanism for prevention of nonspecific interactions, particularly with the lipid membrane, to allow the free diffusion of MinE that is critical for Min protein oscillation.
<here is a image 53d29b5b6a77d8d2-de6806677e1a42df>
(A) Model of Min protein oscillation in rod-shaped bacteria. MinD forms a coiled array (red) that extends from the cell pole and is capped by a MinE-rich region known as the E ring (blue). Disassembly of the array toward the cell pole (in the direction of the blue arrow) is accompanied by assembly of a new MinD coil at the opposing pole (red arrow). (B) Schematic diagram of the Min cycle. (1) MinD (magenta) bound to ADP (light blue) undergoes nucleotide exchange with ATP (yellow), to give rise to a membrane-bound state that can bind MinC (red), the inhibitor of cell division septum formation. (2) MinE (blue) binding to MinD displaces MinC and (3) stimulates ATP hydrolysis by MinD to release inorganic phosphate (green). MinE is released from the complex while ADP-bound MinD also dissociates from the membrane, allowing the cycle to begin again. (C) Functional domain structure of MinE. Residues 1-30 comprise the anti-MinCD (ACD) domain while the remaining C-terminal residues contain the TSD. …
<here is a image 5dc4c62bc28eb07f-77980c446a53003b>
(A) Ribbon diagram representation of the Ng-MinE structure determined by solution NMR, with the two views related by a 180° rotation. Each subunit is shown in either blue or purple, and anti-MinCD residues 1-30 that encompass αA and β1 are darker shades of these colors. Side chains for residues corresponding to those previously identified to be important for topological specificity function (Glu 46 , which is mutated to Ala in this structure, and Val 50 ) are shown as balls. (B) Detailed view of the dimeric αB interface, highlighting residues participating in interhelical interactions. (C) Electrostatic surface representation for residues 20-84, in the same orientation as that shown on the right-hand side of A. The N-terminal α-helices (ribbons) pack against small hydrophobic patches that are flanked by negatively charged residues (red) that could attract the positively charged N terminus. (D) Schematic diagram highlighting the integral role for anti-MinCD residues 19-31 in the dimeric Ng-MinE β-sheet. The orientation and color scheme is the same as in the right-hand side of A. Amino acids forming interstrand backbone hydrogen bonds are linked by a solid line, with orange lines indicating hydrogen bonds that were also observed for homologous residues in the Ec-TSD structure (12). Residues homologous to those involved in intersubunit hydrogen bonds in the Ec-TSD structure are shown in orange (Asp 73 hydrogen bonded to Leu 81 , Leu 75 to Ile 79 and Leu 77 to Leu 77 ). (E) Structure of Ec-MinE residues 32-83 (PDB ID code 1EV0) with secondary structure elements homologous to those in the Ng-MinE structure indicated with labels. The pairwise Cα rmsd for a single subunit of Ec-TSD and Ng-MinE is 2.9 Å (regular secondary structure elements only). (F) Amide protons that could be observed in 1 H-15 N HSQC spectra of WT Ng-MinE recorded at pH 9.5 (17) are highlighted in blue, indicating residues that are protected from base-catalyzed solvent exchange due to hydrogen bonding. The region corresponding to the part of the Hp structure engaged in intermolecular backbone hydrogen-bonding interactions is shown in green for comparison. …
<here is a image 7bbfffa0c2839080-fac0c0b1785c518c>
…
<here is a image 241c0de509b34f8e-2b0f4f4df82e5cc7>
(A) Residues important for stimulation of MinDcatalyzed hydrolysis are either partly solvent accessible (yellow side chains) or completely inaccessible (red) in the dimeric structure of full-length Ng-MinE. (B) Representative relaxation dispersion curves for backbone amide groups at 800 MHz (red) and 500 MHz (black) shown for the three residues indicated. (C) Backbone amides undergoing statistically significant exchange (>99% confidence by F test) are shown as balls, where the diameter is linearly scaled according to the measured exchange rate (300 s −1-3100 s −1 ). Most exchange sites cluster to a contiguous region on each end of the dimer (yellow). A structurally distinct site of exchange was also detected for αC (white). No exchange was detected for amides in the αB helices. …
Figures - uploaded by
... This ATP-driven dynamic reaction-diffusion system apparently involves positive feedback loops both in the protein-membrane association phase and membrane dissociation phase of the cycle (7). Throughout this process, the MinE dimer is believed to cycle through different conformational states as it switches its binding partner interaction mode (8)
(9)
(10)(11). ...
... The MinE dimer represents a classical example of a foldswitching protein (12) where major conformational transitions are critical to its function. The resting state of MinE (state I) comprises a 6-stranded β-sheet, 3 from each subunit, sandwiched between 4 helices, 2 from each subunit
(9)
. The N-terminal helix α1 is referred to as the membrane targeting sequence (MTS), because it is thought to anchor onto the anionic cell membrane via its hydrophobic face and associated positively charged residues when the protein is in the active state (13). ...
... Wt* ngMinE comprises a 6-stranded β-sheet sandwiched between helices α1 and α2 (Fig. 3, Left). This structure, which is in complete agreement with the previously determined solution NMR structure of the E46A mutant of full-length ngMinE
(9)
, is preserved in the Δ10 construct except that the α1 helix is no longer present (Fig. 3, Middle). The β1 strand is located at the dimer interface, and the β-sheet topology, derived from the CS-ROSETTA structures, is shown in Fig. 4, Top. ...
Probing transient excited states of the bacterial cell division regulator MinE by relaxation dispersion NMR spectroscopy
Article
Full-text available
Nov 2019
<here is a image d8057412d5380ba4-6688a625d3038f7a> Mengli Cai
Ying Huang
<here is a image aede8306ecb74272-a2fc2d3a05715d31> Yang Shen
<here is a image ab64bcd9dc9f6f19-669b763113715f83> G. Marius Clore
Bacterial MinD and MinE form a standing oscillatory wave which positions the cell division inhibitor MinC, that binds MinD, everywhere on the membrane except at the midpoint of the cell, ensuring midcell positioning of the cytokinetic septum. During this process MinE undergoes fold switching as it interacts with different partners. We explore the exchange dynamics between major and excited states of the MinE dimer in 3 forms using ¹⁵ N relaxation dispersion NMR: the full-length protein (6-stranded β-sheet sandwiched between 4 helices) representing the resting state; a 10-residue N-terminal deletion (Δ10) mimicking the membrane-binding competent state where the N-terminal helix is detached to interact with membrane; and N-terminal deletions of either 30 (Δ30) or 10 residues with an I24N mutation (Δ10/I24N), in which the β1-strands at the dimer interface are extruded and available to bind MinD, leaving behind a 4-stranded β-sheet. Full-length MinE samples 2 “excited” states: The first is similar to a full-length/Δ10 heterodimer; the second, also sampled by Δ10, is either similar to or well along the pathway toward the 4-stranded β-sheet form. Both Δ30 and Δ10/I24N sample 2 excited species: The first may involve destabilization of the β3- and β3′-strands at the dimer interface; changes in the second are more extensive, involving further disruption of secondary structure, possibly representing an ensemble of states on the pathway toward restoration of the resting state. The quantitative information on MinE conformational dynamics involving these excited states is crucial for understanding the oscillation pattern self-organization by MinD–MinE interaction dynamics on the membrane.
... b Schematic view highlighting the structural motifs and their respective amino acid sequences of E. coli MinE. MinE exists in a latent/closed conformation in solution (crystal structure of Neisseria gonorrhoeae MinE, PDB:2KX0
[51]
). Upon "sensing" MinD on the membrane, it transforms into a reactive/open conformation where the contact helices and MTS are exposed, freeing it to interact with MinD (crystal structure of the E. coli MinDE complex, note that MinE 13-88 I24N was used, PDB: 3R9J [52]). ...
... Biochemical characterization of this motif suggests that it is composed of an amphipathic helix, where the hydrophobic residues A2, L4 and F6 insert into the lipid bilayer, and a sequence of positively charged amino acids R10, K11 and K12 electrostatically interact with the negatively charged phospholipid headgroups (referring to E. coli MinE) [59,60]. To ensure a weak affinity for the E. coli membrane in the absence of MinD, the MTS and the neighboring contact helix are concealed in the hydrophobic core of the MinE dimer, through interaction with the TSD
[51,
52,59] (Fig. 1b). Direct membrane interaction is in principle not crucial for MinE to antagonize MinD [24] and MinE mutants lacking the MTS support pattern formation in vitro, but with altered length-scale and dynamics [63,64]. ...
... The second part of the mechanism is dominated by MinE (Fig. 2e). The homodimeric MinE diffuses rapidly in solution when in the closed/latent conformation
[51,
52,59,66,67]. Once this latent MinE senses a membrane-bound MinD, it switches into an open, reactive conformation where both the MTS as well as the MinD contact helix are exposed [66,67]. ...
The E. coli MinCDE system in the regulation of protein patterns and gradients
Molecular self-organziation, also regarded as pattern formation, is crucial for the correct distribution of cellular content. The processes leading to spatiotemporal patterns often involve a multitude of molecules interacting in complex networks, so that only very few cellular pattern-forming systems can be regarded as well understood. Due to its compositional simplicity, the Escherichia coli MinCDE system has, thus, become a paradigm for protein pattern formation. This biological reaction diffusion system spatiotemporally positions the division machinery in E. coli and is closely related to ParA-type ATPases involved in most aspects of spatiotemporal organization in bacteria. The ATPase MinD and the ATPase-activating protein MinE self-organize on the membrane as a reaction matrix. In vivo, these two proteins typically oscillate from pole-to-pole, while in vitro they can form a variety of distinct patterns. MinC is a passenger protein supposedly operating as a downstream cue of the system, coupling it to the division machinery. The MinCDE system has helped to extract not only the principles underlying intracellular patterns, but also how they are shaped by cellular boundaries. Moreover, it serves as a model to investigate how patterns can confer information through specific and non-specific interactions with other molecules. Here, we review how the three Min proteins self-organize to form patterns, their response to geometric boundaries, and how these patterns can in turn induce patterns of other molecules, focusing primarily on experimental approaches and developments.
... During the course of the interaction cycle involving MinD and the cell membrane, the MinE dimer transitions between three distinct conformations: the resting state, present in the cytosol, comprises a six-stranded anti-parallel -sheet sandwiched between two pairs of helices that lie above and below the sheet (Fig. 1A, left panel)
(13,
14); the dimer core structure of an active state, represented by the 30 and 10/I24N deletion constructs (Fig. 1A, right panel), and seen in the complex with MinD, in which the central 1 strands are extruded to interact with MinD, leaving behind a four-stranded -sheet (14)(15)(16); and a putative intermediate state in which the 1 helix, possibly acting as a fly-cast (17), anchors MinE on the membrane prior to interaction with membrane-bound MinD. The state of the central -sheet in this intermediate membrane-bound structure is unknown, although it has been suggested from circular dichroism that membrane binding is sufficient to convert MinE from the six-stranded to four-stranded conformation (18); also unknown is whether regions of MinE, in addition to helix 1, interact directly with the membrane surface. ...
... H/N (in ppm) is calculated as = + (50), where and are the backbone 1 H N and 15 N chemical shift differences, respectively, between the free and bicelle-bound states. (C) TALOS secondary structure index for free (top) and bicelle-bound (bottom) full-length ngMinE derived from backbone 15 N,
13
C and 1 H chemical shifts(20) (seeSupporting Information Tables S1 and S2). ht, helical turn. ...
Interaction of the bacterial division regulator MinE with lipid bicelles studied by NMR spectroscopy
The bacterial MinE and MinD division regulatory proteins form a standing wave enabling MinC, which binds MinD, to inhibit FtsZ polymerization everywhere except at the midcell, thereby assuring correct positioning of the cytokinetic septum and even distribution of contents to daughter cells. The MinE dimer undergoes major structural rearrangements between a resting six-stranded state present in the cytoplasm, a membrane-bound state, and a four-stranded active state bound to MinD on the membrane, but it is unclear which MinE motifs interact with the membrane in these different states. Using NMR, we probe the structure and global dynamics of MinE bound to disc-shaped lipid bicelles. In the bicelle-bound state, helix α1 no longer sits on top of the six-stranded β-sheet, losing any contact with the protein core, but interacts directly with the bicelle surface; the structure of the protein core remains unperturbed and also interacts with the bicelle surface via helix α2. Binding may involve a previously identified excited state of free MinE in which helix α1 is disordered, thereby allowing it to target the membrane surface. Helix α1 and the protein core undergo nanosecond rigid body motions of differing amplitudes in the plane of the bicelle surface. Global dynamics on the sub-millisecond time scale between a ground state and a sparsely-populated excited state are also observed and may represent a very early intermediate on the transition path between the resting six-stranded and active four-stranded conformations. In summary, our results provide insights into MinE structural rearrangements important during bacterial cell division.
... To obtain the full-length 4β-and 6β-stranded structures of E. coli MinE, we performed homology modelling using the software MODELLER [43]. As template structures we used the NMR structure of the 6β-stranded form of Neisseria gonorrhoeae MinE
[44]
and the X-ray crystal structure of E. coli MinE 12-88 in its 4β-stranded form lacking the MTS [30]. To capture the dynamic nature of the proteins, we ran CG REMD simulations. ...
C-terminal eYFP fusion impairs Escherichia coli MinE function
The Escherichia coli Min system plays an important role in the proper placement of the septum ring at mid-cell during cell division. MinE forms a pole-to-pole spatial oscillator with the membrane-bound ATPase MinD, resulting in MinD concentration being the lowest at mid-cell. MinC, the direct inhibitor of the septum initiator protein FtsZ, forms a complex with MinD at the membrane, mirroring its polar gradients. Therefore, MinC-mediated FtsZ inhibition occurs away from mid-cell. Min oscillations are often studied in living cells by time-lapse microscopy using fluorescently labelled Min proteins. Here, we show that, despite permitting oscillations to occur in a range of protein concentrations, the enhanced yellow fluorescent protein (eYFP) C-terminally fused to MinE impairs its function. Combining in vivo, in vitro and in silico approaches, we demonstrate that eYFP compromises the ability of MinE to displace MinC from MinD, to stimulate MinD ATPase activity and to directly bind to the membrane. Moreover, we reveal that MinE-eYFP is prone to aggregation. In silico analyses predict that other fluorescent proteins are also likely to compromise several functionalities of MinE, suggesting that the results presented here are not specific to eYFP.
... ATP hydrolysis, MinD dimer dissociation, and the release of the MinE dimer. These released 4β-stranded active forms of MinE are either handed off to another membrane-bound MinD dimer, or dissociate from the membrane and fold back to the 6βstranded structure, where the six-stranded β-sheet is sandwiched between the MTS on one side, and a coiled coil formed by two long antiparallel α-helices on the opposite side
[170]
. The probability of MinE to be handed off to the neighboring MinD dimer is rather high due to the high MinD density on the membrane [168,169]. ...
Intrinsically Disordered Proteins and Their “Mysterious” (Meta)Physics
Recognition of the natural abundance and functional importance of intrinsically disordered proteins (IDPs), and protein hybrids that contain both intrinsically disordered protein regions (IDPRs) and ordered regions, is changing protein science. IDPs and IDPRs, i.e., functional proteins and protein regions without unique structures, can often be found in all organisms, and typically play vital roles in various biological processes. Disorder-based functionality complements the functions of ordered proteins and domains. However, by virtue of their existence, IDPs/IDPRs, which are characterized by remarkable conformational flexibility and structural plasticity, break multiple rules established over the years to explain structure, folding, and functionality of well-folded proteins with unique structures. Despite the general belief that unique biological functions of proteins require unique 3D-structures (which dominated protein science for more than a century), structure-less IDPs/IDPRs are functional, being able to engage in biological activities and perform impossible tricks that are highly unlikely for ordered proteins. With their exceptional spatio-temporal heterogeneity and high conformational flexibility, IDPs/IDPRs represent complex systems that act at the edge of chaos and are specifically tunable by various means. In this article, some of the wonders of intrinsic disorder are discussed as illustrations of their “mysterious” (meta)physics.
... In our study, the chrMinE gene was not deleted, whereby transformed bacteria hold basic expression levels of MinE in addition to the recombinant MinE expressed from plasmids. Thus, the results here reflect the effect of egfp-minE The MinE overexpression in E. coli counteracts the inhibitory action from MinCD complex, causing septation either in the pole or middle cell and leading to the production of chromosome-less minicells (de Boer et al. 1989;King et al. 1999;Pichoff et al. 1995;Labie et al. 1990;
Ghasriani et al. 2010)
. This was consistent with the E. coli cells transformed with pFGM, pMG, and pGM (all of them expressed the whole MinE gene), which have shown some minicells, indicating that the fusion proteins (N-and C-terminal fusions) in this study have the similar function as chromosome-encoded MinE and do not affect its subcellular localization but still overexpressed. ...
The sequences of MinE responsible for its subcellular localization analyzed by competitive binding method in Escherichia coli
The subcellular localization of a protein is important for its proper function. Escherichia coli MinE is a small protein with clear subcellular localization, which provides a good model to study protein localization mechanism. In the present study, a series of recombinant minEs truncated in one end or in the middle regions, fused with egfp, was constructed, and these recombinant proteins could compete to function with the chromosomal MinE. Our results showed that the sequences related to the subcellular localization of MinE span several functional domains, demonstrating that MinE positioning in cells depends on multiple factors. The eGFP fusions with some truncated MinE from N-terminal resulted in different cell phenotypes and localization features, implying that these fusions can interfere chromosomal MinE’s function, similar to MinE36–88 phenotype in the previous report. The amino acid in the region (32–48) is sensitive to change MinE conformation and influence its dimerization. Some truncated protein structure could be unstable. Thus, the MinE localization is prerequisite for its proper anti-MinCD function and some new features of MinE were demonstrated. This approach can be extended for subcellular localization research for other essential proteins.
The disordered N-terminus of McdB modulates phase separation via pH-sensitive hydration and folds upon interaction with McdA
Carboxysomes are protein-based organelles essential for efficient CO 2 -fixation in cyanobacteria and some chemoautotrophic bacteria. Understanding carboxysome homeostasis has implications for both microbial physiology and engineering CO 2 -fixing organisms. We recently identified the two-component system that spatially regulates carboxysomes, consisting of the proteins McdA and McdB. McdA is a member of the ParA/MinD-family of ATPases which position various structures across bacteria. McdB, however, represents a widespread but unstudied class of proteins. We previously found that McdB forms a hexamer and undergoes robust phase separation in vitro , but the sequence and structural determinants underlying these properties are unknown. Here, we define the domain architecture of McdB from the model cyanobacterium S. elongatus PCC 7942. We identify an N-terminal Intrinsically Disordered Region (IDR) that modulates condensate solubility, a central glutamine-rich dimerizing domain that drives phase separation, and a C-terminal domain that trimerizes McdB dimers. We also identify critical basic residues in the IDR which we mutate to fine-tune condensate solubility both in vitro and in vivo . Finally, we provide in silico evidence suggesting the N-terminus of McdB acts as a MoRF, folding upon interaction with McdA. The data advance our understanding and application of carboxysome homeostasis and the molecular grammar governing protein phase separation.
PomX, a ParA/MinD ATPase activating protein, is a triple regulator of cell division in Myxococcus xanthus
| https://www.researchgate.net/publication/47395709_Appropriation_of_the_MinD_protein-interaction_motif_by_the_dimeric_interface_of_the_bacterial_cell_division_regulator_MinE |
20\/12\/15\/2020.08.14.20175257\/F8.medium.gif\u0022 width=\u0022299\u0022 height=\u0022440\u0022\/\u003E\u003C\/noscript\u003E\u003C\/span\u003E\u003C\/a\u003E\u003C\/div\u003E\u003C\/div\u003E\u003Cul class=\u0022highwire-figure-links inline\u0022\u003E\u003Cli class=\u0022download-fig first\u0022\u003E\u003Ca href=\u0022https:\/\/www.medrxiv.org\/content\/medrxiv\/early\/2020\/12\/15\/2020.08.14.20175257\/F8.large.jpg?download=true\u0022 class=\u0022highwire-figure-link highwire-figure-link-download\u0022 title=\u0022Download Figure 8:\u0022 data-icon-position=\u0022\u0022 data-hide-link-title=\u00220\u0022\u003EDownload figure\u003C\/a\u003E\u003C\/li\u003E\u003Cli class=\u0022new-tab last\u0022\u003E\u003Ca href=\u0022https:\/\/www.medrxiv.org\/content\/medrxiv\/early\/2020\/12\/15\/2020.08.14.20175257\/F8.large.jpg\u0022 class=\u0022highwire-figure-link highwire-figure-link-newtab\u0022 target=\u0022_blank\u0022 data-icon-position=\u0022\u0022 data-hide-link-title=\u00220\u0022\u003EOpen in new tab\u003C\/a\u003E\u003C\/li\u003E\u003C\/ul\u003E\u003C\/div\u003E\u003Cdiv class=\u0022fig-caption\u0022\u003E\u003Cspan class=\u0022fig-label\u0022\u003EFigure 8:\u003C\/span\u003E \u003Cspan class=\u0022caption-title\u0022\u003EOptimal allocation strategies for minimizing deaths assuming 10% (A), 20%(B) 30% (C) and 40% (D) of the population has natural immunity to COVID-19 at the start of the simulations.\u003C\/span\u003E\u003Cp id=\u0022p-36\u0022 class=\u0022first-child\u0022\u003EHere, we assumed VE = 60%. For each plot, each row represents the total vaccination coverage available (percentage of the total population to be vaccinated) and each column represents a different vaccination group. Colors represent the percentage of the population in a given vaccination group to be vaccinated.\u003C\/p\u003E\u003Cdiv class=\u0022sb-div caption-clear\u0022\u003E\u003C\/div\u003E\u003C\/div\u003E\u003C\/div\u003E\u003C\/div\u003E\u003Cdiv id=\u0022sec-9\u0022 class=\u0022subsection\u0022\u003E\u003Ch3\u003EModeling the vaccination campaign\u003C\/h3\u003E\u003Cp id=\u0022p-37\u0022\u003EIn this section we modeled the vaccination campaign and determined the optimal vaccine allocation. We extended our time horizon to two years and considered administering 75, 150, or 300 thousand doses of vaccine per week (denoted by 75K, 150K and 300K respectively). This corresponds to vaccinating the entire population in 101, 50 or 25 weeks respectively. The first vaccination rate was chosen to roughly match the vaccination rate during the 2009 H1N1 pandemic in the US (0.87% of the population weekly (\u003Cem\u003E\u003Ca id=\u0022xref-ref-15-1\u0022 class=\u0022xref-bibr\u0022 href=\u0022#ref-15\u0022\u003E15\u003C\/a\u003E\u003C\/em\u003E)). It is important to note that in order to avoid confounding, as in the rest of this work, we did not assume any social distancing intervention. Similar to previous results, when the vaccination campaign is modeled, the optimal vaccine allocation strategies were very different depending on the objective function: while the older age groups are prioritized when minimizing deaths and maximum ICU-hospitalizations (\u003Ca id=\u0022xref-fig-9-1\u0022 class=\u0022xref-fig\u0022 href=\u0022#F9\u0022\u003EFig. 9\u003C\/a\u003E), the optimizer allocated vaccine to younger age groups when minimizing symptomatic infections or maximum non-ICU hospitalizations (\u003Ca id=\u0022xref-fig-27-1\u0022 class=\u0022xref-fig\u0022 href=\u0022#F27\u0022\u003EFig. S17\u003C\/a\u003E). Further, older age groups were prioritized when vaccination rate was slow (75K doses administered per week, when minimizing deaths and ICU peak hospitalization). For faster vaccination campaigns, the optimizer allocated vaccine to younger age groups in addition to the older age groups. (\u003Ca id=\u0022xref-fig-9-2\u0022 class=\u0022xref-fig\u0022 href=\u0022#F9\u0022\u003EFig. 9\u003C\/a\u003E). There were also some important differences. First, for any VE and any vaccination rate, we did not observe any threshold in vaccination coverage. In addition, because the time frame of the vaccination campaigns occurs at a much slower speed than the epidemic, most of the vaccine under this scenario is given after the epidemic (this was especially true when considering the 75K campaign). This resulted in optimal allocation strategies that for a given VE, were identical beyond a certain vaccination coverage (\u003Ca id=\u0022xref-fig-9-3\u0022 class=\u0022xref-fig\u0022 href=\u0022#F9\u0022\u003EFig. 9\u003C\/a\u003E, \u003Ca id=\u0022xref-fig-27-2\u0022 class=\u0022xref-fig\u0022 href=\u0022#F27\u0022\u003EFig. S17\u003C\/a\u003E) and the measured outcomes did not improve beyond that coverage (\u003Ca id=\u0022xref-fig-28-1\u0022 class=\u0022xref-fig\u0022 href=\u0022#F28\u0022\u003EFig. S18\u003C\/a\u003E). This points to the fact that even in the very optimistic scenario of having a highly efficacious vaccine given at very high rates, additional interventions would be necessary to co
lass=\u0022ref-label\u0022\u003E53.\u003C\/span\u003E\u003Cdiv class=\u0022cit ref-cit ref-journal no-rev-xref\u0022 id=\u0022cit-2020.08.14.20175257v3.53\u0022 data-doi=\u002210.1016\/S0140-6736(20)30260-9\u0022\u003E\u003Cdiv class=\u0022cit-metadata\u0022\u003E\u003Ccite\u003E\u003Cspan class=\u0022cit-auth\u0022\u003E\u003Cspan class=\u0022cit-name-surname\u0022\u003EWu\u003C\/span\u003E \u003Cspan class=\u0022cit-name-given-names\u0022\u003EJT\u003C\/span\u003E\u003C\/span\u003E, \u003Cspan class=\u0022cit-auth\u0022\u003E\u003Cspan class=\u0022cit-name-surname\u0022\u003ELeung\u003C\/span\u003E \u003Cspan class=\u0022cit-name-given-names\u0022\u003EK\u003C\/span\u003E\u003C\/span\u003E, \u003Cspan class=\u0022cit-auth\u0022\u003E\u003Cspan class=\u0022cit-name-surname\u0022\u003ELeung\u003C\/span\u003E \u003Cspan class=\u0022cit-name-given-names\u0022\u003EGM\u003C\/span\u003E\u003C\/span\u003E. \u003Cspan class=\u0022cit-article-title\u0022\u003ENowcasting and forecasting the potential domestic and international spread of the 2019-nCoV outbreak originating in Wuhan, China: a modelling study\u003C\/span\u003E. \u003Cabbr class=\u0022cit-jnl-abbrev\u0022\u003ELancet\u003C\/abbr\u003E. \u003Cspan class=\u0022cit-pub-date\u0022\u003E2020\u003C\/span\u003E;\u003Cspan class=\u0022cit-vol\u0022\u003E395\u003C\/span\u003E(\u003Cspan class=\u0022cit-issue\u0022\u003E10225\u003C\/span\u003E):\u003Cspan class=\u0022cit-fpage\u0022\u003E689\u003C\/span\u003E\u2013\u003Cspan class=\u0022cit-lpage\u0022\u003E697\u003C\/span\u003E. 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Available from: \u003Ca href=\u0022https:\/\/doi.org\/10.1016\/j.ijid.2020.01.050\u0022\u003Ehttps:\/\/doi.org\/10.1016\/j.ijid.2020.01.050\u003C\/a\u003E.\u003C\/cite\u003E\u003C\/div\u003E\u003Cdiv class=\u0022cit-extra\u0022\u003E\u003Ca href=\u0022{openurl}?query=rft.jtitle%253DInternational%2BJournal%2Bof%2BInfectious%2BDiseases%26rft.volume%253D92%26rft.spage%253D214%26rft_id%253Dinfo%253Adoi%252F10.1016%252Fj.ijid.2020.01.050%26rft_id%253Dinfo%253Apmid%252F32007643%26rft.genre%253Darticle%26rft_val_fmt%253Dinfo%253Aofi%252Ffmt%253Akev%253Amtx%253Ajournal%26ctx_ver%253DZ39.88-2004%26url_ver%253DZ39.88-2004%26url_ctx_fmt%253Dinfo%253Aofi%252Ffmt%253Akev%253Amtx%253Actx\u0022 class=\u0022cit-ref-sprinkles cit-ref-sprinkles-openurl cit-ref-sprinkles-open-url\u0022\u003E\u003Cspan\u003EOpenUrl\u003C\/span\u003E\u003C\/a\u003E\u003Ca href=\u0022\/lookup\/external-ref?access_num=10.1016\/j.ijid.2020.01.050\u0026amp;link_type=DOI\u0022 class=\u0022cit-ref-sprinkles cit-ref-sprinkles-doi cit-ref-sprinkles-crossref\u0022\u003E\u003Cspan\u003ECrossRef\u003C\/span\u003E\u003C\/a\u003E\u003Ca href=\u0022\/lookup\/external-ref?access_num=32007643\u0026amp;link_type=MED\u0026amp;atom=%2Fmedrxiv%2Fearly%2F2020%2F12%2F15%2F2020.08.14.20175257.atom\u0022 class=\u0022cit-ref-sprinkles cit-ref-sprinkles-medline\u0022\u003E\u003Cspan\u003EPubMed\u003C\/span\u003E\u003C\/a\u003E\u003C\/div\u003E\u003C\/div\u003E\u003C\/li\u003E\u003C\/ol\u003E\u003C\/div\u003E\u003Cspan class=\u0022highwire-journal-article-marker-end\u0022\u003E\u003C\/span\u003E\u003C\/div\u003E\u003Cspan class=\u0022related-urls\u0022\u003E\u003C\/span\u003E\u003C\/div\u003E\u003C\/div\u003E \u003C\/div\u003E\n\n \n \u003C\/div\u003E\n\u003C\/div\u003E\n \u003C\/div\u003E\n\u003C\/div\u003E\n\u003C\/div\u003E\u003Cscript type=\u0022text\/javascript\u0022 src=\u0022https:\/\/www.medrxiv.org\/sites\/default\/files\/js\/js_zP7WWIfzbyzvaM63L39cNV2juU_1XVH7wduFK9gcMNI.js\u0022\u003E\u003C\/script\u003E\n\u003C\/body\u003E\u003C\/html\u003E"}
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Whitkin vs. Markarian, 238 Mass. 334
Isaac Whitkin vs. Oscar Markarian.
238 Mass. 334
March 18, 1921 - April 7, 1921
Suffolk County
Present: Rugg, C. J., Braley, Pierce, Carroll, & Jenney, JJ.
Broker, Commission. Agency, Compensation of agent.
At the trial of an action for a commission alleged to be due for procuring for the defendant a customer ready, able and willing to purchase his real estate on terms approved by him, there was evidence that the defendant authorized the plaintiff to sell his house for $8,000 subject to an existing mortgage and gave him other terms of sale which he did not remember at the trial; that the plaint iff procured a customer who was willing to buy the property for $8,000 without reference to any other terms of sale and reported the offer to the defendant and that the defendant said that be was too busy to attend to the transaction and told the plaintiff to "fix it up;" that the purchaser gave the plaintiff as a deposit on account of the sale his check for $100 which was at once handed to the defendant who "laid . . . [it] on the plaintiff's desk and said he did not think his wife would sign" and that "he wanted $8,000 net free of commission;" that the purchaser, who was present, offered to pay $8,000 and one half of the commission, which the defendant refused; that the defendant, knowing who the customer was, raised no objection to his readiness, ability or willingness to perform his offer or to the terms of sale except that he attempted to .get a larger amount than that for which he had authorized the sale of the premises.
Held, that
(1) Findings were warranted that the plaintiff had procured a customer, known and acceptable to the defendant, at a price for which he had authorized the sale of the property; that the terms of sale either were not in question or were such as necessarily followed from an unqualified acceptance of a positive offer; and that the defendant without good reason and without reference to the responsibility of the customer refused to go forward in the transaction;
(2) It could not be ruled that upon all the evidence the defendant was entitled to judgment;
(3) Upon such facts being found, the defendant was precluded from contending, in order to defeat the plaintiff's recovery, that other evidence was necessary to prove that the customer was ready, able and willing to purchase.
Contractfor $240, alleged to be due to the plaintiff as a commission for procuring a purchaser of real estate of the defendant.
Page 335
Writ in the Municipal Court of the City of Boston dated May 1, 1920.
Material evidence at the trial in the Municipal Court is described in the opinion. At the close of the evidence, the defendant asked for the following findings and rulings:
"1. The defendant did not employ the plaintiff as broker to sell his house.
"2. The defendant did not authorize the plaintiff to sell his house as broker.
"3. The defendant did not give the plaintiff or make any terms for the sale of his property.
"4. The defendant did not give the plaintiff all the terms and conditions for the sale of his property.
"5. If the plaintiff was authorized to sell the defendant's property, his authority was revoked before any purchaser was procured and introduced to the defendant, which purchaser was to be ready and willing to buy.
"6. If the defendant authorized the plaintiff to sell his property, he had the absolute right to revoke said authority before a bargain was made by the broker and before commission was earned.
"7. A broker is entitled to commission only when he has procured a customer who is ready and willing to buy on stated terms.
"9. Upon all the evidence the defendant is entitled to judgment."
The judge refused the requests numbered one, two, three, four, five and nine, granted those numbered six, seven and eight, found for the plaintiff and, at the request of the defendant, reported the case to the Appellate Division, who ordered the report dismissed; and the defendant appealed.
W. B. Grant, (J. K. Tertzag with him,) for the defendant.
B. Welansky, for the plaintiff.
Jenney, J.The terms of the report are not perfectly clear, but the case was considered and decided in the Municipal Court of the City of Boston and argued in this court on the basis that the plaintiff's employment was to procure a customer ready, able and willing to purchase the defendant's property upon terms approved by him. We consider it on that basis and hence cases
Page 336
like Munroe v. Taylor,191 Mass. 483, and Noyes v. Caldwell,216 Mass. 525, do not control.
The judge properly could find that the defendant authorized the broker to sell his house for $8,000 subject to an existing mortgage, and gave him other terms of sale which he did not remember at the trial. Although the record is meagre, it appears that the plaintiff procured a customer, one Cox, who was willing to buy the house for $8,000, without reference to any other terms of sale; that the plaintiff reported this offer to the defendant, who said he was too busy to attend to the transaction and told the plaintiff to "fix it up;" that Cox gave the plaintiff as a deposit on account of the sale, his check for $100; that the check was at once handed by the plaintiff to the defendant who " laid . . . [it] on the plaintiff's desk and said he did not think his wife would sign," and further said "he wanted $8,000 net free of commission." Cox, who apparently was present, offered to pay the sum stated and one half of the commission in addition, which offer the defendant refused. The defendant, knowing who the plaintiff's customer was, raised no objection to his readiness, ability or willingness to perform his offer, to the terms of sale, except that he attempted to get a larger amount than that for which he had authorized the sale of the premises. The judge found for the plaintiff.
At the close of the evidence the defendant made certain requests for rulings. The first five related to findings of fact and were properly refused for that reason. All the others were given except that by which the defendant asked the judge to rule that upon all the evidence the defendant was entitled to judgment.
It could have been found that the plaintiff had procured a customer, known and acceptable to the defendant, for a price for which he had authorized the sale of the property; that the terms of sale either were not in question or were such as necessarily followed from an unqualified acceptance of a positive offer; and that the defendant without good reason and without reference to the responsibility of the customer refused to go forward in the transaction. Upon these facts the ruling requested could not properly have been given. Holden v. Starks, 159 Mass. 503. Monk v. Parker, 180 Mass. 246. Cohen v. Ames,205 Mass. 186. Goodnough v. Kinney,205 Mass. 203. Leland v. Barber,228 Mass. 144. It does not lie in the defendant's mouth to claim,
Page 337
in order to defeat the plaintiff's recovery, that other evidence was necessary to prove that the customer was ready, able and willing to purchase. See Carpenter v. Holcomb, 105 Mass. 280; Mansfield v. Hodgdan, 147 Mass. 304; Tobin v. Larkin, 183 Mass. 389; Hutchinson v. Plant,218 Mass. 148, 152.
Order dismissing report affirmed.
| http://masscases.com/cases/sjc/238/238mass334.html |
Antioxidants | Free Full-Text | Development of an Analytical Assay for Electrochemical Detection and Quantification of Protein-Bound 3-Nitrotyrosine in Biological Samples and Comparison with Classical, Antibody-Based Methods
Reactive oxygen and nitrogen species (RONS) cause oxidative damage, which is associated with endothelial dysfunction and cardiovascular disease, but may also contribute to redox signaling. Therefore, their precise detection is important for the evaluation of disease mechanisms. Here, we compared three different methods for the detection of 3-nitrotyrosine (3-NT), a marker of nitro-oxidative stress, in biological samples. Nitrated proteins were generated by incubation with peroxynitrite or 3-morpholino sydnonimine (Sin-1) and subjected to total hydrolysis using pronase, a mixture of different proteases. The 3-NT was then separated by high performance liquid chromatography (HPLC) and quantified by electrochemical detection (ECD, CoulArray) and compared to classical methods, namely enzyme-linked immunosorbent assay (ELISA) and dot blot analysis using specific 3-NT antibodies. Calibration curves for authentic 3-NT (detection limit 10 nM) and a concentration-response pattern for 3-NT obtained from digested nitrated bovine serum albumin (BSA) were highly linear over a wide 3-NT concentration range. Also, ex vivo nitration of protein from heart, isolated mitochondria, and serum/plasma could be quantified using the HPLC/ECD method and was confirmed by LC-MS/MS. Of note, nitro-oxidative damage of mitochondria results in increased superoxide (O2•–) formation rates (measured by dihydroethidium-based HPLC assay), pointing to a self-amplification mechanism of oxidative stress. Based on our ex vivo data, the CoulArray quantification method for 3-NT seems to have some advantages regarding sensitivity and selectivity. Establishing a reliable automated HPLC assay for the routine quantification of 3-NT in biological samples of cell culture, of animal and human origin seems to be more sophisticated than expected.
Background:
Development of an Analytical Assay for Electrochemical Detection and Quantification of Protein-Bound 3-Nitrotyrosine in Biological Samples and Comparison with Classical, Antibody-Based Methods
by
Ksenija Vujacic-Mirski 1 ,
Kai Bruns 2 ,
Sanela Kalinovic 1 ,
Matthias Oelze 1 ,
Swenja Kröller-Schön 1 ,
Sebastian Steven 1 ,
Milos Mojovic 3 ,
Bato Korac 4 ,
Thomas Münzel 1,5 and
Andreas Daiber 1,5,*
1
Center for Cardiology, Department of Cardiology 1–Molecular Cardiology, University Medical Center, 55131 Mainz, Germany
2
Institute of Clinical Chemistry and Laboratory Medicine, Medical Center of the Johannes Gutenberg University, 55131 Mainz, Germany
3
Faculty of Physical Chemistry, University of Belgrade, Studentski trg 12-16, 11000 Belgrade, Serbia
4
Institute for Biological Research “Sinisa Stankovic”—National Institute of Republic of Serbia, University of Belgrade, 11000 Belgrade, Serbia
5
Partner Site Rhine-Main, German Center for Cardiovascular Research (DZHK), Langenbeckstr. 1, 55131 Mainz, Germany
*
Author to whom correspondence should be addressed.
Antioxidants 2020 , 9 (5), 388; https://doi.org/10.3390/antiox9050388
Received: 1 April 2020 / Revised: 30 April 2020 / Accepted: 2 May 2020 / Published: 6 May 2020
(This article belongs to the Special Issue Oxidative Stress, Classification and Quantitation )
Abstract
Reactive oxygen and nitrogen species (RONS) cause oxidative damage, which is associated with endothelial dysfunction and cardiovascular disease, but may also contribute to redox signaling. Therefore, their precise detection is important for the evaluation of disease mechanisms. Here, we compared three different methods for the detection of 3-nitrotyrosine (3-NT), a marker of nitro-oxidative stress, in biological samples. Nitrated proteins were generated by incubation with peroxynitrite or 3-morpholino sydnonimine (Sin-1) and subjected to total hydrolysis using pronase, a mixture of different proteases. The 3-NT was then separated by high performance liquid chromatography (HPLC) and quantified by electrochemical detection (ECD, CoulArray) and compared to classical methods, namely enzyme-linked immunosorbent assay (ELISA) and dot blot analysis using specific 3-NT antibodies. Calibration curves for authentic 3-NT (detection limit 10 nM) and a concentration-response pattern for 3-NT obtained from digested nitrated bovine serum albumin (BSA) were highly linear over a wide 3-NT concentration range. Also, ex vivo nitration of protein from heart, isolated mitochondria, and serum/plasma could be quantified using the HPLC/ECD method and was confirmed by LC-MS/MS. Of note, nitro-oxidative damage of mitochondria results in increased superoxide (O
2
•–
) formation rates (measured by dihydroethidium-based HPLC assay), pointing to a self-amplification mechanism of oxidative stress. Based on our ex vivo data, the CoulArray quantification method for 3-NT seems to have some advantages regarding sensitivity and selectivity. Establishing a reliable automated HPLC assay for the routine quantification of 3-NT in biological samples of cell culture, of animal and human origin seems to be more sophisticated than expected.
Keywords:
oxidative stress
;
peroxynitrite
;
protein-bound 3-nitrotyrosine
;
HPLC with electrochemical detection
;
mitochondrial superoxide
Graphical Abstract
1. Introduction
Oxidative stress is reported to be a hallmark of almost all neurodegenerative and cardiovascular diseases [ 1 , 2 , 3 ]. Clinical trials support a role of oxidative stress for cardiovascular prognosis [ 4 , 5 ]. Cellular oxidative stress conditions are defined by the increased formation of reactive oxygen and nitrogen species and/or impaired cellular antioxidant defense system, depletion of low molecular weight antioxidants, and a shift in the cellular redox balance [ 6 , 7 ], which is associated with oxidative damage of biomolecules such as proteins [ 8 , 9 ]. A prominent example is the nitration, e.g., by peroxynitrite (PN) of Tyr34 in mitochondrial superoxide dismutase (MnSOD) [ 10 , 11 , 12 ], which is associated with its inhibition and the pathogenesis of various diseases [ 13 , 14 , 15 ].
There is increasing evidence that redox modifications of proteins can affect enzyme activities and thus represent alterations of the cellular signaling network (reviewed in [ 16 , 17 , 18 , 19 ]). Protein tyrosine nitration represents a prominent posttranslational redox modification and is associated with a broad range of different diseases [ 3 , 20 , 21 ]. Besides reports on unspecific protein tyrosine nitration, used as a general marker of nitro-oxidative stress, there are reports on site-specific nitrations with a direct impact on enzymatic activities and properties [ 22 ]. Examples are the very rapid tyrosine nitration and inactivation of prostacyclin synthase, a P450 protein, by nanomolar concentrations of PN [ 23 , 24 ], which was later postulated to involve heme-thiolate catalysis and a ferryl intermediate [ 25 , 26 ]. A similar metal-catalyzed mechanism was postulated for MnSOD that facilitates PN-mediated nitration and dimerization of tyrosine residues, leading to inactivation of the enzyme [ 10 , 11 , 12 ]. Of note, the apoenzyme and zinc-substituted enzyme showed significantly decreased rate constants for the reaction with PN and did not catalyze the nitration of phenolic compounds [ 10 ]. More examples are presented in Section 4 to support the biological importance of this oxidative post-translational modification.
Levels of 3-NT, mostly caused by PN in vivo formation, allow the indirect quantification of triumvirate
•
NO, O
2
•–
, and PN, which is of great importance for the regulation of vascular tone but also represents a great challenge, since these species are short-lived. Therefore, the aim of the present study was to establish an HPLC assay for the electrochemical detection of 3-NT in biological samples and to compare this method with different immunological methods (enzyme-linked immunosorbent assay (ELISA) and dot blot analysis).
2. Materials and Methods
2.1. Chemicals
Pronase from Streptomyces griseus (lyophylized powder) was obtained from Roche (Mannheim, Germany). Sin-1, hydrochloride was obtained from Cayman Chemical Company Michigan, USA; 3-NT standard was obtained from Sigma, Merck KGaA, Darmstadt, Germany. D3-3NT standard was obtained from Toronto Research Chemicals, Toronto, Canada. Anti-nitrotyrosine, rabbit immunoaffinity purified IgG was obtained from EMD Merck Millipore Corp, Merck KGaA, Darmstadt. Peroxidase labeld anti-rabbit IgG (H&L) affinity purified, made in goat was obtained from Vector Laboratories, CA, USA. Triphenylphosphonium-linked dihydroethidium (mitoSOX) was purchased from Invitrogen/Thermo Fischer Scientific, Waltham, MA, USA. PN was prepared by quickly adding one after another: 0.6 M potassium nitrate and 1.5 M potassium hydroxide in the previously mixed solution of 0.6 M hydrochloric acid and 0.7 M hydrogen peroxide.
2.2. Animals Handling and Euthanasia
All animals were treated in accordance with the Guide for the Care and Use of Laboratory Animals as adopted by the U.S. National Institutes of Health and approval was granted by the Ethics Committee of the University Hospital Mainz and the Landesuntersuchungsamt Rheinland-Pfalz (Koblenz, Germany; permit number: 23 177-07/G 18-1-001). Male Wistar rats (6 weeks old, 300 g, Charles River Laboratories, Sulzfeld, Germany) and male C57BL/6 mice (13 ± 3 weeks) were used for the study and all efforts were made to minimize suffering. Only male animals were used because we usually always use this gender for our vascular function studies. Due to hormonal differences, vascular function would turn out differently between male and female animals (e.g., specifically depending on the menstrual cycle). Animals were killed under isoflurane anesthesia by transection of the diaphragm and exsanguination (for plasma generation). Heart and liver were harvested for further analysis. As a model of type 2 diabetes mellitus (T2DM), we used previously harvested kidney tissue from Zucker Diabetic Fatty (ZDF-Lepr
fa/fa
) rats that were previously obtained from Charles River at an age of 16 ± 1 weeks and fed with Purina 5008 chow as described [
27
].
2.3. Nitration of Bovine Serum Albumin (BSA) or Biological Samples
Purified BSA was used at a final concentration of 1 mg/mL in 0.1 M potassium phosphate buffer pH 7.4. Blood was obtained by heart puncture directly after the addition of heparin to the heart. A small amount of the blood was then mixed with 10% 50 mM tri-potassium ethylenediaminetetraacetic acid (EDTA) for the final concertation of 5 mM and centrifuged 10 min 1452×
g
. Plasma (supernatant) was taken, frozen in liquid nitrogen, and kept at −80 °C until use. Protein count of plasma was determined by Lowry method and it was diluted to 0.6 mg/mL protein in 0.1 M potassium phosphate buffer pH 7.4 before digestion.
For the isolation of mitochondria, a published protocol was used [
28
,
29
]. Briefly, cardiac and liver tissues underwent homogenization in HEPES buffer (4-(2-hydroxyethyl)-1- piperazineethanesulfonic acid; composition in mM: 50 HEPES, 70 sucrose, 220 mannitol, 1 EGTA (ethylene glycol-bis(β-aminoethyl ether)-
N
,
N
,
N
′,
N
′-tetraacetic acid), and 0.033 bovine serum albumin) and centrifugation at 1500×
g
for 10 min at 4 °C, followed by another centrifugation step of the supernatant at 2000×
g
for 5 min (pellets were not used). Next, centrifugation of the supernatant at 20,000×
g
for 20 min was applied, the pellet was collected, and a suspension in 1 mL of HEPES buffer was prepared. The suspension was centrifuged again at 20,000×
g
for 20 min, but this time, a suspension of the pellet was prepared in 1 mL of Tris buffer (composition in mM: 10 Tris, 340 sucrose, 100 KCl, and 1 EDTA). The resulting mitochondria-enriched suspensions containing 5–10 mg/mL of total protein (according to Lowry assay) were kept at 0 °C, were all adjusted to a similar protein content (based on the lowest determined concentration).
A small aliquot of PN (80 mM in 0.1 M NaOH) was added by rapid mixing of the reaction solutions (protein homogenate in potassium phosphate 100 mM buffer) and was allowed to completely decompose within 5 min. Sin-1 (100 mM from a 0.1 M acidic stock solution) was added to the protein solutions and incubated for 90 min at 37 °C to allow complete decomposition.
2.4. Dot Blot Analysis for Protein-Bound 3-Nitrotyrosine
Analysis of total protein homogenates and of plasma samples was performed by dot blot as previously described [
30
,
31
]. Briefly, 50 µL (1 µg/µL protein based on Bradford analysis) of the heart homogenate or EDTA plasma were transferred to a Protran BA85 (0.45 µm) nitrocellulose membrane (Schleicher&Schuell, Dassel, Germany) by a Minifold I vacuum Dot-Blot system (Schleicher&Schuell, Dassel, Germany). Each slot was washed twice with 200 µL phosphate buffered saline (PBS) before and after protein transfer. The membrane was dried for 60 min at 60 °C. Equal loading of protein amounts per dot was then verified by staining the membrane with Ponceau S. Next, the membrane was incubated with blocking buffer and then primary antibody in blocking buffer according to the supplier’s instructions. Protein tyrosine nitration was detected using a specific antibody for 3-NT (1:1,000, anti-nitrotyrosine, rabbit immunoaffinity purified IgG, EMD Merck Millipore Corp, Merck KGaA, Darmstadt Germany). Positive bands were detected by enhanced chemiluminescence after incubation with a peroxidase-coupled secondary antibody (1: 5000, peroxidase-conjugated goat anti rabbit antibody) (Vector Laboratories, CA, USA). All incubation and washing steps were performed according to the manufacturer’s instructions. Densitometric quantification of the dots was performed using the Super Signal enhanced chemiluminescence kit from Thermo Scientific using a ChemiLux Imager (CsX-1400M, Intas, Göttingen, Germany) and Gel-Pro Analyzer software (Media Cybernetics, Bethesda, MD, USA).
2.5. ELISA Quantification of Protein-Bound 3-Nitrotyrosine
Levels of 3-nitrotyrosine were determined in nitrated BSA samples using a commercial ELISA kit (OxiSelect™ Nitrotyrosine ELISA, Cell Biolabs, San Diego, CA, USA) following the instructions of the vendor.
2.6. HPLC/ECD and UV/Vis Detection of 3-Nitrotyrosine
Pronase digestion was performed as previously described for bacterial monooxygenase-3 (P450
BM-3
) and camphor 5-monooxygenase (P450
CAM
) [
26
,
32
]. Briefly, all the samples were diluted to the desired protein amount in 0.1 M potassium phosphate buffer pH 7.4 containing 1 mM CaCl
2
for the stabilization of the proteases during digestion at 37 °C. For different types of samples (heart, plasma, mitochondria), adjustments were made regarding the percentage of acetonitrile (which is used for protein denaturation and for better solubility of the liberated amino acid), as well as final pronase concentration and total time of the digestion. Nitrated solution of 1 mg/mL BSA was prepared with 5
v/v
% acetonitrile and incubated with total 2 mg/mL of pronase with multiple additions over 24 h at 37 °C. The digestion of lipophilic proteins may take 3 days, whereas for other hydrophilic proteins such as BSA, it was already completed within 2–3 h after the addition of pronase [
33
]. Heart proteins (final 0.6 mg/mL proteins) were prepared with 20
v/v
% acetonitrile and plasma (0.6 mg/mL proteins) and mitochondria (0.1 mg/mL proteins) with 10
v/v
% acetonitrile. Because of the interference in the HPLC and a smaller amount or protein solution used, plasma and mitochondria were incubated with the final concentrations of 1 mg/mL and 0.5 mg/mL pronase respectively, which was added by multiple additions over 48 h period of time, while BSA and hearts were digested by 2 mg/mL pronase over 24 h. All digested samples were freed from residual proteins by centrifugation through 10 kDa Microcon centrifugal filter device from Millipore Corporation (Bedford, USA) and the eluates were measured immediately. Several experiments have been conducted to ensure that, under these conditions, hydrolysis was completed within the indicated time scale.
Kidney probes of the control and ZDF rats were digested by a specific protocol according to a recently published protocol [
34
]. Kidney tissue was glass-glass homogenized in 100 mM potassium phosphate buffer and after Lowry protein determination samples were diluted to a final protein concentration of 10 mg/mL. Samples were placed on ice for 10 min in 10% (
v/v
) ice cold trichloroacetic acid (TCA, 1M). Then, 75% (
v/v
) of 0.1 M ice cold TCA was added and the mixture was incubated for another 20 min. Samples were vortexed after both additions of TCA. Samples were then centrifuged for 30 min at 20,000×
g
, the supernatant was removed, and the pellet was washed and resuspended with 500 µL of pure acetone, which was followed by 10 min centrifugation at 20,000×
g
. The supernatant was carefully removed, and the pellet was resuspended in 100 mM potassium phosphate for a further 36 h digestion with 3 mg/mL pronase as described above.
For some samples, aliquots (100 µL) were analyzed on a HPLC system with UV/Vis detection according to a slightly modified method as previously described [
25
]. Briefly, the HPLC system was purchased from Jasco (Groß-Umstadt, Germany) with a typical composition (control unit, two pumps for high pressure gradient, high pressure mixer, UV/VIS and fluorescence detectors, and an autosampler (AS-2057 plus with 4 °C cooling device). The generation of gas bubbles from the solvents that can cause an unstable detection baseline was prevented using a degasser unit. For the separation of the product and reactant mixtures, a reversed-phase column was used (C
18
-Nucleosil 100-3 (125 × 4), Macherey & Nagel, Düren, Germany). Optimal separation was achieved by the application of a high pressure gradient with acetonitrile as the organic/nonpolar component and citrate buffer as the aqueous/polar component (50 mM, pH 2.2) of the mobile phase. The following percentages of the organic solvent were applied: 0–7 min, 8
v/v
%; 8–9 min, 90
v/v
%; 10 min, 8
v/v
%. The flow was 1 mL/min and 3-NT was detected by its absorption at 360 nm.
For the electrochemical detection of 3-NT UltiMate 3000 system with Dionex™ CoulArray™ (Coulometric Array Detector) (Thermo Fisher Scientific GmbH, Dreieich, Germany) was used, which is high-quality instrument designed for the detection of electroactive species. The system was controlled by two different software programs: Chromeleon Chromatography Management System (Chromeleon) software and CoulArray software. When starting the system, pumps were first purged, then pump pressure was equilibrated for at least 1 h. The samples were loaded to the autosampler and the sampling settings were also controlled by Chromeleon software (amount of sample taken, speed, washing of the needle). The CoulArray software controls two parts of the HPLC/ECD system: the chamber for the column where temperature was assigned before starting the sequence and the electrochemical detector. Detector consisted of two coulometric electrochemical channels which can use up to 4 different cells each. A coulometric cell with a large surface area consisting of porous graphite electrode allows complete oxidation (or reduction) of the electroactive species minimizing the noise and providing enhanced sensitivity. The Coularray method is shorter than the Chromeleon method and starts first by turning the cells on to the assigned voltage, then it performs autozero and waits for the injection signal by Chromeleon software. Each sample run ends with a short cleaning procedure of the electrochemical cells (setting all cells to 800mV). For detection of 3-NT potentials of 0, +150, +300, +450, +600, +650, +700, and +800 mV were used and 3-NT peek was observed between 650 and 800 mV with the most pronounced signal at 800 mV. HPLC separation was done using Phenomenex column (Kintex
®
2.6 µm C18 100Å LC Column 100 × 4.6 mm) (Aschaffenburg, Germany) and analysis was done at 27 °C with 20 µL of sample. Changes in temperature can shift the chromatographic peaks. Mobile phase consisted of 26.3 mM sodium citrate and 10.9 mM sodium acetate, although different pH and methanol percentages were used to achieve better separations and detection in the different types of samples.
BSA samples were measured with isocratic elution of 1 mL/min with a mobile phase consisting of 2.8
v/v
% methanol in citrate/acetate buffer and a pH of 4.75, and under these conditions the 3-NT peak showed a retention time (RT) of 6.2 min. Heart proteins were analyzed with isocratic elution of 1.3 mL/min with a mobile phase consisting of 3.25
v/v
% methanol in citrate/acetate buffer and a pH of 4.85 (3-NT at RT = 4.39 min). Plasma proteins were measured with isocratic elution of 1.3 mL/min with the mobile phase consisting of 3
v/v
% methanol in citrate/acetate buffer and a pH of 4.95 (3-NT at RT = 4.76 min). All mitochondrial samples were measured with isocratic elution of 1 mL/min with a mobile phase consisting of 3.5% methanol in citrate/acetate buffer and a pH of 3.75 (3-NT at RT = 4.05 min). Kidney tissue samples were measured with isocratic elution of 0.75 mL/min with a mobile phase consisting of pure citrate/acetate buffer and a pH of 3.75 (3-NT at RT = 7.03 min).
2.7. Detection of Mitochondrial Superoxide Formation by mitoSOX HPLC Method and Plate Reader Assay
Mitochondrial oxidative stress by superoxide was also measured by a modified HPLC-based method to quantify triphenylphosphonium-linked 2-hydroxyethidium (2-OH-mito-E+) levels as previously described [
35
,
36
]. Mitochondrial suspensions were further diluted to the final protein concentration of 0.1 mg/mL in 0.5 mL of PBS buffer containing mitoSOX (5 µM) and then incubated for 15 min at 37 °C. After the incubation step, 50
v/v
% of acetonitrile was added in order to destroy the mitochondrial membrane and extract the mitoSOX oxidation products, samples were subjected to centrifugation and the resulting supernatant was subjected to HPLC analysis (100 µL per sample injection). The HPLC system and reversed-phase column were the same as those used for 3-NT quantification. Optimal separation was achieved by application of a high pressure gradient with acetonitrile as the organic/nonpolar component and citrate buffer as the aqueous/polar component (50 mM, pH 2.2) of the mobile phase. The following percentages of the organic solvent were applied: 0 min, 22
v/v
%; 10 min, 50
v/v
%; 22 min, 63
v/v
%; 23–25 min, 100
v/v
%; 25–27 min, 22
v/v
%. The flow was 0.5 mL/min and mitoSOX was detected by its absorption at 360 nm whereas triphenylphosphonium-linked ethidium (mitoE+) and 2-OH-mito-E+ were detected by fluorescence (Ex. 500 nm/Em. 580 nm).
The mitochondrial supernatant was also used for the plate reader assay. Here, 200 µL of supernatant was pipetted in the 96 well black plate (Berthold Technologies), and the fluorescence was measured by Mithras
2
chemiluminescence/fluorescence plate reader with double monochromator (Berthold Technologies) using the same fluorescence parameters as described for the HPLC method above.
2.8. LC-MS/MS Analysis
LC-MS/MS analysis was carried out in positive ion mode on a Waters Xevo TQ-XS triple quadrupole mass spectrometer coupled to a Waters Acquity UPLC (Waters, Eschborn, Germany) consisting of a binary UPLC pump equipped with a degasser, an autosampler and a column oven. MassLynx 4.2 software was used for instrument control, data acquisition and data processing. Chromatographic separation was performed using a Waters Acquity UPLC BEH C18 column (1.7 μm 2.1 × 50 mm). Injection volume was 5 µL. A gradient was applied using a mobile phase 0.1
v/v
% formic acid in water (A) and 0.1
v/v
% formic acid in acetonitrile (B) at 40 °C and a flow rate of 0.6 mL/min with the following percentages of (B): 0 min, 3
v/v
%; 2 min, 20
v/v
%; 2.01 min, 95
v/v
%; 2.2 min, 95; 2.21 min, 3
v/v
%. Total run time was 2.5 min. The first 0.6 min. of the gradient was directed to waste to reduce contamination of the mass spectrometer. Optimized ion source parameters were as follows: Capillary voltage 0.8 kV, cone voltage 20 V, desolvation temperature 600 °C, desolvation gas flow 1200 L/h, source temperature 150 °C, source gas flow 150 L/h. Argon was used as collision gas. Mass transitions were monitored at
m/z
227 → 117 (Collison energy: 18 eV) and
m/z
227 → 181 (10 eV) for 3-NT and
m/z
230 → 119 (18 eV) and
m/z
230 → 184 (10 eV) for D3-3-NT. MS/MS-spectra of 3-NT were recorded scanning
m/z
from 80 to 230.
2.9. Statistical Analysis
Results are expressed as mean ± SD. One-way ANOVA (with Bonferroni’s correction for comparison of multiple means) or, where appropriate, the equivalent non-parametric Kruskal-Wallis test (Dunn multiple comparison) was used for comparisons of ROS detection and oxidative protein modification (SigmaStat for Windows, version 3.5, Systat Software Inc.). p values < 0.05 were considered statistically significant.
3. Results
3.1. Comparison of the Detection and Quantification of 3-NT Standards as Well as Nitrated BSA Standards by HPLC/ECD, Dot Blot and ELISA
Coulometric detection of 3-NT yielded the most pronounced signal when an electrode potential of 800 mV was applied and allowed proper detection of 25 nM authentic 3-NT ( Figure 1 A,B). The calibration curve showed good linearity over a 3-NT standard concentration range between 10 and 500 nM ( Figure 1 C), which was still highly linear up to a concentration of 10 µM 3-NT. Purified BSA was nitrated using Sin-1 and PN and was afterwards digested using pronase. Digested samples were used for the detection by HPLC/ECD while parts of undigested samples were used for the detection by dot blot analysis or ELISA. Quantification of the free 3-NT signal from nitrated BSA showed a concentration-dependent increase with Sin-1 or PN, which was absent if nitrated samples were treated with the potent reductant dithionite (dTH) ( Figure 2 A,B). Dithionite is known to reduce 3-NT to 3-aminotyrosine. In untreated BSA, no 3-NT signal could be detected. Dot blot analysis using a specific 3-NT antibody showed a comparable pattern but a quite substantial background with untreated BSA samples or those nitrated and then treated with dTH ( Figure 2 C,D). In addition, there was plateau formation of the 3-NT signal in the presence of the middle and highest PN concentrations. The ELISA showed a nice concentration-nitration signal correlation but an unexpected signal pattern as well as large signal variation for the PN-treated BSA samples ( Figure 2 E). Overall, the HPLC/ECD method provided the best sensitivity for both nitrating agents, and for Sin-1, the best correlation between Sin-1 concentration and 3-NT yield as well as the most reliable effect of dTH reduction of 3-NT.
Figure 1. Detection of authentic 3-NT standards by HPLC/ECD. ( A ) The coulometric signal for 3-NT increased for the applied potentials from 650 to 800 mV as shown by the representative chromatograms. ( B ) The sensitivity of the HPLC/ECD analysis was good and a concentration of 25 nM 3-NT was easily detectable as shown by the representative chromatograms. ( C ) The calibration curve was highly linear over a concentration range of 10–500 nM. Analysis was carried on with 20 µL of sample at 27 °C with isocratic elution using a flow of 1 mL/min and a mobile phase consisting of 26.3 mM sodium citrate and 10.9 mM sodium at pH 4.75 with 2.8 v/v % methanol (RT of 3-NT was observed at 6.2 min).
Figure 2.
Detection of free 3-NT from nitrated BSA by HPLC/ECD and comparison with detection of BSA-bound 3-NT by antibody-based methods. Purified BSA was nitrated by Sin-1 or PN (10–1000 µM) and generated 3-NT was reduced by dTH. These samples were subjected to pronase digest before HPLC/ECD analysis (
A
) or were not digested for quantification by dot blot (
C
) and ELISA (
E
). (
B
) Representative chromatograms are shown for the HPLC/ECD quantification. (
D
) Representative blots are shown for the dot blot quantification. Equal protein loading was checked by Ponceau staining of the membrane. HPLC/ECD analysis was performed with 20 µL of sample at 27 °C with isocratic elution (1 mL/min, mobile phase: 26.3 mM sodium citrate and 10.9 mM sodium at pH 4.75 with 2.8
v/v
% methanol; 3-NT eluted at 6.2 min). Data are presented as mean ± SD of n = 9 (A), 9 (
C
) and 4 (
E
) independent experiments. * indicates
p
< 0.05 versus BSA untreated control group;
#
indicates
p
< 0.05 versus 1000 µM Sin-1/PN group.
3.2. Detection and Quantification of Free 3-NT from Nitrated Tissue Homogenates and Plasma Samples by HPLC/ECD as Well as Comparison with HPLC/UV or ELISA
Hearts were homogenized, nitrated by Sin-1, and then the homogenate was digested using pronase and subjected to HPLC/ECD analysis ( Figure 3 ). The resulting coulometric signal showed a similar retention time as compared to 3-NT standard, was lost upon treatment with dTH and showed symmetric peak increase after spiking with low concentrations of authentic 3-NT standard ( Figure 3 A–C). Likewise, plasma samples were nitrated by Sin-1, the samples were then digested using pronase and subjected to HPLC/ECD analysis ( Figure 4 ). The resulting coulometric signal showed a similar retention time as compared to 3-NT standard, was lost upon treatment with dTH and showed symmetric peak increase after spiking with low concentrations of authentic 3-NT standard ( Figure 4 A–D). Liver mitochondria were isolated, nitrated by PN, and the mitochondria were sonicated and digested using pronase and subjected to HPLC/ECD or HPLC/UV analysis, whereas for dot blot analysis and ELISA, the digestion step was omitted ( Figure 5 ). Mitochondrial protein showed a good concentration-nitration signal correlation when HPLC/ECD analysis was applied ( Figure 5 A,B). However, HPLC/UV analysis revealed no disadvantage as compared to the coulometric detection ( Figure 5 C,D). The reason for the different retention times of 3-NT in the chromatograms of the different biological samples is that the mobile phase conditions had to be slightly modified for each cell organelle, tissue, or plasma in order to achieve the proper separation of the 3-NT peak from other contaminating compounds (see figure legends and Section 2 for a description of the different mobile phase conditions).
Figure 3. Detection of free 3-NT from nitrated heart proteins by HPLC/ECD. Heart homogenates were nitrated by Sin-1 and generated 3-NT was reduced by dTH. These samples were subjected to pronase digest before HPLC/ECD analysis. ( A ) Representative chromatogram of authentic 3-NT standard. ( B ) Representative chromatograms of Sin-1 treated heart proteins after digest with or without dTH. ( C ) Spiking of potential 3-NT peak with low concentrations of authentic 3-NT standard to proof the identity of this peak. HPLC/ECD analysis was performed with 20 µL of sample at 27 °C with isocratic elution (1.3 mL/min, mobile phase: 26.3 mM sodium citrate and 10.9 mM sodium at pH 4.85 with 3.25 v/v % methanol; 3-NT eluted at 4.39 min).
Figure 4. Detection of free 3-NT from nitrated plasma proteins by HPLC/ECD. Plasma was nitrated by Sin-1 and generated 3-NT was reduced by dTH. These samples were subjected to pronase digest before HPLC/ECD analysis. ( A ) Representative chromatogram of authentic 3-NT standard. ( B ) Representative chromatograms of Sin-1 treated plasma proteins after digest with or without dTH. ( C ) Spiking of potential 3-NT peak with low concentrations of authentic 3-NT standard to proof the identity of this peak. ( D ) Quantification of 3-NT yield of experiments shown in panels ( B , C ). HPLC/ECD analysis was performed with 20 µL of sample at 27 °C with isocratic elution (1.3 mL/min, mobile phase: 26.3 mM sodium citrate and 10.9 mM sodium at pH 4.75 with 3 v/v % methanol; 3-NT eluted at 4.76 min).
Figure 5. Detection of free 3-NT from nitrated liver mitochondria by HPLC/ECD or HPLC/UV. Isolated liver mitochondria were nitrated by PN (50–500 µM). These samples were subjected to pronase digest before HPLC/ECD analysis ( A ) or HPLC/UV analysis ( C ). Representative chromatograms are shown for the HPLC/ECD quantification ( B ) or the HPLC/UV quantification ( D ). HPLC/ECD analysis was performed with 20 µL of sample at 27 °C with isocratic elution (1 mL/min, mobile phase: 26.3 mM sodium citrate and 10.9 mM sodium at pH 3.75 with 3.5 v/v % methanol; 3-NT eluted at 4.05 min). Data are presented as mean ± SD of n = 3–5 ( A ) and 3–5 ( C ) independent experiments. * indicates p < 0.05 versus Mito untreated control group.
3.3. Detection and Quantification of Free 3-NT from Tissue Samples of Diabetic Rats with or without Combined Sin-1 Nitration by HPLC/ECD as Well as Comparison with LC-MS
A small 3-NT signal was observed using HPLC/ECD detection in the sample of the healthy control rat (33.8 nM 3-NT). The 3-NT signal was marginally higher in the sample of the diabetic (ZDF) rat (42.9 nM 3-NT) and was substantially increased upon treatment with Sin-1 (84.8 nM 3-NT) (
Figure 6
A). The signal in the diabetic rat sample was confirmed using LC-MS/MS (
Figure 6
B) and MS/MS-spectra (
Figure 6
C). For LC-MS/MS analysis an identical amount of a deuterated internal standard of 3-nitrotyrosine (D3-3-NT) was added to 100 nM authentic 3-NT standard or digested tissue samples to compensate for matrix effects occurring during the ionization process. An approximately 6-fold increase after treatment with Sin-1 was observed. The LC-MS/MS method used also offers the possibility of absolute quantification. Furthermore, the presence of 3-NT was confirmed by comparison of MS/MS fragmentation patterns of authentic 3-NT standard and in vivo samples of precursor ion at
m/z
= 227. Standard and in vivo samples showed only common MS/MS signals. Despite a reliable 3-NT signal in the in vivo samples, no differences between healthy control and diabetic rat samples could be observed by LC-MS/MS.
Figure 6.
Detection of free 3-NT from control and diabetic animals with and without combined nitration by Sin-1. Kidney homogenates of healthy control and diabetic (ZDF) rats (10 mg/mL protein) were subjected to pronase digest before HPLC/ECD analysis or LC-MS/MS analysis. A special digestion protocol was used (see Methods for kidney samples). HPLC/ECD analysis was performed with 40 µL of sample at 27 °C with isocratic elution (0.75 mL/min, mobile phase: 26.3 mM sodium citrate and 10.9 mM sodium at pH 3.75; 3-NT eluted at 7.03 min). Representative chromatograms are shown for the HPLC/ECD quantification (
A
) or LC-MS/MS analysis (
B
). LC-MS/MS analysis was performed after adding an identical amount of deuterated 3-NT (D3-3-NT) to compensate for matrix effects. Mass transitions monitored at 227 → 117 (3-NT) and 230 → 119 (D3-NT) are shown. Representative MS/MS spectra of precursor ion at
m/z
= 227 are shown for the 3-NT standard (100 nM) and the sample from ZDF rat with 1 mM Sin-1 treatment (
C
).
3.4. Correlation of Mitochondrial Nitration and Superoxide Formation in Response to PN Treatment
Mitochondria were isolated from rat hearts and nitrated by PN at three increasing concentrations. Mitochondrial superoxide formation was measured by mitoSOX HPLC method or plate reader assay and showed a good correlation between PN concentration used for the nitration/oxidation of mitochondria and superoxide formation rate ( Figure 7 A,B). As the 3-NT yield from digested nitrated mitochondria was also determined for the same PN-treated samples, we were able to correlate the mitochondrial superoxide formation rate with the 3-NT concentrations. There was a good linear correlation between mitochondrial superoxide formation rate and the 3-NT concentrations in the same sample ( Figure 7 C), suggesting that oxidative damage of mitochondria (3-NT but probably also thiol oxidation) initiates mitochondrial superoxide formation, e.g., by pro-oxidative state of respiratory complexes. This would be in line with the previously suggested crosstalk concept among different ROS sources [ 37 , 38 , 39 , 40 ].
Figure 7.
Detection of superoxide generation by mitochondria by mitoSOX HPLC and correlation with 3-NT levels. Isolated heart mitochondria were nitrated by PN at concentrations of 50–250 µM. These samples were split, one aliquot was used for measurement of mitochondrial superoxide formation using mitoSOX/HPLC and the other aliquot for determination of free 3-NT levels by HPLC/ECD after digestion. Mitochondrial superoxide formation was determined using HPLC-based quantification of 2-OH-mito-E+ (
A
) and ROS formation was measured using a fluorescence plate reader assay for the mitoSOX oxidation products (
B
). The yield of mitochondrial 3-NT was correlated with superoxide formation rate for the different PN-treated samples (
C
). HPLC/ECD analysis was performed with 20 µL of sample at 27 °C with isocratic elution (1 mL/min, mobile phase: 26.3 mM sodium citrate and 10.9 mM sodium at pH 3.75 with 3.5
v/v
% methanol; 3-NT eluted at 4.05 min). Data are presented as mean ± SD of n = 3–5 (
A
); n = 4 (
B
) and n = 8 (
C
) independent experiments. * indicates
p
< 0.05 versus Mito untreated control group.
4. Discussion
With the present study, we show that HPLC/ECD quantification is suitable for detection of free 3-NT from purified BSA and protein homogenates subjected to total hydrolysis by pronase after in vitro nitration by Sin-1 and PN. Concentration–response-curves of 3-NT standards were highly linear (detection limit 10 nM with 20 µL injection volume corresponding to 200 fmol). The presence of 3-NT in nitrated bovine serum albumin standards was validated by other methods (ELISA and dot blot analysis based on specific 3-NT antibodies). With our data, we also show that protein-bound 3-NT not only represents a footprint of PN formation and marker of oxidative stress but also correlates with increased mitochondrial superoxide formation rates, pointing towards self-propagating oxidative stress vicious circles and ROS-induced ROS formation as previously reported [ 37 , 38 , 41 , 42 , 43 ]. We also found 3-NT in samples of diseased (diabetic) animals using HPLC/ECD as well as LC-MS/MS measurement, however, with only marginal increase over 3-NT content in healthy control animals. Therefore, translation of our in vitro biological assay to the in vivo situation seems more sophisticated than expected.
4.1. Importance of the Quantification of Oxidative Stress in General and 3-Nitrotyrosine in Particular
The importance of reliable quantification of 3-NT in biological samples, as a read-out of nitric oxide and superoxide balance, is given by the close connection between oxidative stress and cardiovascular prognosis, which is supported by a number of small cohort clinical studies. For example, the differential effects of vitamin C infusion on flow-mediated dilation (FMD) in coronary artery disease patients with high or low burden of ROS formation are associated with cardiovascular prognosis [
44
] and the impairment of FMD in 52 smokers versus controls is associated with lower blood levels of reduced glutathione [
45
]. This connection is also supported by a correlation between improvement of FMD and higher superoxide dismutase activity as well as a correlation between impairment of FMD in 59 patients with chronic kidney disease versus controls and higher oxidized low-density lipoprotein (oxLDL) or asymmetric dimethyl-L-arginine (ADMA) levels [
46
]. Finally, patients with sleep apnea versus controls (n = 69) show negative correlations between vascular function (reactive hyperemia index) and oxidative stress markers in blood (malondialdehyde and 8-oxo-deoxyguanosine) [
47
].
Under physiological conditions, cells produce low levels of O 2 •– which can be largely increased by numerous stimuli such as inflammatory processes [ 48 ], hypoxia-reoxygenation (ischemia-reperfusion) [ 49 ] and aging [ 50 , 51 ] involving several O 2 •– sources. Major sources of O 2 •– are phagocytic and non-phagocytic NADPH oxidases, xanthine oxidase, mitochondria, and an uncoupled nitric oxide synthase, that might interact and stimulate each other in a crosstalk fashion [ 37 , 38 ]. Besides the direct toxic effects of O 2 •– and higher hydrogen peroxide concentrations by disrupting Fe-S-clusters and oxidizing critical thiols in proteins as well as Fenton-type reactions, O 2 •– reacts in a diffusion-controlled fashion with nitric oxide ( • NO) resulting in PN formation [ 52 ]. Since formation of PN is at expense of • NO, this reaction decreases the bioavailability of this potent vasodilator and antiaggregatory compound while shifting the balance between protective and proinflammatory/proatherosclerotic actions to the pathophysiology [ 53 , 54 ]. Previous data suggest that • NO and O 2 •– mainly influence the redox balance in living cells and account for oxidative, nitrative, and nitrosative stress [ 19 , 55 , 56 , 57 ], and represent a central redox regulatory system in the endothelium and vasculature controlling vascular tone [ 58 ].
4.2. Biological Consequences of Protein Tyrosine Nitration
There are various reports on protein tyrosine nitration regarding mechanisms of 3-NT formation, its specific detection as well as the pathophysiological consequences, especially in diseases related to oxidative stress [ 3 , 15 , 53 , 54 , 55 , 56 , 57 , 58 ]. For example, the nitration and modulation of activity of ERK1/2 and protein kinase B (Akt) play an important role in angiotensin-II triggered vascular complications [ 59 , 60 ]. Tyrosine nitration by PN was reported to proceed via a free radical based mechanism with intermediary formation of tyrosyl radicals [ 61 ], which is largely enhanced in the presence of carbon dioxide [ 59 , 60 , 61 ]. The tyrosine content of most proteins is around 3.2%, but not all of them are available for nitration. Secondary structure and the local environment are important factors determining the nitration site. Nitrated tyrosines are found in loop structures (near proline or glycine) as well as in proximity of a negative charge (e.g., glutamate or aspartate) [ 62 , 63 ]. The presence of free metal ions such as Cu 2+ , Fe 3+ , and Fe 2+ as well as bound in complexes, especially metal porphyrins (like hemin), act as nitration catalysts, while the presence of sulfur-containing residues (cysteine or methionine) decreases the probability of nitration due to competitive reactions with PN [ 13 ]. In heme-containing proteins, the nitration of tyrosine is facilitated by the formation of ferryl intermediates [ 62 , 64 ], which was observed in prostacyclin synthase (PGIS) and prevented by an enzyme inhibitor that binds to the metal complex pocket [ 16 ].
Concerning the biological significance, PGIS activity was attenuated after nitration of Tyr430 by PN [ 64 ] and contributed to endothelial dysfunction [ 65 ]. Although the inhibition of MnSOD was not only associated with Tyr34 nitration, but could also involve dityrosine formation [ 11 , 12 ], it has been demonstrated that reaction with PN is catalyzed by the manganese cation [ 66 ]. Nitration of cytochrome c by PN lead to conformational changes going hand in hand with altered redox properties including increased peroxidatic activity, resistance to reduction by ascorbate and different behavior in rat heart mitochondria [ 66 ]. Also, some constituents of the mitochondrial respiratory chain are subject to PN-mediated nitration, such as interactions with mitochondrial ATPase (complex V) and components of the mitochondrial membrane (e.g., permeability transition pore) [ 15 ]. Nitration of fibrinogen and plasminogen was proposed to contribute to pro-thrombotic conditions [ 67 , 68 , 69 , 70 ]. However, protein Tyr nitration might also leave the enzyme function entirely unaffected. Therefore, various protein nitrations observed in models of endotoxemia or inflammation could just present markers of PN formation or activation of the peroxidase/nitrite/H 2 O 2 pathway [ 71 ], without direct connection to the underlying pathophysiology [ 72 , 73 ]. However, even if nitration does not cause direct enzyme inhibition or altered function, posttranslational modification in form of nitro-groups may cause immune responses as immunoglobulins (autoantibodies) against nitrated proteins were identified in patients that predict the outcome and risk in [ 74 , 75 ].
4.3. Comparison of Previous Reports on Detection and Quantification of Protein Tyrosine Nitration
Most reports on 3-NT detection and quantification by HPLC with various electrochemical methods (coulometric and amperometric, different electrodes) are based on in vitro nitrated samples. Only few reports describe the detection of 3-NT in samples of animals with different in vivo treatments, however, often without showing the proper negative controls. Ishida et al. used HPLC-ECD detection of 3-NT and reported a detection limit of less than 10 fmol 3-NT standard as well as correlation of lipopolysaccharide (LPS) dosage and plasma 3-NT levels in mice [ 76 ]. Shigenaga et al. used GC/MS detection of derivatized 15 N-labeled 3-NT (as acetyl-3-aminotyrosine) in protein lysates from activated RAW 264.7 macrophages upon incubation with 15 N-L-arginine [ 77 ]. Acetyl-3-aminotyrosine was also detected by HPLC-ECD and compared with the GC/MS data. Ohshima et al. used HPLC-ECD after online reduction for the detection of 3-NT in BSA and human plasma samples, which were nitrated with different nitrating agents (0.1–10 mM), and reported a detection limit of 0.1 pmol [ 78 ]. Hensley et al. managed to detect 3-NT in glial cell cultures which were treated with interleukin (IL-1β) by using an HPLC-ECD method [ 79 ]. Sodum et al. described a highly sensitive HPLC-ECD method for the detection of 3-NT and reported a detection limit for 3-NT standards of 50 fmol, and of 0.1 pmol in biological samples of tetranitromethane-treated rats [ 80 ]. Nuriel et al. reported an HPLC-ECD assay for 3-NT detection in most healthy tissues, which was 100-fold more sensitive than UV/Vis detection of 3-NT [ 81 ] and was modified from previous protocols [ 82 , 83 ]. To eliminate interfering signals and additionally affirm complete oxidation of 3-NT at 800 mV, Crabtree et al. used an HPLC-ECD method (700, 800, 900 mV) for 3-NT detection in kidney proteins [ 84 ]. Kumarathasan et al. developed HPLC methods with amperometric–CoulArray to simultaneous analyze norepinephrine, epinephrine, L-3,4-dihydroxyphenylalanine (DOPA), dopamine, 3-nitrotyrosine, m-, o-, and p-tyrosines [ 85 ]. The detection limit was in the low pmol range with amperometry, and in the low fmol range for the CoulArray method. Commonly used antibodies for semi-quantitative detection of 3-NT in tissues offer a great sensitivity but exert also an epitope preference and cross-reactivity, which leads to under/overestimation and misinterpretation of biological protein nitration. ELISA assays for 3-NT detection are widely used in preclinical and clinical studies (for review, see [ 86 ]). However, the broad product specifications and multiple manufacturers hamper easy comparison of these results and certainly some of these ELISA assays may not be reliable for the use in biological samples. In contrast, total hydrolysis and subsequent HPLC-analysis offers an alternative method for quantification of 3-NT [ 61 , 62 ]. Pitfalls in hydrolysis include losses of 3-NT by partially reducing conditions and false positive results due to the presence of nitrite and its nitrosating properties during hydrolysis in concentrated acids or under acidic conditions as generated during the freezing process in certain buffers [ 87 , 88 ]. Therefore, pronase digestion has been recommended [ 18 , 62 ]. Some previous reports even validated the ELISA-based detection methods for 3-NT, e.g., by an HPLC assay [ 89 ] or by LC/MS technique [ 90 ]. Likewise, immunohistochemical 3-NT detection was validated by 2D-PAGE and LC-MS for plasma fibronectin [ 91 ] and atherosclerotic lesions [ 92 ].
4.4. Comparison of Theory and Our Empiric Data
A theoretical assumption is that most tyrosine residues which are nitrated are surface-exposed in proteins [ 62 ]. We found that extended time period of digestion increases the yield of 3-nitrotyrosine suggesting that some nitrated tyrosine residues may be buried and not easily accessible to pronase-dependent total hydrolysis. This may be in accordance with previous observations that non-surface-exposed tyrosines can also be efficiently nitrated under physiological conditions, when neighbored metal centers (e.g., as found in manganese-porphyrin, P450 or heme enzymes) catalyze the hemolysis of PN and subsequent nitration of the phenolic ring [ 25 ]. Another theory is that 3-NT can be reduced to 3-aminotyrosine during storage or total hydrolysis by trace metal contaminations or reducing proteins/biomolecules in the samples [ 93 ], which may be most pronounced for surface-exposed, accessible 3-NT residues. This reduction is mimicked by dTH that is used as a proof of 3-NT identity (if dTH leads to diminished signal it should be 3-NT). We potentially confirmed both of these theoretical aspects by using sodium dTH in highly nitrated samples and subsequent loss of 3-NT signals as well as by the lack of 3-NT signals in samples of animal disease models with confirmed high levels of 3-NT, e.g., in septic or diabetic animals due to inflammation-dependent nitric oxide and superoxide formation. The very weak 3-NT signals in these samples during HPLC/ECD analysis points towards unspecific degradation processes of 3-NT (as also speculated in Section 5 ), especially of surface-exposed residues, whereas the buried 3-NT groups may still yield enough signal with immunostaining-based methods. A final theoretical consideration that we have proven here is that very high concentrations of PN induce a vicious cycle of ROS-induced ROS formation, as previously shown for self-amplification of mitochondrial ROS formation [ 43 , 94 ], and eventually cell death. Our data indicate that the incubation of mitochondria with high, supra-physiological concentrations of PN leads to higher 3-NT levels, but also enhanced mitochondrial superoxide formation (with a nice linear correlation), suggesting a vicious cycle of “ROS-induced ROS”, e.g., by well-known nitration of Mn-SOD, inactivation of aconitase, oxidation of thiols, and other oxidative stress processes at the level of mitochondrial respiratory complexes, as we have postulated previously [ 37 , 38 ].
4.5. Strengths and Limitations of the Present Study
ECD detection of 3-NT standard has great advantage because it maintains linearity across a wide range of concentrations. Within first 4–7 min, 3-NT elutes, which allows for the analysis of many samples in a short period of time. The specificity of our assay is based not only on the retention time, but also on the oxidation potential of 3-NT, which is quite specific for each analyte that can be oxidized. This decreases the chance of generating false positive or false negative results. The sample preparation and digestion are done at neutral pH, so it is not aggressive for the sample. Therefore, artificial nitration as observed during acidic hydrolysis is not possible. The detection limit is quite low (200 fmol in our assay, others even reported 10 fmol). On the other hand, preparation of the samples needs at least 24 h incubation, which could result in the catalytic conversion of 3-NT to tyrosine or to 3-aminotyrosine as reported by us and colleagues recently [
93
]. Also, completeness of digestion could be a problem due to “buried” 3-NT in lipophilic cores and also due to autodigestion of pronase during the long incubation times. A solution for the latter problem (incomplete hydrolysis) would be longer digestion times and adding fresh pronase multiple times during the process. However, again at risk of “artificial” loss of 3-NT. A major limitation of the HPLC-ECD method is the appearance of interfering peaks (e.g., from other amino acids, low molecular weight antioxidants/messengers) that vary in different biological samples. Therefore, with high background noise, it is impossible to detect 3-NT in samples, which are not artificially nitrated.
5. Conclusions
It seems to be a great challenge to reproducibly detect 3-NT in samples with biological nitration obtained from animals and humans. However, 3-NT from artificially nitrated samples can be reproducibly detected, also allowing a comparison with immunological detection methods (ELISA and dot blot). Strengths of our HPLC/ECD method were the high linearity over a wide concentration range, the low detection limit, the confirmation of 3-NT identity by dTH-dependent reduction and co-elution of the 3-NT sample peaks after spiking with authentic standards. A major draw-back of the present HPLC/ECD protocol seems to be the separation of the 3-NT peak in complex biological samples or potentially the degradation of 3-NT during the pronase-based digestion method. As a major result of the present study, by combining optical and ECD-based HPLC methods, we were able to quantify 3-NT and superoxide in the same mitochondrial sample and could establish a direct linear correlation between these two oxidative stress read-outs. Our aim to quantify 3-NT in the artificially nitrated samples was achieved, but still, our method seems unsuitable for the routine use for 3-NT detection in tissues and plasma samples of diseased animals. Future studies will be dedicated to the quantification of 3-NT in tissue samples of nitrate-tolerant, diabetic, hypertensive, and septic mice and rats, also including the comparison of different detection methods.
Author Contributions
K.V.-M. and A.D. conceived and designed research; K.V.-M., K.B., S.K. and M.O. carried out experiments; K.V.-M., K.B. and A.D. performed data analysis; K.V.-M. and A.D. drafted the manuscript; K.B., M.O., S.K.-S., S.S., M.M., B.K. and T.M. made critical revisions and contribution to the discussion. All authors have read and agreed to the published version of the manuscript.
Funding
A.D., T.M. and S.S. were supported by vascular biology research grants from the Boehringer Ingelheim Foundation for the collaborative research group “Novel and neglected cardiovascular risk factors: molecular mechanisms and therapeutics”. Thomas Münzel is PI of the DZHK (German Center for Cardiovascular Research), Partner Site Rhine-Main, Mainz, Germany. Ksenija Vujacic-Mirski and Sanela Kalinovic hold stipends from the TransMed PhD Program of the University Medical Center Mainz. Their TransMed stipends are funded by the Boehringer Ingelheim Foundation. The work exclusively contains parts of the thesis of Ksenija Vujacic-Mirski.
Acknowledgments
We are indebted to Jacek Zielonka for helpful discussions on HPLC/ECD analytical assays.
Conflicts of Interest
The authors declare that they have no conflicts of interest with the contents of this article.
Abbreviations
3-NT, 3-nitrotyrosine; Sin-1, 3-morpholino sydnonimine; PN, peroxynitrite; ROS, reactive oxygen species; Reactive oxygen and nitrogen species (RONS); MnSOD, manganese superoxide dismutase (mitochondrial isoform); HPLC/ECD, high performance liquid chromatography with electrochemical detection; enzyme-linked immunosorbent assay (ELISA) O 2 •– , superoxide; BSA, bovine serum albumin; mitoSOX, triphenylphosphonium-linked dihydroethidium; NOS, nitric oxide synthase; dTH, dithionite; CoulArray, coulometric array system; retention time (RT).
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Figure 1. Detection of authentic 3-NT standards by HPLC/ECD. ( A ) The coulometric signal for 3-NT increased for the applied potentials from 650 to 800 mV as shown by the representative chromatograms. ( B ) The sensitivity of the HPLC/ECD analysis was good and a concentration of 25 nM 3-NT was easily detectable as shown by the representative chromatograms. ( C ) The calibration curve was highly linear over a concentration range of 10–500 nM. Analysis was carried on with 20 µL of sample at 27 °C with isocratic elution using a flow of 1 mL/min and a mobile phase consisting of 26.3 mM sodium citrate and 10.9 mM sodium at pH 4.75 with 2.8 v/v % methanol (RT of 3-NT was observed at 6.2 min).
Figure 2. Detection of free 3-NT from nitrated BSA by HPLC/ECD and comparison with detection of BSA-bound 3-NT by antibody-based methods. Purified BSA was nitrated by Sin-1 or PN (10–1000 µM) and generated 3-NT was reduced by dTH. These samples were subjected to pronase digest before HPLC/ECD analysis ( A ) or were not digested for quantification by dot blot ( C ) and ELISA ( E ). ( B ) Representative chromatograms are shown for the HPLC/ECD quantification. ( D ) Representative blots are shown for the dot blot quantification. Equal protein loading was checked by Ponceau staining of the membrane. HPLC/ECD analysis was performed with 20 µL of sample at 27 °C with isocratic elution (1 mL/min, mobile phase: 26.3 mM sodium citrate and 10.9 mM sodium at pH 4.75 with 2.8 v/v % methanol; 3-NT eluted at 6.2 min). Data are presented as mean ± SD of n = 9 (A), 9 ( C ) and 4 ( E ) independent experiments. * indicates p < 0.05 versus BSA untreated control group; # indicates p < 0.05 versus 1000 µM Sin-1/PN group.
Figure 3. Detection of free 3-NT from nitrated heart proteins by HPLC/ECD. Heart homogenates were nitrated by Sin-1 and generated 3-NT was reduced by dTH. These samples were subjected to pronase digest before HPLC/ECD analysis. ( A ) Representative chromatogram of authentic 3-NT standard. ( B ) Representative chromatograms of Sin-1 treated heart proteins after digest with or without dTH. ( C ) Spiking of potential 3-NT peak with low concentrations of authentic 3-NT standard to proof the identity of this peak. HPLC/ECD analysis was performed with 20 µL of sample at 27 °C with isocratic elution (1.3 mL/min, mobile phase: 26.3 mM sodium citrate and 10.9 mM sodium at pH 4.85 with 3.25 v/v % methanol; 3-NT eluted at 4.39 min).
Figure 4. Detection of free 3-NT from nitrated plasma proteins by HPLC/ECD. Plasma was nitrated by Sin-1 and generated 3-NT was reduced by dTH. These samples were subjected to pronase digest before HPLC/ECD analysis. ( A ) Representative chromatogram of authentic 3-NT standard. ( B ) Representative chromatograms of Sin-1 treated plasma proteins after digest with or without dTH. ( C ) Spiking of potential 3-NT peak with low concentrations of authentic 3-NT standard to proof the identity of this peak. ( D ) Quantification of 3-NT yield of experiments shown in panels ( B , C ). HPLC/ECD analysis was performed with 20 µL of sample at 27 °C with isocratic elution (1.3 mL/min, mobile phase: 26.3 mM sodium citrate and 10.9 mM sodium at pH 4.75 with 3 v/v % methanol; 3-NT eluted at 4.76 min).
Figure 6. Detection of free 3-NT from control and diabetic animals with and without combined nitration by Sin-1. Kidney homogenates of healthy control and diabetic (ZDF) rats (10 mg/mL protein) were subjected to pronase digest before HPLC/ECD analysis or LC-MS/MS analysis. A special digestion protocol was used (see Methods for kidney samples). HPLC/ECD analysis was performed with 40 µL of sample at 27 °C with isocratic elution (0.75 mL/min, mobile phase: 26.3 mM sodium citrate and 10.9 mM sodium at pH 3.75; 3-NT eluted at 7.03 min). Representative chromatograms are shown for the HPLC/ECD quantification ( A ) or LC-MS/MS analysis ( B ). LC-MS/MS analysis was performed after adding an identical amount of deuterated 3-NT (D3-3-NT) to compensate for matrix effects. Mass transitions monitored at 227 → 117 (3-NT) and 230 → 119 (D3-NT) are shown. Representative MS/MS spectra of precursor ion at m/z = 227 are shown for the 3-NT standard (100 nM) and the sample from ZDF rat with 1 mM Sin-1 treatment ( C ).
Figure 7. Detection of superoxide generation by mitochondria by mitoSOX HPLC and correlation with 3-NT levels. Isolated heart mitochondria were nitrated by PN at concentrations of 50–250 µM. These samples were split, one aliquot was used for measurement of mitochondrial superoxide formation using mitoSOX/HPLC and the other aliquot for determination of free 3-NT levels by HPLC/ECD after digestion. Mitochondrial superoxide formation was determined using HPLC-based quantification of 2-OH-mito-E+ ( A ) and ROS formation was measured using a fluorescence plate reader assay for the mitoSOX oxidation products ( B ). The yield of mitochondrial 3-NT was correlated with superoxide formation rate for the different PN-treated samples ( C ). HPLC/ECD analysis was performed with 20 µL of sample at 27 °C with isocratic elution (1 mL/min, mobile phase: 26.3 mM sodium citrate and 10.9 mM sodium at pH 3.75 with 3.5 v/v % methanol; 3-NT eluted at 4.05 min). Data are presented as mean ± SD of n = 3–5 ( A ); n = 4 ( B ) and n = 8 ( C ) independent experiments. * indicates p < 0.05 versus Mito untreated control group.
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Com. v. Fazenbaker - Pennsylvania - Case Law - VLEX 895095604
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Pennsylvania
Com. v. Fazenbaker
<table><tbody><tr><td> Court</td><td> Superior Court of Pennsylvania</td></tr><tr><td> Writing for the Court</td><td> Before WATKINS; SPAETH; VAN der VOORT</td></tr><tr><td> Citation</td><td> 375 A.2d 175,248 Pa.Super. 433</td></tr><tr><td> Decision Date</td><td> 29 June 1977</td></tr><tr><td> Parties</td><td> COMMONWEALTH of Pennsylvania v. Jeffrey FAZENBAKER, Appellant.</td></tr></tbody></table>
Page 175
375 A.2d 175
248 Pa.Super. 433
COMMONWEALTH of Pennsylvania
v.
Jeffrey FAZENBAKER, Appellant.
Superior Court of Pennsylvania.
Argued April 14, 1976.
Decided June 29, 1977.
[248 Pa.Super. 435] William G. Cohen, New Castle, for appellant.
No appearance entered nor brief submitted for appellee.
Before WATKINS, President Judge, and JACOBS, HOFFMAN, CERCONE, PRICE, VAN der VOORT, and SPAETH, JJ.
SPAETH, Judge:
On August 14, 1975, appellant, then eighteen years old, appeared in court and pleaded guilty to a charge of receiving stolen property. 1The charge arose out of the theft of some tools from the automobile shop of the local high school.Appellant
Page 176
had been charged with burglary,
2
but pursuant to a negotiated plea agreement between appellant, his counsel, and a representative of the District Attorney's office, appellant agreed to plead guilty to the lesser charge of receiving stolen property, the Commonwealth agreeing in return to apply to the court for a nolle prosequi on the burglary charge and to recommend to the court that it impose a term of probation on the receiving charge. The court accepted appellant's guilty plea and continued the case for a sentencing hearing. On December 17, 1975, the court sentenced appellant to a six to eighteen month term of imprisonment. Appellant immediately petitioned the court for permission to withdraw his guilty plea. The court denied the petition, and this appeal followed.
The procedure that must be followed by a court in accepting or rejecting a guilty plea is specified in Pa.R.Crim.P.319:
(a) Generally. A defendant may plead not guilty, guilty, or, with the consent of the court, nolo contendere. The judge may refuse to accept a plea of guilty, and shall [248 Pa.Super. 436] not accept it unless he determines after inquiry of the defendant that the plea is voluntarily and understandingly tendered. Such inquiry shall appear on the record.
(b) Plea agreements.
(1) The trial judge shall not participate in the plea negotiations preceding an agreement.
(2) When counsel for both sides have arrived at a plea agreement they shall state on the record in open court, in the presence of the defendant, the terms of the agreement. Thereupon the judge shall conduct an inquiry of the defendant on the record to determine whether he understands and concurs in the agreement.
(3) If the judge is satisfied that the plea is understandingly and voluntarily tendered, he may accept the plea. If thereafter the judge decides not to concur in the plea agreement, he shall permit the defendant to withdraw his plea.
Failure to comply with § (b)(3), by permitting withdrawal of the plea if the court does not concur in the agreement, is reversible error. Commonwealth v. Sutherland, 234 Pa.Super. 520, 340 A.2d 582(1975); Commonwealth v. Wilson, 234 Pa.Super. 7, 335 A.2d 777(1975). The rule is but a codification of prior case law, which held that to deny a petition to withdraw the plea under such circumstances would be to work a "manifest injustice." Commonwealth v. Barrett,223 Pa.Super. 163,299 A.2d 30(1972).
It is a necessary corollary to Rule 319(b)(3) that if the court decides not to accept the recommended disposition of the plea agreement it must make its decision known to the defendant and his counsel before sentencing so that the defendant has an opportunity to petition to withdraw the plea. In Commonwealth v. Evans,434 Pa. 52, 56 n.*,252 A.2d 689, 691, n.* (1969), our Supreme Court quoted with favor from the ABA Project on Minimum Standards for Criminal Justice, Standards Relating to Pleas of Guilty, § 3.3(b) (Approved Draft, 1968):
"If the trial...
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Urbinati CR, et al. (2006) | SGD
The Saccharomyces Genome Database (SGD) provides comprehensive integrated biological information for the budding yeast Saccharomyces cerevisiae.
Reference: Urbinati CR, et al. (2006) Loc1p is required for efficient assembly and nuclear export of the 60S ribosomal subunit. Mol Genet Genomics 276(4):369-77
Abstract
Loc1pis an exclusively nuclear dsRNA-binding protein that affects the asymmetric sorting ofASH1mRNA to daughter cells in Saccharomyces cerevisiae. In addition to the role in cytoplasmic RNA localization,Loc1pis a constituent of pre-60S ribosomes. Cells devoid ofLoc1pdisplay a defect in the synthesis of 60S ribosomal subunits, resulting in "half-mer" polyribosomes. Previously, we reported thatLoc1pis located throughout the entire nucleus; however, upon closer inspection we discovered thatLoc1pis enriched in the nucleolus consistent with a role in 60S ribosome biogenesis. Given thatLoc1pis an RNA-binding protein and presumably functions in the assembly of 60S ribosomal subunits, we investigated ifLoc1phas a role in rRNA processing and nuclear export of 60S subunits. Analysis of pre-rRNA processing revealed that loc1Delta cells exhibit gross defects in 25S rRNA synthesis, specifically a delay in processing at sites A0, A1 and A2 in 35S pre-rRNA. Furthermore, loc1Delta cells exhibit nuclear export defects for 60S ribosomal subunits, again, consistent with a role forLoc1pin the assembly of 60S ribosomal subunits. It is attractive to hypothesize that the two phenotypes associated with loc1Delta cells, namely alteredASH1mRNA localization and ribosome biogenesis, are not mutually exclusive, but that ribosome biogenesis directly impacts mRNA localization.
PMID: 16871394
Reference Type
Journal Article | Research Support, N.I.H., Extramural
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Urbinati CR , Gonsalvez GB , Aris JP , Long RM ... Show all Show fewer
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(R)-2-hydroxyglutarate is sufficient to promote leukemogenesis and its effects are reversible
Losman JA, Looper RE, Koivunen P, Lee S, Schneider RK, McMahon C, Cowley GS, Root DE, Ebert BL, Kaelin WG Jr. (R)-2-hydroxyglutarate is sufficient to promote leukemogenesis and its effects are reversible. Science. 2013 Mar 29;339(6127):1621-5. doi: 10.1126/science.1231677. Epub 2013 Feb 7.
ICH GCP US Clinical Trials Registry Publications
April 1, 2023 12:37 AM
(R)-2-hydroxyglutarate is sufficient to promote leukemogenesis and its effects are reversible
Julie-Aurore Losman, Ryan E Looper, Peppi Koivunen, Sungwoo Lee, Rebekka K Schneider, Christine McMahon, Glenn S Cowley, David E Root, Benjamin L Ebert, William G Kaelin Jr, Julie-Aurore Losman, Ryan E Looper, Peppi Koivunen, Sungwoo Lee, Rebekka K Schneider, Christine McMahon, Glenn S Cowley, David E Root, Benjamin L Ebert, William G Kaelin Jr
Abstract
Mutations in IDH1 and IDH2, the genes coding for isocitrate dehydrogenases 1 and 2, are common in several human cancers, including leukemias, and result in overproduction of the (R)-enantiomer of 2-hydroxyglutarate [(R)-2HG]. Elucidation of the role of IDH mutations and (R)-2HG in leukemogenesis has been hampered by a lack of appropriate cell-based models. Here, we show that a canonical IDH1 mutant, IDH1 R132H, promotes cytokine independence and blocks differentiation in hematopoietic cells. These effects can be recapitulated by (R)-2HG, but not (S)-2HG, despite the fact that (S)-2HG more potently inhibits enzymes, such as the 5'-methylcytosine hydroxylase TET2, that have previously been linked to the pathogenesis of IDH mutant tumors. We provide evidence that this paradox relates to the ability of (S)-2HG, but not (R)-2HG, to inhibit the EglN prolyl hydroxylases. Additionally, we show that transformation by (R)-2HG is reversible.
Figures
Fig. 1
IDH1 R132H leukemic transformation assays. (A and B) Immunoblot (A) and LC-MS (B) analysis of TF-1 cells infected with lentiviruses encoding GFP alone (empty) or GFP and the indicated IDH1 variants. Shown are mean LC-MS values of triplicate experiments. (C) Proliferation of TF-1 cells described in (A) and (B) under cytokine-poor conditions. Shown are mean values of duplicate experiments ± SD. (D and E) Erythroid differentiation of parental TF-1 cells and derivatives described in (A) and (B) as determined by fluorescence activated cell sorting (FACS) for Glycophorin A (D) or fetal hemoglobin (E) after 8 days of EPO treatment. (F) Differentiation of parental SCF ER-Hoxb8 cells and derivatives expressing the indicated IDH1 variants as determined by dual staining for CD11b/Mac1 and Gr1 3 days after withdrawal of β-estradiol. FACS plots shown are representative results of three independent experiments.
Fig. 2
( R
)-2-HG is sufficient to promote leukemogenesis. (A) LC-MS analysis of TF-1 cells after treatment for 3 hours with DMSO (-) or 250 μM of the indicated esterified (TFMB) 2-HG. Shown are mean values of triplicate experiments. (B-D) Proliferation of TF-1 cells under cytokine-poor conditions in the presence of the indicated amounts of TFMB-( R
)-2-HG (B and C) or TFMB-( S
)-2-HG (D). Cells in (B and D) were passaged 10 times prior to GM-CSF withdrawal. Cells treated with 250 μM TFMB-( R
)-2-HG are also included in (D) for comparison. Shown are mean values of duplicate experiments ± SD. (E) Differentiation of TF-1 cells, as determined by Glycophorin A FACS, after 8 days of EPO treatment following pretreatment for 10 passages with DMSO or 500 μM TFMB-2-HG ( R
or S
). Shown are representative results of three independent experiments. (F and G) Differentiation of SCF ER-Hoxb8 cells, as determined by dual staining for CD11b/Mac1 and Gr1 (F) or staining for CD34 (G), 3 days after of withdrawal of β-estradiol following pretreatment with DMSO or 500 μM TFMB-2-HG ( R
or S
) for 20 passages. Shown are representative results of two independent experiments.
Fig. 3
Opposing roles of TET2 and EglN1 in TF-1 cell transformation. (A) Relative enrichment/depletion of shRNAs targeting TET2 or TET1 in TF-1 cells infected with a pool of ~800 lentiviral shRNAs vectors targeting 2-OG-dependent dioxygenases (4-8 shRNAs/gene) and then grown under cytokine-poor conditions for 10 days. Shown are mean values of triplicate experiments. (B-C) Proliferation under cytokine-poor conditions (B) and differentiation after 8 days of EPO (C) of TF-1 cells expressing a non-targeting shRNA (shControl) or shRNAs targeting TET2 or TET1, as indicated. (D) Proliferation under cytokine-poor conditions of TF-1 cells expressing a TET2 shRNA after pretreatment for 6 days with DMSO, 250 μM TFMB-( R
)-2-HG or TFMB-( S
)-2-HG. (E) Immunoblot of TF-1 cells stably expressing the indicated IDH1 variants; untreated (-), treated with vehicle (V) or treated with 100 μM to 1 mM DMOG, as indicated by the triangles, for 3 hours prior to cell lysis. (F-G) Proliferation under cytokine-poor conditions (F) and differentiation after 8 days of EPO (G) of TF-1 cells expressing either IDH1 R132H or an shRNA targeting TET2, and either a non-targeting shRNA (shControl) or shRNAs targeting EglN1. Growth curves show mean values of duplicate experiments ± SD. FACS plots shown are representative results of three independent experiments.
Fig. 4
Transformation by ( R
)-2-HG is reversible. (A) Proliferation of TF-1 cells under cytokine-poor conditions after being passaged 4 times in the presence of DMSO or 250 μM TFMB-( R
)-2-HG. At the time of GM-CSF withdrawal TFMB-( R
)-2-HG was either maintained [continuous ( R
)] or removed [out of ( R
) on day 0]. (B) Proliferation of TF-1 cells under cytokine-poor conditions after being passaged 20 times in the presence of DMSO or 250 μM TFMB-( R
)-2-HG and then undergoing wash-out of TFMB-( R
)-2-HG for the periods indicated. (C) Differentiation of TF-1 cells after being passaged 20 times in the presence of 500 μM TFMB-( R
)-2-HG or DMSO. At the time of EPO administration TFMB-( R
)-2-HG was either maintained [in ( R
)] or removed [out of ( R
) on day 0]. (D-F) Differentiation of TF-1 cells (D and E) and SCF ER-Hoxb8 cells (F) transformed with IDH1 R132H (D and F) or TFMB-( R
)-2-HG (E) and then passaged 5 times in the presence of DMSO or a small molecule inhibitor of IDH1 R132H (1 μM). (G and H) Proliferation under cytokine-poor conditions of early-passage (p15) TF-1 cells transformed with IDH1 R132H (G) or TFMB-( R
)-2-HG (H) and then passaged 5 times in the presence of DMSO or a small molecule inhibitor of IDH1 R132H (1 μM) prior to growth factor withdrawal. Growth curves show mean values of duplicate experiments ± SD. FACS plots shown are representative results of three independent experiments.
Source: PubMed | https://ichgcp.net/clinical-trials-registry/publications/119228-r-2-hydroxyglutarate-is-sufficient-to-promote-leukemogenesis-and-its-effects-are-reversible |
497PSafety of tumour treating fields delivery to the torso: Meta analysis from TTFields clinical trials | Request PDF
Request PDF | 497PSafety of tumour treating fields delivery to the torso: Meta analysis from TTFields clinical trials | Background Tumor Treating Fields (TTFields) are a non-invasive, antimitotic therapy delivered to the tumor via transducer arrays applied to the... | Find, read and cite all the research you need on ResearchGate
Article
497PSafety of tumour treating fields delivery to the torso: Meta analysis from TTFields clinical trials
October 2019
Annals of Oncology30(Supplement_5)
DOI: 10.1093/annonc/mdz244.059
Authors:
<here is a image f2f62089ad6ff61c-d19572ff1996375a>
F Grosso
F Grosso
<here is a image a7ca4c520c78cf93-72ca977a843fb29d>
Miklos Pless
Kantonsspital Winterthur
<here is a image a0560db5cbd39e3d-74ac5918a6333f54>
Giovanni Luca Ceresoli
Humanitas Gavazzeni - Bergamo
Abstract
Background
Tumor Treating Fields (TTFields) are a non-invasive, antimitotic therapy delivered to the tumor via transducer arrays applied to the skin at tumor site. The only TTFields-related adverse event (AE) reported in clinical trials was localized dermatitis beneath the arrays. The safety of TTFields has also been investigated in glioblastoma, non-small-cell lung cancer (NSCLC), mesothelioma, pancreatic and ovarian cancer. This meta-analysis reported AEs in clinical studies with TTFields torso delivery.
Methods
192 patients from 4 pilot studies were included in the analysis: EF-15 (n = 41, advanced NSCLC), PANOVA-2 (n = 40, advanced pancreatic adenocarcinoma), STELLAR (n = 80, malignant pleural mesothelioma) and INNOVATE (n = 31, recurrent ovarian carcinoma). The frequency of TTFields applied was 150 kHz in all except 200 kHz in the INNOVATE study. All patients received standard of care systemic chemotherapy for their disease in addition to TTFields. Severity and frequency, of AEs were reported using CTCAE Version 4 and CTCAE 3 in EF-15. AEs were reported as incidence by body system and MedDRA terms.
Results
The median age was 63 (range: 44-78), 73 (49-81), 67 (27-78) and 60 (45-77) for EF-15, PANOVA-2, STELLAR and INNOVATE, respectively. Patients had an ECOG score of 0-1, except for 7 patients in the EF-15 study with ECOG score of 2. Low grade gastrointestinal (GI) toxicities reported with an incidence ≥5%: constipation (16%), diarrhea (14%), nausea (27%), vomiting (13%). None of the GI toxicities was associated with TTFields, and the incidence of high-grade GI toxicities did not reach 10%. Low grade disorders such as asthenia (12%), fatigue (18%) and anorexia (2%) were common (<20%) but not associated with TTFields. Both low and high grade dyspnea (11% and 5%, respectively) were reported. The incidence of arrhythmia was <2%. 58% of the patients had dermatological AE. Low grade dermatitis was reported in 53% and high grade in only 6%. 9% of patients reported low grade pruritus.
Conclusions
This meta-analysis detected no new safety signals in clinical studies where TTFields were applied to the torso. The incidence of TTFields-related skin toxicity was similar to that reported in glioblastoma patients. The application of TTFields to the torso is safe.
Clinical trial identification
NCT: 01971281, 02244502; 02397928; 00749346.
Legal entity responsible for the study
Novocure.
Funding
Novocure.
Disclosure
F. Grosso: Travel / Accommodation / Expenses: Novocure. G.L. Ceresoli: Travel / Accommodation / Expenses: Novocure. All other authors have declared no conflicts of interest.
<here is a image 175d1bd4b7439d95-754927124da715c1>
Tumor-Treating Fields: A Fourth Modality in Cancer Treatment, New Practice Updates
Article
Nov 2021
CRIT REV ONCOL HEMAT
Rhea Arvind
Sreenivasa R Chandana
Mitesh J. Borad
Hani Babiker
Although major innovations in treatment are advancing, cancer persists as one of the leading causes of mortality. With the rising incidence of cancer and as we treat them, patients incur short term and long-term toxicities of current traditional therapies, including chemotherapy. This imposes a significant physical, emotional, and financial burden among patients, which affects their quality of life. Tumor-Treating Fields (TTFields) is a novel innovative new treatment modality that utilizes alternating electric fields at specific intermediate frequencies to diminish tumor growth by inhibiting mitosis and thus proliferation of malignant cells. The distinguishing feature of this new treatment modality is that it is noninvasive and tolerable. In fact, TTFields is currently FDA approved for the treatment of glioblastoma multiforme (GBM) as well as malignant pleural mesothelioma (MPM). Recently, TTFields have also been found to affect immunogenic cell death resulting in stronger anti-neoplastic effects. In this review, we discuss the mechanism of action of TTFields, the plethora of clinical trials being conducted in patients with GBM, pancreatic adenocarcinoma, ovarian cancer, non-small-cell-lung-cancer (NSCLC), brain metastasis from NSCLC, and MPM and toxicity profile.
<here is a image a7ca4c520c78cf93-72ca977a843fb29d> Miklos Pless
Ignace Vergote
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Fernando Rivera
Giovanni Luca Ceresoli
| https://www.researchgate.net/publication/336191834_497PSafety_of_tumour_treating_fields_delivery_to_the_torso_Meta_analysis_from_TTFields_clinical_trials |
Welcome to the Northern Ireland Assembly
Welcome to the Northern Ireland Assembly web site, which was set up to inform interested viewers of the day-to-day business and historical background of devolved Government in Northern Ireland.
Northern Ireland Assembly
Monday 14 October 2002 (continued)
The Future of the Mater Hospital
Mr A Maginness:
On 2 July 2002, the McAuley Building was opened at the Mater Hospital. It is a new, state-of-the-art building that will service the hospital. It was called after Mother Catherine McAuley, a Catholic religious sister in the nineteenth century who founded the Sisters of Mercy, an order particularly dedicated to teaching and nursing. She was a sort of nineteenth-century Mother Teresa in Ireland. She and her sisters founded many schools, hospitals and other institutions the length and breadth of Ireland for the Irish people - Catholic and Protestant, from north and south. In many ways, together with other religious orders and people, both Catholic and Protestant, she established the foundations and infrastructure for schools, the education system and the health service in Ireland.
Part of those foundations was the Mater Hospital, which was founded in Belfast in 1883. By 1909, the hospital's status in Ireland was such that it was recognised as a university teaching hospital. The Mater maternity unit was eventually opened in 1945, adding a further service to the hospital. In 1972, the hospital, which had previously been under Catholic control and which had been independent throughout its history, became part of the National Health Service. A deed of arrangement underpinned the transfer of the hospital to the NHS. That was a guarantee from the Government of the time that the hospital's character and ethos would continue. I shall say more about that later.
Until 1972, the hospital was funded by the Young Philanthropists, of which my late father was a member. It was an imaginative and far-sighted group, for it saw that it was important to put moneys necessary for the hospital's future into trust funds. Indeed, the group raised a great deal of money. Over the years, thanks to the financial wizardry of a very distinguished cleric called Monsignor Mullally, the money was transformed into a multimillion-pound fund. The upshot was that the McAuley Building was opened in July 2002. Built at the cost of £17 million, it was virtually a new hospital. None of that money came from the state. It was raised by generations of Belfast people. It was used to build and equip the building. It was, in effect, a gift of £17 million to the public Health Service by a private charitable trust.
The Mater Hospital has, however, been informed, following the Department's document 'Developing Better Services: Modernising Hospitals and Reforming Structures', which was published in June 2002, that it is to be downgraded to a local hospital. It will no longer be an acute hospital. In substance, that means that its acute services will be systematically removed over several years. It will end up as little more than a glorified nursing home.
Despite what the Department says, the hospital will lose many of its services. It will lose its accident and emergency service, which - as those who live in north Belfast know - is crucial to the people of the area. That area has the lowest car ownership in Belfast - indeed, in Northern Ireland - yet the Department is persisting in its views. The Department also insists that intensive care and high dependency units will be removed. Inpatient general medicine, inpatient cardiology and the coronary care unit, inpatient diabetic services, inpatient respiratory medicine, inpatient general surgery, inpatient urology services, inpatient cardiac investigation, inpatient gynaecology, inpatient laboratory services and inpatient anaesthetic services will also go. I contend that there will be nothing left if the Department's proposals are implemented.
The developing better services document takes the form of a White Paper. It not called a White Paper, but that is what it is. It represents the Department's and the Minister's thinking. In fact, the Minister had to be pushed into extending the period of consultation. She said that consultation should end in September 2002. That has now been extended to the end of October 2002. That demonstrates the Department's commitment to the proposals contained in the document. There is no doubt that if the proposals are implemented, it will be the end of the Mater Hospital as an acute service hospital in Belfast.
Furthermore, the continuance of maternity services is also under threat. That threat is not as explicit as the threat to other services. The survival of the service is conditional upon the Mater Hospital's working with the new centralised Belfast Maternity Service. That is code for "If you do not do what you are told, you will lose your maternity services". That is what the Minister and the Department are saying to the Mater Hospital.
The Department says that the Mater Hospital's teaching status will remain. I mentioned that such was the status of the Mater Hospital at the beginning of the century that it was granted university teaching status. The Department says that that status will remain. How credible is that proposal, when the Minister is taking away the acute services that would encourage doctors and nurses to come to the Mater Hospital to train? Its teaching status might remain in name, but in reality it will not remain at all. It does not take a genius or a medical expert to reach that conclusion.
The Department says that the developing better services document is in line with the Hayes Report - the acute hospitals review group report. That is untrue. I ask Members to check the document and the Hayes Report. It is not in line with the proposal for partnership with the Whiteabbey Hospital to deliver acute services to north Belfast, Carrickfergus and Newtownabbey. It is not true for the Department to assert that.
There is no proposal to retain acute services at the Mater for the foreseeable future. Some of the acute services that I mentioned will be retained for a few years, but they will be phased out. However, the Hayes Report stated that acute services at the Mater would be retained for the foreseeable future - in other words, for an indefinite period. The Minister's document does not say that; it says that it is merely a transitional arrangement. Further to that, the Hayes Report states that a regional service should be located in the Mater, but that is not mentioned in the Minister's document at all.
The effect in north Belfast will be considerable and significant. The effect on employment alone will be substantial. Around 1,000 people are employed by the Mater Hospital. It is possibly one of the biggest employers in north Belfast. Ancillary, clerical, medical, clinical and nursing staff will be systematically removed. In a few years' time, the number of employees might be down to 500 or 600 staff - and still falling. Think of the effect that that will have on north Belfast.
The latest analysis of north Belfast contained in the North Belfast Community Action Project Report states:
"The population served by the North and West Belfast Health & Social Services Trust has some of the poorest health and social care indices with high incidences of cancer, asthma, bronchitis and other diseases. Seventeen out of the 20 wards in North Belfast are in the 25% most health deprived wards in Northern Ireland. Ten out of 20 wards in the area are in the 25% of wards in Northern Ireland with the highest ratios for cancer. These are all causally linked to the levels of deprivation experienced by this population."
Acute hospital services will be removed from the people who most need them. What sort of madness is this coming from the Department of Health? North Belfast has some of the highest rates of suicide, substance abuse and mental ill health. How can any of these proposals ameliorate that situation?
The Mater Hospital serves the community, and has served it very well. Over 45,000 people have used the accident and emergency service in the Mater Hospital over the past year. There were 6,000 medical or surgical emergencies and 1,000 births. That is a more than creditable performance for any Northern Ireland hospital.
The Minister's proposals are unacceptable and wrong. They are dangerous and will hurt the long-suffering people of north Belfast. They are an offence to good public policy. Is it not ironic that a Minister who is ostensibly committed to the equality agenda is, through her proposals, undermining that agenda and disadvantaging the people of north Belfast, Catholic and Protestant?
The proposals also run contrary to the deed of arrangement, because they undermine the historic character and ethos of the hospital. Not only are the proposals legally questionable, they are undoubtedly politically unacceptable and objectionable to the people of north Belfast. During this little political interlude, let us hope that the Minister will have a change of mind, or that her mind will be changed, by the time we return.
4.15 pm
The Chairperson of the Committee for Health, Social Services and Public Safety (Dr Hendron):
Wearing my hat as Chairperson of the Committee for Health, Social Services and Public Safety, I wish to express
my disappointment that no decisions have been made on the future of not only the Mater Hospital, but of all acute hospitals in Northern Ireland. I want to make it clear that I in no way point the finger at the Minister. Other reports were published long before the Hayes Report, but it is the most recent. It was followed by the Minister's consultation document 'Developing Better Services: Modernising Hospitals and Reforming Structures'. I hope that when the Assembly is reinstated the Minister, or any future Minister, will make decisions on that.
I will now speak not as Chairperson of the Committee but as MLA for West Belfast and as one who has spent many years in west and north Belfast - I sometimes say how many years, but I will decline to do so now. I have long experience of the Mater Hospital, the Royal Victoria Hospital and the City Hospital.
Alban Maginness has already mentioned the new £17 million development at the Mater Hospital. Every hospital has its origins, and people become attached to them. The Mater is in many ways unique, but I will not dwell on that point because it has already been well covered. It seems odd that it has been proposed that the Mater Hospital, with its new £17 million development, is to be stripped of its acute status.
Alban Maginness rightly says that 'Developing Better Services: Modernising Hospitals and Reforming Structures' is in effect a White Paper. When asked, the permanent secretary made it clear that it was a White Paper. The odds of the proposals contained in a White Paper being put into effect are at least 50 to one on. Consultation will still take place, and perhaps in special circumstances changes will be made, but as Members will know, generally speaking, the recommendations contained in a White Paper will be carried out. The part of the document that deals with organisation does not have "White Paper status", because it is part of the review of local services.
It is proposed in the document that the Mater Hospital become a local hospital and a key institution in the fields of medical and nurse training and that its links with Queen's University be put on a statutory basis to formalise its role as a teaching hospital. I was taught in the Mater Hospital and also in the Royal. The teaching role of the Mater Hospital is well known in this country and far beyond. No formality or legal standing is needed in that regard. It is an outstanding teaching hospital. I find the suggestion that somebody from Queen's University should be on the hospital's board of management condescending. It is as if the hospital is being given some sort of important status when, in fact, it is being slowly destroyed by the removal of its acute services.
The Mater Hospital has been outstanding in its diagnosis and treatment of chronic obstructive pulmonary disease (COPD), which is associated with emphysema, smoking and dust in the air. North Belfast has twice as many cases of that terrible condition as other parts of Northern Ireland. It seems odd that, although the Mater Hospital is so well established and recognised for its treatment of chest disease, it may lose its acute services over the next 10 years. The hospital has piloted a multidisciplinary approach to treating patients with COPD, and it is the only hospital in the North with a specialist COPD clinic. Only two years ago, a young nurse there was named UK Respiratory Nurse of the Year.
The McAuley Building houses facilities to provide the most advanced acute services for the benefit not only of its catchment area, but of a much wider community through regional and outreach services and clinics.
I speak not only from my own years of experience, but as someone who has visited the accident and emergency (A&E) departments in all the major hospitals, including the Mater Hospital. Let me take those of the Royal Victoria Hospital and Belfast City Hospital as examples. I have nothing but respect for the nurses, doctors and other staff who work there, but they cannot cope, and not only in winter. I shall not go into the whole matter of trolleys and people waiting, but acute services, especially A&E, are not coping.
I emphasise that the picture is the same in Belfast City Hospital and in Antrim Area Hospital. I have visited all those hospitals. I suppose that no matter what Maurice Hayes and his people said about hospitals, they could not possibly satisfy everyone. However, with regard to overall principles, I have no difficulty in accepting the Hayes Report, and I am aware of what it said about the Mater Hospital.
I understand that every politician will make a case for the hospital in his or her area. However, in respect of the Minister's points, there is something about the Mater Hospital that is not fully realised. The Antrim Area Hospital and the Royal Victoria Hospital could not cope with north Belfast. It has nothing to do with sentiment, although that is involved in all hospitals. It comes down to the direct clinical issues that affect north Belfast, which Members will accept is the most impoverished area in these islands. To remove acute services - even in a few years' time - is the beginning of the end of that hospital. It must be borne in mind that the other hospitals cannot cope.
I appreciate and understand that it was not easy for the Minister to make the decisions in her White Paper. Were someone to ask me what I recommended, I should not find it easy, taking account of the picture across Northern Ireland. However, the sums have either been done incorrectly or wrongly interpreted. I should like the Minister and her Department to examine those figures again. They must realise that the people of north Belfast - Catholic and Protestant alike - could not cope without the Mater Hospital. Its proud tradition extends to the Shankill Road, the Antrim Road, Glengormley and the ever-increasing population of Newtownabbey and beyond. As I said earlier, Antrim Area Hospital could not cope either.
Mr Deputy Speaker:
The Business Committee set a maximum of 60 minutes aside for this debate. Ten of those minutes will be allocated to the Minister. I simply ask Members who speak from this point on to bear that in mind. I have five or perhaps six Members on the list.
Mr Dodds:
I shall endeavour to bear that in mind to allow others to make a contribution.
I thank Alban Maginness for raising this matter. He has very ably set out the case that must be made for the retention of services at the Mater Hospital. Most Members should be able to agree with that, and I concur with many of the remarks made by the Chairperson of the Health Committee, Dr Joe Hendron. He knows from his personal, professional experience how the Mater Hospital has met the needs of the people of north and west Belfast.
I remember that, a few years ago, a public meeting was called in Newtownabbey in relation to the proposals that had been announced for the Whiteabbey Hospital. Hundreds of people attended, including trade unionists, staff, doctors, people in the medical profession, people whose relatives had been treated at Whiteabbey Hospital and members of the public. The common cry at that meeting was that if, at some stage, as part of a devolved Government, there was a Minister from Northern Ireland, no locally based Minister could possibly take such a decision. Unfortunately, as a result of the Department of Health, Social Services and Public Safety's 'Developing Better Services: Modernising Hospitals and Reforming Structures' document, we are now faced with proposals that not only confirm the bad news about Whiteabbey Hospital, but deliver a bolt out of the blue for the Mater Hospital.
As was rightly stated by Mr Maginness and Dr Hendron, Dr Hayes did not suggest the sweeping, radical downgrading of the Mater Hospital that the Minister of Health, Social Services and Public Safety has proposed. That must be emphasised, and, as demonstrated at a recent meeting of Belfast City Council, any attempt to pin the blame on the Hayes Report must be stopped.
The proposals are resisted and opposed across the community in north and west Belfast. I met recently with Lady McCollum and Patricia Gordon, community workers and medical staff. I visited the Mater Hospital and toured the McAuley Building. There is unanimous dismay and bewilderment at the decision to implement the proposals now, especially, as other Members stated, given that £17 million of investment was privately raised - with not a penny of that coming from the public purse. The suggestion is that the Mater Hospital should be downgraded to the same status as a local hospital.
Aside from the impact that that will have on the delivery of medical services in the most deprived and needy area of our Province, we must remember that the Mater Hospital, which serves both communities, is perhaps the biggest employer in the area. It is situated in Crumlin, which is the most deprived ward in Northern Ireland. When I toured the hospital, I was struck by the number of people from both sides of the community divide who work in it and who receive treatment in it. Both sets of people, regardless of their background, are devastated that the Mater Hospital is to be downgraded from its current status to nothing more than a local hospital.
It has been argued that some provision, such as maternity services, will be retained. However, if specialists such as anaesthetists are not retained, the long-term outlook for maternity services is poor, because it would not provide value for money to pay for those services simply to cover maternity provision. That the Mater Hospital could be retained as a major teaching hospital without the throughput of specialised services is not tenable and will not happen in practice.
The Minister is delivering a death knell to the Mater Hospital, unless she changes her mind; is forced to change her mind; or her successor reverses the disastrous course along which she seeks to set the hospital.
At a recent meeting of Belfast City Council, the political parties unanimously supported the retention of the Mater Hospital's status. There is unanimous support in the communities, and it is to be hoped that there is unanimous support among political representatives. I appeal to the Department and to those civil servants who will guide and advise the person who succeeds the current Minister.
Perhaps the Minister and her party have decided that this attack on a vital service in the most needy community - north Belfast - will go ahead. However, I hope that the new Minister will be advised that the House has united in opposition to the proposal and that the clear message will go out that there should be no interference with, and no downgrading of, the services that the Mater Hospital provides. If anything, we should recognise the valuable contribution that the hospital has made over many years, and we should work to retain and strengthen it.
Mr G Kelly:
Although I accept the general thrust of
'
Developing Better Services: Modernising
Hospitals and Reforming Structures', issues such as the Mater Hospital must be sorted out. Given the needs of the local community and the standards that the hospital sets, its proposed services are insufficient.
4.30 pm
I am very concerned about the proposal to remove accident and emergency (A&E) services from the hospital, bearing in mind what that would mean for the provision of acute services, particularly A&E services themselves. My worries about the removal of full casualty services from the Mater Hospital are not merely a matter of defending a facility in my constituency - although you may note, Mr Deputy Speaker, that all the Members from North Belfast agree on a lot of what is being said today, simply because of the hospital's location.
However, as one of the most deprived areas of Ireland, North Belfast relies greatly on the Mater Hospital, which contributes to the health of the population. Mr Alban Maginness mentioned the number of patients who are treated, but he did so in a different context than I. There is no justification for the closure of the Mater Hospital's A&E department. According to the figures that the Department of Health, Social Services and Public Safety published last month, the Mater Hospital's A&E department treats over 10,000 more patients each year than Daisy Hill Hospital and over 20,000 more than either the Causeway Hospital or the Downe Hospital, yet all those hospitals are earmarked for A&E services while the Mater Hospital is not.
I fully accept that A&E units require a certain throughput to maintain effectiveness and efficiency, but I cannot see any justification for failing the Mater on those grounds. Indeed, although we are all aware of the debates about the site of the acute hospital west of the Bann, the Mater's A&E department treats more people than the Enniskillen and Omagh hospitals together. Even in Belfast, the Mater's A&E department treats over 90% of the volume of patients who are treated at the City Hospital's A&E department, and apparently treats them more efficiently.
We have two hospitals in the same city that treat roughly the same volume of people every year. One of those hospitals is located within a few hundred metres of the main trauma unit in the Six Counties, while the other is in another part of the city. What justification is there for favouring the hospital that is so close to the Royal Victoria Hospital? Considering the differences in the performances of those two units, the argument in favour of maintaining the Mater's A&E department as part of the provision of casualty services in Belfast becomes stronger.
In developing better services, it is conceded that the proposed change in the role of the Mater Hospital will take some considerable time: it will be at least 10 years before anything is done with casualty provision there. A week in politics is a long time, and a decade is simply beyond reasonable foresight. How can anyone tell with any accuracy what the healthcare needs of the people of Belfast and, in particular those of north Belfast, will be in 2013?
That being so, is there any rationale for making decisions now about what should happen so far in the future? I urge the Department of Health, Social Services and Public Safety to take that on board and guarantee to maintain the Mater Hospital indefinitely. That is not to say that with the properly funded development of reasonable trauma services in Belfast, there may not be a need in future to review the Mater's A&E department, but we can have that debate when it comes.
Other Members have given reasons for maintaining and assisting the Mater. There have been 30 years of conflict, and north Belfast has seen a disproportionate amount of death, injury, imprisonment and militarisation. Its condition today is a consequence of decades of statutory neglect, and Mr Alban Maginness said that the amount of money that the North and West Belfast Health and Social Services Trust, as opposed to the Executive, gives to the area speaks volumes. The Mater Hospital is an important local employer, and removing the A&E department will have a detrimental effect on the cohesion and morale of the hospital staff as a whole.
The staff of the Mater Hospital, whom I have also met, and the unions both fear that the removal of the A&E department will in turn undermine the hospital as a whole, compromising job security and the ability to attract doctors, nurses, and so forth. Some of the reductions in health services make no sense when political representatives from all parties are arguing for more resources in north Belfast for education, youth provision, job creation, leisure provision, and so forth. Go raibh maith agat.
Mr B Hutchinson:
Other Members have covered many of the issues. However, the only way the problems of health and acute hospitals will be solved is through the restructuring of the Health Service. When that time arrives we will have to consider the Mater Hospital's position.
There are two issues involved. First, someone gave the Mater Hospital permission to build the fabulous McAuley Building, because it was felt that more beds were needed. Why did that happen? The money did not come from the Government; the community raised it, and it could have been better spent elsewhere. Everyone knows that in north Belfast health issues such as mental health and the levels of suicide have been neglected. Unfortunately, the Government gave the Mater Hospital that permission and, in many ways, gave it a vision for the future.
The second issue relates to the contradictions in the acute hospitals review group report with regard to what is being said now. Those contradictions have been well rehearsed. There was a proposal for the partnership of the Mater Hospital with the Whiteabbey Hospital for the provision of services for north Belfast, Newtownabbey and Carrickfergus. Where has that proposal gone? It was included in the recommendations of the review group. We were also told that a regional service would be provided at the Mater Hospital. That has now gone.
I would like to hear from the Minister why permission was given to build the McAuley Building when the situation was to change. Also, why are there contradictions between the two reports?
Dr Adamson:
As a former medical registrar at the Mater Infirmorum Hospital, I add my support to the retention of this great and unique hospital. Following a visit to Lourdes, I wrote my second book, 'Bangor: Light of the World', which told how Bangor became the focus of a religious life of great depth and power in the early medieval period of Europe. With the fall of the Roman Empire, Irish and British monks were left to salvage what was left of Christian civilisation and share in its traditions the secrets of wisdom, justice and mercy for all mankind. That is what the Mater Hospital means to me.
There are many who believe that we have reached a stage of nothingness and have invented the philosophy of the void. The wisdom that makes the Mater Hospital what it is is not irrelevant today, especially in our present circumstances. It is not just an embodiment of what is or even what will be; it is a temple built with living stones, with doctors, nurses and auxiliaries from both the active and contemplative life from both religious traditions, dedicated to the rights and duties of the person, imbued with a sense of honour, justice, mercy and self-sacrifice and of holy hope and high humility. Their patients are from the Shankill and the New Lodge roads. They are all asking, as one, for entry to their own sanctuary. They are the secret suffering poor of north Belfast, but they are all pilgrims on the road to paradise.
Rev Dr Ian Paisley:
I support the comments of Mr Maginness. Perhaps no one in the House knows, but in the dying days of the old Stormont Parliament, I was Leader of the Opposition, which consisted of the Member of Parliament for the Shankill Road, Mr Desmond Boal; the Member of Parliament for Woodvale, Mr Johnny McQuade; and my Colleague from South Antrim, Rev William Beattie. If Members care to read that Hansard, they will find that the four of us supported, and gave unanimous approval for, the Mater Hospital to be given grants by the Government and to be rightly treated. Some people like to paint us as anti-Catholic, anti-Roman Catholic, and so on, but if Members read that debate, they will realise just where we stand.
The Mater Hospital has a right to exist, and it needs to exist. As I have seen in my area, once acute services are taken away from a hospital, its position is destroyed, and it ceases to be a real hospital. I am glad to see that Dr Hendron agrees with that. It is a fact.
If ever the Mater Hospital was needed as an acute services hospital, it is today; there is a crying need for its services. It is located in an area of dense housing and intense poverty. If there was ever a time when we should maintain the hospital, it is now. What grieves me is that, while many hospitals such as the Mater Hospital have been supported and maintained by the voluntary contributions of charitable groups, the Department has stolen the money that those charities gave.
In my area, we helped to lead actions to raise large sums of money for a special heart treatment service in Ballymena Hospital. The Department stole that money and took it away to Antrim. No harm to the people of Antrim - including the Deputy Speaker - but they did not raise that money. It was raised for my area, and those benefits should have remained in that area. As was rightly said by one Member, planners tell people to give their money to ensure that hospital extensions are possible, but at the end of the day, the benefit may be taken away from them.
I want to end on a good note. Although I would not cross every "t" and dot every "i" of what Dr Adamson said, he is my friend. He used to give me jags, and every time I left for a Third-World country, he came to my home and jagged me with great relish, as an Official Unionist would want to jag Democratic Unionist flesh, but I never held that against him.
The hospital that has done this work; the people who backed the hospital with their gifts and all its workers from both sides of the community deserve to be supported. I trust that, if it is the last thing that this Assembly does, it will save the Mater Hospital from being demoralised and reduced to being a glorified nursing home. The Mater Hospital should be maintained as a thoroughgoing acute hospital, giving the people of that area all the services that they deserve and need.
Mr Deputy Speaker:
Dr Paisley, you have tremendous trust in your doctor. [Laughter].
Sir John Gorman:
I will not take a moment. I just want to say that I have some experience of the Mater Hospital. My mother, who suffered acutely from a serious problem before the war, went there in an emergency and recovered. I had many friends in the RUC - now the PSNI - who were very happy to be taken there as a result of bombings and shootings, and so on, because they believed that they would receive the best of attention, irrespective of what the political slant might be.
It strikes me as particularly wrong that £17 million collected by people years ago - which is probably worth about £80 million in today's terms - should be now seen as simply a resource to be absorbed. The attitude seems to be: "Never mind where it came from or what the motives were for collecting it". That is quite wrong. I beg the Minister in her last few hours to reconsider the matter to see whether some of the phrases used in Dr Hayes's report in relation to the Mater Hospital might be given rather more favourable connotations. I do not doubt that, being the man he is, he was probably keen not to show favouritism to a hospital of which he was chairman for so many years.
4.45 pm
Possibly, he was almost too fair. I ask the Minister to re-examine the issue to see if, at least, the Mater's teaching and accident and emergency roles can be retained. It would be to the benefit of the entire country to see in the Chamber, where so many antipathetic remarks have been made among parties, unanimity from every party in order to save the Mater Hospital.
The Minister of Health, Social Services and Public Safety (Ms de Brún):
Go raibh maith agat, a LeasCheann Comhairle. Tá mo chuid moltaí do thodhchaí Ospidéal an Mater leagtha amach i mo cháipéis chomhairliúcháin 'Seirbhísí Níos Fearr a Fhorbairt: Ospidéil a Nuachóiriú agus Struchtúir a Leasú'. An chéad rud is mian liom a rá is é nach raibh sé riamh i gceist go dtarlódh na hathruithe atá molta agam thar oíche. Leanfaidh an Mater de bheith ina ospidéal géarchúraim go ceann i bhfad ina mbeidh raon iomlán de ghéarsheirbhísí ar fáil. Tiocfaidh an comhairliúchán chun críche ar 31 Deireadh Fómhair agus is mian liom béim a leagan air nach ndéanfar aon chinneadh ar aon cheann de mo chuid moltaí go dtí go mbeidh faill agam mo mhachnamh a dhéanamh ar iomlán na fianaise agus an eolais dá bhfuil ar fáil.
Aithním, áfach, gur ábhar imní do fhoireann an Mater agus do mhuintir thuaisceart Bhéal Feirste mo mholadh gur chóir go ndéanfaí ospidéal áitiúil nua-aimseartha den Mater, agus is maith liom an deis seo a bheith agam tabhairt faoin imní sin.
Proposals for the future of the Mater Hospital are set out in the consultation document 'Developing Better Services: Modernising Hospitals and Reforming Structures'. The changes proposed were never planned to happen overnight. The Mater Hospital will continue as an acute hospital for the foreseeable future, providing a full range of acute services. The consultation will end on 31 October, and I stress that no decisions will be made on any of the proposals until there has been an opportunity to consider fully all the evidence and information available.
However, I recognise that the proposal that the Mater Hospital should become a modern local hospital has caused concern, both to its staff and to the people of north Belfast. I welcome this opportunity to address their concerns.
My objective is to provide high-quality modern hospital services to the population here. It is clear that hospitals in future will need to collaborate as part of clinical networks. Proposals for the Mater Hospital are that it should become a modern local hospital with strong clinical links to the acute hospitals network, both at the Royal Group of Hospitals and Belfast City Hospital. I would expect the Mater, as a local hospital, to make full use of its modern facilities to provide increasingly sophisticated methods of investigation, diagnosis and day procedures.
In relation to the recent £17 million investment and the tremendous work done by people in the community to bring that about, we must in future ensure that the investment in the Mater is used to its fullest in serving the population of the area. That must be given careful consideration before coming to any final decisions.
Under these proposals, the Mater Hospital will also provide a base for a range of expert clinicians, specialist nurses and other health professionals, who will relate to the hospital needs of the population it serves, making a distinctive contribution to the overall provision of modern, high-quality services in the heart of the local community. Developing local hospitals in this way will require considerable and continuing investment in modern equipment and staff training.
I have proposed that maternity services at the Mater Hospital should be retained, but the hospital has been experiencing increasing difficulties in maintaining those services. Therefore, I have proposed that it should exploit its close proximity to the new centralised maternity hospital on either the Royal Group of Hospitals or Belfast City Hospital site to open up new opportunities for supporting maternity services at the Mater Hospital on a close partnership basis. I expect that the new centralised maternity hospital and the Mater Hospital will develop those opportunities to the full.
I also realise the concerns of the staff who live in north Belfast, where the Mater Hospital is a significant employer. They fear that their jobs might be lost in the hospital's transformation to a modern local hospital. The Mater Hospital will continue to be a large and busy hospital, and it will continue to provide much-needed employment for the area.
It is not possible to be specific about how staff might be affected at this stage, and detailed work will need to be undertaken with the health and personal social services organisations and other key interested parties to identify long-term staffing needs. During the consultation process, I was aware of the growing cross-party and cross-community support for retaining acute services at the Mater Hospital, as well as the strong lobby from the Mater Hospital Trust and staff at the hospital. I am sure that that will continue to be reflected in the responses to my consultation up until its close on 31 October, as it has been in Members' contributions today.
I assure Members that, as stated in the report 'Developing Better Services: Modernising Hospitals and Reforming Structures', the importance of making full use of the modern facilities at the Mater Hospital is fully accepted. The hospital has an excellent range of facilities, and in any future configuration of hospital services we must ensure that those facilities are used to their best advantage through clinical networking and building on new achievements in medical treatment and technology.
Members raised points about the phasing out of services. Acute services will continue for the foreseeable future and will be reviewed according to levels of capacity and deprivation as those are assessed. There is no question of phasing out acute services over the years in the way that has been suggested. Any decisions will look at the needs assessed at a particular time and the overall capacity of the service to deliver those services to people in the area.
Teaching status will remain as part of a clinical network of acute and local hospitals, and opportunities for more rounded training for medical staff will be available.
Before coming to any decision on the chronic obstructive pulmonary disease (COPD) clinic, we must look very carefully at the services provided in any area where such a disease is a feature of deprivation and associated ill health. A final decision has not been made, and the information referred to in this debate will be reflected in the responses to the consultation.
Mr A Maginness:
Will the Minister accept an intervention?
Mr Deputy Speaker:
It is up to the Minister if she feels like giving way.
Ms de Brún:
I have been told that I have very limited time, and, therefore, I do not think it is possible.
Mr A Maginness:
A very quick -
Mr Deputy Speaker:
Order. Does the Minister want to give way?
Ms de Brún:
I have had signals that my time is almost up, so, unfortunately, that will not be possible.
The points raised during the period of consultation, and those raised today, will be taken on board when considering the outcome of the consultation process. This is a real consultation process, as I have said in debates about other aspects of the consultation proposals. I have stressed that people's views will be listened to and taken on board. The terminology used today should not suggest that the consultation process is just about going through the motions.
I thank Members for their contributions today and for the contact they had with me during the consultation period. I shall ask the Department to consider carefully the Mater Hospital's future profile in the light of the deeply held cross-community and cross-party concerns expressed in the debate and elsewhere.
I stress that, in common with all my proposals to develop better services, no decisions have yet been taken. All the responses to the consultation, including any new evidence or information that arises from it, will be carefully considered before any final decisions are made on the Mater Hospital's future.
I take this opportunity to add my voice to those that have paid tribute to the sterling work that has been carried out over the years by the staff, and those who support them, at the Mater Hospital. I pay tribute to those who have ensured that its services have been delivered. I thank Members for their kind words, and I shall ensure that they are passed on to the staff.
Mr Wells:
On a point of order, Mr Deputy Speaker.
Mr Deputy Speaker:
Order. Ample opportunity was given this morning, and ample opportunity was taken this morning, to raise points of order.
Mr Wells:
It is on a totally different matter.
Mr Deputy Speaker:
I am taking no further points of order.
Adjourned at 4.57 pm.
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Better Sleep in the Intensive Care Unit: Blue Pill or Red Pill… or No Pill? | Anesthesiology | American Society of Anesthesiologists
Better Sleep in the Intensive Care Unit: Blue Pill or Red Pill… or No Pill?
Robert L. Owens, M.D.
From the Division of Pulmonary, Critical Care and Sleep Medicine, University of California, San Diego, La Jolla, California.
Address correspondence to Dr. Owens: rowens@ucsd.edu
Author and Article Information
Corresponding article on page 979.
Accepted for publication July 28, 2016.
Address correspondence to Dr. Owens: rowens@ucsd.edu
Anesthesiology November 2016, Vol. 125, 835–837.
https://doi.org/10.1097/ALN.0000000000001326
Topics:
intensive care unit
,
sleep
“In theory, pharmacologically induced sleep rather than sedation may have benefits…”
Image: © ThinkStock.
Image: © ThinkStock.
SLEEP is hard to come by in the intensive care unit (ICU). When quantified, Elliott et al. 1found that sleep duration was curtailed (mean, 5 h per night) and very fragmented, with a median duration of sleep before waking of just 3 min! Illness may impact sleep, but it is likely that the ICU environment ( e.g., noise and light) and customary practices ( e.g., lab draws and x-rays for morning rounds) also greatly contribute to the lack of consolidated sleep. Although changing the ICU culture to promote sleep is difficult, 2attention to sleep has been associated with improved clinical outcomes, specifically a reduction in the major outcome of ICU delirium. 3 , 4
Given the challenges of improving sleep viaworkflow and environment redesign, might sleep be improved pharmacologically? If so, what might be the best medication to do so? Traditional sleeping pills, such as benzodiazepines, have been associated with delirium. Even newer nonbenzodiazepine hypnotics, such as zolpidem, are associated with altered mental status and in-hospital falls and may lack efficacy even in less acutely ill non-ICU patients. Melatonin or melatonin receptor agonists might be another option, with a single-center randomized controlled trial showing a marked reduction in delirium in a less severely ill ( i.e., not mechanically ventilated) elderly ICU population. 5But it is not clear if the mechanism of this improvement is based on improved sleep or due to a circadian effect. Another intriguing option is dexmedetomidine, which has been argued to induce “natural” sleep. Indeed, the drug appears to activate most, though not all, of the pathways important for sleep 6and produces an electroencephalogram pattern consistent with non–rapid eye movement (REM) sleep, specifically stage N2 sleep. 7Thus, as dexmedetomidine is already used in the ICU, causes little respiratory depression, and is short-acting, it makes sense to study its impact on sleep and other outcomes. In theory, pharmacologically induced sleep rather than sedation may have benefits from the standpoint of delirium and other clinically important outcomes.
In this issue of A nesthesiology, Wu et al. 8tested rigorously the hypothesis that dexmedetomidine would improve sleep in elderly patients in the surgical ICU after noncardiac surgery. This was an ambitious randomized, double-blind, placebo-controlled study that involved more than 60 polysomnographic recordings in the ICU. The patients were those greater than or equal to 65 yr old, mostly recovering from abdominal surgery and, of note, were not receiving mechanical ventilation. Unlike previous small studies that had shown more non-REM sleep with moderate doses (≈0.6 mg kg −1h −1) of dexmedetomidine titrated according to Richmond Agitation-Sedation Scale (RASS) over the night, these authors used a fixed, low dose of 0.1 mg kg −1h −1during the evening and night (5:00 pmto 8:00 am). This so-called prophylactic dose was chosen to avoid adverse hemodynamic effects and to avoid sedation per se. The percent of time in stage N2 sleep was chosen as the main outcome. Stage N2 sleep is a stable form of non-REM sleep with easily recognizable electroencephalogram morphology, which is thought to be restorative and is a reasonable outcome especially in elderly patients where deeper stage N3 sleep or REM sleep is relatively rare. Incident delirium, length of ICU stay, and hemodynamic safety endpoints were secondary outcomes.
As expected, those who received dexmedetomidine did have more stage N2 sleep than those who received placebo. There was also a small improvement in subjective sleep quality of uncertain significance. Although this patient-centered outcome might be important by itself, there was no change in downstream incident delirium, and there was an increased incidence of hypotension and bradycardia. These latter hemodynamic effects should limit the enthusiasm to investigate higher doses of this medication. Because of these findings, some might consider this a negative study even though the primary outcome was achieved. The authors conclude that future larger studies will be required to verify the risk–benefit ratio and long-term outcomes that accrue from this kind of intervention. However, the study has important immediate implications for both researchers and clinicians.
First, it emphasizes that changes in the electroencephalogram pattern may not be clinically relevant. Not only are electroencephalogram recordings challenging to obtain in ICU patients, the interpretation of electroencephalogram in the ICU is also notoriously difficult and has led to proposed alternate scoring rules. 9In addition to dexmedetomidine, illness and other medications may mimic patterns seen with sleep—even when patients are clinically awake. That is, separating sleep from sedation/drug effect or illness using electroencephalogram will be extremely difficult. Sleep recordings will be important when considering mechanisms of how a focus on sleep improves outcomes and perhaps can be used in more feasible simulation studies to inform trials planned in the ICU. However, intervention studies in the ICU should be designed for the clinically relevant outcomes of delirium, analgesic/sedative use, length of stay, and so forth.
Second, the current study serves as a reminder that opportunities for wake are likely to be as important as opportunities for sleep. The infusion of study drug in this trial was administered for 15 h, an amount of time that far exceeds normal sleep duration. As in this study and in clinical practice, prolonged sedation is unlikely to help drive natural sleep. Although never directly studied, interventions that have been shown to improve rates of delirium and length of mechanical ventilation, such as daily interruptions of sedation and early physical therapy, may have improved sleep by increasing wake and activity during the day. Future interventions designed to improve sleep should focus not only on changes at night—for example, limiting noise and light, clustering care to reduce interruptions, and retiming blood draws/x-rays—but also on increasing wake and circadian cues during the day, which may include increasinglight levels, increasing daytime activity, or bolus feeding to mimic meal times, among others. More broadly, we should also consider an individualized approach to sedation use in the ICU. RASS may be used to track the depth of sedation but does not reflect the rationale or desired goal of sedative use. For example, in patients with acute respiratory distress syndrome, even sedation to induce coma (RASS score −5) may not eliminate patient-ventilator dyssynchrony and allow low-tidal volume ventilation. A personalized medicine approach would consider the desired aim of sedation ( e.g., ventilatory synchrony) and the physiologic outcome ( e.g., transpulmonary pressures) to be monitored for effect. Depending on individual characteristics, effective sedation strategies might range from nearly none to deep sedation with paralysis.
Third, we should consider the possibility that there is no medication that will consistently improve sleep and have the desired downstream effects. For example, while higher doses of dexmedetomidine have shown a greater impact on N2 sleep duration, the drug appears to suppress other stages of sleep, including REM sleep. Or, as in this case, the therapeutic window of all such medications may be exceedingly narrow. While melatonin and melatonin agonists seem safe and may be effective, it may be that the absence of medications for sleepimproves patient outcomes. Some studies of sleep interventions that led to reductions in delirium in hospitalized and ICU patients have reduced or proscribed the use of medications for sleep. 10Indeed, research in the area of “sleep in the ICU” seems split between interventions designed to obviate the need for a sleeping pill and efforts at trying to find the “right” sleeping pill. This study adds to the evidence that such a medication may not exist. Melatonin and related agonists may have benefits but cannot currently be universally recommended without further data.
As of 2016, the optimal choice of sleep aid is not the blue pill or the red pill. Best practice should continue to focus on reducing the need for any pharmacologic sleep aid by adhering to recommended guidelines about care at night and during the day rather than adding on medications for sleep.
Competing Interests
1.
Elliott R
,
McKinley S
,
Cistulli P
Fien M
Levine AR
Quraishi SA
Butterly AD
Stahl DL
Eikermann M
Kaafarani HM
,
Ely EW
:
Atypical sleep in ventilated patients: Empirical electroencephalography findings and the path toward revised ICU sleep scoring criteria.
Crit Care Med
2013
Inouye SK
Bogardus ST Jr
Leo-Summers L
,
Acampora D
,
Holford TR
Cooney LM Jr
| https://pubs.asahq.org/anesthesiology/article/125/5/835/19718/Better-Sleep-in-the-Intensive-Care-Unit-Blue-Pill |
Hebrews 6 - Dr. Constable's Expository Notes - Bible Commentaries - StudyLight.org
Hebrews 6, Dr. Constable's Expository Notes, One of over 125 Bible commentaries freely available, this commentary provides notes on all 66 books of the Bible, and contain more than 7,000 pages of material
Hebrews 6
Constable's Expository Notes
Individual Books
Verses 11-12
A. The Danger of Immaturity (The Third Warning) 5:11-6:12
"Dull of hearing" ( Hebrews 5:11) and "sluggish" ( Hebrews 6:12, Gr. nothroiin both cases) form an inclusiothat frames this pericope and sets it off as a distinct textual segment. This Greek word occurs nowhere else in the New Testament. The first two warnings in Hebrews were against drifting ( Hebrews 2:1-4) and disbelief ( Hebrews 3:7-19). All the warning passages in Hebrews involve actions in relation to the Word of God.
"It is commonly assumed on the basis of Hebrews 5:11to Hebrews 6:3that the community addressed had failed to mature in faith and understanding, and consequently required rudimentary instruction rather than the advanced exposition of Christ’s priesthood and sacrifice presented in Hebrews 7:1to Hebrews 10:18. The problem with this reconstruction of the situation is that it is not supported by the detail of the text. The biblical interpretation and the presentation of christology in Hebrews 1:1to Hebrews 5:10presuppose advanced Christian instruction and a level of understanding that corresponds to the adult consumption of solid food and not to a diet of milk. In addition, the writer shows no inclination to review with his hearers the foundational elements of the Christian faith [ Hebrews 6:1]. He clearly regarded the hearers as mature. He reminds them that they have ingested over a considerable period of time the instruction that qualified them to be the teachers of others ( Hebrews 5:12). Consequently, the portrayal of them as infants who have to be nurtured with milk is not an actual description of some or all of the members of the community. It is irony, calculated to shame them and to recall them to the stance of conviction and boldness consonant with their experience ( Hebrews 6:4-5; Hebrews 6:10) and hope ( Hebrews 6:9-12). The community has deviated from its earlier course (cf. Hebrews 10:32-34) by becoming sluggish in understanding ( Hebrews 5:12). Their regression to infancy must represent a quite recent development. It was apparently an attempt to sidestep their responsibility in a world that persecuted them and held them in contempt, but it threatened their integrity. The purpose of Hebrews 5:11to Hebrews 6:12is to preserve the community from such aberration by reminding them of what they have experienced and what they possess through the gospel . . ." [Note: Lane, p. 135. For defense of the view that Jesus is the object of faith in this passage, and not just our model and enabler of faith, see Victor (Sung-Yul) Rhee, "Christology and the Concept of Faith in Hebrews 5:11-6:20," Journal of the Evangelical Theological Society 43:1 (March 2000):83-96.]
"If you keep in mind that the emphasis in this section is on making spiritual progress, you will steer safely through misinterpretations that could create problems." [Note: Wiersbe, 2:294.]
Verse 1
Since they needed stretching mentally they should, with the writer, "press on to maturity." That is, they should not be content with their present condition. In this context spiritual maturity involves receiving and responding appropriately to revealed truth ( Hebrews 5:14), zeal for the realization of hope ( Hebrews 6:11), and unwavering faith and steadfast endurance ( Hebrews 6:12). [Note: Lane, p. 140.]
"It is a moral duty to grow up, and the duty involves an effort." [Note: Moffatt, p. 72. Cf. 2 Peter 3:18.]
The verb translated "let us press on" ( pherometha) is in the passive voice. We could render it, "Let us be carried on" (i.e., by God’s Spirit). Spiritual maturity does not come merely by striving in self-effort but by cooperating with God as we do His will while depending on His help. It comes as we follow the Holy Spirit who leads and empowers us ( Romans 8:14; Galatians 5:16).
". . . they are saved. They are genuine believers. Thus their need is not knowledge; rather, they need to use the knowledge they possess." [Note: Pentecost, p. 103.]
The writer proposed that his readers leave elementary teaching concerning the Messiah in the past. They did not need to learn that again, presumably by catechetical instruction. [Note: Bruce, p. 112.] They did not need further instruction about abandoning confidence in works for salvation (either as part of the Levitical rituals or just as legalism) and turning to God in faith. This too was foundational truth they did not need to learn again.
Verses 1-3
2. The needed remedy 6:1-3
The writer proceeded to explain what the community of Christians that he addressed should do to change its dangerous condition.
Verse 2
They did not need further instruction in four other subjects either. "Washings" evidently refers to the doctrine of spiritual cleansing. The Greek word translated "washings" is baptismosthat refers to Jewish ceremonial washings whenever it occurs in the New Testament ( Mark 7:4; Mark 7:8; Hebrews 9:10). A different Greek word ( baptisma) describes Christian baptism. This means the writer here referred not to baptism but to spiritual cleansing.
The "laying on of hands" in Judaism was part of the sacrificial ritual ( Leviticus 1:4; Leviticus 3:2; Leviticus 4:4; Leviticus 8:14; Leviticus 16:21; et al.) and commissioning for public office ( Numbers 27:18; Numbers 27:23; Deuteronomy 34:9; cf. Acts 6:6; Acts 13:3). In the early church the imparting of the Holy Spirit sometimes accompanied this practice ( Acts 8:17-18; Acts 19:6; cf. Hebrews 6:4; Hebrews 2:4; Hebrews 10:29).
The Old Testament taught the resurrection of the dead ( Isaiah 26:19; Daniel 12:2) and eternal judgment ( Genesis 18:25; Isaiah 33:22).
"We are responsible people, and one day we shall rise from the dead and give account of ourselves to God. This must have been of importance to new converts in a time when many people thought of death as the end of everything." [Note: Morris, p. 54.]
The writer presented the six foundational teachings in Hebrews 6:1-2in three pairs: (1) repentance from dead works, and faith toward God ( Hebrews 6:1), (2) instruction about washings, and laying on of hands ( Hebrews 6:2a), and (3) instruction about the resurrection of the dead, and eternal judgment ( Hebrews 6:2b). The structure of this sentence in Greek suggests that the last two pairs explain the first pair. Laying the foundation of repentance and faith consists of instruction regarding washings, sortilege (laying on hands), resurrection, and judgment. The first pair points God-ward, the second man-ward, and the third forward into the future.
Each of these teachings was foundational in Judaism as well as in Christianity. Most of the original readers would have come to believe these truths even before they became Christians. They are very basic.
Verse 3
We will press on to maturity "if God permits." The writer again ( Hebrews 6:1) acknowledged dependence on God for spiritual growth. We can continue to grow only as He enables us to do so.
"It seems that the apostle here addresses true Christians, as non-Christians cannot grow in their ability to experientially apply the word of righteousness to daily life and have their spiritual senses trained in spiritual discernment." [Note: Dillow, p. 434. His whole nineteenth chapter, pp. 433-55, deals with Hebrews 6.]
What does a stagnant, sour believer need? He or she needs to mature. How does growth toward maturity take place? It happens when, by God’s grace, the believer responds positively to further revelation beyond the basics. We see examples of the danger the writer warned his readers about all around us. Many Christians attend churches where they only hear the basics repeatedly. Their ears become dull, they stop growing, and many of them turn away from the faith. Some of these people follow cultic leaders who claim to offer deeper spiritual truth. Those who put themselves under the challenge of more advanced sound teaching and respond properly to it grow more mature.
Verse 4
The writer could describe Christians fairly as those who were once "enlightened" (cf. Hebrews 10:32; 2 Corinthians 4:3-6). The "heavenly gift" of which they have "tasted" (cf. Hebrews 2:9) at conversion seems to refer to salvation (cf. John 4:10; Romans 6:23; James 1:17-18). Any attempt to interpret tasting as only partial appropriation (i.e., the idea that they tasted it but did not swallow it) is not credible. [Note: E.g., John MacArthur, Hebrews, p. 143.]
"This is not to explain Scripture, [but] to explain it away in favour of some preconceived doctrine." [Note: F. W. Farrar, The Epistle of Paul the Apostle to the Hebrews, p. 82.]
Elsewhere the same Greek word refers to complete appropriation (e.g., Jesus Christ tasted death for everyone, Hebrews 2:9; cf. 1 Peter 2:1-3). This is an Old Testament usage as well (cf. Psalms 34:8). [Note: Guthrie, p. 141.] Christians become "partakers" (cf. Hebrews 1:9, "companions"; and Hebrews 3:1; Hebrews 3:14, "partakers") of the Holy Spirit through Spirit baptism.
Verses 4-8
3. The dreadful alternative 6:4-8
The writer pointed out the consequences of not pressing on to maturity to motivate his readers to pursue spiritual growth diligently (cf. 2 Peter 1:5; 2 Peter 3:8).
Christians have interpreted this passage in many different ways. Some believe that those who fall away ( Hebrews 6:6) are believers who lose their salvation. [Note: E.g., Westcott, pp. 148-53; Moffatt, pp. 76-82; I. Howard Marshall, Kept by the Power of God; and other Arminian writers.] Others hold that those who fall away are people who have professed to be believers but really are not. [Note: E.g. Bruce, pp. 118-25; Philip E. Hughes, pp. 206-24; Arthur W. Pink, An Exposition of Hebrews, pp. 298-320; E. Schuyler English, Studies in the Epistle to the Hebrews, pp. 160-68; Homer A. Kent Jr., The Epistle to the Hebrews, pp. 107-15; R. Kent Hughes, 1:156-57; and The New Scofield Reference Bible, p. 1315.] Still others take the whole situation as hypothetical. They believe that if a Christian could lose his salvation, which he cannot, it would be impossible for him to be saved again. [Note: E.g., Guthrie, pp. 140-46; Thomas Hewett, The Epistle to the Hebrews, pp. 106-11; Thomas, pp. 72-75; Kenneth S. Wuest, "Hebrews Six in the Greek New Testament," Bibliotheca Sacra 119:473 (January 1962):45-53; Wiersbe, 2:297; and The Ryrie Study Bible: New Testament. King James Version, p. 404.] Another view is that only Hebrew Christians living before the destruction of the temple could commit this sin, whatever it is. The view that I believe harmonizes best with the writer’s emphasis is that those who fall away are believers who turn away from God’s truth and embrace error (i.e., apostates). The majority of scholars view these people as genuine believers. [Note: Marshall, p. 142.]
"The transition from the first person ( Hebrews 6:1-3) to the third person suggests that the author does not wish explicitly to identify the people described with the readers of the epistle. This may be partly out of tact; it is certainly (cf. Hebrews 6:9) in part because he believes that his readers can still avoid apostasy." [Note: Ellingworth, p. 318.]
Verse 5
Every true Christian has tasted the Word of God and found it to be good to some extent. The original readers had also tasted the powers (lit. miracles) of the coming messianic age. They had observed the apostles perform miracles (cf. Hebrews 2:4). The five events listed in Hebrews 6:4-5view salvation as involving different aspects; they do not present a succession of salvific events. [Note: Philip E. Hughes, "Hebrews 6:4-6 and the Peril of Apostasy," Westminster Theological Journal 35 (1973):143.]
"Together, the clauses describe vividly the reality of the experience of personal salvation enjoyed by the Christians addressed." [Note: Lane, p. 141.]
"The warnings are clearly not addressed to nominal Christians, but to those who have shared, as fully as it is possible to share in the present time, in the blessings which accompany and follow entry into the Christian life ( Hebrews 6:4f.)." [Note: Ellingworth, p. 75.]
Verse 6
Earlier in this letter the writer warned his Christian readers about drifting away from the truth through negligence ( Hebrews 2:1-4). He also warned them about failing to continue trusting God and walking by faith ( Hebrews 3:7-19). Now he referred to the same apostasy as "falling away."
"The aorist tense indicates a decisive moment of commitment to apostasy. In the LXX, the term parapipteinhas reference to the expression of a total attitude reflecting deliberate and calculated renunciation of God ( Ezekiel 20:27; Ezekiel 22:4; Wisdom of Solomon 6:9; Wisdom of Solomon 12:2; cf. Michaelis, TDNT6:171 . . .). [Note: Cf. Philip E. Hughes, "Hebrews 6 . . .," pp. 146-50.] In Hebrews it is equivalent to the expression apostenai apo theou zontos, ’to fall away from the living God,’ in Hebrews 3:12. Apostasy entailed a decisive rejection of God’s gifts, similar to the rejection of the divine promise by the Exodus generation at Kadesh ( Hebrews 3:7to Hebrews 4:2. . .). . . . What is visualized by the expressions in Hebrews 6:6is every form of departure from faith in the crucified Son of God. This could entail a return to Jewish convictions and practices as well as the public denial of faith in Christ under pressure from a magistrate or a hostile crowd, simply for personal advantage (cf. Mark 8:34-38. . ." [Note: Lane, p. 142. Cf. J. C. McCullough, "The Impossibility of a Second Repentance in Hebrews," Biblical Theology 20 (1974):2-3.]
Falling away from the truth is no hypothetical possibility but a tragic reality in too many cases among believers (cf. Numbers 14:27-32; Genesis 25:29-34; Hebrews 3:7-19; Hebrews 10:23-25; Hebrews 10:35-39). [Note: Lane, p. 141.] Christians departed from the faith in the first century (e.g., 2 Timothy 2:17-18) and they do so today (cf. 1 Timothy 4:1).
"The author repeatedly urges his readers to maintain their Christian profession and confidence (cf. Hebrews 3:6; Hebrews 3:12-15; Hebrews 6:11-12; Hebrews 10:23-25). The man who falls away is evidently the one who casts that confidence, and its attendant reward, aside ( Hebrews 10:25)." [Note: Hodges, The Gospel . . ., pp. 70-71.]
To what is it impossible for an apostate to be renewed? The writer said it is repentance, not forgiveness or salvation. Immediately the question arises whether this explanation is realistic since some believers who have departed from the truth have repented and returned to the fold of the faithful. I believe the writer meant that in the case of apostates, the really hard cases who are persistently hostile to Christ, it is impossible to restore such people to repentance (cf. Hebrews 6:1; Hebrews 6:3; Hebrews 6:7-8). The word "apostate" refers to extreme cases of departure from the truth. We usually refer to less serious departure as backsliding. This inability to repent is the result of sin’s hardening effect about which the writer had sounded a warning earlier ( Hebrews 3:13). It is also the result of divine judgment (cf. Pharaoh, Exodus 9:12; Exodus 10:20; Exodus 10:27; Exodus 11:10; Exodus 14:4; Exodus 14:8; Exodus 14:17).
Some people who, earlier in their lives have given evidence of being true Christians, later renounced their belief in Christianity, and even in the deity of Christ. Does this mean they were never saved in the first place? Possibly. But it may mean that they were believers and have been misled by false teaching. If such a person persists in his or her departure from the truth, this verse warns that he or she may not be able to return to the truth.
This writer also wrote about three other impossible things. It is impossible for God to lie ( Hebrews 6:18), for the blood of bulls and goats to take away sins ( Hebrews 10:4), and for someone to please God without faith ( Hebrews 11:6).
"God has pledged Himself to pardon all who truly repent, but Scripture and experience alike suggest that it is possible for human beings to arrive at a state of heart and life where they can no longer repent." [Note: Bruce, p. 124.]
"That certain persons could not repent of their sins was, e.g., an idea admitted in rabbinic Judaism." [Note: Moffatt, p. 77.]
Even God cannot renew these apostates to repentance because He has chosen not to do so.
". . . the author does recognize the possibility that one may have regressed so far that it is impossible to again make progress toward maturity. He therefore states in Hebrews 6:4-6that it may be impossible to renew certain believers so that they can progress toward maturity." [Note: Pentecost, pp. 105-6.]
Would it not glorify God more for apostates to repent? Evidently by making it impossible for them to repent God will bring greater glory to Himself than if they did repent. Consider the glory that came to God because the Pharaoh of the Exodus did not repent. One might ask the same question in regard to everyone being saved? Would it not glorify God more for everyone to be saved than for some to perish eternally?
God allows this hard condition because by repudiating Jesus Christ these apostates dishonor Him. The writer spoke of this dishonor as taking the side of Jesus’ enemies who crucified Him and publicly humiliated Him. The apostates in view crucify Him in the sense of passing judgment against Him again, by repudiating Him and His work, as those who literally crucified Jesus did. Evidently these "hard cases" are not those who turn away from just any aspect of God’s will but specifically the doctrine of Jesus Christ.
"The meaning of the vivid phrase ["they again crucify to themselves the Son of God"] is that they put Jesus out of their life, they break off all connexion [ sic] with him; he is dead to them." [Note: Moffatt, p. 80.]
"Anyone who turned back from Christianity to Judaism would be identifying himself not only with Jewish unbelief, but with that malice which led to the crucifixion of Jesus." [Note: Guthrie, p. 144.]
". . . once Christ and his sacrifice have been rejected, there is nowhere else to turn. . . . The ’impossibility’ of a second repentance is thus not psychological or more generally related to the human condition; it is in the strict sense theological, related to God’s saving action in Christ." [Note: Ellingworth, p. 323.]
"Just as the Hebrew spies who returned from their expedition carrying visible tokens of the good land of Canaan nevertheless failed to enter the land because of their unbelief, so those who had come to know the blessings of the new covenant might nevertheless in a spiritual sense turn back in heart to Egypt and so forfeit the saints’ everlasting rest." [Note: Bruce, pp. 119-20. Cf. 3:7-11. See also Lang, pp. 98-107.]
Not only did the 10 spies fail to enter the Promised Land through unbelief, but so did the whole adult generation of Israelites who left Egypt with Moses (Numbers 14). It was impossible for them to repent in the sense that, even though they confessed their sin of unbelief ( Numbers 14:40), God would not permit them to enter the land ( Numbers 14:41-45). Two New Testament examples of these "hard cases" may be Hymenaeus and Alexander. Paul said he had turned them over to Satan that they might learn not to blaspheme because they had apostatized ( 1 Timothy 1:18-20).
Verse 7
"A double illustration forms a transition between the negative and positive realities described in Hebrews 6:4-6and Hebrews 6:9-12:
Hebrews 6:4-6 Hebrews 6:7 Hebrews 6:8 Hebrews 6:9-12 negative reality positive image negative image positive reality" [Note: Ellingworth, p. 325.]
In the illustration in this verse, the ground represents believers who drink in the water of God’s Word and bear fruit as a result. This kind of response leads to God bestowing a blessing on those individuals who, by their fruit-bearing, have been a blessing to others (cf. Matthew 13:23).
Verse 8
If no good fruit results, however, only dangerous and destructive thorns, God will bring judgment on this ground rather than blessing it (cf. John 15:2; John 15:6).
"Worthless" literally means disapproved (Gr. adokimos). It does not mean totally rejected but failing to gain God’s blessing (cf. 1 Corinthians 9:27). It is "in danger of being cursed" but is not cursed as unbelievers are. "Burned" does not mean burned in hell (cf. 1 Corinthians 3:13-15). In ancient times, as well as today, farmers often burned their fields to removed unwanted vegetation, not to destroy the field itself. This is evidently a judgment on a believer that God allows because of his or her apostasy (cf. Isaiah 9:18-19; Isaiah 10:17; John 15:6; Hebrews 10:17). The judgment might result in premature death in some cases (cf. 1 John 5:16-17). However the text does not warrant concluding that this fate will befall every apostate. Some "fields" once burned turn out to be more productive in the future, and that might be what God’s judgment would lead to in the case of some apostates (cf. 1 Timothy 1:19-20). The purpose of the burning (chastening) is restoration to fruitfulness (cf. Hebrews 13:1-9; Hebrews 13:18-23). [Note: See Charles C. Bing, "Does Fire in Hebrews refer to Hell?" Bibliotheca Sacra 167:667 (July-September 2010):342-57.]
The history of the interpretation I have offered in this passage, and in Hebrews generally, is as follows. Robert Govett was one of the earliest modern authors who wrote on the theme of the Christian’s rewards. [Note: See Robert Govett, Entrance Into the Kingdom.] He was also a leading figure in the school of thought that took the warnings of Hebrews as being addressed to Christians who were eternally saved and secure. However some in this school also believed that unfaithful Christians would miss the Millennium and spend 1,000 years in a kind of "purgatory." Those in this school include G. H. Lang, [Note: G. H. Lang, The Epistle to the Hebrews, pp. 106-7.] R. E. Neighbor, [Note: R. E. Neighbor, If They Shall Fall Away.] and probably Philip Mauro. [Note: Philip Mauro, God’s Pilgrims.]
Among the standard commentators B. F. Westcott, James Moffatt, and I. Howard Marshall, as well as most others, took the view that the writer addressed true Christians in the warning passages. These three men took what we would call an Arminian stance, believing true Christians can lose their salvation, but they believed the writer addressed Christians in these passages.
Students of this passage sometimes assume that the view that the writer addressed only false professors (i.e., not genuine Christians) is the majority view, but it is not. It is, however, the most popular Calvinistic interpretation.
Another modern writer who takes this passage as I do is R. T. Kendall. [Note: R. T. Kendall, Once Saved, Always Saved, pp. 175-99, and 219-28. Kendall succeeded D. Martin Lloyd-Jones as minister of Westminster Chapel, London, England.] He also discussed briefly the history of this interpretation in the church fathers. [Note: Kendall, pp. 224-25.] Hodges also held this view [Note: Hodges, "Hebrews;" and The Gospel . . . .] as did Oberholtzer, [Note: Oberholtzer, "The Warning . . .," 145:319-28.] Dillow, [Note: Dillow, pp. 433-55.] Gleason, [Note: Randall C. Gleason, "The Old Testament Background of the Warning in Hebrews 6:4-8," Bibliotheca Sacra 155:617 (January-March 1998):62-91.] and others.
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Verse 9
The "better things" in view reflect the writer’s confidence that his readers would not turn away from the truth. He based his confidence on their realizing the dreadful consequences of apostasy that he had just explained and avoiding it. "Salvation" refers to the full salvation ahead of them, about which he had been speaking throughout this epistle (cf. Hebrews 1:14).
"The things to which he refers are defined in the following verses ( Hebrews 6:10-12): work and love, diligence to the end, and faith and patience. Salvation is the victorious participation with Christ in the coming kingdom as it is in Hebrews 1:14, which only those who persevere as companions of the King will inherit. The writer obviously expects that his readers will persevere to the end, enter into rest, and obtain these blessings." [Note: Dillow, p. 132.]
This is the only place in the epistle where the writer referred to his readers as "beloved" (dear friends). This affectionate address softens the severity of the warning just given ( Hebrews 6:4-8). Hebrews 6:9-12provide strong evidence, I believe, that genuine Christians are in view throughout this warning passage.
Verses 9-12
4. The encouraging prospect 6:9-12
Even though the danger his readers faced was great, the writer believed they could avoid it. Consequently he concluded this warning, as he did the ones in Hebrews 2:1-4and Hebrews 3:1to Hebrews 4:16, with a word of hope to encourage his audience.
Verse 10
God had taken note of the readers’ commendable Christian conduct and would justly reward them for it. Therefore they should persevere in it and not turn aside from it (i.e., apostatize). "Not unjust" is understatement; God is eminently just. This is also litotes, a figure of speech that sets forth a positive idea by stating its negative opposite (cf. Acts 12:18; Acts 15:2; Acts 17:4; Acts 17:12; Acts 19:24; Acts 27:20; et al.). [Note: For further discussion of rhetorical elements in Hebrews, see Trotter, pp. 164-77.]
Verses 11-12
"Hope is important. Probably no movement has ever gripped the hearts of people if it did not give them hope." [Note: Morris, p. 58.]
Earlier the writer had described his readers as being sluggish (lit. lazy, Hebrews 5:11). Now he urged them to be diligent and to stop being lazy ( Hebrews 6:12; cf. Proverbs 24:30-34; 2 Peter 1:5; 2 Peter 1:10). The same Greek word ( nothroi) occurs in both places. He wanted them to remain faithful to God while waiting patiently for Him to fulfill His promises to them regarding their future inheritance.
"The theme of imitation recurs in Hebrews 13:7, and in both instances faith is seen as steadfast persistence that pursues the divine promise . . ." [Note: Lane, p. 145.]
Some commentators have used this verse to support the unbiblical idea that believers should look to their good works as evidence of their election and as the basis for their assurance of salvation. This verse is not saying that. The Greek word plerophoriaalways means "fullness" in the passive sense, not "fulfilling." The writer meant that we need to be diligent regarding something we have already obtained, not to obtain something, namely, assurance. [Note: See Dillow, pp. 293-95.]
Note the linking of love ( Hebrews 6:10), hope ( Hebrews 6:11), and faith (v.12) here (cf. Hebrews 10:22-24). This triad occurs often in the New Testament epistles (cf. Romans 5:2-5; 1 Corinthians 13:13; Galatians 5:5-6; Colossians 1:4-5; 1 Thessalonians 1:3; 1 Thessalonians 5:8; 1 Peter 1:21-22).
Verses 13-15
The writer offered Abraham as an encouraging and supreme example of one who continued strong in faith and patience.
"There is in Hebrews a sustained interest in Abraham ( Hebrews 2:16; Hebrews 6:13-15; Hebrews 7:4-5; Hebrews 11:8-19). The appeal to Abraham as a prototype of faithful endurance in Hebrews 6:13-15gives specific content to the exhortation in Hebrews 6:12." [Note: Lane, p. 150.]
The promise to which the writer referred was the one God gave Abraham after he had obeyed God by offering up Isaac (cf. James 2:21). Abraham trusted God to fulfill His former promise regarding his descendants by raising Isaac from the dead ( Genesis 22:16-17). The writer was calling his readers to do what God called Abraham to do when He instructed him to go to Mt. Moriah. They too needed to continue to trust and obey, as they had done in the past, even though it looked as though perseverance would result in tragedy. Having patiently waited and remained steadfast in the face of trying circumstances, Abraham qualified to receive everything God wanted to give him (cf. Colossians 1:11; Hebrews 12:1-3; Hebrews 12:7; James 5:11).
Verses 13-20
B. The Basis for Confidence and Steadfastness 6:13-20
Again the change in genre, this time from exhortation to exposition, signals a new literary unit within the epistle. Here the writer proceeded to expound the reliability of God’s promise to Christians through Jesus Christ’s high priestly ministry. Notice the repetition of key words introduced in Hebrews 6:12as the exposition unfolds. This pericope contains a strong argument for the believer’s eternal security, so it is unlikely that we should understand the earlier part of the chapter as saying that we can lose our salvation.
Verses 16-18
When a person wants to end an argument, one way to do so is to appeal to a higher authority with an oath. For example, some people do this by saying, "I am telling the truth so help me God." Even God used an oath to guarantee His promise to bless Abraham greatly ( Genesis 22:16; cf. Exodus 32:13; Isaiah 45:23; Jeremiah 22:5; Jeremiah 49:13). God swearing by Himself signifies that He binds His word to His character. Thus God gave Abraham double assurance that He would indeed deliver what He had promised. He gave him the assurance of the promise of the God who does not lie and the assurance that God specially guaranteed that particular promise. The two unchangeable things are God’s promise and His oath. God’s strong promise to Abraham then can be a great encouragement to us now because God has also promised us future blessings. Specifically, He has promised that we will receive rewards when we see Him if we persevere faithfully now (cf. 2 Timothy 2:12).
The figure that closes Hebrews 6:18is an Old Testament one. In our times of temptation to apostatize we can flee to the promises of God. We can take hold of them as a fearful person in Israel could flee to the altar of burnt offerings, take hold of its horns, and be safe from his assailants. The cities of refuge also provided safety for the Israelites ( Numbers 35:9-15; Joshua 20). We have a better refuge than the Israelites did in Judaism.
"In Hebrews, the word ’hope’ never describes a subjective attitude (i.e., ’our hope,’ or ’hopefulness’) but always denotes the objective content of hope, consisting of present and future salvation . . ." [Note: Ibid., p. 153.]
Verses 19-20
These verses provide another illustration of our security. When Jesus Christ entered heaven at His ascension, He took our hope of future reward with Him. In the first century, sailors would carry their ship’s anchor in a small boat and deposit it on the shore so the ship would not drift away as waves beat against it (cf. Acts 27:29-30). Likewise the hope that Jesus Christ has planted firmly in heaven should serve as an anchor for our storm-tossed souls. It should keep us from drifting away from God (cf. Hebrews 2:1). Our anchor rests firmly in the holy of holies, in God’s presence in heaven, with Jesus. According to Wiersbe, at least 66 pictures of anchors appear in the catacombs under Rome indicating its popularity as a Christian symbol of Jesus Christ. [Note: Wiersbe, 2:298.]
"The author is not saying simply that hope secures the ’spiritual’ aspect of man. He is affirming that hope forms an anchor for the whole of life. The person with a living hope has a steadying anchor in all he does." [Note: Morris, p. 61.]
The writer returned here to his view of the universe as the true tabernacle of God ( Hebrews 3:1-6). He also returned to the thought of Jesus Christ as our High Priest after the order of Melchizedek ( Hebrews 5:10).
The writer was ready now to proceed to serve the solid food he said his readers needed to eat ( Hebrews 5:14to Hebrews 6:1). This spiritual meat was exposition concerning the present high priestly ministry of Jesus Christ.
Bibliographical Information Constable, Thomas. DD. "Commentary on Hebrews 6". "Dr. Constable's Expository Notes". https://www.studylight.org/ commentaries/ eng/ dcc/ hebrews-6.html. 2012.
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HUMANGGP:000471 - FACTA Search
cytochrome P-450 )
11,227 document(s) hit in 31,850,051 MEDLINE articles (0.00 seconds)
Aromatase, a cytochrome P-450 , catalyzes the formation of aromatic C18 estrogenic steroids from C19 androgens. DNA sequence analysis of the human aromatase gene has revealed that a putative promoter sequence exists immediately up-stream of the second exon. Chloramphenicol
acetyltransferase functional analyses of cells transfected with chloramphenicol acetyltransferase expression plasmids containing various DNA fragments derived from the 3'-end of the first intron of the aromatase gene were performed to show that a promoter indeed exists in this region. However, in all of the cell lines used in this study, MCF-7, JAR, OVCAR-3, and skin fibroblast, the function of this promoter was inhibited by a negative regulatory element situated up-stream from the promoter. The results further suggest that this inhibitory element behaves as a silencer element, in that it could inhibit a simian virus-40 promoter from a distance of several kilobases. This negative element worked in both orientations and inhibited the functions of several promoters, including the newly identified promoter situated in the 3'-end of the first intron of the human aromatase gene. Primer extension analysis has been performed to determine the potential transcription start site. The mechanism of the regulation of aromatase expression is known to be very complex. The presence of a promoter and a silencer at the 3'-end of the first intron may represent one additional way that aromatase expression is controlled in estrogen-producing cells.
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PMID:Identification of a promoter and a silencer at the 3'-end of the first intron of the human aromatase gene. 133 79
Genetic polymorphisms are common and are also found for drug metabolising enzymes such as acetyltransferase
and two distinct cytochrome P-450
isoenzymes that catalyse the oxidative metabolism of the model drugs debrisoquine and S-mephenytoin respectively. Thus, individual metabolic activity can be categorised as slow or rapid. The metabolism of a number of drugs has been shown to cosegregate with that of either of these substrates. In subjects with slow metabolism of a certain drug, its effects might be enhanced due to increased concentrations either of the drug itself or of its active metabolite(s). In practice, knowledge of a patient's debrisoquine metabolic phenotype is an advantage when prescribing tricyclic antidepressants and neuroleptics, as the drug concentration will be considerably higher in slow metabolisers than in the average patient. Codeine has no analgesic effect in slow metabolisers of debrisoquine, probably due to deficient metabolism to morphine. Pharmacogenetic data can also be utilised as an aid in interpreting the drug concentrations obtained in therapeutic drug monitoring programmes. The metabolism of diazepam, omeprazol, and proguanil is associated with the capacity to oxidise S-mephenytoin. Proguanil requires metabolic activation before it has any effect on the malaria parasite and this reaction seems severely impaired in slow metabolisers of S-mephenytoin. So far, no unequivocal relationship has been established as existing between drug oxidation phenotypes and spontaneous disease manifestations. The potential clinical importance of polymorphic metabolic drug elimination needs to be taken into consideration in assessing drugs.
...
PMID:[Knowledge about metabolic capacity is important in drug therapy]. 173 65
2-Amino-3,8-dimethylimidazo[4,5-f]quinoxaline (MeIQx) is a potent mutagen and carcinogen present in heated foodstuffs. The covalent binding of MeIQx to calf thymus DNA and calf liver RNA with microsomal activation was demonstrated. A major metabolite which exerts a direct mutagenic effect on S. typhimurium TA98 was found by HPLC analysis after incubation of MeIQx with rat liver microsomal fraction. The metabolite was identified as 2-hydroxyamino-3,8-dimethylimidazo[4,5-f]quinoxaline (N-OH-MeIQx). Synthetic N-OH-MeIQx was found to bind non-enzymatically to DNA and RNA at neutral pH even at 0 degrees C. Addition of acetic anhydride increased the binding of N-OH-MeIQx to DNA 10 times. These results suggest that MeIQx is metabolized to N-OH-MeIQx by microsomal cytochrome P-450 and further activated to an acetylated form that binds efficiently to nucleic acids in rat liver. Preferential modification of polyguanylic acid suggests that guanine residues of DNA are mainly modified with MeIQx. Synthetic N-OH-MeIQx exerted direct mutagenic activity on S. typhimurium TA98 inducing 150,000 rev/micrograms. Pentachlorophenol (PCP) caused a dose-dependent inhibition of this mutagenic effect, but 2,6-dichloro-4-nitrophenol (DCNP) did not. Thus the
acetyltransferase of S. typhimurium seems to be important for the high mutagenicity of MeIQx after its microsomal activation.
...
PMID:Nucleic acid binding and mutagenicity of active metabolites of 2-amino-3,8-dimethylimidazo[4,5-f]quinoxaline. 246 68
Adult male rats were sorted into control and infected groups, the latter receiving an oral dose of 20 metacercariae of Fasciola hepatica. In Weeks 3 and 6 after infection, some rats received phenobarbital or 3-methylcholanthrene which induced drug metabolizing enzymes. The parasitic pathology was ascertained by clinical observation of the rats and at autopsy. Hepatic microsomal
cytochrome P-450 content was significantly decreased in infected rats compared to untreated phenobarbital treated groups. In all infected rats, the simultaneous increase in cytosolic calcium and decrease in cytosolic glutathione corresponded to oxidative cell injury occurring in the course of fascioliasis. Both
arylamine acetyltransferase
(EC 2.3.1.5.) and glutathione transferase (EC 2.5.1.18) activities were decreased in all newly infected and 6 week infected groups. Fascioliasis did not alter the substrate related uridine diphosphate glucuronosyltransferase activities (EC 2.4.1.17) of any rat group.
...
PMID:Fasciola hepatica: liver enzymes in rats and interaction with chemical inducers. 356 74
Homogenate preparations from fresh livers of cattle, sheep, swine and rats were assayed for microsomal
cytochrome P-450 content, for mixed-function oxidase activities and for a wide array of conjugative activities using numerous xenobiotic substrates. Results show that hepatic enzymatic capabilities toward xenobiotics do not parallel phylogenetic classifications, thus strengthening the view that most of the comparative data available at present is more descriptive than predictive of relationships among species. Livestock species differed widely from rats in having lower activities of benzo(alpha)pyrene hydroxylase, glutathione S-transferase and
acetyltransferase toward isoniazid and sulfamethazine and UDP-glucuronosyl-transferase toward bilirubin. Acetyltransferase activities toward beta-naphthylamine and 2-aminofluorene were not detected in livers of livestock species studied. Cattle livers were remarkably high in activities of styrene oxide hydrolase, ethoxyresorufin O-deethylase, 2-naphthol sulfotransferase and p-aminobenzoic acid
acetyltransferase ; but notably low in activity of glutathione-S-transferase toward sulfobromophthalein and 1,2-dichloro-4-nitrobenzene. Swine livers had low activity of glutathione-S-transferase toward four of six substrates and low
acetyltransferase activity toward four of five substrates. Sheep livers generally were higher than cattle livers in sulfo- and UDP-glucuronsyltransferase activities and lower in acetyl- and glutathionyl-S-transferase. Findings emphasize the risk of error in extra-polations among species and in extrapolations among substrates.
...
PMID:Oxidative and conjugative metabolism of xenobiotics by livers of cattle, sheep, swine and rats. 642 1
Rats were pretreated with allyl alcohol, carbon tetrachloride or bromobenzene to induce histopathological evidence of periportal, midzonal to centrilobular, and centrilobular hepatic necrosis. The amount of various drug metabolizing enzyme systems present after necrosis was determined indirectly by measuring the rate of metabolism for specific substrates in vitro. The chemically induced hepatocellular injury of these toxins produced variable but significant alterations in hepatic drug metabolism. The changes in enzymatic activity related well with the area of the lesion produced by each toxin. Thus, these hepatotoxins appear to be useful as probes to determine the hepatolobular distribution of the various drug metabolizing enzyme systems studied. Aniline hydroxylase and p-nitroanisole o-demethylase were concentrated in the midzonal and periportal zones, while aminopyrine N-demethylase was more uniformly distributed along the
cytochrome P-450
gradient. Glucuronyltransferase was more heavily concentrated in the periportal-midzonal area,
acetyltransferase was centrilobular-midzonal and glutathionetransferase was concentrated in the midzonal region. Thus, as is the case for
cytochrome P-450
, there appears to be a high degree of regional organization for all of the drug metabolizing enzymes within the hepatic lobule.
...
PMID:The differential localization of various drug metabolizing systems within the rat liver lobule as determined by the hepatotoxins allyl alcohol, carbon tetrachloride and bromobenzene. 720 47
A highly sensitive umu test system for the detection of carcinogenic/mutagenic aromatic amines has been developed utilizing a new tester strain, Salmonella typhimurium NM2009, possessing an elevated O-acetyltransferase (O-AT) level. NM2009 was constructed by subcloning the bacterial O-AT gene into a plasmid vector pACYC184 and introducing the plasmid into the original strain S. typhimurium TA1535/pSK1002 harboring an umuC'-'lacZ fusion gene. The system is based on the ability of DNA-damaging agents (genotoxins) to induce umuC gene expression and monitored by measuring the cellular beta-galactosidase activity evoked by the fusion gene. Twenty-two aromatic amine compounds including arylamines, aminoazo dyes, and heterocyclic aromatic amines were tested for inducibility of DNA damage after metabolic activation by rat liver S9 in strain NM2009 and the sensitivity was compared with those of the parent strain TA1535/pSK1002 and the O-AT-defective strain NM2000. NM2009 had about 400 times higher O-AT activity than the parent strain. It was found that NM2009 was much more sensitive to aromatic amines than other strains to induce umuC gene expression after metabolic activation; the chemicals which were extremely sensitive in strain NM2009 include 2-aminoanthracene, 2-aminofluorene, 2-acetylaminofluorene, benzidine, 6-aminochrysene, 2,4-diaminotoluene, 2,6-diaminotoluene, 1-naphthylamine, o-tolidine, 3-MeO-AAB, o-aminoazotoluene, Glu-P-1, Trp-P-1, MeA alpha C, A alpha C, MeIQ, MeIQx, and IQ. In contrast, Trp-P-2 and PhIP showed almost similar sensitivities in three tester strains used in this study. These results suggest that strain NM2009 with high O-acetyltransferase activity is very useful to detect the genotoxic activities of potential mutagenic aromatic amine compounds, which require metabolic activation via the
cytochrome P-450 / acetyltransferase system.
...
PMID:Development of high sensitive umu test system: rapid detection of genotoxicity of promutagenic aromatic amines by Salmonella typhimurium strain NM2009 possessing high O-acetyltransferase activity. 788 66
Our earlier investigations demonstrated the remarkable activation of cytochrome P-450 reductase and nitric oxide synthase by 7,8-diacetoxy-4-methylcoumarin, a model polyphenolic acetate by way of acetylation, catalyzed by the Calreticulin. Protein
acetyltransferase action of Calreticulin was hence termed Calreticulin transacetylase (CRTAase). Nitric oxide synthase and nitrite reductase are now considered as parts of nitric oxide cycle. The activation of platelets nitric oxide synthase by 7,8-diacetoxy-4-methylcoumarin has already been demonstrated by us. Also, there are reports that certain proteins such as cytochrome P-450 reductase and
cytochrome P-450 are endowed with the nitrite reductase activity in mammalian cells. Keeping these facts in view, we turned our attention to probe whether 7,8-diacetoxy-4-methylcoumarin could alter the levels of nitric oxide independent of the action of nitric oxide synthase in the human platelets model. The incubation of 7,8-diacetoxy-4-methylcoumarin and nitrite with platelets caused significant elevation of nitric oxide and cyclic guanosine monophosphate levels possibly due to the activation of nitrite reductase. Several polyphenolic acetates were similarly found to activate the nitrite reductase in tune with their affinities as substrate to CRTAase. N-omega-Nitro-L-arginine methyl ester, the inhibitor of nitric oxide synthase, failed to reverse such an effect of 7,8-diacetoxy-4-methylcoumarin. Clotrimazole which is known to be an inhibitor of nitrite reductase, effectively abolished the 7,8-diacetoxy-4-methylcoumarin mediated enhancement of nitric oxide levels in platelets as well as the nitric oxide mediated effects; such as cyclic guanosine monophosphate levels as well as adenosine diphospate induced platelets aggregation due to nitrite.
...
PMID:The role of calreticulin transacetylase in the activation of human platelet nitrite reductase by polyphenolic acetates. 1918 69 | http://www.nactem.ac.uk/facta/cgi-bin/facta3.cgi?query=HUMANGGP%3A000471%7C111111%7C0%7C0%7C71596%7C0%7C10 |
Low-income women four times more likely to report fair or poor health -- ScienceDaily
Low-income women are four times more likely to report fair or poor health, and nearly twice as likely to report a health condition that limits one or more of the basic physical activities, according to a new policy brief. They also experience inadequate access to health insurance and health care to a far greater degree than higher-income women, the study found.
Low-income women four times more likely to report fair or poor health
Summary:
Low-income women are four times more likely to report fair or poor health, and nearly twice as likely to report a health condition that limits one or more of the basic physical activities, according to a new policy brief. They also experience inadequate access to health insurance and health care to a far greater degree than higher-income women, the study found.
Low-income women are four times more likely than higher-income women to report fair or poor health and nearly twice as likely to report a health condition that limits their basic physical activities, according to a new policy brief from the UCLA Center for Health Policy Research.
These women also experience inadequate access to health insurance and health care to a far greater degree than their higher-income counterparts, the study found.
The research, which examines data from the 2007 California Health Interview Survey (CHIS) represents the most comprehensive overview of the health of California's approximately 3.8 million women between the ages of 18 and 64 who have family incomes below 200 percent of the federal poverty level (FPL).
However, "the data was collected before the recession, and low-income women are particularly vulnerable to downturns in the economy, which means that their status is likely to be even worse today," said Roberta Wyn associate director of the center and co-author of the policy brief, "Health Disparities Among California's Nearly Four Million Low-Income Nonelderly Adult Women."
"Women, especially in poor families, are often breadwinners whose good health is essential to keeping their families afloat," Wyn said. "Improving the health status of these women is an essential coping strategy for the state as a whole during economic hard times."
According to the study, low-income women are more likely to report a health condition that limits basic physical activities such as walking, climbing stairs, lifting or carrying. They are also more likely to report having difficulty performing basic daily activities, such as dressing, bathing or getting around the house. And mid-life, low-income women have higher rates of diabetes, high blood pressure and heart disease -- three of four chronic health conditions examined in the research.
Despite Medi-Cal, four in 10 low-income women were uninsured for all or part of 2007 -- nearly six times the rate of higher-income women. Lack of access to employment-based insurance, the main source of coverage for most women, was a primary reason. Only two in 10 low-income women (22 percent) were covered by employment-based coverage, while the prohibitively high cost of privately purchased insurance was reflected in the small proportion of low-income women who have it: just 4 percent.
Despite their poorer health status, low-income women also experience significantly greater gaps in access to health care. Specifically:
They are less likely to see a physician: One in five low-income women (20 percent) reported no physician visit in the past year, compared with 8 percent of higher-income women.
They get less preventive screening: Low-income women are the least likely to be screened for cervical and breast cancer, while screening rates increase among higher-income women. One-fifth of low-income women had not received a Pap test in the past three years. Among low-income women between the ages of 40 and 64, one-third had not received a mammogram in the past two years.
Latina and Native American women are the most likely to have limited family incomes. Nearly six in 10 Latinas (58 percent), 47 percent of American Indian/Alaska Native women, 41 percent of African American women, 28 percent of Asian/Pacific Islander women and 29 percent of multiple-race women have low incomes. In comparison, 16 percent of white women are in low-income families.
The policy brief defines low-income women as those whose family incomes range from 0 to 199 percent of the federal poverty level (FPL), a national measure of poverty that varies by family income and family size. Higher-income women are defined as women whose family income is 400 percent of the FPL or greater.
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University of California - Los Angeles. "Low-income women four times more likely to report fair or poor health." ScienceDaily. ScienceDaily, 4 January 2010. <www.sciencedaily.com/releases/2009/11/091130151327.htm>.
University of California - Los Angeles. (2010, January 4). Low-income women four times more likely to report fair or poor health. ScienceDaily. Retrieved July 7, 2023 from www.sciencedaily.com/releases/2009/11/091130151327.htm
University of California - Los Angeles. "Low-income women four times more likely to report fair or poor health." ScienceDaily. www.sciencedaily.com/releases/2009/11/091130151327.htm (accessed July 7, 2023).
| https://www.sciencedaily.com/releases/2009/11/091130151327.htm |
Stokes, Whitley | Dictionary of Irish Biography
Stokes, Whitley
Stokes, Whitley
(1830–1909), lawyer and Celtic scholar, was born 28 February 1830 in Dublin, the eldest son of DrWilliam Stokes(qv), heart specialist, and his wife, Mary, daughter of John Black of Glasgow. The Stokes children were raised in a family steeped in Celtic culture and tradition. Their grandfather,Whitley Stokes(qv), was a renowned Irish language scholar and a friend ofTheobald Wolfe Tone(qv), while their father was a respected antiquary. Irish writers and scholars, such asGeorge Petrie(qv),John O'Donovan(qv), SirSamuel Ferguson(qv), andEugene O'Curry(qv), were regular guests at the Stokes household, and this potent cultural atmosphere permanently influenced Whitley's intellectual interests, as well as those of his younger sister, the noted archaeologist, artist, and illustratorMargaret McNair Stokes(qv). There were at least two other siblings: SirWilliam Stokes(qv) (1839–1900) (who followed his father into medicine) and Elizabeth Stokes, who married John Maxwell of Butlerstown Castle.
Whitley briefly attended St Columba's College, near Dublin, in the winter of 1845 before entering TCDin March 1846, where he studied mathematics. While at Trinity he pursued his interest in Gaelic language and literature, helped and influenced by his friend Rudolf Thomas Siegfried (d. 1863), a philologist from Tübingen who later became professor of Sanskrit and comparative philology at Trinity. Though Stokes took lessons in modern Irish he was unable to master its pronounciation, and his interest in the language was principally as an academic subject for comparative philology. After graduating in 1851 he moved to London to study law, entering the Inner Temple in October 1851. He was called to the English bar in 1855 and practised as an equity draftsman and conveyancer in London until 1862. Meanwhile he maintained his literary interests, contributing anonymous reviews and articles to the London press and socialising with artists and writers such as Dante Gabriel Rossetti, Robert and Elizabeth Browning, andWilliam Allingham(qv).
The publication of John Caspar Zeuss's Grammatica Celtica(1853) fostered Stokes's passion for comparative philology, and in 1859 he began his prolific publications on Celtic scholarship with the well-received ‘Irish glosses from a MS. in Trinity College Dublin’. His first book, Irish glosses: a medieval tract on Latin declension(1860), was awarded a gold medal by the RIA. At the same time he began publishing on law ( A treatise on the liens of legal practitioners, 1860; Powers of attorney, 1861), and in 1862 he travelled to India, where he became prominent in legal administration. He worked in Madras as a reporter to the high court and acting administrator-general (1863–4), and was subsequently appointed to the governor-general's legislative council (1865) and to the legislative department of the government of India (1865–77). He was law member of the council of the governor-general (1877–82), during which time he was appointed president of the Indian law commission (1879). His study of Sanskrit enabled him to produce Hindu law books(1865), and he drafted much of the codes of civil and criminal procedure ( Anglo-Indian codes, 2 vols, 1887), as well as producing several other works on Indian statutes. After being made CSI(1877) and CIE(1879), he left India in 1882 and settled in England.
Stokes received many academic honours in the course of his distinguished literary career. He was nominated a founder fellow of the British Academy, a foreign associate of the Institute of France, and an honorary fellow of Jesus College, Oxford. Awarded an honorary LLDby TCD (1868) and Edinburgh, and a DCLfrom Oxford, he was also an honorary member of the German Oriental Society. In 1865 he married Mary, daughter of Colonel Bazely of the Bengal artillery; they had two sons and two daughters. His second wife was Elizabeth Temple (d. 1901), whom he married in 1884. He died 13 April 1909 at his home, 15 Grenville Place, Kensington, London, and was buried three days later in Paddington cemetery, Willesden Lane, London.
In 1910 Stokes's daughters presented his extensive library (including an archive of his own work) to University College, London. Other archives are in Dublin at the NLI, the RIA, and TCD, and in the British Library, London. There are several likenesses of Stokes: a portrait signed ‘CMB’ (Trinity College), a marble bust (Jesus College, Oxford), and a photograph in Best, Whitley Stokes.
Sources
A catalogue of graduates who have proceeded to degrees in the University of Dublin(1869), 543; Joseph Foster, The register of admissions to Gray's Inn 1521–1889(1889), 454; Ir. Times, 14 Apr. 1909; WWW(contains a list of publications); Alumni Dubl.(1924), 785; College of St Columba, The register from 1843 to 1926(1926), 11; Dublin Directory(1930), 39; Richard Irvine Best, Whitley Stokes, 1830–1909: a memorial discourse . . .(1951); R. B. McDowell and D. A. Webb, Trinity College Dublin 1592–1952(1982), 313; Brian de Breffney, Ireland: a cultural encyclopaedia(1983), 229; Anne Crookshank and David Webb, Paintings and sculptures in Trinity College Dublin(1990), 129; Welch, 541
Publishing information
DOI: https://doi.org/10.3318/dib.008335.v1
Originally published October 2009 as part of the Dictionary of Irish Biography
Last revised October 2009
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Forename: Whitley
Surname: Stokes
Gender: Male
Career: Law , Irish Language , History, Archaeology and Antiquarianism , Classics and Languages
Religion: Anglican
Born 28 February 1830 in Co. Dublin
Died 13 April 1909 in England
| https://www.dib.ie/biography/stokes-whitley-a8335 |
Occupy the Blog! (2/5/2012) - Shadowproof
Occupy the Blog! (2/5/2012)
We’ve had a lot of good posts and diaries about Occupations around the country since thelast Occupy the Blog!As always, the reports are a mix of good news and bad news. Occupy Buffalo was evicted this week while supposedly the city was negotiating with the occupiers. Kevin Gosztola reportedherewhile Jane Hamsher called out the authoritieshereandhere. The folks atOccupy Buffalo reported herefor us on the “Myths and Facts”:
MYTH 1: Since Occupy Buffalo has been evicted, the movement is over.FACT 1: Occupy Buffalo is not going anywhere. We are still in Niagra Square and continue to organize and be active in the community!General Assemblies are still scheduled for Saturdays at noon, and Mondays & Wednesdays at 7pm at Niagra Square. There is a calendar of events on our facebook page and our website www.occupybuffalo.org.
Come join us!
Kevin also reported on the eviction of Occupy DChereandhere. Diaristjest also provided a first person account of the eviction in DChere with a lot of good pictures.
Kevin again provides an update for the extra steps the folks atOccupy Rochester are having to deal with here.
Kyushukev has had a couple of reports from Occupy Nashville. First up isthis report from Tuesdayon plans to Occupy the Legislature on Wednesday.Here is his report with some videosfrom the Wednesday action.
CTuttle has had a couple of reports onOccupy HonoluluandOccupy Hiloactivities.
RFShunt had a report on some attemptedgenerational warfare/mis-direction from a Koch Brothers mouthpiece here:
The uproariously named “Reason.tv” has a video out entitled “Why Geezers Are the True Enemy of the Occupy Movement” featuring Veronique de Rugy. In the video, Ms. de Rugy explains to young occupiers that the elderly have done deplorably well in the preceding few decades. This makes Nonna and Nonno the natural enemies of the young and should therefore be stripped of Social Security and Medicare. In her defense, she does stop short of suggesting they be taken to the nearest frozen mountaintop and set adrift.
Lest she be mistaken for some class warrior, Ms. de Rugy hastens to point out that even though many of the aged are rolling in enough gelt to keep them in poligrip and corrective shoes for the rest of their lives, they differ from the one-percent. The heroic one-percenters, you see, amassed their riches by making contributions to the economy, unlike grandma who fritters away her days watching Matlock reruns and has yet to outsource a single job.
He followed that up with the news thatOccupy Pittsburgh had been given notice of eviction here.
With all of the bad news, there were a few areas with good news to report.Susan Marie let us know about Occupy OC:
Peaceful. That’s how I describe the scene here at Occupy-OC’s Fullerton encampment. Set in the duck pond section of Hillcrest Park on the banks of a concrete creek, this tidy tent city is a reflection of the residents who inhabit it.
Everyone I met on a sunny Tuesday morning greeted me with a smile and friendly hello. And everyone had something to say.
This is the group that has taken the time to negotiate the terms and conditions of their various long-term overnight Occupations. The results to date speak for themselves.
Progressivechris also gave us some good news from Occupy Harrisburg here:
With the assistance of the Occupy Supply Fund and the Harrisburg Society of Friends [Quakers], Occupy Harrisburg continues to make a stand for social and economic justice right where it all began on October 15, 2011: at the steps of the Pennsylvania State Capitol. Occupy Harrisburg has been through a great deal in the past 100 days, and this entry will sum up the major actions and activities, which I meant to post well before now.
First, all of us at Occupy Harrisburg want to extend a huge THANK YOU! to Jane Hamsher, Steve C. and the Occupy Supply Fund for the incredible generosity shown to us. The donations have been overwhelming and have helped us persevere in the toughest weather conditions. Recently, Occupy Harrisburg received a second round of donations including full-body, cold-weather suits. These went to our stalwarts at the steps and were graciously received. Be assured that they have been put to good, and continuous, use since their arrival. We cannot express the deep sense of gratitude to all of the donors at the Occupy Supply Fund for their continuing support these past several weeks. Thank you, again!!
Please continue to provide reports at MyFDL on the activities and actions at the various occupations. Good news or bad, we want to hear from folks with as many first hand accounts as we can get.
| https://shadowproof.com/2012/02/05/occupy-the-blog-252012/ |
Electron-impact study of SOS using the R-matrix method (Journal Article) | OSTI.GOV
The U.S. Department of Energy's Office of Scientific and Technical Information
Title:
Electron-impact study of SOS using the R-matrix method
Full Record Other Related Research
Abstract
We have carried out a comprehensive study of electron impact on open SOS isomer by using the R-matrix method. Elastic (integrated and differential), momentum-transfer, excitation, and ionization cross sections along with efffective collision frequency over a wide electron temperature range (100-30 000 K) have been presented. The target states are represented by including correlations via a configuration interaction technique. The results of the static-exchange, correlated one-state, and 31-state close-coupling approximation are presented. Our study has detected a shape resonance, five core-excited shape resonances, and two Feshbach resonances in the 31-state model. We detect a stable bound state of SOS{sup -} having configuration 1a{sub 1}{sup 2}2a{sub 1}{sup 2}...9a{sub 1}{sup 2},1b{sub 1}{sup 2}2b{sub 1}{sup 2}3b{sub 1},1b{sub 2}{sup 2}2b{sub 2}{sup 2}...7b{sub 2}{sup 2},1a{sub 2}{sup 2}2a{sub 2}{sup 2} with a vertical electronic affinity value of 1.999 eV. The ionization cross sections are calculated in the binary-encounter Bethe model in which Hartree-Fock molecular orbitals at self-consistent level are used to calculate kinetic and binding energies of the occupied molecular orbitals.
Authors:
Kaur, Savinder ; Baluja, K L [1]
+ Show Author Affiliations
Department of Physics and Astrophysics, University of Delhi, Delhi 110007 (India)
Publication Date:
2010-08-15
OSTI Identifier:
21448514
Resource Type:
Journal Article
Journal Name:
Physical Review. A
Additional Journal Information:
Journal Volume: 82; Journal Issue: 2; Other Information: DOI: 10.1103/PhysRevA.82.022717; (c) 2010 The American Physical Society; Journal ID: ISSN 1050-2947
Country of Publication:
United States
Language:
English
Subject:
74 ATOMIC AND MOLECULAR PHYSICS ; AFFINITY ;
BINDING ENERGY ; BOUND STATE ; CONFIGURATION INTERACTION ; CORRELATIONS ; COUPLING ; CROSS SECTIONS ; ELECTRON TEMPERATURE ; ELECTRON-MOLECULE COLLISIONS ; ELECTRONS ; EV RANGE ;
EXCITATION ; HARTREE-FOCK METHOD ; IONIZATION ;
ISOMERS ; MOMENTUM TRANSFER ; R MATRIX ;
RESONANCE ; SULFUR OXIDES ; APPROXIMATIONS ;
CALCULATION METHODS ; CHALCOGENIDES ;
COLLISIONS ; ELECTRON COLLISIONS ;
ELEMENTARY PARTICLES ; ENERGY ; ENERGY RANGE ; ENERGY-LEVEL TRANSITIONS ; FERMIONS ;
LEPTONS ; MATRICES ; MOLECULE COLLISIONS ;
OXIDES ; OXYGEN COMPOUNDS ; SULFUR COMPOUNDS
Citation Formats MLA APA Chicago BibTeX Kaur, Savinder, and Baluja, K L. Electron-impact study of SOS using the R-matrix method . United States: N. p., 2010.
Web. doi:10.1103/PHYSREVA.82.022717. Copy to clipboard Kaur, Savinder, & Baluja, K L. Electron-impact study of SOS using the R-matrix method . United States. https://doi.org/10.1103/PHYSREVA.82.022717 Copy to clipboard Kaur, Savinder, and Baluja, K L. 2010.
"Electron-impact study of SOS using the R-matrix method". United States. https://doi.org/10.1103/PHYSREVA.82.022717. Copy to clipboard @article{osti_21448514, title = {Electron-impact study of SOS using the R-matrix method}, author = {Kaur, Savinder and Baluja, K L}, abstractNote = {We have carried out a comprehensive study of electron impact on open SOS isomer by using the R-matrix method. Elastic (integrated and differential), momentum-transfer, excitation, and ionization cross sections along with efffective collision frequency over a wide electron temperature range (100-30 000 K) have been presented. The target states are represented by including correlations via a configuration interaction technique. The results of the static-exchange, correlated one-state, and 31-state close-coupling approximation are presented. Our study has detected a shape resonance, five core-excited shape resonances, and two Feshbach resonances in the 31-state model. We detect a stable bound state of SOS{sup -} having configuration 1a{sub 1}{sup 2}2a{sub 1}{sup 2}...9a{sub 1}{sup 2},1b{sub 1}{sup 2}2b{sub 1}{sup 2}3b{sub 1},1b{sub 2}{sup 2}2b{sub 2}{sup 2}...7b{sub 2}{sup 2},1a{sub 2}{sup 2}2a{sub 2}{sup 2} with a vertical electronic affinity value of 1.999 eV. The ionization cross sections are calculated in the binary-encounter Bethe model in which Hartree-Fock molecular orbitals at self-consistent level are used to calculate kinetic and binding energies of the occupied molecular orbitals.}, doi = {10.1103/PHYSREVA.82.022717}, url = {https://www.osti.gov/biblio/21448514},
journal = {Physical Review. A}, issn = {1050-2947}, number = 2, volume = 82, place = {United States}, year = {2010}, month = {8} } Copy to clipboard
Journal Article:
https://doi.org/10.1103/PHYSREVA.82.022717
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Similar records in OSTI.GOV collections: Low-energy elastic and inelastic scattering of electrons from SO{sub 2} using the R-matrix method Journal Article Gupta, Monika ; Baluja, K - Physical Review. A
R-matrix method is used to calculate elastic differential, integral, and momentum transfer cross sections for electron-SO{sub 2} collision. The electron-impact excitation cross sections for first seven low-lying electronic excited states of SO{sub 2} molecule from the ground state of SO{sub 2} molecule have been calculated for the first time. Sixteen low-lying electronic states of SO{sub 2} molecule are included in the close coupling expansion of the wave function of the entire scattering system, which have vertical excitation energies up to 10.51 eV. Configuration-interaction (CI) wave functions are used to calculate these excitation energies. In our CI model, we keep the more » core 14 electrons frozen in doubly occupied molecular orbitals 1a{sub 1}, 2a{sub 1}, 3a{sub 1}, 4a{sub 1}, 1b{sub 1}, 1b{sub 2}, 2b{sub 2} and the remaining 18 electrons span the relevant active space: 5a{sub 1}, 6a{sub 1}, 7a{sub 1}, 8a{sub 1}, 9a{sub 1}, 2b{sub 1}, 3b{sub 1}, 3b{sub 2}, 4b{sub 2}, 5b{sub 2}, 6b{sub 2}, and 1a{sub 2}. Our calculated dipole moment of the ground state of SO{sub 2} at its equilibrium geometry is 0.79 a.u., which is in reasonable agreement with the corresponding experimental value 0.64 a.u. Our calculations detect one bound SO{sub 2}{sup -} state ({sup 2}B{sub 1}) at the equilibrium geometry of SO{sub 2} molecule. Both shape as well as core-excited shape resonances have been identified in the present work and are correlated with the experimental results on dissociative electron attachment study. A detailed analysis of resonances is provided. Cross sections are reported for the electron impact energy range 0-15 eV. All cross section calculations are performed in the fixed-nuclei approximation at the experimental equilibrium geometry of the ground state of SO{sub 2} molecule. We have also investigated dependence of resonances on the geometry of SO{sub 2} molecule to probe the possible pathways for dissociation of resulting negative ion upon electron attachment. We have excellent agreement of differential, elastic integral, and momentum transfer cross sections calculated in the 16-state R-matrix approximation with the available experimental results for electron-impact energy range 0-15 eV. Our resonant peaks correlate well with the peaks observed in the study of dissociative electron attachment (DEA) of electron with SO{sub 2} molecule. « less https://doi.org/10.1103/PHYSREVA.73.0 Electron-impact study of S{sub 3} using the R-matrix method Journal Article Kaur, Savinder ; Bharadvaja, Anand ; Baluja, K - Physical Review. A
We have carried out a comprehensive study of electron impact on the open-chain S{sub 3} isomer by using the R-matrix method. Elastic (integrated and differential), momentum-transfer, excitation, and ionization cross sections, along with effective collision frequency over a wide electron temperature range (500-30 000 K) have been presented. The target states are represented by including correlations via a configuration interaction technique. The results of the static-exchange, correlated 1-state, and 24-state close-coupling approximations are presented. Our study has detected a shape resonance, six core-excited shape resonances, and one Feshbach resonance in the 24-state model. We detect a stable bound state of more » S{sub 3}{sup -} of {sup 2}B{sub 1} symmetry having a configuration ...11a{sub 1}{sup 2},...3b{sub 1}{sup 2}4b{sub 1},...8b{sub 2}{sup 2},...2a{sub 2}{sup 2}, with a vertical electronic affinity value of 2.15 eV, and a ionization potential value of 9.77 eV, which are in good agreement with the experimental values of 2.093{+-}0.025 and 9.68{+-}0.03 eV, respectively. The ionization cross sections are calculated using the binary-encounter-Bethe model in which Hartree-Fock molecular orbitals at a self-consistent level are used to calculate kinetic and binding energies of the occupied molecular orbitals. We have used partial waves up to l=4 to represent continuum electron in our R-matrix method. A Born top-up procedure is invoked to account for the contribution of partial waves higher than l=4 to obtain converged cross sections. « less https://doi.org/10.1103/PHYSREVA.83.062707 Synthesis and structures of cationic aluminum and galllium amidinate complexes Journal Article Dagorne, S ; Guzei, I ; Coles, M ; ... - Journal of the American Chemical Society
Aluminum and gallium amidinate complexes, {l{underscore}brace}RC(NR{prime}){sub 2}{r{underscore}brace}MMe{sub 2} (R, R{prime} = alkyl; M - Al, Ga), react with the ``cationic activators'' [Ph{sub 3}C][B(C{sub 6}F{sub 5}){sub 4}] and B(C{sub 6}F{sub 5}){sub 3} to yield cationic Al and Ga alkyl species whose structures are strongly influenced by the steric properties of the amidinate ligand. The reaction of acetamidinate Al complexes {l{underscore}brace}MeC(NR{prime}){sub 2}{r{underscore}brace}AlMe{sub 2}(R{prime} = {sup i}Pr, 1a; R{prime} = Cy, 3a) with 0.5 equiv of [Ph{sub 3}C][B(C{sub 6}F{sub 5}){sub 4}] or B(C{sub 6}F{sub 5}){sub 3} yields {l{underscore}brace}MeC(NR{prime}){sub 2}{r{underscore}brace}{sub 2}Al{sub 2}Me{sub 3}{sup +} (R{prime} - {sup i}Pr, 2a{sup +}; R{prime} = Cy, 4a{sup more » +}) as the B(C{sub 6}F{sub 5}){sub 4}{sup {minus}} or MeB(C{sub 6}F{sub 5}){sub 3}{sup {minus}} salts. X-ray crystallographic analyses establish that 2a{sup +} and 4a{sup +} are double-amidinate-bridged dinuclear cations, in which the two metal centers are linked by {mu}-{eta}{sup 1},{eta}{sup 1} and {mu}-{eta}{sup 1},{eta}{sup 2} amidinate bridges. NMR studies show that 2a{sup +} undergoes two dynamic processes in solution: (1) a {mu}-{eta}{sup 1},{eta}{sup 1}/{mu}-{eta}{sup 1},{eta}{sup 2} amidinate exchange and (2) Me exchange between the two metal centers. The reaction of {l{underscore}brace}MeC(N{sup i}Pr){sub 2}{r{underscore}brace} (1b) with 0.5 equiv of B(C{sub 6}F{sub 5}){sub 3} yields {l{underscore}brace}MeC(N{sup i}Pr){sub 2}{r{underscore}brace}{sub 2}Ga{sub 2}Me{sub 3}{sup +} (2b{sup +}), whose structure and dynamic properties are similar to those of 2a{sup +}. The reaction of the bulkier {sup t}Bu-substituted amidinate complexes {l{underscore}brace}{sup t}BuC(N{sup i}Pr){sub 2}{r{underscore}brace}MMe{sub 2} (M - Al, 6a; M - Ga, 6b) with 0.5 equiv of [Ph{sub 3}C][B(C{sub 6}F{sub 5}){sub 4}] yields {l{underscore}brace}{sup t}BuC(N{sup i}Pr){sub 2}{r{underscore}brace}MMe{sub 2}{sm{underscore}bullet}{l{underscore}brace}{sup t}BuC(N{sup i}Pr){sub 2}{r{underscore}brace}MMe{sup +} (M - Al, 7a{sup +}; M - Ga, 7b{sup +}) as the B(C{sub 6}F{sub 5}){sub 4}{sup {minus}} salts, the former of which is thermally unstable. An X-ray crystallographic analysis establishes that 7b{sup +} is a single-amidinate-bridged dinuclear cation, in which the two metal centers are linked by a {mu}-{eta}{sup 1},{eta}{sup 2}amidinate bridge. NMR data establish that the structures of 7a{sup +} and 7b{sup +} are similar and both species are rigid in solution. 6a and 6b also react with B(C{sub 6}F{sub 5}){sub 3} to yield [7a][MeB(C{sub 6}F{sub 5}){sub 3}] and [7b][MeB(C{sub 6}F{sub 5}){sub 3}], respectively, which decompose by C{sub 6}F{sub 5}{sup {minus}} transfer to yield {l{underscore}brace}{sup t}BuC(N{sup i}Pr){sub 2}{r{underscore}brace}M(ME)(C{sub 6}F{sub 5}) (M = Al, 9a; M - Ga, 9b) and boron species. The ``super-bulky'' amidinate complexes {l{underscore}brace}{sup t}BuC(N{sup t}Bu){sub 2}{r{underscore}brace}MMe{sub 2} (M - Al, 12a; M - Ga, 12b)react with 1 equiv of [Ph{sub 3}C][B(C{sub 6}F{sub 5}){sub 4}] to yield {l{underscore}brace}{sup t}BuC(N{sup t}Bu){sub 2}{r{underscore}brace}MMe{sup +} (M = Al, 13a{sup +}; M = Ga, 13b{sup +}) as the B(C{sub 6}F{sub 5}){sub 4}{sup {minus}} salts. The salts [13a][B(C{sub 6}F{sub 5}){sub 4}] and [13b][B(C{sub 6}F{sub 5}){sub 4}] are thermally unstable and could not be isolated. However, the NMR data for 13a{sup +} and 13b{sup +} in C{sub 6}D{sub 5}Cl are consistent with base-free, three-coordinate structures or labile, four-coordinate solvated cations. These results provide a starting point for understanding the mechanism and reactivity trends in ethylene polymerization catalyzed by cationic Al amidinate species. « less https://doi.org/10.1021/ja992104j Transformation of alkenyl-N-arylthioamido ligands into quinoline-2-thiolate ligands in dirhenium carbonyl complexes Journal Article Adams, R ; Chen, L ; Wu, W - Organometallics; (United States)
Irradiation of the alkenyl-N-arylthioamide complexes Re(CO)[sub 4][(E)-HC=C(CO[sub 2]Me)C=N-(C[sub 6]H[sub 4]-p- R)S] Re(CO)[sub 4], 1a-c, R = H, Me, Cl, in the presence of iodine yielded a mixture of four products: Re[sub 2](CO)[sub 7][[mu]-2-S-3-CO[sub 2]Me-6-RNC[sub 9]H[sub 4]] ([mu]-I), 2a-c, R = H, Me, Cl; Re(CO)[sub 4][(E)-HC=C-(CO[sub 2]Me) C=N(C[sub 6]H[sub 4]-p-R)S]Re[sub 2](CO)[sub 7]([mu]-I), 3a-c, R = H, Me, Cl;Re(CO)[sub 4][(E)-HC=C(CO[sub 2]Me)C-(NHC[sub 6]H[sub 4]-p- R)=S] B Re(CO)[sub 4](I), 4a-c, R = H, Me, Cl;Re(CO)[sub 4](2-S-3-CO[sub 2]Me-6-RNC[sub 9]H[sub 4]), 5a-c, R = H, Me, Cl, with compounds 5 being the major products. Compounds 2a-c, 4a-c, and 5a-c are new. Compounds 4a-c were also obtained more » from the reaction of 1a-c with HI. UV irradiation of 1b in the absence of iodine yielded the compounds Re[sub 2](CO)[sub 8][[mu]-2-S-3-CO[sub 2]Me-6-MeNC[sub 9]H[sub 4]] ([mu]-H) , 6b, Re[sub 2](CO)[sub 7][[mu]-2-S-3-CO[sub 2]Me-6-MeNC[sub 9]H[sub 4]]([mu]-H) , 7b, and 5b, while UV irradiation of 6b yielded 7b and 5b plus Re[sub 3](CO)[sub 12]([mu]-H)[sub 3]. UV irradiation of 2b in the presence of CO yielded 5b plus Re[sub 2](CO)[sub 8]([mu]-I)[sub 2]. UV irradiation of 3b also yielded 2b, 5b, and some 7b. Treatment of 7b with iodine yielded 2b. Finally, from the UV irradiation of 5b the dimer [Re(CO)[sub 3](2-S-3-CO[sub 2]Me-6-MeNC[sub 9]H[sub 4])][sub 2], 8b, was obtained in 57% yield. Complexes 2b, 4c, 5b, 6b, 7b, and 8b were characterized by single crystal X-ray diffraction analyses. The compounds 2 and 5-8 all contain substituted quinoline-2-thiolate ligands formed by the coupling of one of the carbon atoms of the aryl ring to the hydrogen-substituted carbon atom of the alkeny group. Crystal data are provided. 11 refs., 6 figs., 7 tabs. « less https://doi.org/10.1021/om00036a041 Combined theoretical and experimental study of the valence, Rydberg, and ionic states of chlorobenzene Journal Article Ridley, Trevor ; Coreno, Marcello ; Grazioli, Cesare ; ... - Journal of Chemical Physics
New photoelectron (PE) and ultra violet (UV) and vacuum UV (VUV) spectra have been obtained for chlorobenzene by synchrotron study with higher sensitivity and resolution than previous work and are subjected to detailed analysis. In addition, we report on the mass-resolved (2 + 1) resonance enhanced multiphoton ionization (REMPI) spectra of a jet-cooled sample. Both the VUV and REMPI spectra have enabled identification of a considerable number of Rydberg states for the first time. The use of ab initio calculations, which include both multi-reference multi-root doubles and singles configuration interaction (MRD-CI) and time dependent density functional theoretical (TDDFT) methods, has more » led to major advances in interpretation of the vibrational structure of the ionic and electronically excited states. Franck-Condon (FC) analyses of the PE spectra, including both hot and cold bands, indicate much more complex envelopes than previously thought. The sequence of ionic states can be best interpreted by our multi-configuration self-consistent field computations and also by comparison of the calculated vibrational structure of the B and C ionic states with experiment; these conclusions suggest that the leading sequence is the same as that of iodobenzene and bromobenzene, namely: X{sup 2}B{sub 1}(3b{sub 1}{sup −1}) < A{sup 2}A{sub 2}(1a{sub 2}{sup −1}) < B{sup 2}B{sub 2}(6b{sub 2}{sup −1}) < C{sup 2}B{sub 1}(2b{sub 1}{sup −1}). The absorption onset near 4.6 eV has been investigated using MRD-CI and TDDFT calculations; the principal component of this band is {sup 1}B{sub 2} and an interpretation based on the superposition of FC and Herzberg-Teller contributions has been performed. The other low-lying absorption band near 5.8 eV is dominated by a {sup 1}A{sub 1} state, but an underlying weak {sup 1}B{sub 1} state (πσ{sup ∗}) is also found. The strongest band in the VUV spectrum near 6.7 eV is poorly resolved and is analyzed in terms of two ππ{sup ∗} states of {sup 1}A{sub 1} (higher oscillator strength) and {sup 1}B{sub 2} (lower oscillator strength) symmetries, respectively. The calculated vertical excitation energies of these two states are critically dependent upon the presence of Rydberg functions in the basis set, since both manifolds are strongly perturbed by the Rydberg states in this energy range. A number of equilibrium structures of the ionic and singlet excited states show that the molecular structure is less subject to variation than corresponding studies for iodobenzene and bromobenzene. « less https://doi.org/10.1063/1.4944078 Similar Records | https://www.osti.gov/biblio/21448514 |
Applied Sciences | Free Full-Text | Green Synthesized ZnO Nanoparticles Mediated by Mentha Spicata Extract Induce Plant Systemic Resistance against Tobacco Mosaic Virus
Globally, plant viral infection is one of the most difficult challenges of food security, where considerable losses in crop production occur. Nanoparticles are an effective control agent against numerous plant pathogens. However, there is limited knowledge concerning their effects against viral infection. In the present study, the green synthesis of zinc oxide nanoparticles (ZnO NPs) using aqueous leaf extract of Mentha spicata was achieved. X-ray diffraction patterns confirmed the crystalline nature of the prepared ZnO NPs. Dynamic light scattering and scanning electron microscopy analyses revealed that the resultant ZnO NPs were spherical in shape with a particle size ranged from 11 to 88 nm. Fourier transmission infrared spectroscopy detected different functional groups, capping and stability agents, and showed Zn-O bond within wavenumber of 487 cm−1. Under greenhouse conditions, the antiviral activity of biological synthesized ZnO NPs (100 µg/mL) against Tobacco mosaic virus (TMV) was evaluated. The double foliar application of the prepared ZnO NPs, 24 h before and 24 h after TMV-inoculation, was the most effective treatment that showed a 90.21% reduction of viral accumulation level and disease severity. Additionally, the transcriptional levels of PAL, PR-1 (salicylic acid marker gene), CHS, and POD genes were induced and up-regulated in all ZnO NPs treated plants. Notably, the results exhibited that aqueous extract of Mentha spicata was an effective reducing agent for the green synthesis of ZnO NPs, which showed significant antiviral activity. Finally, the detected protective and curative activity of ZnO NPs against TMV can encourage us to recommend its application for plant viral disease management. To our knowledge, this is the first study describing the antiviral activity of the green synthesized ZnO NPs.
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Green Synthesized ZnO Nanoparticles Mediated by Mentha Spicata Extract Induce Plant Systemic Resistance against Tobacco Mosaic Virus
by Ahmed Abdelkhalek 1,* and Abdulaziz A. Al-Askar 2
1
Plant Protection and Biomolecular Diagnosis Department, ALCRI, City of Scientific Research and Technological Applications, New Borg El Arab City, Alexandria 21934, Egypt
2
Botany and Microbiology Department, Faculty of Science, King Saud University, Riyadh 11451, Saudi Arabia
*
Author to whom correspondence should be addressed.
Appl. Sci. 2020 , 10 (15), 5054; https://doi.org/10.3390/app10155054
Received: 28 June 2020 / Revised: 19 July 2020 / Accepted: 20 July 2020 / Published: 23 July 2020
(This article belongs to the Special Issue Nanoparticles and Their Application )
Globally, plant viral infection is one of the most difficult challenges of food security, where considerable losses in crop production occur. Nanoparticles are an effective control agent against numerous plant pathogens. However, there is limited knowledge concerning their effects against viral infection. In the present study, the green synthesis of zinc oxide nanoparticles (ZnO NPs) using aqueous leaf extract of
Mentha spicata
was achieved. X-ray diffraction patterns confirmed the crystalline nature of the prepared ZnO NPs. Dynamic light scattering and scanning electron microscopy analyses revealed that the resultant ZnO NPs were spherical in shape with a particle size ranged from 11 to 88 nm. Fourier transmission infrared spectroscopy detected different functional groups, capping and stability agents, and showed Zn-O bond within wavenumber of 487 cm
−1
. Under greenhouse conditions, the antiviral activity of biological synthesized ZnO NPs (100 µg/mL) against Tobacco mosaic virus (TMV) was evaluated. The double foliar application of the prepared ZnO NPs, 24 h before and 24 h after TMV-inoculation, was the most effective treatment that showed a 90.21% reduction of viral accumulation level and disease severity. Additionally, the transcriptional levels of PAL, PR-1 (salicylic acid marker gene), CHS, and POD genes were induced and up-regulated in all ZnO NPs treated plants. Notably, the results exhibited that aqueous extract of
Mentha spicata
was an effective reducing agent for the green synthesis of ZnO NPs, which showed significant antiviral activity. Finally, the detected protective and curative activity of ZnO NPs against TMV can encourage us to recommend its application for plant viral disease management. To our knowledge, this is the first study describing the antiviral activity of the green synthesized ZnO NPs.
Keywords:
Mentha spicata
;
Zinc Oxide Nanoparticles
;
green synthesis
;
XRD
;
DLS
;
FTIR
;
SEM
;
gene expression
Graphical Abstract
1. Introduction
Plant viruses are one of the most harmful diseases that result in significant losses in crop production worldwide [ 1 ]. Among them, tobacco mosaic virus (TMV) is the most serious plant virus, responsible for tremendous losses in crop yield quality and production [ 2 , 3 , 4 ]. Therefore, in order to maintain sustainable agriculture and food security, plant viral diseases must be controlled. Unfortunately, synthetic chemical treatments, including pesticides, are the widespread methods used for controlling plant diseases [ 5 ]. Such methods have negative impacts on the environment and human health. Hence, the development of alternative and effective ways to suppress plant viral infection is urgently needed.
Nowadays, nanotechnology is an active field of biological sciences research [ 6 ]. It is well documented that nanoparticles (NPs) play important roles in medical applications and have successful impacts on human pathogen control [ 7 ]. Traditionally, NPs have been synthesized via different physical and chemical methods, such as microwave irradiation, ultrasonication, laser vaporization, solid-state thermal decomposition, hydrothermal, and Sol-gel [ 8 , 9 , 10 , 11 ]. Such methods require high energy, expensive equipment, and space. In addition, the absorption of some toxic chemicals on their surface making it toxic for the environment and unsuitable for biological applications [ 12 , 13 , 14 ]. The green biosynthesis method of NPs is a safe alternative, low cost, and eco-friendly when compared to the conventional methods [ 15 , 16 ]. Additionally, the use of nontoxic extracts as reducing and stabilizing agents is also an additive advantage [ 17 ]. Because of its contents (many bioactive molecules such as polyphenols, enzymes, polysaccharides, esters, and terpenoids), plant leaf extracts may act as reducing and stabilizing agents in the nanoparticles synthesis processes [ 18 , 19 , 20 , 21 ].
Mentha spicata L. (genus Mentha , family Labiatae), commonly known as spearmint, garden mint, or common mint, is frequently used as herbal tea and is considered as one of the important additive spice for many foods all over the world [ 22 ]. It is well documented that the leaves of M. spicata are still used in traditional medicine to treat gastrointestinal disorders, where its essential oils possess antimicrobial and antioxidant properties [ 23 , 24 , 25 ]. The major chemical constituents of mentha plants were reported as pulegone, menthone, menthol, borneol, and piperitone [ 26 , 27 ]. Phytochemical studies showed that phenolic, flavonoid, steroids, and terpenoid were the major components of the leaves extracts responsible for the reduction and stabilization of NPs [ 25 , 28 ].
Recently, NPs, in a nanoscale range (1 nm to 100 nm), has been integrated into plant protection, as a substitution for chemical pesticides, and disease management [ 29 , 30 ]. At a suitable dose, NPs have the potential to promote plant growth and inhibit pathogen infection [ 31 ]. However, their antiviral properties are still in its infancy and the corresponding mechanisms are largely unclear [ 32 ]. Many researchers reported that silver nanoparticles (Ag NPs) exhibited antiviral activities against sunhemp rosette virus (SHRV) [ 33 ], bean yellow mosaic virus (BYMV) [ 34 ], tomato mosaic virus (ToMV) and potato virus Y (PVY) [ 35 ]. They suggested that Ag NPs could bind to the virus particles and inhibit viral nucleic acid replication in the plant cell. Moreover, induction of systemic acquired resistance (SAR) and improvement releasing of reactive oxygen species (ROS), which are associate with the increase in antioxidant activity, was observed [ 36 , 37 ].
Many studies showed that metal oxide NPs improved plant fertilization processes, increased plant growth parameters, yield, and quality, apart from their antimicrobial properties. Among metal oxide nanoparticles, zinc oxide nanoparticles (ZnO NPs) is a bio-safe material having a wide range of applications in medical, industrial, agricultural, and environmental fields [ 38 , 39 ]. In agriculture, utilization of ZnO NPs increased plant resistance to a broad spectrum of microbes, reduced disease severity, and enhanced crop production [ 37 , 38 ]. Additionally, research investigations dealing with the potential activity of ZnO NPs against plant viral disease are very limited and still under investigation. Recently, the antiviral activity of chemically synthesized ZnO NPs against TMV and PVY in the tobacco plant was reported [ 32 ]. In the present study, we aimed to green synthesize ZnO NPs using M. spicata extract. Moreover, the biologically synthesized ZnO NPs were investigated using X-ray diffraction (XRD), dynamic light scattering (DLS), scanning electron microscopy (SEM), fourier transform-infrared (FTIR) spectroscopy. Additionally, the antiviral activity and efficiency of the biosynthesized ZnO NPs in inducing SAR against TMV and its effects on plant growth parameters and the transcriptional levels of tomato-defense genes, (phenylalanine ammonia-lyase (PAL), pathogen-related protein 1 (PR-1), chalcone synthase (CHS), and peroxidase (POD), were studied. To our knowledge, this is the first report of the antiviral activity of biologically synthesized ZnO NPs against plant viral infection.
2. Materials and Methods
2.1. Plant Materials and Source of Viral Isolate
Mentha spicata L. leaves were collected from a farm in New Borg El-Arab city, Alexandria Governorate, Egypt. Virus-free tomato seeds ( Solanum lycopersicum L.) cultivar GS 12 was obtained from the Agriculture Research Center, Ministry of Agriculture, Egypt. The TMV strain KH1 (Acc# MG264131) used in this study was previously isolated from infected tomato plants [ 40 ], and maintained continuously on Nicotiana tabacum plants under greenhouse conditions.
2.2. Leaves Extract Preparation and Green Synthesis of Zinc Oxide Nanoparticles
Fresh leaves of
M
.
spicata
were washed thoroughly with running tap water, to remove debris and other contaminations, washed with ultrapure Milli Q water three times, and air-dried at room temperature. The dried leaves were pulverized and powdered by a sterile electric blender. The aqueous extract was prepared by adding 10 g of leaf powder to 100 mL of sterile distilled water and magnetically stirred for 2 h at 60 °C. The extract mixture was left to cool down at room temperature, filtered through sterile Whatman No. 1 filter paper, and finally stored at 4 °C until further analysis. A 0.2 M aqueous solution of zinc acetate dihydrate (purity 99%, Sigma Aldrich, Darmstadt, Germany) was prepared by dissolving 4.39 g of zinc acetate in 100 mL distilled water. Green synthesis of zinc oxide nanoparticles (ZnO NPs) was carried out by the addition of 30 mL of aqueous leaf extract of
M. spicata
to 70 mL of the freshly prepared zinc acetate solution. The reacted solution was mixed, stirred, and pH was adjusted to 12 by adding 3 M sodium hydroxide resulting in a pale white aqueous suspension. After stirring for 2 h, the pale-white ZnO NPs were precipitated and washed three times with sterile distilled water followed by ethanol wash to get rid of the impurities. A pale-white powder of ZnO NPs was obtained after drying the precipitate at 60 °C overnight.
2.3. Characterization of Zinc Oxide Nanoparticles
The physical properties and morphological structures of the prepared ZnO NPs were investigated using different techniques. X-ray diffraction (XRD) analysis was carried out using XRD-7000 (Shimadzu, Kyoto, Japan) diffractometer with Cu K α radiation beam ( λ = 0.154060 nm), operated at 30 KV and 30 mA and collected data were between 10° and 80° in 2 θ . Fourier transform infrared (FTIR) spectroscopy (FTIR–8400 S, Shimadzu, Tokyo, Japan) analysis was performed to investigate different functional groups of the prepared extract. The morphological structures and size of ZnO NPs were characterized by scanning electron microscopy (SEM) at 20 kV (JSM-6360 LA, JEOL, Tokyo, Japan). The particle size distribution of biosynthesized ZnO NPs was determined by dynamic light scattering (DLS) with a Zetasizer Nano Z 590 (Malvern, Granta Lodge, UK) instrument at 25 °C.
2.4. Greenhouse Experimental Design and Antiviral Activity Assay
The ZnO NPs were suspended in sterile distilled water at 10 mg/mL, and then diluted with sterile distilled H
2
O to obtain a final concentration of 100 µg/mL. By using the half-leaf method [
41
,
42
], the antiviral activity of ZnO NPs was primary tested on
Datura stramonium
, as a local lesion host for TMV, according to the inhibition percentage towards the number of local lesions. Under insect-proof greenhouse conditions, tomato seeds were surface sterilized and cultivated in plastic pots (20 cm in diameter) filled with sterilized soil (clay: sand, 1:1). At 28th days post seedlings, tomato seedlings were transplanted into new pots, and one week later, two upper true leaves of each tomato plant were dusted with carborundum and mechanically inoculated with 1 mL of semi-purified TMV as previously described [
43
,
44
]. The experiment was carried out in five treatments, each treatment was comprised of five replicates, and each pot contained three tomato plants. The first treatment (T1) was mock-treated plants (control), in which tomato plants inoculated with viral inoculation buffer + foliar spraying of sterile distilled H
2
O. The second treatment (T2) was plants inoculated with TMV (infected). The third treatment (T3) included plants treated by foliar spraying of ZnO NPs 24 h before inoculation of TMV. The fourth treatment (T4) was plants treated by foliar spraying of ZnO NPs 24 h after the inoculation of TMV. The fifth treatment (T5) included tomato plants treated by twice foliar spraying of ZnO NPs, 24 h before inoculation of TMV and 24 h post-inoculation. All plants were kept under greenhouse conditions, 28 °C/16 °C (day/night) and 70% relative humidity, and daily observed for the recording of symptom development. Five independent biological replicates of tomato leaves of all treatments were collected at 21 dpi and subjected to RNA extraction.
2.5. RNA Extraction and qRT-PCR Assay
Total plant RNA was extracted using RNeasy Mini Kit according to the manufacturer’s instructions (QIAGEN, Hilden, Germany). The purity and concentration of the extracted RNA were determined using SPECTROstar Nano (BMG Labtech, Ortenberg, Germany), while the agarose gel electrophoresis technique was used to check the integrity of RNA. One μg of RNA was used to synthesize the first strand of cDNA as performed and described previously [ 45 ]. The TMV accumulation level and transcriptional changes of four tomato defense-related genes ( Table 1 ) were investigated using the qRT-PCR technique as previously performed [ 46 , 47 ]. To normalize the transcript expression levels, β-actin ( Table 1 ) was used as a reference gene [ 48 ]. Each biological treatment was performed with three technical replicates on a Rotor-Gene 6000 (QIAGEN, Germantown, AL, USA) using SYBR Green PCR Master Mix (Thermo, Applied Biosystems, Foster, CA, USA). Each reaction was comprised a 20 µL containing 1 µL of 10 pmol/µL of each primer, 10 µL of 2 × SYBR Green PCR Master Mix, 1 µL of cDNA template, and 7 µL of nuclease-free water. The relative expression level was accurately calculated according to Livak and Schmittgen [ 49 ].
2.6. Statistical Analyses
The relative expression values of the three replicates for each biological treatment were analyzed by one-way ANOVA in the CoStat software package. Significant differences among relative expression levels were determined according to the least significant differences (LSD) at the p ≤ 0.05 level of probability, and standard deviations (±SD) were shown as column bars. Compared to mock-inoculated tomato tissues, relative expression values greater than 1 were categorized as increases in gene expression (up-regulation), while values less than 1 were considered as decreases in expression levels (down-regulation).
3. Results and Discussion
3.1. X-ray Diffraction (XRD) Analysis
The XRD pattern of the biosynthesized ZnO NPs using leaves extract of M. spicata was shown in Figure 1 . The 2θ values of XRD at 31.76°, 34.44°, 36.24°, 47.56°, 56.66°, 62.90°, 66.42°, 67.96°, 69.14°, 72.64°, and 76.98° were assigned to (100), (002), (101), (102), (110), (103), (200), (112), (201), (004), and (202) planes, respectively. All the diffraction peaks were indexed in the ZnO wurtzite structure (JCPDS card number 01-089-1397) and agree with XRD peaks of biosynthesized ZnO NPs by M . spicata plant extract [ 25 ]. The sharp and narrow peaks indicated that the biosynthesized ZnO NPs were highly crystallized. Additionally, ZnO NPs were free of impurities where no characteristic XRD peaks other than zinc oxide peaks were observed [ 50 , 51 ].
3.2. FTIR Analysis
FTIR spectroscopy was used to identify the functional groups that exist in the M. spicata extract that may act as reducing agents in the process of ZnO NPs biosynthesis. In the current study, it was found that the secondary metabolites of M. spicata were responsible for the reduction of zinc acetate dihydrate into ZnO NPs. The FTIR spectrum of biosynthesized ZnO NPs exhibited several peaks at 3942, 3898, 3858, 3744, 3245, 2362, 2158, 2107, 2048, 1636, 1559, 1514, 1395, 1087, 1033, 932, 840, 774, 714, 487, and 412 cm −1 ( Figure 2 ). The broad peak at 3245 cm −1 indicated the presence of hydrogen-bonded groups and could be corresponded to hydroxyl groups (O-H) stretching out from the phenolic compounds that were existed in the plant extract [ 52 , 53 , 54 ]; likewise, the peaks at 3942–3744 cm −1 representing stretching vibration of O-H group [ 55 , 56 ]. The band at 2362 corresponded to N–H bond of the primary and secondary amides. The peaks at 1636, 1559, 1514, and 1395 cm −1 have been assigned to C=C stretch of alkenes or C=O stretch of amides [ 52 , 53 ]. The bands at 1087 and 1033 are attributed to stretching vibrations of the C-O bond from biomolecules that existed in the leaf extract [ 54 , 56 ]. Additionally, peaks at 932, 840, 774 and 714 could correspond to C-N stretching amine groups [ 57 ]. The major absorption band at 487 cm −1 was allotted and characteristic to the Zn-O bond [ 25 , 52 , 56 , 58 ].
3.3. Particle Size Distribution and Scanning Electron Microscopy Analysis
Dynamic light scattering (DLS) is a widely used method for determining particle size distribution in a colloidal solution. In the present study, DLS analysis revealed that the average particle size of the prepared ZnO NPs in the aqueous medium was 74.68 nm ( Figure 3 ). The surface morphology of the biosynthesized ZnO NPs was examined using scanning electron microscopy (SEM) analysis. SEM images showed that most of ZnO NPs were spherical, with some agglomerated in shape and the particle diameter range was between 11 and 80 nm ( Figure 4 ). SEM analysis confirmed the morphology and size of the prepared ZnO NPs [ 59 ].
3.4. Effect of Zn NPs on Disease Severity and TMV Systemic Accumulation Level
To investigate the anti-TMV activity of the biologically prepared ZnO NPs, protective and curative assays were checked on
D. stramonium
plants by counting local lesions that were developed on the inoculated leaves. As shown in
Figure 5
, the number of local lesions that appeared on the right side of the treated leaves with ZnO NPs (100 µg/mL) were significantly lower than the number of lesions on the untreated left side of the leaves. The results of the protective (upper right halves of the leaves were treated with ZnO NPs, 24 h before TMV inoculation) and curative (upper right halves of the leaves were treated with ZnO NPs, 24 h after TMV inoculation) assays revealed that the biologically synthesized ZnO NPs show both protective and curative activities against TMV, with better protective activity (
Figure 5
).
Under greenhouse conditions, the foliar application of the biologically synthesized ZnO NPs (100 µg/mL) significantly decreased disease severity, increased plant growth, and reduced viral accumulation levels in the treated tomato plants, when compared to the infected tomato plants without treatments (T2). In the current study, at 14 dpi, the TMV-infected tomato plants (T2) showed severe mosaic symptoms similar to those reported previously [ 60 ]. On the other hand, a delayed in the development of infection symptoms for three, four, and five days was observed in ZnO NPs treated plants before viral inoculation (T3), ZnO NPs treated plants after viral inoculation (T5), and ZnO NPs treated plants before and after viral inoculation (T5), respectively ( Figure 6 ). No symptoms were observed on the mock-treated plants (T1). Additionally, ZnO NPs-treated tomato plants showed a significant decrease in TMV accumulation levels in plant tissues. The qRT-PCR results exhibited that the higher accumulation level of TMV (136.60-fold) was in T2 plants, while significant decreases of accumulation level in T3 (37.14-fold), T4 (63.55-fold), and T5 (13.36-fold) plants were observed ( Figure 5 ). The considerable reduction in TMV accumulation level in tomato leaves by 72.81%, 53.47%, and 90.21% in T3, T4, and T5 treatments, respectively, reflected the anti-TMV activity of the biologically prepared ZnO NPs. In this context, Cai et al. [ 32 ] reported that the foliar application of the chemically prepared ZnO NPs decreased the accumulation level of TMV in tobacco plants and reduced disease severity [ 32 ]. Moreover, the treatment of tomato plants with Ag NPs reduced the disease severity and ToMV or PVY concentration levels inside plant tissues [ 35 ].
3.5. Transcriptional Levels of Defense-Related Genes
At 21 dpi of all treatments, the transcription levels of four tomato-innate defense genes (PAL, PR-1, CHS, and POD) were investigated. Beside it is the first enzyme in the phenylpropanoid pathway linking the primary and secondary metabolism [ 61 ], PAL is involved in salicylic acid (SA) biosynthesis [ 62 ]. SA is an important signal that regulates systemic acquired resistance (SAR) in plants [ 42 , 63 ] and its role in plant immunity has been investigated for decades. The activation of SA, in response to pathogens, results in the accumulation and overexpression of PR-1 (SA marker gene) [ 64 ]. Compared to mock-inoculated plants (control (T1)) in the current study, a significant up-regulation of PAL with relative expression levels of 2.448-, 1.753-, and 2.590-fold change higher than control were observed in T3, T4, and T5, respectively ( Figure 7 ). Like PAL, PR-1 expression levels in all treatments were increased with relative transcriptional levels of 1.531-, 1.375-, and 1.802-fold change in T3, T4, and T5, respectively, compared to control ( Figure 7 ). On the contrary, PAL and PR-1 of T2 plants showed a significant down-regulation with relative expression levels of 0.064- and 0.272-fold change lower than the control treatment, respectively ( Figure 7 ). Consequently, foliar spraying of tomato plants with the biologically synthesized ZnO NPs, either as a single treatment (before or after inoculation with TMV) or as a double treatment (before + after inoculation with TMV) triggered the expression of PAL and PR-1 genes that may cause elevated SA accumulation levels. These results suggested that the biologically synthesized ZnO NPs via M. spicata may mediate the activation of the induced systemic resistance (ISR) and can play a major role in tomato SAR against TMV infection. Many researchers reported that increased resistance against virulent pathogens was associated with an increased in PAL and PR-1 expression and elevated endogenous SA accumulation levels inside plant tissues [ 65 , 66 , 67 , 68 , 69 ]. The obtained results are in agreement with Cai et al. [ 32 ] who reported that upon TMV infection, chemically prepared ZnO NPs increased the expression level of the tobacco PR-1 gene that resulted in the initiation of the SA signaling pathway. In the current study, the detected down-regulation of PR-1 and PAL genes in T2 plants could be attributed to the suppressing activities of TMV against the tomato immune defense system, which resulted in a failure in the development of SAR activity.
Flavonoids, secondary metabolites, compounds play important roles in plant resistance against pathogenic microorganisms, including viruses [ 69 , 70 , 71 ]. Once infection occurs, flavonoids transport to the infection sites, induce hypersensitivity reactions and activate programmed cell death [ 72 , 73 ]. Chalcone synthase, CHS, encodes the first enzyme of flavonoid pathway that synthesizes naringenin chalcones, is strictly needed in various plant tissues for flavonoid production [ 74 , 75 ]. Compared to control (T1), the transcriptional levels of CHS in treatments of T2, T3, T4, and T5 were up-regulated with relative expression levels of 1.273-, 2.38-, 1.848-, and 3.556-fold increase, respectively ( Figure 7 ). These results showed that TMV infection slightly induced the expression of CHS in tomato tissues, while ZnO NPs treatments (T3, T4, and T5) exhibited more accumulation of CHS inside the tomato tissues. In line with the obtained results, foliar application of the biologically synthesized ZnO NPs may increase flavonoid production in plant tissues that resulted in the stimulation of the defense system against viral infection.
Reactive oxygen species (ROS) promotes programmed cell death at plant cell infection sites and plays an important role as a signaling molecule for the activation of antioxidant activity and the induction of the genes coding for pathogenesis-related proteins (PRs) [ 76 , 77 , 78 , 79 ]. It was reported that the increased activity of peroxidase (POD), alternative producers of ROS, was correlated with the increasing plant defense against pathogens [ 78 , 80 ]. In the current study, we observed that the application of the biologically synthesized ZnO NPs significantly increased the transcriptional levels of POD by 2.641-, 2.175-, and 3.177-fold change higher than control in T3, T4, and T5, respectively ( Figure 7 ). Conversely, the POD of T2 plants was down-regulated with a relative expression level of 0.672-fold change lower than control ( Figure 7 ). It was observed that the induction of POD resulted in an increase of chlorophyll content and enhanced plant resistance against mungbean yellow mosaic virus and TMV [ 81 , 82 ]. In addition, foliar application of Ag NPs exhibited an improvement in releasing ROS and increasing antioxidant enzymes in virally infected plant tissues [ 36 , 37 ]. Moreover, MgO NPs, ZnO NPs, and SiO2 NPs treatments induced ROS generation and suppressed TMV infection in tomato and tobacco plants [ 32 , 83 ]. Therefore, the foliar applications of the biosynthesized ZnO NPs may enhance SAR by releasing ROS and stimulating the expression of PR genes and SA accumulation [ 32 ].
4. Conclusions
The present investigation reported a simple, eco-friendly method for the green biosynthesis of ZnO NPs via aqueous extract of Mentha spicata leaf as a reducing and capping agent. XRD analysis confirmed the formations of ZnO NPs crystalline phases, while DLS and SEM analyses showed that ZnO NPs have a spherical shape and an average particle size of 74.68 nm. Greenhouse experimental results showed that the foliar treatment of tomato plants using biologically synthesized ZnO NPs (100 µg/mL) induced systemic acquired resistance (SAR), decreased disease severity, reduced TMV accumulation level, increased growth parameters, and up-regulated the transcriptional levels of PAL, PR-1, CHS, and POD genes. In line with the obtained data, we suggest that the biologically prepared ZnO NPs have potent antiviral activity and can be applied in plant protection as elicitor molecules for the induction of SAR and plant viral disease management.
Author Contributions
Conceptualization, A.A. and A.A.A.-A.; methodology, A.A.; software, A.A.; formal analysis, A.A.; investigation, A.A.A.-A.; writing—original draft preparation, A.A.; writing—review and editing, A.A.A.-A. All authors have read and agreed to the published version of the manuscript.
Funding
The authors extend their appreciation to the Deanship of Scientific Research at King Saud University for funding the work through the research group project No (RGP-1440-094).
Acknowledgments
The authors thank Ahmed Kenawy (GEBRI, City of Scientific Research and Technological Applications, Alexandria, Egypt) for the critical reading and revision of the manuscript.
Conflicts of Interest
The authors declare no competing interest.
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Figure 1. X-ray diffraction (XRD) patterns of zinc oxide nanoparticles biosynthesized by Mentha spicata leaf extract as reducing agents.
Figure 2. Fourier transform infrared (FTIR) spectra of zinc oxide nanoparticles biosynthesized by Mentha spicata leaf extract as reducing agents.
Figure 2. Fourier transform infrared (FTIR) spectra of zinc oxide nanoparticles biosynthesized by Mentha spicata leaf extract as reducing agents.
Figure 3. Particle size distribution of biosynthesized ZnO NPs using dynamic light scattering (DLS) technique.
Figure 3. Particle size distribution of biosynthesized ZnO NPs using dynamic light scattering (DLS) technique.
Figure 4. SEM images of zinc oxide nanoparticles biosynthesized by Mentha spicata leaf extract as reducing agents. (Bar= 1 µm at × 10,000).
Figure 4. SEM images of zinc oxide nanoparticles biosynthesized by Mentha spicata leaf extract as reducing agents. (Bar= 1 µm at × 10,000).
Figure 5.
(
Left
) Assay of protective and curative activities of ZnO NPs (100 µg/mL) against tobacco mosaic virus (TMV) on
D. stramonium
leaves. the half-left side of the leaves was inoculated with TMV without any treatments while the half-right side treated with ZnO NPs. (
Right
) A histogram showing the relative expression level of
TMV-CP
gene in TMV-infected tomato plants at 21 days post-inoculation. Where, T1 = Mock-treated plants (Control), T2 = plants inoculated with TMV only, T3 = plants treated with ZnO NPs (24 h before TMV inoculation), T4 = plants treated with ZnO NPs (24 h after TMV inoculation), and T5 = plant treated with ZnO NPs (24 h before TMV inoculation and 24 h after TMV inoculation). Columns represent mean value from three biological replicates and bars indicate standard deviation (±SD). Significant differences between samples were determined by one-way ANOVA using CoStat software. Means were separated by least significant difference (LSD) test at
p
≤ 0.05 levels and indicated by small letters. Columns with the same letter means do not differ significantly.
Figure 5. ( Left ) Assay of protective and curative activities of ZnO NPs (100 µg/mL) against tobacco mosaic virus (TMV) on D. stramonium leaves. the half-left side of the leaves was inoculated with TMV without any treatments while the half-right side treated with ZnO NPs. ( Right ) A histogram showing the relative expression level of TMV-CP gene in TMV-infected tomato plants at 21 days post-inoculation. Where, T1 = Mock-treated plants (Control), T2 = plants inoculated with TMV only, T3 = plants treated with ZnO NPs (24 h before TMV inoculation), T4 = plants treated with ZnO NPs (24 h after TMV inoculation), and T5 = plant treated with ZnO NPs (24 h before TMV inoculation and 24 h after TMV inoculation). Columns represent mean value from three biological replicates and bars indicate standard deviation (±SD). Significant differences between samples were determined by one-way ANOVA using CoStat software. Means were separated by least significant difference (LSD) test at p ≤ 0.05 levels and indicated by small letters. Columns with the same letter means do not differ significantly.
Figure 6. A photograph showing the disease symptoms on tomato leaves infected with TMV at 25 days post-inoculation. ( A ) mock-treated plants (T1), ( B ) plants inoculated with TMV only (T2), ( C ) plants treated with ZnO NPs (100 µg/mL) 24 h before inoculation of TMV (T3), ( D ) plants treated with ZnO NPs (100 µg/mL) 24 h after inoculation of TMV (T4), ( E ) plant treated with ZnO NPs (100 µg/mL) 24 h before inoculation of TMV and 24 h after inoculation with TMV (T5).
Figure 6. A photograph showing the disease symptoms on tomato leaves infected with TMV at 25 days post-inoculation. ( A ) mock-treated plants (T1), ( B ) plants inoculated with TMV only (T2), ( C ) plants treated with ZnO NPs (100 µg/mL) 24 h before inoculation of TMV (T3), ( D ) plants treated with ZnO NPs (100 µg/mL) 24 h after inoculation of TMV (T4), ( E ) plant treated with ZnO NPs (100 µg/mL) 24 h before inoculation of TMV and 24 h after inoculation with TMV (T5).
Figure 7.
A histogram showing the relative expression level of PAL, PR-1, CHS, and POD in TMV-infected tomato plants at 21 days post inoculation. T1 = Mock-treated plants (Control), T2 = plants inoculated with TMV only, T3 = plants treated with ZnO NPs (100 µg/mL) 24 h before inoculation of TMV, T4 = plants treated with ZnO NPs (100 µg/mL) 24 h after inoculation of TMV, T5 = plant treated with ZnO NPs (100 µg/mL) 24 h before inoculation of TMV and 24 h after inoculation with TMV. Columns represent mean value from three biological replicates and bars indicate standard deviation (±SD). Significant differences between samples were determined by one-way ANOVA using CoStat software. Means were separated by least significant difference (LSD) test at
p
≤ 0.05 levels and indicated by small letters. Columns with the same letter means do not differ significantly.
Figure 7. A histogram showing the relative expression level of PAL, PR-1, CHS, and POD in TMV-infected tomato plants at 21 days post inoculation. T1 = Mock-treated plants (Control), T2 = plants inoculated with TMV only, T3 = plants treated with ZnO NPs (100 µg/mL) 24 h before inoculation of TMV, T4 = plants treated with ZnO NPs (100 µg/mL) 24 h after inoculation of TMV, T5 = plant treated with ZnO NPs (100 µg/mL) 24 h before inoculation of TMV and 24 h after inoculation with TMV. Columns represent mean value from three biological replicates and bars indicate standard deviation (±SD). Significant differences between samples were determined by one-way ANOVA using CoStat software. Means were separated by least significant difference (LSD) test at p ≤ 0.05 levels and indicated by small letters. Columns with the same letter means do not differ significantly.
Table 1. Nucleotide sequences of qRT-PCR primers used in this study.
Table 1. Nucleotide sequences of qRT-PCR primers used in this study.
Primer Name Abbreviation Direction Sequence (5′--3′) Phenylalanine Ammonia-Lyase PAL Forward ACGGGTTGCCATCTAATCTGACA Reverse CGAGCAATAAGAAGCCATCGCAAT Pathogenesis Related Protein-1 PR-1 Forward CCAAGACTATCTTGCGGTTC Reverse GAACCTAAGCCACGATACCA Chalcone Synthase CHS Forward CACCGTGGAGGAGTATCGTAAGGC Reverse TGATCAACACAGTTGGAAGGCG Peroxidase POD Forward TGGAGGTCCAACATGGCAAGTTCT Reverse TGCCACATCTTGCCCTTCCAAATG Tobacco mosaic virus-Coat Protein TMV-CP Forward ACGACTGCCGAAACGTTAGA Reverse CAAGTTGCAGGACCAGAGGT Beta-Actin β-actin Forward ATGCCATTCTCCGTCTTGACTTG Reverse GAGTTGTATGTAGTCTCGTGGATT
MDPI and ACS Style
Abdelkhalek, A.; Al-Askar, A.A. Green Synthesized ZnO Nanoparticles Mediated by Mentha SpicataExtract Induce Plant Systemic Resistance against Tobacco Mosaic Virus. Appl. Sci. 2020, 10, 5054.
https://doi.org/10.3390/app10155054
AMA Style
Abdelkhalek A, Al-Askar AA. Green Synthesized ZnO Nanoparticles Mediated by Mentha SpicataExtract Induce Plant Systemic Resistance against Tobacco Mosaic Virus. Applied Sciences. 2020; 10(15):5054.
https://doi.org/10.3390/app10155054
Chicago/Turabian Style
Abdelkhalek, Ahmed, and Abdulaziz A. Al-Askar. 2020. "Green Synthesized ZnO Nanoparticles Mediated by Mentha SpicataExtract Induce Plant Systemic Resistance against Tobacco Mosaic Virus" Applied Sciences10, no. 15: 5054.
https://doi.org/10.3390/app10155054
Abdelkhalek A, Al-Askar AA. Green Synthesized ZnO Nanoparticles Mediated by Mentha SpicataExtract Induce Plant Systemic Resistance against Tobacco Mosaic Virus. Applied Sciences. 2020; 10(15):5054.
https://doi.org/10.3390/app10155054
| https://www.mdpi.com/2076-3417/10/15/5054/xml |
Molecules | Free Full-Text | Synthesis and Biological Evaluation of Cassane Diterpene (5& alpha;)-Vuacapane-8(14), 9(11)-Diene and of Some Related Compounds
A set of thirteen cassane-type diterpenes was synthesized and an expedient synthetic route was used to evaluate 14-desmethyl analogs of the most active tested cassane. The anti-inflammatory activities of these 13 compounds were evaluated on a lipopolysaccharide (LPS)-activated RAW 264.7 cell line by inhibition of nitric oxide (NO) production, some of them reaching 100% NO inhibition after 72 h of treatment. The greatest anti-inflammatory effect was observed for compounds 16 and 20 with an IC50 NO of 2.98 & plusmn; 0.04 & mu;g/mL and 5.71 & plusmn; 0.14 & mu;g/mL, respectively. Flow-cytometry analysis was used to determine the cell cycle distribution and showed that the inhibition in NO release was accompanied by a reversion of the differentiation processes. Moreover, the anti-cancer potential of these 13 compounds were evaluated in three tumor cell lines (B16-F10, HT29, and Hep G2). The strongest cytotoxic effect was achieved by salicylaldehyde 20, and pterolobirin G (6), with IC50 values around 3 & mu;g/mL in HT29 cells, with total apoptosis rates 80% at IC80 concentrations, producing a significant cell-cycle arrest in the G0/G1 phase, and a possible activation of the extrinsic apoptotic pathway. Additionally, initial SAR data analysis showed that the methyl group at the C-14 positions of cassane diterpenoids is not always important for their cytotoxic and anti-inflammatory activities.
Synthesis and Biological Evaluation of Cassane Diterpene (5α)-Vuacapane-8(14), 9(11)-Diene and of Some Related Compounds
by
Fatin Jannus 2 ,
Marta Medina-O’Donnell 1 ,
José A. Lupiáñez 2 ,
José Justicia 1 ,
Ramón Alvarez-Manzaneda 3 ,
Fernando J. Reyes-Zurita 2,* ,
Enrique Alvarez-Manzaneda 1 and
Rachid Chahboun 1,*
1
Departamento de Química Orgánica, Facultad de Ciencias, Instituto de Biotecnología, Universidad de Granada, 18071 Granada, Spain
2
Departamento de Bioquímica y Biología Molecular I, Facultad de Ciencias, Universidad de Granada, 18071 Granada, Spain
3
Área de Química Orgánica, Departamento de Química y Física, Universidad de Almería, 04120 Almería, Spain
*
Authors to whom correspondence should be addressed.
Molecules 2022 , 27 (17), 5705; https://doi.org/10.3390/molecules27175705
Received: 1 August 2022 / Revised: 17 August 2022 / Accepted: 31 August 2022 / Published: 4 September 2022
Abstract
A set of thirteen cassane-type diterpenes was synthesized and an expedient synthetic route was used to evaluate 14-desmethyl analogs of the most active tested cassane. The anti-inflammatory activities of these 13 compounds were evaluated on a lipopolysaccharide (LPS)-activated RAW 264.7 cell line by inhibition of nitric oxide (NO) production, some of them reaching 100% NO inhibition after 72 h of treatment. The greatest anti-inflammatory effect was observed for compounds
16
and
20
with an IC
50 NO
of 2.98 ± 0.04 μg/mL and 5.71 ± 0.14 μg/mL, respectively. Flow-cytometry analysis was used to determine the cell cycle distribution and showed that the inhibition in NO release was accompanied by a reversion of the differentiation processes. Moreover, the anti-cancer potential of these 13 compounds were evaluated in three tumor cell lines (B16-F10, HT29, and Hep G2). The strongest cytotoxic effect was achieved by salicylaldehyde
20
, and pterolobirin G (
6
), with IC
50
values around 3 μg/mL in HT29 cells, with total apoptosis rates 80% at IC
80
concentrations, producing a significant cell-cycle arrest in the G0/G1 phase, and a possible activation of the extrinsic apoptotic pathway. Additionally, initial
SAR
data analysis showed that the methyl group at the C-14 positions of cassane diterpenoids is not always important for their cytotoxic and anti-inflammatory activities.
Keywords:
natural products
;
semisynthesis
;
cassane diterpenoids
;
anti-inflammatory activity
;
anti-cancer activity
1. Introduction
Cassane diterpenoids are a group of rearranged abietane metabolites isolated from different species of the Caesalpinia genus, where they are the predominant characteristic components of these plants. Up to now, more than 450 cassane diterpenoids have been discovered based only on phytochemical investigations of Caesalpinia species [ 1 ]. They have received much attention for their structural diversity, which in some cases is complex, for example, tricyclic cassane diterpenoids with a fused furan ring or butanolide lactone, tricyclic cassane diterpenoids, norcassane diterpenoids, and other types [ 2 ]. Natural cassane diterpenes exhibit a wide range of pharmacological activities, such as anti-inflammatory, antitumor, antimalarial, antimicrobial, antiviral, antioxidant, antiplasmodial, and antinociceptive properties [ 3 , 4 ]. Some of these compounds, bearing an aromatic C ring, have gained special attention due to their significant pharmaceutical potential. Researchers have reported only a few syntheses of these interesting diterpenoids due to their relatively complex structures. In this sense, Pitsinos et al. reported the synthesis of 14-desmethyl taepeenin D ( 2 ) and a series of second-generation analogs of taepeenin D ( 1 ) with the aim of investigating their structure–activity relationship ( SAR ) [ 5 ]. These authors argued that the presence of the methyl group in C-14 does not influence the anticancer activity of this type of compound [ 6 ]. Our group has achieved the first synthesis of taepeenin F ( 3 ) from dehydroabietic acid [ 7 ], as well as the first synthesis of the putative structure of benthaminin 1 ( 4 ) from trans -communic acid [ 8 ]. This cassane diterpene displays antibacterial activity, with an MIC value of 47.8 μM for both Staphylococcus aureus and Micrococcus flavus [ 9 ]. Recently, we also developed a novel process for the synthesis of pterolobirin H ( 5 ), pterolobirin G ( 6 ) and (5a)-vouacapane-8(14), 9(11)-diene ( 7 ), starting from (+)-sclareolide ( 8 ). The utilized synthetic strategy does not require the use of protecting groups, as it consists of only 10 steps with an overall yield of 20% and was developed with total atoms economy [ 10 ]. Wang et al. [ 11 ] reported that the cassane (5a)-vouacapane-8(14),9(11)-diene ( 7 ) exhibits anti-inflammatory properties by inhibiting the nitric oxide production ratio (34.5%) in the RAW 264.7 cells. However, only a few total syntheses of cassane type viridin ( 9 ) [ 12 , 13 ], sucutinirane C ( 10 ), and sucutinirane D ( 11 ) have been reported [ 14 ]. Viridin ( 9 ) was shown to have a strong fungistatic effect, blocking the germination of Botrytis allii , Colletotrichum lini , and Fusarium caeruleum spores at (0.003–0.006) μg/mL [ 15 ]. Furthermore, it has been demonstrated that sucutinirane C ( 10 ) displays good NO inhibition with an IC 50 value of 24.44 ± 1.34 μM [ 16 ] ( Figure 1 ).
Figure 1. Some aromatic cassane-type terpenes and viridin derivatives.
Our main aim was to continue efforts into the search for bioactive compounds and to investigate more structurally novel diterpene cassane derivatives. In this study, we have performed biological assays of the unprecedented synthesized cassanes (5a)-vouacapane-8(14), 9(11)-diene (
7
), pterolobirins H (
5
) and G (
6
), and other selected intermediates [
10
]. In parallel, the other objective of this research is the novel synthesis of some 14-demethylated cassane analogs, structurally related to the most active compound to advance current knowledge on their structure-activity relationship (
SAR
) For this purpose, we used (-)-ferruginol (
12
) as a starting product, which is easily prepared from commercial (+)-dehydroabietylamine [
17
,
18
].
All the selected compounds were evaluated for the first time for their antiproliferative activity against HT-29, B16F10, and HepGe-2 cancer cell lines, as well as for their NO inhibitory activity against the lipopolysaccharide (LPS)-induced murine macrophage RAW-264.7cell line. Furthermore, the most active compounds were selected for the subsequent cytometry study on a selected cancer cell line with the lowest IC
50
values, for a thorough biological investigation, which is also one of our purposes of this paper.
2. Results and Discussion
2.1. Chemistry
Based on our previous study on the synthesis of (5a)-vouacapane-8(14),9(11)-diene (
7
) and related compounds [
10
], we selected ten compounds (
5
–
7
and
14
–
20
) with a cassane skeleton for biological assays. All the selected compounds, were obtained from diene
13
, easily prepared from (+)-sclareolide (
8
) according to the process described by our research group [
19
,
20
]. Diels–Alder cycloaddition of diene
13
with DMAD afforded the phthalate derivative cycloadduct
14
when the reaction was carried out in toluene at reflux. Under similar conditions, but in a sealed tube, cycloadduct
15
was obtained and oxidized to dienone
16
with catalytic PDC in the presence of TBHP (
Scheme 1
).
Scheme 1. Synthesis of dienone 16 from (+)-sclareolide ( 8 ).
Compounds
17
–
20
were prepared from dienone
16.
After treatment with BF
3
.Oet
2
at room temperature,
16
was converted directly to phenol ester
18
in high yield. However, when
16
was treated with the I
2
/PPh
3
system, phenol diester
17
was unexpectedly obtained. This phenol is generated after the loss of methyl iodide, promoted by the protonation of the carbonyl group with iodic acid generated in the reaction medium. The further reduction in
18
with NaBH
4
gave hydroxy phenol
19
, which re-oxidized selectively with activated MnO
2
in DCM to produce hydroxy aldehyde
20
. Lactone
5
was obtained after the insertion of carbon monoxide in hydroxymethyl phenol
19
through a Pd-catalyzedcatalyzed carbonylative reaction (
Scheme 2
). Note that the spectroscopic data for synthetical
5
are in agreement with those described for natural pterolobirin H (
5
) isolated from Pterolobium macropterum [
16
].
Scheme 2. Synthesis of pterolobirin H ( 5 ) from dienone 16 .
It is important to point out that the stereochemistry of the C-5 and C-10 in all synthesized compounds is preserved. The process used for constructing the aromatic ring of the target compounds, which is based on the Diels–Alder cycloaddition reaction, does not modify the stereochemistry of said asymmetric carbons.
The subsequent reduction in lactone 5 with DIBAL-H afforded lactol 6 , whose spectroscopic data are in agreement with those described for pterolobirin G ( 6 ) [ 16 ]. Dehydration of 6 with Amberlyst A-15 afforded (5a)-vouacapane-8(14),9(11)-diene ( 7 ) ( Scheme 3 ).
Scheme 3. Synthesis of pterolobirin G ( 6 ), and (5a)-vouacapane-8(14),9(11)-diene ( 7 ) from pterolobirin H ( 5 ).
Next, some 14-nor-cassane compounds, analogs of the previously selected compounds, were synthesized from (-)-ferruginol ( 12 ). First, the synthesis of 14-demethylsalicylaldehyde 23 was investigated (see Scheme 4 ). To this end, the phenolic group in 12 was protected by methyl ether and the formyl group was introduced at the C-13 via ipso-substitution reaction of the isopropyl group [ 7 ]. Deprotection of the methyl group afforded 14-desmethyl salicylaldehyde 23 with an excellent yield (95%).
Scheme 4. Synthesis of 14-demethyl salicylaldehyde 23 from (-)-ferruginol ( 12 ).
Following a similar sequence of reactions used for the preparation of pterolobirin G ( 6 ) [ 16 ], 14-desmethyl lactone 25 was obtained. ( Scheme 5 ).
Scheme 5. Synthesis and 14-desmethyl lactone 25 from salicylaldehyde 23 .
2.2. Biological Assays
2.2.1. Cytotoxicity on RAW 264.7 Cell Line
To perform the anti-inflammatory tests and establish the values of the sub-cytotoxic concentrations of the newly synthetized diterpenoids and the 14-desmethyl analogs (
5
–
7
,
14
–
20
and
23
–
25
), cytotoxic effects of these diterpenes were analyzed on RAW 264.7 monocyte/macrophage murine cells. Cell viability was determined using the MTT (3-(4,5-dimethyl thiazol-2-yl)-2,5-diphenyltetrazolium bromide) assay, with increasing concentration levels of each compound (0–100 μg/mL). MTT is transformed to formazan in cells with metabolism capacity (viable cells), as the number of viable cells is proportional to formazan concentration; this assay was used to determine the cytotoxicity of the compounds. The compound concentrations required for 20%, 50%, and 80% cell viability inhibition (IC
20
, IC
50
, and IC
80
) after 72 h of incubation were determined by the absorption of a formazan dye to analyze the complete range of cytotoxicity on RAW 264.7 cells (
Table 1
). Among the tested compounds, hydroxyester
17
was the most cytotoxic, with an IC
50
value of 7.49 ± 0.86 μg/mL, followed by the salicylaldehyde
20
, IC
50
8.34 ± 2.51 μg/mL, hydroxyester
18
with 13.11 ± 1.51 μg/mL and lactol (
6
), IC
50
value 14.99 ± 0.32 μg/mL. For the rest of the compounds, the range of their broad-spectrum cytotoxic activities inferred by IC
50
data was moderate-to-weak: between 24.67 ± 0.04 and 74.65 ± 0.17 μg/mL. (
Table 1
).
Table 1. Cytotoxic effects of tested compounds on RAW 264.7 monocyte/macrophage murine cells.
Based on these results, we determined the sub-cytotoxic concentrations corresponding to IC
50
, ¾ IC
50
, ½ IC
50
, and ¼ IC
50
, which were used in the next assays to ensure that the anti-inflammatory activity of our compounds was due to their anti-inflammatory process and not to their intrinsic cytotoxicity. The study of the NO release inhibition of all thirteen products was realized.
2.2.2. Effects on Inhibition of NO Production
The activation of the inflammatory process induces nitric oxide, NO, released as a second messenger. NO production can be used as the main indicator to assess inflammatory activity, which can be measured using nitrite (NO
2–
) quantification (proportional to the released NO), determined through the Griess reaction. Here, the selected compounds (
5
–
7
,
14
–
20
and (
23
–
25
) were tested for their ability to inhibit NO production in LPS-stimulated RAW 264.7 murine macrophage cells (
Figure 2
). These macrophages were activated with LPS during the 24 h after the addition of the synthesized compounds. The sub-cytotoxic concentrations ¾ IC
50
, ½ IC
50
, and ¼ IC
50
were used, and nitrite concentrations were determined in a cell culture medium at 72 h of incubation (
Figure 2
). The results showed that all tested compounds exhibited crucial inhibition of NO release. Inhibition percentages were calculated with respect to the increase between positive control (only LPS treated control cells) and negative control (untreated control cells).
Figure 2. ( A ) The effect of cassane diterpenes ( 6 , 7, and 14 – 18 ). ( B ) Cassane diterpenes ( 5 , 19 , and 20 ). ( C ) their 14-desmethyl analogs 23 – 25 , the release of nitrite assay in LPS activated RAW 264.7 macrophage murine cells at ¼IC 50 (purple bars), ½IC 50 (blue bars), and ¾IC 50 (orange bars) concentrations, after 72. Data represent the mean ± S.D. of at least two independent experiments performed in triplicate.
All compounds were able to inhibit the NO release in a dose-dependent manner. Thus, compound
16
reached a higher anti-inflammatory effect, with 100% of NO-inhibition at the three concentrations assayed ¼ IC
50
, ½ IC
50
and ¾ IC
50
. Eight out of the thirteen selected cassane diterpenes (
5
–
7
,
14
–
16
,
19
–
20
), displayed a strong NO inhibition between 78% and 100% at ¾ IC
50
concentration. The inhibition achieved by compounds
17
and
18
was lower: 30.52% and 11.06%, respectively, at ¾ IC
50
concentration (
Figure 2
A). Concerning the desmethylated analogs (
23
–
25
) (see
Figure 2
C), compounds
23
and
25
showed the highest anti-inflammatory effect at ¾IC
50
concentration, with a 78.48% and 72.24% of NO inhibition, respectively. However, at the same sub-cytotoxic concentration, product
24
did not cause any inhibition of NO release (
Figure 2
).
Therefore, our results are in agreement with the findings previously reported in the bibliography; for example, the natural compound
7
showed 34.5% inhibition of NO release at 10 μmol/L after 3 h of treatment in RAW 264.7 activated with 100 ng/mL of LPS [
11
]. Recently, furan
7
and pterolobirin G (
6
) were isolated from the roots of
Pterolobium macropterum
and analyzed for their anti-inflammatory potential against NO production in LPS-induced J774.A1 macrophage cells. The authors have found that the natural furan
7
and the natural pterolobirin G (
6
) did not show any significant inhibition of NO production at 50 μM in this cell type [
16
].
To complete our anti-inflammatory study, we calculated the concentration that reduces the production of NO (IC 50 NO ) to 50% after 72 h of cells incubation with the assayed compounds. Compound 20 showed the highest effectiveness (IC 50 NO = 2.98 ± 0.04 μg/mL), followed by its demethylated analog 23 (IC 50 NO = 3.22 ± 0.05 μg/mL). Additionally, compounds 6 , 15 , 16 , and 17 exhibited important NO inhibition, with IC 50 NO values between 4.01 μg/mL and 7.98 ± 0.1 μg/mL (see Table 2 ).
Table 2. The IC 50 NO values of cassanes 5 – 7 , and 14 – 20 and desmethylated analogs 23 – 26 .
The methyl, vinyl, or carboxymethyl functional group linked at C-14 position has been described as a common structural characteristic in most of the anti-inflammatory cassane-type diterpenoids [ 21 ]. This fact is consistent with our results of NO-release inhibition after 72 h, since two out of the synthesized cassane diterpenoids ( 5 and 20 ) with a methyl group at C-14, exhibited more NO inhibition than their 14-desmethyl analogs 23 and 25 ( Table 2 ).
2.2.3. Effects on RAW 264.7 Cell Cycle Arrest and Distribution
Two compounds with the highest anti-inflammatory effect, the salicylaldehyde
20
(IC5
0 NO
= 2.98 ± 0.04 μg/mL) and the dienone
16
(IC
50 NO
= 5.71 ± 0.14 μg/mL), were selected to determine the changes in the cell cycle in RAW 264.7 cells, activated by LPS after 72 h of incubation at different sub-cytotoxic concentrations (¼ IC
50
, ½ IC
50
, and ¾ IC
50
). The cell-cycle distribution was analyzed by flow cytometry with propidium iodide (IP) staining (
Figure 3
). Significant growth arrest of the cell cycle in LPS-induced RAW 264.7 cells produced 100% detention in the G0/G1 phase (positive control) compared to the negative control (49.6%). After incubation with compound
20
, the percentage of cells found in the G0/G1 phase was 29%, 32%, and 36%, respectively, at the assayed concentrations. Similar results were found for compound
16
(35%, 38%, and 39%) after 72 h of incubation at the same concentrations. This decrease was accompanied by the consequent increase in the number of cells in the S phase: 70%, 68%, and 56%, respectively, for compound
20
, and 63%, 61%, and 59% for compound
16
. The changes in the G2/M phase were not significant. This recovery of the cell cycle with respect to control cells (only LPS treated) could be a consequence of the anti-inflammatory effect produced by the tested compounds, which increase cell division, rescuing RAW 264.7 cells from LPS-induced arrest during their monocyte/macrophage differentiation process.
Figure 3. Top: Histograms of the cell cycle of RAW264.7 macrophage murine cells, after 72 h treatment with compounds 16 and 20 , at ¼ IC 50 , ½ IC 50 , and ¾ IC 50 concentrations. Bottom: Increase in the percentage of cells in each cell-cycle phase concerning untreated control cells. The cell cycle was conducted after propidium iodide (PI) staining as described in the experimental section, G0/G1 phase (brown bars), S phase (purple bars), and G2/M phase (orange bars). Values represent means ± S.D. of at least three independent experiments performed in duplicate.
2.2.4. Cell Cytotoxicity Assay and SAR
Studies were conducted on the cytotoxic effects of the ten synthetic diterpenic cassanes 5 – 7 and 14 – 20 and of the three demethylated analogs 23 – 25 on B16-F10, HT29, and HepG2 cancer cell lines. These studies were performed using the MTT assay, based on formazan dye formation and expressed as a percentage with respect to untreated control cells (100% of cell metabolism). Cells were incubated with increasing concentrations of each compound (0–100 μg/mL) for 72 h. Then, the concentrations of the compounds required for a descent of 50% in the cell viability (IC 50 ) were determined. ( Table 3 ).
Table 3. Cytotoxic effects of the synthesized cassane diterpenoids and the 14-desmethyl analogs on the three cancer cell lines.
All cassane diterpenes
5
–
7
and 14–20 displayed cytotoxicity in the assayed conditions, with IC
50
data between 2.38 ± 0.39 and 74.33 ± 2.54 μg/mL, showing six compounds (
6
,
14
,
16
,
17
,
18
, and
20
), with an IC
50
value < 10 μg/mL in B16-F10 murine melanoma cells (IC
50
values between 2.4 μg/mL to 9.2 μg/mL). Considering the three cell lines, the most active compounds were salicylaldehyde
20
with an IC
50
value of 2.38 ± 0.39 μg/mL in B16-F10 line and 3.54 ± 0.19 μg/mL in HT29 cells, followed by compound
17
with IC
50
values 5.96 ± 0.55 in HT29 cells, 8.15 ± 0.10 in HepG2 cells, and 5.96 ± 0.55 μg/mL in B16F10 cell line.
Moreover, the obtained IC 50 data of the 14-desmethyl cassane analogs were in the range of 4.33–77.97 μg/mL. To continue divulging the role played by the C-14 methyl group in cassane diterpenes in the antiproliferative effect, we compared the IC 50 values of salicylaldehyde 20 and lactone 5 with those of 14-desmethyl analogs 23 and 25 , respectively. (Entries 1, 13: and 10, 11: Table 3 ). As the highest values of cytotoxicity were found for compounds 6 and 20 in a HT29 colon cancer cell, these compounds and cell line were selected for the following assays.
It is observed that the presence of the C-14 methyl group is unimportant for the cytotoxic effect of the salicylaldehyde 20 in all cell lines and the lactone 5 , only in HT29 cells. From this initial SAR data analysis, it could be deduced that the methyl group at the C-14 positions of this family of compounds is not always crucial for their cytotoxic activity. This conjecture agrees with the results of a study by Pitsinos et al. [ 5 , 6 ].
2.2.5. Effects on HT29 Cell Cycle Arrest and Distribution
Flow cytometry was used to measure DNA ploidy and to determine possible alterations in cell cycle profiles. The distribution of cells in different cell-cycle phases was analyzed after 72 h of treatment by the incorporation of propidium iodide (PI), whose fluorescence is directly proportional to the amount of DNA. HT29 colon adenocarcinoma cells were treated with the highest cytotoxic compounds
6
and
20
at IC
50
and IC
80
concentrations. DNA histogram analysis showed that both of them dose-dependently produced a significant cell-cycle arrest in the G0/G1 phase of the cycle (
Figure 4
) At the IC
50
concentration, salicylaldehyde
20
increased this population with 6%, and with 9% at an IC
80
concentration. Lactol
6
Figure 4. Changes in the cell percentage, in each phase of the cell cycle, of colon adenocarcinoma cells HT29, with respect to untreated control cells, after 72 h of exposure to compounds 6 and 20 , at IC 50 and IC 80 concentrations. The cell cycle was conducted after propidium iodide (PI) staining as described in the Experimental Section, G0/G1 phase (brown bars), S phase (purple bars), and G2/M phase (orange bars). Values represent means ± S.D. of at least three independent experiments performed in duplicate.
2.2.6. Characterization of Apoptotic Effects by Flow Cytometry with Annexin-V
Most currently used anticancer drugs trigger the apoptosis process as a key target and induce it in cancer cells. Phosphatidylserine (PS) externalization is a typical characteristic of early phase apoptosis [ 22 ]. In this context, we further explored whether cytotoxic and cytostatic effects of salicylaldehyde 20 and lactol 6 on HT-29 cells were related to the induction of apoptosis, using the Annexin V-FITC/PI double staining by flow-activated cell sorter (FACS) cytometry analysis. As illustrated in Figure 5 , this double-staining method differentiated four cell populations: normal cells (annexin V− and PI−), early apoptotic cells (annexin V+ and PI−), late apoptotic cells (annexin V+ and PI+) and necrotic cells (annexin V− and PI+). These assays on the HT29 cell line were measured 72 h after treatment with the selected cassane diterpenes at their corresponding IC 50 and IC 80 concentrations. Both compounds demonstrated apoptotic effects on HT29 cells, with total apoptosis (early apoptotic together with late apoptotic cells) rates ranging from 18.3% to 86.8%, with necrosis rates that did not exceed 5%, concerning control cells.
Figure 5. Flow cytometric analysis of Annexin V-FITC staining and propidium iodide (PI) accumulation after the exposure of HT29 cells to compounds 6 and 20 at IC 50 and IC 80 concentrations for 72 h. Top: Diagrams of annexin V/PI flow cytometry. The right quadrants of each diagram represent apoptotic cells (Q2, late apoptosis; Q4, early apoptosis). Bottom: Flow cytometry analysis of Annexin V-FITC staining and PI accumulation. Values represent the mean ± S.E.M of duplicate independent experiments, performed in triplicate.
These percentages of total apoptosis reached very high levels up to 76.25% and 86.8% at IC 50 and IC 80 concentrations, respectively, in response to salicylaldehyde 20, consisting of (27.57% early apoptosis, 49.97% late apoptosis) at IC 50 concentration and (41.40% early apoptosis, 45.40% late apoptosis) at IC 80 concentration. These data agree with the cell cycle arrest at the G0/G1 phase caused by salicylaldehyde 20 at IC 50 (63.6%) and IC 80 (66.6%) in the HT29 cell line, which allows us to suppose that the cytotoxic effect of compound 20 occurs through an apoptotic response activation. The treatment of HT29 cells with lactol 6 has also been shown to induce apoptosis, in a concentration-dependent manner. The lowest percentage of total apoptosis was observed at an IC 50 concentration, of 18.30%, while the highest percentage of apoptosis exerted by compound 6 was obtained at the IC 80 concentration, close to 82% (48.83% early apoptosis plus 23 % late apoptosis). These results concord with the cell cycle arrest data since the cell percentages in the G0/G1 phase also changed in a concentration-dependent manner. Finally, the percentages of the necrotic populations were unremarkable in response to treatment by both tested cassane diterpenes. Various investigations have established a connection between different signaling pathways that induce cell apoptosis and the antitumor effects of cassane diterpenoids [ 3 , 23 , 24 , 25 ] ( Figure 5 ).
2.2.7. Effects on Changes in Mitochondrial-Membrane Potential
The apoptotic effects of anticancer agents can occur through the activation of two major apoptotic pathways: intrinsic and extrinsic apoptotic pathways, Thus, the study of the loss of the mitochondrial membrane potential (MMP) of tumor cells can provide information on the activation mechanism and the apoptotic pathway induced in response to anticancer compounds. When the mitochondria undergo disruption and are involved in the loss of MMP, the activation is then intrinsic (mitochondrial). Apoptosis induction without MMP alterations may suggest the activation of the extrinsic apoptotic pathway. Changes in MMP were evaluated using flow-cytometry double staining with Rh123 and PI in colon adenocarcinoma HT29 cells after treatment with compounds 20 and 6 for 72 h at IC 50 and IC 80 concentrations. Rh123 is a membrane-permeable, a fluorescent cationic dye that is taken up selectively by the mitochondria and its fluorescence is proportional to MMP. The results showed positive Rh123 staining in HT29 cells for both lactol 6 and salicylaldehyde 20 at IC 50 and IC 80 concentrations, so apoptosis induction by these compounds did not produce any changes in MMP, suggesting that the apoptosis was triggered by the extrinsic pathway activation ( Figure 6 ).
Figure 6. Effects of products 6 and 20 on mitochondrial membrane potential in colon adenocarcinoma HT29 cells, after 72 h treatment, at IC 50 and IC 80 concentrations. Percentage of HT29 Rh123 positive or negative cells, relative to untreated control cells (control). Values are expressed as the mean ± SD of two independent experiments, performed in triplicate.
Several studies on the apoptotic mechanisms behind the cassane diterpenoids anticancer activities showed that some of these diterpenoids induce apoptosis through different mechanisms. For instance, phanginin D triggers apoptosis by activating caspase-3, phanginin R induces apoptosis by enhancing the (PARP) activity, and procaspase-3 cleavage also increases the ratio of Bax/Bcl-2 and the p53 protein expression [ 23 , 24 ]. Additionally, caesalpin G induces apoptosis via another apoptotic mechanism, promoting ER stress and suppressing the Wnt/β-catenin signaling pathway [ 3 , 25 , 26 ].
3. Experimental Section
3.1. Synthesis
Experimental procedures, product characterizations, and 1 H and 13 C NMR spectra are included in the Supporting Information (see the ESI) .
3.2. Biological Experimental Procedures
3.2.1. Test Compounds
Compounds 5 – 6 , 14 – 20 , and 23 – 25 were dissolved at 5 mg/mL in DMSO. A stock solution was stored at −20 °C and before the treatment this solution was diluted in a cell-culture medium to adequate concentrations for each experiment.
3.2.2. Cell Cytotoxicity Assay
The human colorectal adenocarcinoma cell line HT29 (ECACC no. 9172201; ATCC no. HTB-38), human hepatocarcinome cell-line HepG2 (ECACC no. 85011430), mouse melanoma cells B16-F10 (ATCC no. CRL-6475), and murine monocyte/macrophage-like RAW 264.7 cell line (ATCC no, TIB-71) were purchased from the cell bank of the University of Granada, Spain. The cells were cultured in DMEM (Dulbecco’s Modified Eagle’s medium) supplemented with 2 mM glutamine, 10% heat-inactivated FCS (Fetal Calf Serum), 10,000 units/mL of penicillin, and 10 mg/mL of streptomycin, (for all cancer cell lines), 50 μg/mL of gentamicin (only for RAW 264.7 cell line). Cells were incubated at 37 °C, in an atmosphere of 5% CO 2 and 95% humidity. In all experiments, subconfluent monolayer cells were used. The culture media were changed every 48 h and the confluent cultures were separated with a trypsin solution (0.25%-EDTA).
The effect of compounds on the cell viability was determined by the MTT method [ 27 ] (Sigma, St. Louis, MO, USA) . The cytotoxicity of the compounds was detected by measuring the absorbance of MTT dye staining of cells with metabolism capacity. The cells were grown in 96-well plates to a volume of 100 μL at 6.0 × 10 3 cells/mL for HT29 and RAW 264.7 cell lines at 5.0 × 10 3 cells/mL for B16-F10 cells and 15.0 × 10 3 cells/mL for the HepG2 cell line and were incubated with the different products (0–100 μg/mL). Finally, after 72 h, 100 μL of MTT solution (0.5 mg/mL) in 50% of PBS and 50% of the medium was added to each well. After 1.5 h of incubation, formazan was re-suspended in 100 μL of DMSO, and each concentration was tested in triplicate. Relative cell viability, concerning untreated control cells, was measured by absorbance at 570 nm on an ELISA plate reader (Tecan Sunrise MR20–301, TECAN, Grödig, Austria). Compounds with low IC 50 values ( 16 , 20 , and 6 ) were selected for several cytometry assays, such as apoptosis, cell cycle, and mitochondrial membrane potential determination.
3.2.3. Measurement of Nitric Oxide Concentration
RAW 264.7 cells were plated at 6 × 10 4 cells/well in 24-well cell culture plates, supplemented with 10 μg/mL of LPS. After 24 h, cells were incubated for 24 h with compounds ( 5 – 7 , 14 – 16 and 19 – 20 ) at ¾ IC 50 , ½ IC 50 , and ¼ IC 50 concentrations. Griess reaction [ 28 ] was performed by taking 150 μL of supernatant test samples or sodium nitrite standard (0–120 μM) and mixed with 25 μL of Griess reagent A (0.1% n -(1-naphthyl) ethylenediamine dihydrochloride) and 25 μL of Griess reagent B (1% sulfanilamide in 5% of phosphoric acid) in a 96-well plate. After 15 min of incubation at room temperature, the absorbance was measured at 540 nm in an ELISA plate reader (Tecan Sunrise MR20–301, TECAN, Grödig, Austria). The absorbance was referred to nitrite standard curve to determine the concentration of nitrite in the supernatant of each experimental sample. The percentage of NO production was determined, assigning 100% at the increase between negative control (untreated cells) and positive control (cells only treated with 10 μg/mL of LPS).
3.2.4. RAW264.7 Cell Cycle
DNA content is directly proportional to the PI fluorescence; it allows us to determine the percentage of cells in each cell cycle phase. Using a fluorescence-activated cell sorter (FACS) at 488 nm in an Epics XL flow cytometer (Coulter Corporation, Hialeah, FL, USA), cell subpopulations could be visualized with different DNA contents. For this assay, 12 × 10 4 RAW264.7 murine macrophage/monocyte cells stimulated with LPS were plated in 24-well plates with 1.5 mL of medium and incubated with the compounds under study for 24 h at ¾ IC 50 and ½ IC 50 concentrations. By treating cells only with LPS, the positive control was performed. However, the negative control was prepared, exposing cells to the tested compounds without LPS stimulation. After treatment, cells were washed twice with PBS and trypsine solution, then resuspended in TBS 1X (10 Mm Tris, 150 Mm NaCl) and then Vindelov buffer (100 mM Tris, 100 Mm NaCl, 10 mg/mL Rnasa, 1 mg/mL PI, pH 8) was added. The samples were placed for 15 min on ice. Immediately before FACS analysis, cells were stained with 20 μL of 1 mg/mL PI solution. Data were analyzed to determine the percentage of cells in each cell cycle phase (G0/G1, S, and G2/M).
3.2.5. HT29 Cell Cycle
The method was performed by flow cytometry after propidium iodide staining (PI). HT29 cells were plated in 24-well plates at a density of 5 × 10 4 cells/well, with 1.5 mL of medium and incubated, and after 24 h were treated or not (control) with IC 50 concentrations of the compounds 6 and 20 for 48 h. The cells were then washed twice with PBS, trypsinized and resuspended in 1 × TBS (10 mM Tris and 150 mM NaCl), and after that Vindelov buffer (100 mM Tris, 100 mM NaCl, 10 mg/mL Rnase, and 1 mg/mL PI, at pH 8) was added. After that, cells were stored on ice and were stained with 20 µL of 1 mg/mL PI solution just before measurement. Approximately 10 × 10 3 cells were analysed in each experiment. The experiments were performed three times with two replicates per assay. Finally, the samples were analysed using a flow cytometer and the number of cells in each stage of the cell cycle was estimated by fluorescence-associated cell sorting (FACS) at 488 nm in an Epics XL flow cytometer (Coulter Corporation, Hialeah, FL, USA).
3.2.6. Annexin V-FICT/Propidium Iodide Flow-Cytometry Analysis
Annexin V and PI double staining was detected by flow cytometry, to confirm the pro-apoptotic effect of compounds 6 and 20 . As such wise, apoptosis was assessed by flow cytometry using a FACScan (fluorescence-activated cell sorter) flow cytometer (Coulter Corporation, Hialeah, FL, USA). For this assay, 5 × 10 4 HT29 cells were plated in 24-well plates with 1.5 mL of medium and incubated for 24 h. Subsequently, the cells were treated with the selected compounds in triplicate for 24, 48, and 72 h at their corresponding IC 50 and IC 80 concentrations. The cells were collected and resuspended in a binding buffer (10 mM HEPES/NaOH, pH 7.4, 140 mM NaCl, 2.5 mM CaCl 2 ). At room temperature in darkness, Annexin V-FITC conjugate (1 μg/mL) was then added and incubated for 15 min. Cells were stained with 5 μL of 1 mg/mL PI solution, just before the analysis. In each experiment, approximately 10 × 10 3 cells were analyzed, and the experiment was duplicated twice.
3.2.7. Flow-Cytometry Analysis of the Mitochondrial Membrane Potential
The electrochemical gradient across the mitochondrial membrane was studied by analytical flow cytometry using dihydrorhodamine (DHR). For this assay, 5 × 10 4 HT29 cells were plated in 24-well plates, incubated for 24 h and treated with compounds 6 and 20 for 48 h at their corresponding IC 50 and IC 80 concentrations. The medium renewal was achieved by adding fresh medium with DHR to a final concentration of 5 mg/mL. Cells were incubated for 1 h at 37 °C in an atmosphere of 5% CO 2 and 95% humidity and subsequently washed and resuspended in PBS with 5 µg/mL of PI. The fluorescence intensity was measured using a FACScan flow cytometer (fluorescence-activated cell sorter). The experiments were performed three times with two replicates per assay.
3.2.8. Statistical Analysis
Experimental cytotoxicity data were fitted to a sigmoidal function (y = ymax/ (x/a) −b ) by non-linear regression. IC 20 , IC 50 , and IC 80 values (concentrations that cause 80%, 50%, and 20% of cell cytotoxicity, respectively) were obtained by interpolation. These analyses were performed using SigmaPlot ® 12.5 software. Similar analyses were performed to obtain the IC 50 of NO production (IC 50 NO ). All shown data are representative of at least two independent experiments performed in triplicate. All quantitative data were summarized as the means ± standard deviation (SD).
More information about experimental procedures can be found in the Supplementary Materials .
4. Conclusions
In conclusion, the high cytotoxic potential and high apoptosis levels attained by our synthetic cassane-type diterpenoids show that they could be used as promising anticancer/anti-inflammatory drugs. Further studies will be necessary to strengthen this point, to elucidate the cellular and molecular elements involved in their effects, and to evaluate the activity/toxicity levels in preclinical models. Additionally, more synthetic strategies should be processed to disclose an expedient entry and to identify more potent anticancer/anti-inflammatory agents based on these novel scaffolds. Suitably, new synthesis, and biological evaluation of additional related structures and cassane analogs are currently underway in our laboratories.
Supplementary Materials
The following supporting information can be downloaded at: https://www.mdpi.com/article/10.3390/molecules27175705/s1 : Experimental details of the synthesis of all new substrates. Experimental details of biological experiments. Copy of 1 H NMR and 13 C NMR spectra of all new compounds.
Author Contributions
Conceptualization: R.C. and F.J.R.-Z.; Formal analysis: H.Z., F.J., M.M.-O., J.A.L. and F.J.R.-Z.; Funding acquisition: E.A.-M., R.C., J.A.L. and F.J.R.-Z.; Investigation: H.Z., F.J., M.M.-O.; and F.J.R.-Z.; Methodology: R.C., H.Z., F.J., M.M.-O. and F.J.R.-Z.; Project administration: R.C. and F.J.R.-Z.; Resources: E.A.-M., R.C., J.A.L. and F.J.R.-Z.; Supervision: R.C., R.A.-M., J.J., J.A.L. and F.J.R.-Z.; Validation: H.Z., F.J., M.M.-O. and F.J.R.-Z.; Visualization: H.Z., F.J. and F.J.R.-Z.; Writing—original draft: R.C., J.J., H.Z., F.J. and F.J.R.-Z.; Writing—review and editing: R.C., F.J.R.-Z. and H.Z. All authors have read and agreed to the published version of the manuscript.
Funding
This research was funded by grants from the Regional Government of Andalusia (Projects B-FQM-278-UGR20, B-FQM-650-UGR20 and assistance provided to the groups FQM-348 and BIO-157).
Institutional Review Board Statement
Not applicable.
Informed Consent Statement
Not applicable.
Data Availability Statement
Data is contained within the article or Supplementary Material .
Conflicts of Interest
The authors declare no conflict of interest.
Sample Availability
Samples of the compounds are not available from the authors.
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Figure 1. Some aromatic cassane-type terpenes and viridin derivatives.
Scheme 1. Synthesis of dienone 16 from (+)-sclareolide ( 8 ).
Scheme 2. Synthesis of pterolobirin H ( 5 ) from dienone 16 .
Scheme 3. Synthesis of pterolobirin G ( 6 ), and (5a)-vouacapane-8(14),9(11)-diene ( 7 ) from pterolobirin H ( 5 ).
Scheme 4. Synthesis of 14-demethyl salicylaldehyde 23 from (-)-ferruginol ( 12 ).
Scheme 5. Synthesis and 14-desmethyl lactone 25 from salicylaldehyde 23 .
Figure 2. ( A ) The effect of cassane diterpenes ( 6 , 7, and 14 – 18 ). ( B ) Cassane diterpenes ( 5 , 19 , and 20 ). ( C ) their 14-desmethyl analogs 23 – 25 , the release of nitrite assay in LPS activated RAW 264.7 macrophage murine cells at ¼IC 50 (purple bars), ½IC 50 (blue bars), and ¾IC 50 (orange bars) concentrations, after 72. Data represent the mean ± S.D. of at least two independent experiments performed in triplicate.
Figure 3. Top: Histograms of the cell cycle of RAW264.7 macrophage murine cells, after 72 h treatment with compounds 16 and 20 , at ¼ IC 50 , ½ IC 50 , and ¾ IC 50 concentrations. Bottom: Increase in the percentage of cells in each cell-cycle phase concerning untreated control cells. The cell cycle was conducted after propidium iodide (PI) staining as described in the experimental section, G0/G1 phase (brown bars), S phase (purple bars), and G2/M phase (orange bars). Values represent means ± S.D. of at least three independent experiments performed in duplicate.
Figure 4. Changes in the cell percentage, in each phase of the cell cycle, of colon adenocarcinoma cells HT29, with respect to untreated control cells, after 72 h of exposure to compounds 6 and 20 , at IC 50 and IC 80 concentrations. The cell cycle was conducted after propidium iodide (PI) staining as described in the Experimental Section, G0/G1 phase (brown bars), S phase (purple bars), and G2/M phase (orange bars). Values represent means ± S.D. of at least three independent experiments performed in duplicate.
Figure 5. Flow cytometric analysis of Annexin V-FITC staining and propidium iodide (PI) accumulation after the exposure of HT29 cells to compounds 6 and 20 at IC 50 and IC 80 concentrations for 72 h. Top: Diagrams of annexin V/PI flow cytometry. The right quadrants of each diagram represent apoptotic cells (Q2, late apoptosis; Q4, early apoptosis). Bottom: Flow cytometry analysis of Annexin V-FITC staining and PI accumulation. Values represent the mean ± S.E.M of duplicate independent experiments, performed in triplicate.
Figure 6. Effects of products 6 and 20 on mitochondrial membrane potential in colon adenocarcinoma HT29 cells, after 72 h treatment, at IC 50 and IC 80 concentrations. Percentage of HT29 Rh123 positive or negative cells, relative to untreated control cells (control). Values are expressed as the mean ± SD of two independent experiments, performed in triplicate.
Table 1. Cytotoxic effects of tested compounds on RAW 264.7 monocyte/macrophage murine cells.
Compound IC 20 (μg/mL) IC 50 (μg/mL) IC 80 (μg/mL) 5 34.92 ± 2.11 45.34 ± 1.33 64.21 ± 3.29 6 12.69 ± 0.30 14.99 ± 0.32 18.56± 0.45 7 50.92 ±1.61 57.55 ± 1.06 65.51 ± 0.95 14 22.92 ± 0.13 24.67 ± 0.04 26.89 ± 0.02 15 43.66 ± 2.37 64.62 ± 1.39 83.67 ± 0.64 16 14.51 ± 0.68 26.72 ± 0.88 N/A 17 4.95 ± 0.13 7.49 ± 0.86 11.78 ± 2.97 18 7.32 ± 2.53 13.11 ± 1.51 20.38 ± 0.26 19 70.83 ± 0.28 74.65 ± 0.17 78.94 ± 0.28 20 7.86 ±3.97 8.34 ± 2.51 9.35 ± 0.95 23 5.13 ± 0.18 5.87 ± 0.18 6.80 ± 0.24 24 9.09 ± 0.03 13.94 ± 0.07 20.75 ± 0.48 25 42.62 ± 0.74 53.92 ± 0.36 66.33 ± 0.35
Table 2. The IC 50 NO values of cassanes 5 – 7 , and 14 – 20 and desmethylated analogs 23 – 26 .
Cassane Diterpenes 14-Desmethyl Analogs Comp. IC 50 NO (μg/mL) Comp. IC 50 NO (μg/mL) Comp. IC 50 NO (μg/mL) 6 4.01 ± 0.07 5 17.57 ± 0.31 23 3.32 ± 0.05 7 22.02 ± 0.57 19 27.57 ± 0.20 24 15.21 ± 2.13 14 10.71 ± 1.14 20 2.98 ± 0.04 25 22.58 ± 0.05 15 7.98 ± 0.10 16 5.71 ± 0.14 17 4.74 ± 1.27 18 31.37 ± 4.90
Table 3. Cytotoxic effects of the synthesized cassane diterpenoids and the 14-desmethyl analogs on the three cancer cell lines.
IC 50 (μg/mL) Entry Product HT29 HepG2 B16-F10 Cassane diterpenes 1 5 70.07 ± 1.57 45.31 ± 1.81 39.71 ± 0.28 2 6 3.87 ± 0.98 11.75 ± 0.15 10.34 ± 0.74 3 7 20.66 ± 1.09 13.96 ± 0.50 31.73 ± 1.10 4 14 15.43 ± 2.72 33.77 ± 0.80 9.25 ± 0.74 5 15 25.29 ± 0.89 58.32 ± 0.32 13.01 ± 1.80 6 16 11.89 ± 0.80 26.72 ± 0.88 6.01 ± 0.41 7 17 5.96 ± 0.55 8.15 ± 0.10 5.97 ± 0.55 8 18 30.67 ± 0.49 13.57 ± 0.12 5.96 ± 0.35 9 19 48.99 ± 0.72 12.22 ± 1.78 48.82 ± 2.79 10 20 3.54 ± 0.19 8.41 ± 0.30 2.38 ± 0.39 Desmethyl analogs 11 23 5.19 ± 0.17 8.36 ± 1.77 4.33 ± 0.27 12 24 17.43 ± 1.97 24.22 ± 2.71 10.51 ± 0.01 13 25 74.26 ± 2.19 77.97 ± 0.72 74.26 ± 2.19
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Zentar, H.; Jannus, F.; Medina-O’Donnell, M.; Lupiáñez, J.A.; Justicia, J.; Alvarez-Manzaneda, R.; Reyes-Zurita, F.J.; Alvarez-Manzaneda, E.; Chahboun, R. Synthesis and Biological Evaluation of Cassane Diterpene (5α)-Vuacapane-8(14), 9(11)-Diene and of Some Related Compounds. Molecules 2022, 27, 5705.
https://doi.org/10.3390/molecules27175705
Zentar H, Jannus F, Medina-O’Donnell M, Lupiáñez JA, Justicia J, Alvarez-Manzaneda R, Reyes-Zurita FJ, Alvarez-Manzaneda E, Chahboun R. Synthesis and Biological Evaluation of Cassane Diterpene (5α)-Vuacapane-8(14), 9(11)-Diene and of Some Related Compounds. Molecules. 2022; 27(17):5705.
https://doi.org/10.3390/molecules27175705
Zentar, Houda, Fatin Jannus, Marta Medina-O’Donnell, José A. Lupiáñez, José Justicia, Ramón Alvarez-Manzaneda, Fernando J. Reyes-Zurita, Enrique Alvarez-Manzaneda, and Rachid Chahboun. 2022. "Synthesis and Biological Evaluation of Cassane Diterpene (5α)-Vuacapane-8(14), 9(11)-Diene and of Some Related Compounds" Molecules27, no. 17: 5705.
https://doi.org/10.3390/molecules27175705
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Clear Enough for a Child
Read Clear Enough for a Child by R.C. Sproul and more articles about Evangelism and Church on Christianity.com
Clear Enough for a Child
Luther affirmed that if unskilled people were given the right to read the Scriptures for themselves, much mischief could occur. But that was a risk worth taking.
It was many years ago when my grandmother related to me games that she played as a little girl in the 1880s. One game she mentioned was one that she and herMethodistgirlfriends played with their Roman Catholic friends. In a playful jest of the words of the Mass, my grandmother would say, "Tommy and Johnny went down to the river to play dominoes." Here the word dominoeswas a play on the use of the term Dominethat occurred so frequently in the Catholic rite of the Mass. The children, of course, were revealing their lack of knowledge of the words of the Mass because they were spoken in Latin.In a similar vein, those who are interested in the arts of prestidigitation know that all magicians, as they ply their trade, use certain sayings to make their magic come to pass. They will recite certain incantations, such as "abracadabra," "presto chango," and perhaps most famous of all, "hocus pocus." Even today we use "hocus pocus" to describe a type of magical art. It is an incantation used for the magician to perform his magic. But from where does the phrase "hocus pocus" come?The origin of it is once again borrowed from people's misunderstanding of the language used in the Roman Catholic Mass. In the words of institution uttered in Latin in the ancient formula, the statement was recited as follows: " hoc est corpus meum." This phrase is the Latin translation of Jesus' words at the Last Supper: "This is my body." But in the Mass to the unskilled ear, the supposed miracle of the transformation of the elements of bread and wine into the body and blood of Christ were heard under the rubric of language that sounded like "hocus pocus." These kinds of derivations are a direct result of people's being involved in some kind of drama where the words that are spoken remain unknown to them.In the Middle Ages, the church was committed to performing the Mass in the ancient tongue of Latin. That tongue was understood by educated people, and particularly by the clergy, but it was not intelligible to the laity. As early as the ninth century, questions were raised about the propriety of keeping the words of God obscured from the layperson by being restricted to Latin. The Bible itself was literally chained to the lecterns of the churches, so that it could not fall into the hands of people who were unskilled in the languages. It was not given to the common person to interpret the Bible for himself or to have it read in the common language of the people. It took centuries for the church to get over this struggle, and it provoked issues of heresy and of persecution. Prior to the sixteenth-century Reformation, among English-speaking people, the work of Tyndale and Wycliffe was brought under the censure of the church because these men dared to translate the Bible into a language other than Latin.In 1521, the Imperial Diet of Worms ended dramatically when Luther, in the presence of the Holy Roman Emperor, refused to recant of his writing and stated to the assembly gathered: "Unless I'm convinced by sacred Scripture or by evident reason, I will not recant. For my conscience is held captive by the Word of God. Here I stand, I can do no other. God help me." With those dramatic words, the Diet exploded in shouts of protest, while Luther's friends faked a kidnapping, whisked him away from Worms and secreted him to the Wartburg Castle in Eisenach. There for a full year, Luther, disguised as a monk, worked on his project of translating the New Testament into the German language from the original Greek text. Some regard this work of setting forth the Bible in the vernacular as one of the most important contributions that Luther made to the life of the church.But it was not received with equanimity everywhere. The great renaissance scholar, Erasmus of Rotterdam, whose motto was ad fontes("to the sources"), who was known for his mastery of ancient languages, protested against Luther's presumption to interpret the Bible into the vernacular. Erasmus did have enough respect for Luther to see that Luther was a world-class philologist in his own right. But he chastened Luther for daring to go against the church in translating the Bible into German. He counseled Luther by saying that if the Bible were to be translated into the common tongue and given to the people for their own reading, it would "unloose a floodgate of iniquity."Erasmus was convinced that giving the Bible into the hands of the people in their own language would give them a license to turn the Bible into a wax nose to be twisted and shaped and distorted into any inclination or private opinion that the individual could stretch from the Scriptures. Luther affirmed this, that if unskilled people are given the right to read the Scriptures for themselves in their own language, much mischief will occur from it, and people will use the Bible to try to justify the wildest of all possible heresies. On the other hand, Luther was convinced of the perspicuity of Scripture, namely, that its central message of salvation is so clear that even a child can understand it. Luther believed that the salvific words communicated in Scripture are so vitally important that it is worth setting the opportunity for salvation before the people even though some dire consequences might flow from such reading. He responded to Erasmus by saying, "If a floodgate of iniquity be opened, so be it."In the wake of the translation of the Bible into the common language came the basic principle of private interpretation. That principle of private interpretation was soundly condemned by the RomanCatholic Churchin the fourth session of the Council of Trent in the middle of the sixteenth century. But the die was cast, and since that time, the Bible has been translated into thousands of languages, and attempts are afoot to get the Bible translated into every language that can be found anywhere on the face of the earth. The prophetic concerns of Erasmus in many ways have come true with the vast proliferation of denominations, each calling themselves biblical. Yet at the same time, the gospel of salvation in Christ has been made known abroad throughout the world because the Bible has been given in the vernacular and made available to all people. To be sure, private interpretation does not give a license for private distortion. Anyone who presumes to interpret the Bible for himself must assume with that right theawesome responsibilityof interpreting it correctly.
Christianity / Church / Evangelism / Clear Enough for a Child
| https://www.christianity.com/church/missions-and-evangelism/hocus-pocus-what-happens-when-gods-word-is-obscured-11601934.html |
Standard Electrode Potentials; Direction of a Spontaneous Redox Reaction | Chemistry | JoVE
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18.4: Standard Electrode Potentials
On comparing the reactivity of silver and lead, it is observed that the two ionic species, Ag +( aq) and Pb 2+( aq), show a difference in their redox reactivity towards copper: the silver ion undergoes spontaneous reduction, while the lead ion does not. This relative redox activity can be easily quantified in electrochemical cells by a property called cell potential. This property is commonly known as cell voltage in electrochemistry, and it is a measure of the energy which accompanies the charge transfer. Potentials are measured using the SI unit Volts, defined as one joule of energy per one coulomb of charge. Thus,
When measured for electrochemical purposes, the cell potential is a measure of the driving force for a specific type of charge transfer processes, namely, the electron transfer between reactants. The potential of a single electrode or a single half-cell cannot be measured as electron transfer requires a donor and recipient or a reductant and an oxidant, respectively. Instead, a half-cell potential can only be measured relative to another half-cell. Thus, it is only possible to measure the difference in potential between two half-cells, E cell, which is defined as
where E cathodeand E anoderepresent the potentials of two different half-cells functioning as cathode and anode, respectively. The standard cell potential, E° cell, is the cell potential measured at standard-state conditions of both half-cells ( i.e., 1 M concentrations, 1 bar pressures, 298 K)
To easily calculate half-reaction potentials, the scientific community has designated one particular half-cell to serve as a universal reference for all cell potential measurements, with a potential of 0 V. This half-cell is known as the standard hydrogen electrode (SHE), and it is based on the half-reaction below:
Typically, SHE consists of an inert platinum electrode which is immersed in 1 Maqueous H +, with a stream of bubbling H 2gas at 1 bar pressure, maintained at a uniform temperature of 298 K. The electrode potential ( E X) for a half-cell X is thus defined as the potential measured for a cell X, which acts as a cathode, while the SHE acts as an anode.
Therefore,
Under standard-state conditions, the potential of the half-cell X is equal to the standard electrode potential, E° X. As the definition of cell potential requires the half-cells to function as cathodes, these potentials are also called standard reduction potentials.
Prediction of Spontaneity and the Direction of a Redox Reaction
The cell and electrode potentials dictate the spontaneity of redox reactions. It is observed that the spontaneous reactions show a positive cell potential, while the nonspontaneous process shows a negative cell potential. If the summation of the electrode potentials is positive, the reaction is said to be spontaneous. Half-cell reactions having positive electrode potential occur in the forward direction, while those with values lesser than the hydrogen electrode usually occur in the reverse order.
A stronger oxidant exhibits greater standard electrode potential, E°. As electrode potentials measure reduction capacity, an increased E° corresponds to an increased driving force behind the reduction of the species and better oxidizing abilities. Thus, E° cellis positive when E° cathode> E° anode.
Considering this, it explains why copper is oxidized by silver, but not by lead:
Prediction of Dissolution of Metal in Mineral Acids
One of the essential applications of the half-cell potentials is understanding whether a particular metal will dissolve in mineral acid. Most acids like hydrochloric acid dissolve metals by the reduction of protons to hydrogen gas and oxidation of metals to their respective ions. In the case of zinc reacting with hydrochloric acid, the reaction is spontaneous as the standard electrode potential of zinc is lower than that of hydrogen. However, copper does not react with hydrochloric acid on account of its higher electrode potential.
This text is adapted from OpenStax, Chemistry 2e, Section 17.3: Electrode and Cell Potentials.
| https://www.jove.com/science-education/11435/standard-electrode-potentials?language=Korean |
The Doctrine of Repentance (eBook) | Page 31 | Monergism
by Thomas WatsonIn ePub, .mobi & .pdf formatsModernized American-English, formatting, corrections, and additional notes (in blue) © William GrossThe two great
The Doctrine of Repentance (eBook)
by Thomas Watson
In ePub , .mobi & .pdf formats
Modernized American-English, formatting, corrections, and additional notes (in blue) © William Gross
The two great graces essential to a saint in this life are faith and repentance. These are the two wings by which he flies to heaven. Faith and repentance preserve the spiritual life just as heat and radical moisture presserve the natural. The grace which I am going to discuss is repentance.
Chrysostom thought it was the most appropriate subject for him to preach before the Emperor Arcadius. 1Augustine caused the penitential psalms to be written before him as he lay upon his bed, and he often perused them with tears. Repentance is never out of season; it is as frequently used as the artificer’s tool or the soldier’s weapon. If I am not mistaken, practical points are more necessary in this age than controversial and polemical.
I thought to smother these meditations in my desk. But conceiving them to be of great concern at this juncture of time, I rescinded my first resolution and have now exposed them to critical view.
Repentance is purgative; do not fear the working of this pill. Strike your soul, said Chrysostom; strike it and it will escape death by that stroke. How happy it would be if we were more deeply affected with sin, and our eyes swam in their orb. We may clearly see the Spirit of God moving in the waters of repentance, which though troubled, are yet pure. Moist tears dry up sin and quench the wrath of God. Repentance is the cherisher of piety, the procurer of mercy. The more regret and trouble in spirit we have first at our conversion, the less we shall feel afterwards.
Christians, do you have a sad resentment of other things and not of sin? Worldly tears fall to the earth, but godly tears are kept in a bottle (Psa 56.8). Do not judge holy weeping as superfluous. Tertullian thought he was born for no other end but to repent. Either sin must drown or the soul must burn. Let it not be said that repentance is difficult. Things that are excellent deserve labor. Will a man not dig for gold in the ore, even though it makes him sweat? It is better to go with difficulty to heaven than with ease to hell. What would the damned give so that they might have a herald sent to them from God to proclaim mercy upon their repentance? What volleys of sighs and groans would they send up to heaven? What floods of tears would their eyes pour out? But it is now too late. They may keep their tears to lament their folly, sooner than to procure pity. O that we would therefore, while we are on this side of the grave, make our peace with God! Tomorrow may be our dying day; let this be our repenting day. How we should imitate the saints of old who embittered their souls and sacrificed their lusts, and put on sackcloth in the hope of having white robes. Peter baptized himself with tears; and that devout lady Paula (of whom Jerome writes), like a bird of paradise, bemoaned herself and humbled herself to the dust for sin.
Besides our own personal miscarriages, the deplorable condition of the land calls for a contribution of tears. Have we not lost much of our pristine fame and renown? The time was, when we sat as princess among the provinces (Lam. 1.1), and God made the sheaves of other nations bow down to our sheaf (Gen 37.7). But has not our glory fled away like a bird (Hos 9.11)? And what severe dispensations are yet to come we cannot tell. Our black and hideous vapors having ascended, we may fear loud thunderclaps should follow. And will not all this bring us to our senses and excite in us a spirit of humiliation? Shall we sleep at the top of the mast when the winds are blowing from all the quarters of heaven? O let not the apple of our eye cease (Lam. 2.18)!
I will not launch any further into a prefatory discourse, but ask that God would add a blessing to this work. May he so direct this arrow that, though shot at rovers, it may hit the mark. That some sin may be shot to death, will be the ardent prayer of him who is
The well-wisher of your soul’s happiness,
THOMAS WATSON
25 May 1668
| https://www.monergism.com/doctrine-repentance-ebook?page=30 |
(PDF) Seismic retrofit schemes for RC structures and local‐global consequences
PDF | A review of repair schemes for reinforced concrete frame buildings is presented in this paper, within the context of global objectives of the... | Find, read and cite all the research you need on ResearchGate
Article
PDF Available
Seismic retrofit schemes for RC structures and local‐global consequences
January 2006
Progress in Structural Engineering and Materials8(1):1 - 15
DOI: 10.1002/pse.208
Authors:
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Georgia E. Thermou
University of Nottingham
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Amr Salah Eldin Elnashai
Pennsylvania State University
Abstract and Figures
A review of repair schemes for reinforced concrete frame buildings is presented in this paper, within the context of global objectives of the intervention process. Local as well as global intervention measures are discussed and their technological application details outlined. The effect of the reviewed repair schemes on the member, sub-assemblage and system performance are qualitatively assessed. The important role of the foundation system in the rehabilitation process is outlined and measures that are consistent with the super-structure intervention methods are given. The paper concludes with a global assessment of the effect of repair methods on stiffness, strength and ductility, the three most important seismic response parameters, to assist researchers and practitioners in decision-making to satisfy their respective intervention objectives. The framework for the paper complies with the requirements of consequence-based Engineering, where the expected damage is addressed only when consequences are higher than acceptable consequences, and a cyclical process of assessment and re-assessment is undertaken until the community objectives are deemed to be satisfied.
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Application of the: (a) epoxy resin; (b) cement grout injection in beam–column joints …
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Steel jacketing; (b) steel cage technique using steel straps or (c) steel plates …
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Strengthening of footings—RC jacketing …
Figures - uploaded by
Georgia E. Thermou
Seismic retrofit schemes for RC
structures and local–global
consequences
G E Thermou
1
and A S Elnashai
2
1
Demokritus University of Thrace, Xanthi, Greece
2
University of Illinois at Urbana-Champaign, IL, USA
Summary
A review of repair schemes for reinforced
concrete frame buildings is presented in this
paper, within the context of global objectives of
the intervention process. Local as well as global
intervention measures are discussed and their
technological application details outlined. The
effect of the reviewed repair schemes on
the member, sub-assemblage and system
performance are qualitatively assessed. The
important role of the foundation system in the
rehabilitation process is outlined and measures
that are consistent with the super-structure
intervention methods are given. The paper
concludes with a global assessment of the effect of
repair methods on stiffness, strength and
ductility, the three most important seismic
response parameters, to assist researchers and
practitioners in decision-making to satisfy their
respective intervention objectives. The
framework for the paper complies with the
requirements of consequence-based Engineering,
where the expected damage is addressed only
when consequences are higher than acceptable
consequences, and a cyclical process of
assessment and re-assessment is undertaken until
the community objectives are deemed to be
satisfied.
Key words: retrofit; repair/strengthening; rehabilitation; structural intervention; seismicupgrading
Prog. Struct. Engng Mater. 2006; 8:1–15
Published online 19 December 2005 in Wiley InterScience (www.interscience.wiley.com). DOI: 10.1002/pse.208
Introduction
In recent years, devastating earthquakes worldwide
confirmed the deficiencies of building structures. The
experience gained from field observations and back-
analysis led to improvement of the level of knowledge
and the evolution of seismic codes.
The interest of the research community is focused
on buildings that do not comply with current seismic
codes and exhibit deficiencies such as poor detailing,
discontinuous load paths and lack of capacity design
provisions. Since such buildings comprise the
majority of existing building stock, retrofitting is a
rather critical issue. Rehabilitationschemes that will
provide cost-effective and structurally effective
solutions are necessary. Many intervention methods
used in the past have been revised and developed in
the light of the new seismic code requirements and
new methods often based on new materials (e.g. fiber-
reinforced polymers FRPs) have been proposed.
In this paper,the term ‘rehabilitation’ is used as a
comprehensive term to include all types of repair,
retrofitting and strengthening that lead to reduced
earthquake vulnerability.The term ‘repair’ is defined
as reinstatement of the original characteristics of a
damaged section or element and is confined to
dealing with the as-built system. The term
‘strengthening’ is defined as intervention that lead to
enhancement of one or more seismic response
parameters (stiffness, strength, ductility, etc.),
depending on the desired performance.
Framework of seismic rehabilitation
Performance objectives are set depending onthe
structural type, the importance of the building, its role
in post-earthquake emergencies, the economic
consequences of business interruption, its historical or
Earthquake Engineering and Structural Dynamics
Copyright & 2005 John Wiley & Sons, Ltd. Prog. Struct. Engng Mater. 2006; 8:1–15
cultural significance, the construction material and
socio-economic factors. They can be specified as limits
on one or more response parameter such as stresses,
strains, displacements, accelerations, etc. Clearly,
different limit states have to be correlated to the level
of the seismic action, i.e. to the earthquake demand
level.
The selection of the rehabilitation scheme and the
level of intervention isa rather complex procedure,
because many factors of different nature come into
play. A decision has to be taken on the level of
intervention. Some common strategies are the
restriction or change of use of the building, partial
demolition and/or mass reduction, addition of new
lateral load resistance system, member replacement,
transformation of non-structural into structural
components and local or global modification
(stiffness, strength and ductility) of elements and
system. In addition, methods such as base isolation,
provision of supplemental damping and
incorporation of passive and active vibration control
devices may apply. The alternatives of ‘no
intervention’ or ‘demolition’ are more likely the
outcomes of the evaluation if the seismic retrofit of
buildings is quite expensive and disruptive.
Socio-economic issues have to be considered in the
decision of the level and type of intervention.
Surprisingly, there are documented cases where
aesthetic and psychological issues dictate the
rehabilitation strategies. For example, in the Mexico
City earthquake of 19 September 1985, where external
bracing was popular, because it instilled a feeling of
confidence in the occupants that significant and
visible changes have been made to the structure to
make it safer [1] . Cost vs importance of the structure is
a significant factor, especially in the case that the
building is of cultural and/or historical interest. The
available workmanship and the level of quality
control define the feasibility of the proposed
intervention approach. The duration of work/
disruption of use and the disruption to occupants
should also be considered. The functionality and
aesthetical compatibility of the intervention scheme
with the existing building is an additional
engagement. Even the reversibility of the scheme in
case it is not accepted on a long-term basis should be
taken into account.
From a technical point of view the selection of the
type and level of intervention have to be based on
compatibility with the existing structural system and
the repair materials and technology available.
Controlled damage to non-structural components and
sufficient capacity of the foundation system are
essential factors that are often overlooked.Issues such
as irregularities of stiffness, strength and ductility
have to be considered in detail.
A convenient way to discuss the engineering issues
of evaluation and retrofit is to break down theprocess
into steps. The first step involves the collection of
information for the as-built structure. The
configuration of the structural system, reinforcement
detailing, material strengths, foundation system and
the level of damage are recorded. In addition, data
relevant to the non-structural elements (e.g. infill
walls) which play a significant role and influence the
seismic response of structures are also compiled.
Sources for the above information can become visits to
the site, construction drawings, engineering analyses
and interviews with the original contractor. The
rehabilitation objective is selected from various pairs
of performance targets and earthquake hazard levels
(i.e. supply and demand, or response and input pairs).
The performance target is set according to an
acceptable damage level (performance target).
Building performance can be described qualitatively
in terms of the safety of occupants during and after
the event, the cost and feasibility of restoring the
building to pre-earthquake condition, the length of
time the building is removed from service to effect
repairs, and the economic, architecturalor historic
impacts on the larger community. Variations in actual
performance could be associated with unknown
geometry and member sizes in existing buildings,
deterioration of materials, incomplete site data, and
variation of ground motion that can occur within a
small area and incomplete knowledge and
simplifications related to modeling and analysis. In
the next phase, the rehabilitation method is selected
starting with the selection of an analysis procedure.
The development of a preliminary rehabilitation
scheme follows (using one or more rehabilitation
strategies) the analysis of the building (including
rehabilitation measures), and the evaluation ofthe
analysis results. Further, the performance and
verification of the rehabilitation design are conducted.
The rehabilitation design is verified to meet the
requirements through an analysis of the building,
including rehabilitation measures. A separate
analytical evaluation is performed for each
combination of building performance and seismic
hazard specified in the selected rehabilitation
objective. If the rehabilitation design fails to comply
with the acceptance criteria for the selected objective,
the interventions must be redesigned or an alternative
strategy considered.
Rehabilitation options
L OCAL INTERVENTION METHODS
The local modification of isolated components of the
structural and non-structural system aims to increase
the deformation capacity of deficient components so
that they will not reach their limit state as the building
responds at the required level. Local intervention
techniques are applied to a group of membersthat
suffer from structural deficiencies and a combination
E ARTHQUAKE ENGINEERING AND STRUCTURAL DYNAMICS 2
of these techniques may be used in order to obtain the
desired behavior for a seismically designed structure.
Injection of cracks
Crack injection is a versatile and economical method
of repairing reinforced concrete (RC) structures. The
effectiveness of the repair process depends on the
ability of the adhesive material (usually epoxies) to
penetrate, under appropriate pressure, into the fine
cracks of the damaged concrete. Flexural cracks and
shear cracks are mainly continuous and therefore
provide unobstructed passages for the epoxy. On the
other hand, longitudinal cracks, which develop along
reinforcing bars as a result of bond failure, are usually
discontinuous and narrow.Difficulties may occur in
repairing the steel-to-concrete bond by epoxy
injection.
This repair method can be used in minor
( 5 0.1 mm),medium( 5 3mm) size cracks, and large
crackwidths(upto5–6 mm).Incaseoflargercracks,
up to 20mm wide, cement grout, as opposed to epoxy
compounds, is the appropriate material for injection
(Fig.1). In the first step of the application process,
loose material is removed. For the more usual case of
epoxy injection, the surface trace of cracks is fully
sealed with epoxy paste, leaving only surface-
mounted plastic nozzles for injection. The spacing of
nozzles along the crack should be dictated by the
distance epoxy can travel prior to hardening (this
distance depends on crack width and on the viscosity
of the epoxy at the application temperature). In
members with dimensions larger than hardening
distance, ports at both surfaces should be provided
along penetrating cracks. Injection is deemed
complete for a portion of the crack when epoxy is
expelled from the next higher nozzle. Once the repair
epoxy has set, the nozzles are bent and tied firmly.
They can be cut flush and sealed with an epoxy-
patching compound prior to rendering of the affected
member.
Flexural tests on RC beams and beam–column joints
show that the repair process not only eliminates the
unsightly appearance of wide cracks, but also restores
the flexural strength and stiffness of the damaged
member [2,3] . Push-off tests (both static and dynamic)
further indicate that concrete-to-concrete joints can
regain their shear strength after being repaired by
epoxy resin injection.
Shotcrete (Gunite)
Shotcrete is used as a repair method for RC and
masonry structures. There are two distinct types of
shotcrete; dry-mix and wet-mix. Shotcrete can be
applied to almost any surface; it can also be used in
combination with other retrofit schemes (e.g. RC
jacket). Because of its generally low water–cement
ratio and high-velocity impact, it achieves excellent
bond to most competent surfaces. Deficiencies in
shotcrete applicability usually fall into one of the
following five categories [4] : (i) failure to bond to the
receiving surface, (ii) de-lamination at construction
joints or interfaces of various application layers, (iii)
incomplete filling of the material behind the
reinforcing steel, (iv) slough due to excess mixing
water (which can generate voids) and (v) weak
interface between the concrete and steel. The impact
velocity of the material to the applicationsurface is
dependent upon both the exit velocity and the
distance of the nozzle from the surface. Where bond is
important, equipment must be at the proper impact
angle of about 90 8 and reasonably close to the
application surface. Further, the surface must be clean,
sound and damp. When the shotcrete strikes the
application surface (or other hard objects such as
reinforcing steel), some of the larger and harder
aggregate particles tend to ricochet. These particles
are referred to as rebound and are composed
primarily of the larger aggregate particles, although
some cement and water are included. Because of the
nature of its composition, rebound is not capable of
obtaining significant strength and should not be
allowed in the final work. Many factorsaffect the
amount of rebound such as: (i) orientation of the
receiving surface, (ii) shotcrete mix design,
(iii) amount of reinforcing steel embedment,
Fig. 1 Application of the: (a) epoxy resin; (b) cement grout injection in beam–column joints
S EISMIC RETROFIT SCHEMES 3
(iv) thickness of the cross-section, (v) impact velocity,
and (vi) spraying technique.
Steel plate adhesion
Steel plate adhesion is mainly used in the case of
beams. Both shear and flexural strength enhancement
can be achieved. When thick steel platesare needed, it
is advisable to use several thin layers instead, to
minimize interfacial shear stresses. A sound
understanding of both the short- and long-term
behavior of the adhesive used is required. Inaddition,
reliable information concerning the adhesion to
concrete and steel is required. The execution of the
bonding work is also of great importanceto achieve a
composite action between the adherents. Prevention
of premature de-bonding or peeling of externally
bonded plates is a most critical aspect of design [5–7] .
Steel jacketing
The steel jacketing option involves the total
encasement of the column with thin steel plates
placed at a small distance from the column surface,
with the ensuing gap filled with non-shrink grout [8,9] .
An alternative to a complete jacket (exemplified in
Fig. 2b,c) is thesteel cagealternative [10,11] . Steel angles
are placed at the corners of the existing cross-section
and either transversal straps or continuous steel plates
are welded on them. In practice, the strapsare often
laterally stressed either by special wrenches or by
preheating to temperatures of about 200–400 8 C, prior
to welding. Any spaces between the steel cage and the
existing concrete are usually filled with non-shrink
grout. When corrosion or fire protection is required, a
grout concrete or shotcrete cover may be provided.
The corrugated steel jacketing technique can be
applied for the rehabilitation of columns and beam–
column joints [12] . Deficient connections are encased by
the steel jacket and the gap between the concrete and
the steel jacket is filled with non-shrink grout. A gap
is provided between the beam jacket and the column
face to minimize flexural strength enhancement of the
beam; which may cause excessive forces to develop in
the joint and column.
Externally bonded FRPs
The ease of application of FRP composites renders
them attractive for use in structural applications;
especially in cases where dead weight, spaceortime
restrictions exist. Although FRP composites can have
strength levels significantly higher than those of steel
and can be formed of constituents such as carbon
(CFRP), glass (GFRP), and aramid (AFRP) fibers, it is
important to note that its use is often dictated by
strain limitations [13] (Fig. 3a).Theyareverysensitive
to transverse actions (i.e. corner or discontinuity
effects) and unable to transfer local shear (i.e.
interfacial failure). Clearly, they carry no compressive
forces. Choosing the type of fibers, their orientation,
their thickness and the number of plies, results in a
great flexibility in selecting the appropriate retrofit
scheme that allows to target the strengthhierarchy at
both local (i.e. upgrade of single elements) and global
(i.e. achievement of a desired global mechanism)
levels. In general, FRP composites behave in a linear
elastic fashion to failure without any significant
yielding or plastic deformation. Additionally, it
should be noted that unlike reinforcing steel, some
fibers (such as carbon fibers) are anisotropic. This
anisotropy is also reflected in the coefficient of
A A A AA A
(a)
h
(b)
h
(c)
h
Fig. 2 (a) Steel jacketing; (b) steel cage technique using steel straps or (c) steel plates
E ARTHQUAKE ENGINEERING AND STRUCTURAL DYNAMICS 4
thermal expansion in the longitudinal and transverse
directions. The large differences in strength
(transverse strength 5 longitudinal strength) and
coefficients of thermal expansion can result in bond
deterioration and splitting of concrete. Moreover,
these can cause lateral stresses and low cycle fatigue
under repeated thermal cycling [15] .
The effectiveness of strengthening depends on the
bond conditions, the available anchorage length and/
or the type of attachment at the FRP ends, the
thickness of the laminates, among other less
important factors. According to experimental data,
failure of the FRP reinforcement may occur either by
peeling off (de-bonding) through the concrete nearthe
concrete–FRP interface or by tensile fracture at a stress
which may be lower than the tensile strength of the
composite material, because of strength
concentrations (e.g. at rounded corners or at de-
bonded areas). In many cases, the actualfailure
mechanism is a combination of FRP de-bonding at
certain areas and fracture at others. The choice of
constituents and details of the process used to
fabricate the composite significantly affect
environmental durability. Exposure to a variety of
environmental conditions can dramatically change
failure modes of the composites, even in cases where
performance levels remain unchanged. In other cases,
exposures can result in the weakening of the interface
between FRP composites and concrete, causing a
change in failure mechanism and sometimesa
dramatic change in performance.
In the case of columns, shear failure, confinement
failure of the flexural plastic hinge region and lap
splice de-bonding can be accommodated by the use of
FRPs [16–18] . At this juncture it is important to stress
that none of these failure modes and associated
retrofits should be viewed separately, since
retrofitting for one deficiency may only shiftthe
problem to another location and/or failure mode
without necessarily improving the overall
performance. For example, a shear-critical column,
strengthened over the column center region with
carbon wraps, is expected to develop flexural plastic
hinges at column ends which, in turn, need to be
retrofitted for the desired confinement levels.
Furthermore, lap splice regions need not only to be
checked for the required clamping force to develop
the capacity of the longitudinal column
reinforcement, but also for confinement and ductility
of flexural plastic hinge [17] . Shear and flexural
strengthening of beams can be achieved by the
application of either epoxy-bonded laminates or
fabrics extending in the compression zone or epoxy-
bonded FRP fabric wrapped around the beam [19–22] .In
the case of beam–column joints, the jacket is designed
to replace missing transverse reinforcement in the
beam–column joint [23–28] . The FRP technique can be
also used for strengthening walls [29] .
Selective intervention methods
Where system-optimal performances dictate
selectively modifying specific response parameters to
pre-defined levels, procedures for affecting single
parameters with no effect on others are called for. The
initial development of ‘selective intervention’
techniques, proposed by Elnashai [30] was first applied
to structural walls under static loading [31] . Further
studies applied the techniques to shaking table-tested
walls [32] , and culminated with application to a full-
scale four story RC building [33] . The fundamental
parameters governing structural responses to
transverse actions in the inelastic rangeare: stiffness,
strength and ductility. Consequently, selective
intervention techniques are referred to as stiffness-,
strength- , andductility-only .
Stiffness-only intervention approaches may be used
in order to accommodate problems related to irregular
distribution of stiffness or to significant reduction of
stiffness due to cracking of concrete members. In the
latter case, if concrete crushing and buckling of
reinforcement bars do not occur the flexural strength
of the members will not necessarily be adversely
affected.
Altering the sequence of plastic hinge formation to
achieve a predetermined failure mode becomes an
essential objective for seismic safety. This requires an
ε
0.02 0.04
Mild steel
2
6
4
GFRP
AFRP
CFRP
σ (GPa)
(a)(b) (c)
Fig. 3 (a) Material properties [14] ; application modes of (b) prefabricated shells; (c) FRP sheets
S EISMIC RETROFIT SCHEMES 5
increase in strength of strategically located members.
Only a selective strength-onlyintervention can be
effective in addressing such deficiency.
Problems with lack of ductility supply may be
confronted by the application of ductility-only
intervention methods. Lot of effort has beenput
together towards the investigation of alternative
ductility-only retrofit schemes. Aboutaha et al . [34]
investigated the effectiveness of rectangular steel
jackets for improving the ductility and strength of
columns with inadequate lap splice in the
longitudinal reinforcement. Several types of steel
jackets were investigated, including rectangular solid
steel jackets with and without adhesive anchor bolts.
A similar set of experiments was conducted by Aviles
et al . [35] . The models were deficient in the level of
concrete confinement at foundation level and thus
retrofitted with steel plate wrapping combined with
anchor bolts. Saadatmanesh et al . [36] carried out
experimental work on the application of high-strength
FRP composite straps to retrofit bridge columns.
Ghobarah et al . [37] investigated the effectiveness of
corrugated steel jacketing for the seismic upgrading of
RC columns.
G LOBAL INTERVENTION TECHNIQUES
In case of systems with high flexibility or when no
uninterrupted transverse load path is available then
global intervention techniques are considered. The
most well known global retrofit schemes are
presented hereafter.
RC jacketing
RC jacketing is one of the most commonly applied
methods for the rehabilitation of concrete members.
Jacketing is considered to be a global intervention
method if the longitudinal reinforcement placed in the
jacket passes through holes drilled in the slab and
new concrete is placed in the beam–columnjoint
(Fig. 4).However, ifthelongitudinalreinforcement
stops at the floor level then RC jacketing is considered
as a member intervention technique. The main
advantage of the RC jacketing technique is the fact
that the lateral load capacity is uniformly distributed
throughout the structure of the building thereby
avoiding concentrations of lateral load resistance,
which occur when only a few shear walls are
added [38] . A disadvantage of the method is the
presence of beams which may require most of the new
longitudinal bars in the jacket to be bundled into the
corners of the jacket. Because of the presence of the
existing column, it is difficult to provide cross ties for
the new longitudinal bars, which are not atthe
corners of the jacket.
To date, apart from qualitative guidelines provided
in some Codes, no specific design rules exist for
dimensioning and detailing of the jacketstoreach a
predefined performance target. The uncertainty with
regard to bond between the jacket and the original
member is another disadvantage. Of the many factors
influencing jacket performance, slip and shear-stress
transfer at the interface between the outside jacket
layer and the original member that serves as the core
of the upgraded element are overriding
considerations [39] .
The effectiveness of the method has been studied by
many researchers and supported by experimental
work [38,40–42] . In cases where building are in close
proximity to one another, the method is modified and
one-, two- or three-sided jacketing applies [43,44] .
Addition of walls
Addition of new RC walls is one of the most common
methods used for strengthening of existing structures.
This method is efficient in controlling global lateral
drift, thus reducing damage in frame members.
During the design process, attention must bepaidto
the distribution of the walls in plan and elevation (to
achieve a regular building configuration),transfer of
inertial forces to the walls through floor diaphragms,
struts and collectors, integration and connection of the
Fig. 4 Reinforced concrete jacketing technique
E ARTHQUAKE ENGINEERING AND STRUCTURAL DYNAMICS 6
wall into the existing frame buildings and transfer of
loads to the foundations. Added wallsare typically
designed and detailed as in newstructures. To this
end, in the plastic hinge zone at the base they are
provided with boundary elements, well-confined and
detailed for flexural ductility. They are also capacity-
designed in shear throughout their height andover-
designed in flexure above the plastic hinge region
(with respect to the flexural strength in the plastic
hinge zone, not the shear strength anywhere), to
ensure that inelasticity or pre-emptive failure will not
take place elsewhere in the wall before plastichinging
at the base and that the new wall will remain elastic
above the plastic hinge zone.
The most convenient way to introduce new shear
walls is by partial or full infilling of strategically
selected bays of the existing frame [45] . If the wall takes
up the full width of a bay, then it incorporates the
beams and the two columns, the latter acting as its
boundary elements (Fig. 5). In case only theweb of the
new wall needs to be added, sometimes by
shotcreting against a light formwork or a partition
wall is performed. In the latter case, shotcrete is
normally used for increased adhesion between
the existing and the added material. An alternative
to the cast-in-place infill wall technique is the addition
of pre-cast panels. The pre-case infill wall system
should be designed to behave monolithically, and the
infill wall should be designed with sufficient shear
strength to develop flexural yielding at the base of the
wall [46] .
A major drawback of the addition of walls is the
need for strengthening the foundations to resist the
increased overturning moment and the need for
integrating the wall with the rest of the structure.
Foundation intervention is usually costly and quite
disruptive, thus rendering the application of this
technique unsuitable for buildings without an existing
adequate foundation system.
External buttresses
To reduce or eliminate the disruption to the use of a
building, external buttresses may be constructed to
increase the lateral resistance of the structure as a
whole. Such an intervention scheme, in common with
the construction of RC walls, requires a new
foundation system. The foundation scheme would
possibly be eccentric footings (eccentric with respect
to the axis of the buttress to avoid excavation under
the building). The two most intricate problems in
strengthening by building a set of external buttresses
are: (i) the buttress stability may be critical sinceit is
not actually loaded vertically downwards in thesame
way that the structure is. The verticalaction on the
buttress is only its own weight. This increases the
possibility of uplifting of the foundations and may
even cause over-turning, (ii) the connections between
the buttresses on the one hand and the building on the
other is far from straightforward. To insure full
interaction and load sharing when thestructure is
subjected to lateral actions, the buttress should be
connected to the floors and columns at all levels. The
connection area will be subjected to unusuallevels of
stresses that require special attention.
Steel bracing
Steel bracing can be a very effective methodfor global
strengthening of buildings. Some of the advantages
are the ability to accommodate openings, the minimal
added weight to the structure and in the case of
external steel systems minimum disruption to the
function of the building and its occupants.
Alternative configurations of bracing systems may
be used in selected bays of a RC frame to provide a
significant increase in horizontal capacity of the
structure. Concentric steel bracing systems havebeen
investigated for the rehabilitation of non-ductile
buildings by many researchers [47–50] . Using the
eccentric steel bracing in the rehabilitation of RC
Fig. 5 Cast-in-place infill walls
S EISMIC RETROFIT SCHEMES 7
Copyright & 2005 John Wiley & Sons, Ltd. Prog. Struct. Engng Mater. 2006; 8:1–15
structures has lagged behind concentric steelbracing
applications due to the lack of sufficient research and
information about the design, modeling and behavior
of the combined concrete and steel system. Further
research is needed in several areas such as testing of
the RC beam–steel link connection details and design
as well as the development and implementation of
link elements models in analysis software [51] . Post-
tensioned steel bracing can be used for the seismic
upgrading of infilled non-ductile buildings limited
to low-rise and squat medium-rise buildings [52] .
The method was successfully used by
Miranda & Bertero [53] to effectively upgrade
the response of low-rise school buildings in
Mexico.
Base isolation
Seismic isolation is mostly adopted for rehabilitation
of critical or essential facilities,buildings with
expensive and valuable contents and structures
where performance well above performance levels is
required. Seismic isolation system significantly
reduces the seismic impact on the building
structure and assemblies. Generally, the isolation
devices are inserted at the bottom or atthetopof
the first floor columns. Retrofitting mostly requires
traditional intervention; in the first case the
addition of a floor in order to connect all the columns
above the isolators while in the second case the
strengthening of the first floor columns (enlarging of
the cross-sections, addition of reinforcing bars or
construction of new resistant elements). Nevertheless,
inserting an isolator within an existing column is not
so simple because of the necessity of cutting the
element, temporarily supporting the weight of the
above structure, putting in place the isolators and
then giving back the load to the column, without
causing damages to persons and to structural and
non-structural elements.
Recently, efforts have been made to extend this
valuable earthquake resistant strategy to inexpensive
housing and public buildings [54] . The results of a joint
research program conducted by the International
Rubber Research and the Development Board
(IRRDB) of United Kingdom show that the method
can be both cost effective and functional for the
protection of small buildings in high seismicity
regions. A comparative study conducted by Bruno &
Valente [55] on conventional and innovative seismic
protection strategies concluded that base isolation
provides higher degrees of safety than energy
dissipation does, regardless of the type of devices
employed. Moreover the comparison between
conventional and innovative devices showed that
shape memory alloys-based devices are far more
effective than rubber isolators in reducing seismic
vibrations.
Effect of retrofit on global response
Development of a complete strategy guiding the
retrofit solution through established objectives or
criteria is an ongoing effort of the earthquake
engineering research community. In general, seismic
rehabilitation may aim to eitherrecover orupgrade
the original performance or reduce the seismic
response [56] . In the first case, the retrofit schemes that
will be chosen have to reinstate the structural
characteristics at member level and have negligible
| https://www.researchgate.net/publication/227635734_Seismic_retrofit_schemes_for_RC_structures_and_local-global_consequences |
Mathematics | Free Full-Text | Centroid Transformations of Intuitionistic Fuzzy Values Based on Aggregation Operators
Atanassov’s intuitionistic fuzzy sets extend the notion of fuzzy sets. In addition to Zadeh’s membership function, a non-membership function is also considered. Intuitionistic fuzzy values play a crucial role in both theoretical and practical progress of intuitionistic fuzzy sets. This study introduces and explores various types of centroid transformations of intuitionistic fuzzy values. First, we present some new concepts for intuitionistic fuzzy values, including upper determinations, lower determinations, spectrum triangles, simple intuitionistic fuzzy averaging operators and simply weighted intuitionistic fuzzy averaging operators. With the aid of these notions, we construct centroid transformations, weighted centroid transformations, simple centroid transformations and simply weighted centroid transformations. We provide some basic characterizations regarding various types of centroid transformations, and show their difference using an illustrating example. Finally, we focus on simple centroid transformations and investigate the limit properties of simple centroid transformation sequences. Among other facts, we show that a simple centroid transformation sequence converges to the simple intuitionistic fuzzy average of the lower and upper determinations of the first intuitionistic fuzzy value in the sequence.
Centroid Transformations of Intuitionistic Fuzzy Values Based on Aggregation Operators
by Xiaoyan Liu 1 , Hee Sik Kim 2 , Feng Feng 1,3,* and José Carlos R. Alcantud 4
1
Department of Applied Mathematics, School of Science, Xi’an University of Posts and Telecommunications, Xi’an 710121, China
2
Department of Mathematics, Research Institute of Natural Sciences, Hanyang University, Seoul 04763, Korea
3
Shaanxi Key Laboratory of Network Data Analysis and Intelligent Processing, Xi’an University of Posts and Telecommunications, Xi’an 710121, China
4
BORDA Research Unit and Multidisciplinary Institute of Enterprise (IME), University of Salamanca, E37007 Salamanca, Spain
*
Author to whom correspondence should be addressed.
Received: 6 October 2018 / Revised: 20 October 2018 / Accepted: 21 October 2018 / Published: 24 October 2018
Versions Notes
Abstract
:
Atanassov’s intuitionistic fuzzy sets extend the notion of fuzzy sets. In addition to Zadeh’s membership function, a non-membership function is also considered. Intuitionistic fuzzy values play a crucial role in both theoretical and practical progress of intuitionistic fuzzy sets. This study introduces and explores various types of centroid transformations of intuitionistic fuzzy values. First, we present some new concepts for intuitionistic fuzzy values, including upper determinations, lower determinations, spectrum triangles, simple intuitionistic fuzzy averaging operators and simply weighted intuitionistic fuzzy averaging operators. With the aid of these notions, we construct centroid transformations, weighted centroid transformations, simple centroid transformations and simply weighted centroid transformations. We provide some basic characterizations regarding various types of centroid transformations, and show their difference using an illustrating example. Finally, we focus on simple centroid transformations and investigate the limit properties of simple centroid transformation sequences. Among other facts, we show that a simple centroid transformation sequence converges to the simple intuitionistic fuzzy average of the lower and upper determinations of the first intuitionistic fuzzy value in the sequence.
Keywords:
intuitionistic fuzzy value
;
intuitionistic fuzzy set
;
score function
;
centroid
;
aggregation
1. Introduction
It has been widely accepted that modelling and manipulating various types of uncertainties has become a critical issue in diverse areas of modern science and technology. In 1965, Zadeh [ 1 ] initiated the notion of fuzzy sets based on the perspective of gradualness. It provides an effective framework for representing and manipulating uncertainty. Although fuzzy set theory takes into account the membership function to describe uncertainty, it is found that the non-membership function should be simultaneously considered in many cases. Atanassov [ 2 ] introduced the concept of intuitionistic fuzzy sets to further extend Zadeh’s fuzzy sets in 1986. Bustince and Burillo [ 3 ] pointed out that the notion of vague sets, proposed by Gau and Buehrer [ 4 ], in fact coincides with that of Atanassov’s intuitionistic fuzzy sets. In Atanassov’s original definition of intuitionistic fuzzy sets, bipolar information is given in a separate way by two functions which specify the membership and non-membership degrees of each element, respectively. From the lattice-theoretic point of view, Atanassov’s intuitionistic fuzzy sets can be alternatively seen as L -fuzzy sets with a complete lattice as its valuation lattice. As a result, the membership and non-membership degrees of each element are combined together to form an ordered pair, which was initially referred to as an intuitionistic fuzzy value (IFV) by Xu and Yager in [ 5 , 6 , 7 ]. This mathematical representation has proved to be effective and efficient in developing the theory of intuitionistic fuzzy sets and facilitating the application of intuitionistic fuzzy sets in information fusion and decision making [ 8 , 9 , 10 , 11 , 12 ].
The centroid of a plane figure refers to the arithmetic mean position of all the points in the figure. This concept has proven to be useful in developing both theories and applications regarding intuitionistic fuzzy sets. Huang and Wu [
13
14
] proposed a similarity measure between intuitionistic fuzzy sets for coping with pattern recognition problems. Their novel similarity measure was constructed by virtue of the centroid points of transformed fuzzy numbers. Inspired by this seminal idea, we focus on exploring various types of centroid transformations of intuitionistic fuzzy values in this study. Specifically, we first propose a number of new concepts including the upper determination, the lower determination, the spectrum triangle, the simple intuitionistic fuzzy averaging (SIFA) operator and the simply weighted intuitionistic fuzzy averaging (SWIFA) operator for intuitionistic fuzzy values. Then we construct the centroid transformation, the weighted centroid transformation (WCT), the simple centroid transformation (SCT) and the simply weighted centroid transformation (SWCT) by virtue of the intuitionistic fuzzy averaging (IFA) operator, the intuitionistic fuzzy weighted averaging (IFWA) operator, the SIFA operator and the SWIFA operator, respectively. Some basic characterizations regarding various kinds of centroid transformations are given, and an illustrating example is also presented to show their different effects on intuitionistic fuzzy values. In addition, we pay special attention to simple centroid transformations, which are implicit in Chen et al.’s successful construction of a similarity measure in [
14
]. Then we investigate the limit properties of the sequential application of simple centroid transformations of intuitionistic fuzzy values. Among other facts, we show that this process produces intuitionistic fuzzy values with constant scores and indeterminacies that converge to zero, with their successive membership grades converge to the expectation score of the initial IFV. Thus the IFVs in a simple centroid transformation sequence converge to the simple intuitionistic fuzzy average of the lower and upper determinations of the first IFV in the sequence.
The remainder of this paper is organized as follows. Section 2 briefly recalls some basic notions concerning fuzzy sets and intuitionistic fuzzy sets. Section 3 introduces some useful operations and an admissible order of intuitionistic fuzzy values. Section 4 focuses on investigating centroid transformations of intuitionistic fuzzy values and related characterizations. In Section 5 , we present the concept of simple centroid transformation sequences and examine some properties regarding its convergence. Finally, the last section summarizes this study and suggests possible future works.
2. Preliminaries
In this section, let us briefly recall the rudiments of fuzzy sets and intuitionistic fuzzy sets.
2.1. Fuzzy Sets
Let
U
be a fixed nonempty set, called the universe of discourse. A fuzzy set
μ
in
U
is defined by (and usually identified with) its membership function
μ
:
U
→
[
0
,
1
]
. For each
x
∈
U
, the membership grade
μ
(
x
)
specifies the degree to which the element
x
belongs to the fuzzy set
μ
. In what follows, we denote by
F
(
U
)
the collection of all fuzzy sets in
U
.
By
μ
⊆
ν
, we mean that
μ
(
x
)
≤
ν
(
x
)
for all
x
∈
U
. Clearly
μ
=
ν
if
μ
⊆
ν
and
ν
⊆
μ
. Let
t
^
denote the fuzzy set in
U
with a constant membership value
t
∈
[
0
,
1
]
. That is,
t
^
(
x
)
=
t
for all
x
∈
U
.
Using the min-max system proposed by Zadeh [ 1 ], intersection, union and complement of fuzzy sets are respectively defined as follows:
(
μ
∩
ν
)
(
x
)
=
min
{
μ
(
x
)
,
ν
(
x
)
}
,
(
μ
∪
ν
)
(
x
)
=
max
{
μ
(
x
)
,
ν
(
x
)
}
,
μ
c
(
x
)
=
1
−
μ
(
x
)
,
where
μ
,
ν
∈
F
(
U
)
and
x
∈
U
.
2.2. Intuitionistic Fuzzy Sets
Definition
1.
[
2
]
An intuitionistic fuzzy set A in a universe U is defined as
A
=
{
(
x
,
t
A
(
x
)
,
f
A
(
x
)
)
∣
x
∈
U
}
,
where t A : U → [ 0 , 1 ] and f A : U → [ 0 , 1 ] are two functions assigning the degree of membership t A ( x ) and the degree of non-membership f A ( x ) of the element x to the intuitionistic fuzzy set A, respectively. In addition, it is required that 0 ≤ t A ( x ) + f A ( x ) ≤ 1 for all x ∈ U .
Conventionally,
π
A
(
x
)
=
1
−
t
A
(
x
)
−
f
A
(
x
)
)
is called the hesitancy (or indeterminacy) degree of
x
to
A
. In the following, we denote by
IFS
(
U
)
the collection of all intuitionistic fuzzy sets in
U
. Clearly, every fuzzy set
μ
∈
F
(
U
)
can be viewed as an intuitionistic fuzzy set with
π
μ
(
x
)
=
0
for all
x
∈
U
.
Let
A
,
B
∈
IFS
(
U
)
. Then we have the following definitions:
A
⊔
B
=
{
(
x
,
max
{
t
A
(
x
)
,
t
B
(
x
)
}
,
min
{
f
A
(
x
)
B
(
x
)
}
)
∣
x
∈
U
}
;
A
⊓
B
=
{
(
x
,
min
A
(
x
)
,
t
B
(
x
)
}
,
max
{
f
A
(
x
)
,
f
x
)
}
)
∣
x
∈
U
}
;
A
⊑
B
if and only if
t
A
(
x
)
≤
t
x
)
and
f
A
(
x
)
≥
f
B
(
x
)
for all
x
∈
U
.
Clearly,
A
means
A
⊑
B
and
B
⊑
A
. Moreover,
A
c
=
{
(
x
,
f
A
(
x
)
A
(
x
)
)
∣
x
∈
U
}
.
3. Operations and an Admissible Order of Intuitionistic Fuzzy Values
Bustince and Burillo [
3
] pointed out that vague sets proposed by Gau and Buehrer [
4
] coincide with Atanassov’s intuitionistic fuzzy sets. Wang and He [
15
], as well as, Deschrijver and Kerre [
16
] showed that intuitionistic fuzzy sets can be viewed as
L
-fuzzy sets with respect to the complete lattice
(
L
*
,
⩽
L
*
)
. More specifically,
L
*
=
{
(
a
1
,
a
2
)
∈
and the order
is given by
∈
L
*
. Any ordered pair
∈
L
*
is called an intuitionistic fuzzy value (IFV) or intuitionistic fuzzy number (IFN) in [
5
,
6
,
7
]. According to this viewpoint, the intuitionistic fuzzy set
{
(
x
,
t
A
(
x
)
,
f
A
(
x
)
)
∣
x
∈
U
}
can be identified with the
L
-fuzzy set
A
:
U
→
L
*
such that
∀
x
∈
U
,
A
(
x
)
=
(
t
A
(
x
)
,
f
A
(
x
)
)
.
This point of view is helpful for the investigation of intuitionistic fuzzy sets.
Xu et al. [ 6 ] introduced some useful operations for IFVs.
Definition
2.
[ 6 ] Let A = ( t A , f A ) and B = ( t B , f B ) be two IFVs in L * . Let λ be any positive real number. Then we have the following operations:
A ⊕ B = ( t A + t B − t A · t B , f A · f B ) ;
A ⊗ B = ( t A · t B , f A + f B − f A · f B ) ;
λ A = ( 1 − ( 1 − t A ) λ , f A λ ) .
Theorem
1.
[ 6 ] Let A = ( t A , f A ) and B = ( t B , f B ) be two IFVs in L * . Let λ, λ 1 and λ 2 be positive real numbers. Then we have
(1)
A ⊕ B = B ⊕ A ;
(2)
λ ( A ⊕ B ) = λ A ⊕ λ B ;
(3)
( λ 1 + λ 2 ) A = λ 1 A ⊕ λ 2 A .
The following notion was initiated by Chen and Tan [ 17 ] to solve multiattribute decision making problems based on intuitionistic fuzzy sets.
Definition
3.
[ 17 ] The score function of IFVs is a mapping s : L * → [ − 1 , 1 ] given by s ( A ) = s A = t A − f A for all A = ( t A , f A ) ∈ L * .
The score function represents the aggregated effect of positive and negative evaluations in performance ratings. Later, Hong and Choi [ 18 ] pointed out that the score function alone cannot differentiate some obviously distinct IFVs which have the same score. To overcome this difficulty, they proposed another useful function as follows.
Definition
4.
[ 18 ] The accuracy function of IFVs is a mapping h : L * → [ 0 , 1 ] given by h ( A ) = h A = t A + f A for all A = ( t A , f A ) ∈ L * .
Let
A
=
(
t
A
,
f
A
)
∈
L
*
and
t
A
′
=
1
−
f
A
. According to intuitionistic fuzzy set theory, the IFV
A
specifies an interval
[
t
A
,
t
A
′
]
, in which the accurate value of Zadeh’s membership grade lies. Thus the uncertain value of the membership grade corresponds to a random variable
X
A
. If we assume that
X
A
obeys the uniform distribution on the interval
[
t
A
,
t
A
′
]
, then
E
(
X
A
)
=
t
A
+
t
A
′
2
=
t
A
+
(
1
−
f
A
)
2
is the mathematical expectation of
X
A
. This observation gives rise to the following notion.
Definition
5.
[
10
]
The expectation score function is a mapping δ : L * → [ 0 , 1 ] such that
δ
(
A
)
=
δ
A
=
t
A
−
f
A
+
1
2
(2)
for all A = ( t A , f A ) ∈ L * .
Note that the expectation score function satisfies some desirable properties as shown below.
Proposition
1.
[ 10 ] Let δ : L * → [ 0 , 1 ] be the expectation score function and A = ( t A , f A ) ∈ L * . Then we have
(1)
δ ( 0 , 1 ) = 0 ;
(2)
δ ( 1 , 0 ) = 1 ;
(3)
δ ( t A , f A ) is increasing with respect to t A ;
(4)
δ ( t A , f A ) is deceasing with respect to f A .
Definition
6.
[ 19 ] A partial order ⪯ on L * is said to be admissible if
(1)
⪯ is a linear order on L * ;
(2)
For all A , B ∈ L * , A ⩽ L * B implies A ⪯ B .
Using the score function and the accuracy function, Xu and Yager [ 5 ] developed a method for comparing IFVs in the following way.
Definition
7.
[ 5 ] Let A = ( t A , f A ) and B = ( t B , f B ) be two IFVs. Then A , B ∈ L * can be compared as follows:
if s A < s B , A is smaller than B and denoted by A < B ;
if s A = s B , then we have:
(1)
if h A = h B , A is equivalent to B and denoted by A = B ;
(2)
if h A < h B , A is smaller than B and denoted by A < B ;
(3)
if h A > h B , A is greater than B and denoted by A > B .
It is worth noting that Definition 7 can be simplified as a binary relation
≤
(
s
,
h
)
on the lattice of IFVs:
A
≤
(
s
,
h
)
B
s
A
<
s
B
)
∨
(
s
A
=
s
B
∧
h
A
≤
h
B
)
(3)
for all
,
B
∈
L
*
. One can verify that the relation
≤
(
s
,
h
)
is a linear order on
L
*
. In addition, Xu [
6
] proved that
(
t
A
t
A
,
f
A
)
and
B
=
(
t
B
,
f
B
)
∈
L
*
. Thus Xu and Yager’s order relation
≤
,
h
)
is an admissible order on
L
*
.
4. Centroid Transformations of Intuitionistic Fuzzy Values
According to the definition of IFVs, an IFV
A
=
(
t
A
,
f
A
)
Definition
8.
Let A = ( t A , f A ) ∈ L * and π A = 1 − t A − f A . Then the IFVs A ¯ = ( t A + π A , f A ) and A ̲ = ( t A , f A + π A ) are called the upper determination and lower determination of A, respectively.
Given an IFV
=
(
t
A
,
f
A
)
∈
L
*
with the indeterminacy
π
A
>
0
. Based on the above-mentioned voting model, we consider two special cases in which the abstention can be completely eliminated. On one hand, one can assume that all the voters who previously abstained in the vote reconsider their decisions, and choose to approve the proposal. In this case, the IFV
A
will be increased into its upper determination
A
¯
t
A
+
π
A
,
f
A
)
. On the other hand, if we assume that all the voters who previously declined to vote alternatively decide to vote against the proposal. In response to this case, the IFV
A
will be decreased into its lower determination
A
̲
=
(
t
A
,
f
A
+
π
A
)
.
In addition to the above two extreme cases, there are various other ways for redistributing part or all abstention votes into either approval or rejection votes by asking the abstention voters to vote for the second time. All possible voting results obtained from such a process can be described in terms of the following notion.
Definition
9.
Let A = ( t A , f A ) ∈ L * . Then
▵
A
=
{
(
t
,
f
)
∈
L
*
∣
(
t
A
≤
t
≤
1
−
f
A
)
∧
(
f
A
≤
f
≤
1
−
t
A
)
}
is called the spectrum triangle spanned by the IFV A.
It is clear that the spectrum triangle spanned by the IFV
(
0
,
0
)
is the whole lattice
L
*
. Moreover, one can verify an assertion as follows.
Proposition
2.
Let A = ( t A , f A ) ∈ L * . Then the following statements are equivalent:
(1)
h A = t A + f A = 1 ;
(2)
π A = 1 − h A = 0 ;
(3)
A ¯ = A = A ̲ ;
(4)
▵ A = { A } .
Proof.
Straightforward. ☐
In various applications regarding information fusion and decision making under an intuitionistic fuzzy setting, it is an crucial issue to consider the aggregation of intuitionistic fuzzy values. By virtue of the operations given in Definition 2, Xu et al. [ 6 ] initiated the following operator which is helpful for aggregating IFVs.
Definition
10
([ 6 ]).
Let α i ( i = 1 , 2 , ⋯ , n ) be IFVs in L * . The intuitionistic fuzzy weighted averaging (IFWA) operator of dimension n is a mapping Ξ w : ( L * ) n → L * given by
Ξ
w
(
α
,
α
2
,
⋯
,
α
n
)
w
1
⊕
w
2
α
2
⊕
⋯
⊕
w
α
n
where w = ( w 1 , w 2 , ⋯ , w n ) T is the weight vector such that w i ∈ [ 0 , 1 ] ( i = 1 , 2 , ⋯ , n ) and ∑ i = 1 n w i = 1 .
Especially, if
w
=
w
^
(
, then
is simply written as
and called the
intuitionistic fuzzy averaging
(IFA) operator. That is,
α
α
1
The following result is helpful for simplifying the calculation regarding IFWA operators.
Theorem
2.
[
6
]
Let α i = ( t α i , f α i ) ∈ L *
(
)
. Then we have
where w = ( w 1 , w 2 , ⋯ , w n ) T is the weight vector.
In order to further simplify the calculation with regard to the aggregation of IFVs, we define the following two operators.
Definition
11.
Let α i = ( t α i , f α i ) ( i = 1 , 2 , ⋯ , n ) be IFVs in L * . The simply weighted intuitionistic fuzzy averaging (SWIFA) operator of dimension n is a mapping Ξ w s : ( L * ) n → L * given by
=
1
n
w
i
t
α
i
,
∑
i
=
1
n
w
i
f
α
i
,
(6)
where w = ( w 1 , w 2 , ⋯ , w n ) T is the weight vector such that w i ∈ [ 0 , 1 ] ( i = 1 , 2 , ⋯ , n ) and ∑ i = 1 n w i = 1 .
In particular,
Ξ
w
s
with
w
=
(
1
/
n
,
1
/
n
,
⋯
,
1
/
n
)
T
is simply written as
Ξ
s
and called the simple intuitionistic fuzzy averaging (SIFA) operator. That is,
Ξ
s
(
α
1
,
α
2
,
⋯
,
α
n
)
=
1
n
∑
1
n
t
α
i
,
1
n
∑
i
=
1
n
f
α
i
.
(7)
To illustrate the distinct aggregating effects on IFVs by employing the above operators, we consider an example as follows.
Example
1.
Let α 1 = ( 0.2 , 0.5 ) , α 2 = ( 0.4 , 0.2 ) and α 3 = ( 0.3 , 0.3 ) be three IFVs in L * . First, let us take w 1 = ( 0.3 , 0.5 , 0.2 ) T as the weight vector. Then according to Definition 10 and Equation ( 5 ), we have
Ξ
Alternatively, according to Definition 11 and Equation ( 6 ), we have
according to Equation ( 4 ). Finally, according to Equation ( 7 ), we obtain that
To demonstrate the applicability of the above operators in practical cases, we consider the following example adopted from [ 10 ] with some changes.
Example
2.
Suppose that U = { p 1 , p 2 , ⋯ , p 5 } contains five candidates who might fit a senior faculty position at University X. In order to hire the most suitable person, a committee of experts is set up and chaired by Prof. Y as the director. This committee gives evaluation of all candidates upon the criteria in E = { e 1 , e 2 , e 3 , e 4 } . The meaning of e j ( 1 ≤ j ≤ 4 ) is as follows:
u
r
e
.
The evaluation results can be described by an intuitionistic fuzzy soft set (see Definition 3.1 in [ 10 ]), as shown in Table 1 . Assume that the weight vector
w
=
(
0.2
,
0.35
,
0.2
,
0.25
)
T
is provided by Prof. Y, the director of the evaluation committee. Then we can use the proposed operators to determine the aggregated IFVs of all candidates. If we use the SWIFA operator, the aggregated IFVs Z i can be calculated by
i
w
s
i
1
,
α
i
2
,
α
i
,
i
4
)
1
4
w
j
t
α
i
j
,
∑
j
=
1
4
w
j
f
α
i
j
,
By calculation, we can obtain the following aggregated IFVs:
According to Definition 3, we have s Z 1 = 0.4050 , s Z 2 = 0.3350 , s Z 3 = 0.5350 , s Z 4 = 0.5500 and s Z 5 = 0.1250 . Using Definition 4, we get h Z 1 = 0.8450 , h Z 2 = 0.8050 , h Z 3 = 0.8950 , h Z 4 = 0.8900 and h Z 5 = 0.8750 .
Based on Xu and Yager’s admissible order ≤ ( s , h ) , we have
The five candidates are finally ranked as follows:
Therefore, p 4 is the most suitable candidate for the senior faculty position.
It is worth noting that other operators can be used to replace the SWIFA operator in Equation ( 9 ) for determining the aggregated IFVs. In addition, we can also rank the aggregated IFVs by means of other admissible orders.
Definition
12.
Let Ξ w : ( L * ) 3 → L * be an IFWA operator with the weight vector w = ( w 1 , w 2 , w 3 ) . The weighted centroid transformation (WCT) of IFVs is a mapping Γ w : L * → L * given by
where A = ( t A , f A ) ∈ L * .
In particular, if
is replaced by the IFA operator
with the weight vector
is denoted by
and called the centroid transformation of IFVs. That is,
By Definition 8 and the Equation ( 5 ) in Theorem 2, we can deduce the following formula for calculation of the weighted centroid transformation.
Proposition
3.
Let A = ( t A , f A ) ∈ L * and w = ( w 1 , w 2 , w 3 ) be the weight vector. Then we have
. According to Definition 8, we get the upper determination
From Definition 12 and Equation (
5
), it follows that
is the weight vector. ☐
As an immediate consequence of Proposition 3, we can obtain the following formula regarding the centroid transformation.
Proposition
4.
Let A = ( t A , f A ) ∈ L * . Then we have
Definition
13.
Let Ξ w s : ( L * ) 3 → L * be an SWIFA operator with the weight vector w = ( w 1 , w 2 , w 3 ) . The simply weighted centroid transformation (SWCT) of IFVs is a mapping Γ w s : L * → L * given by
where A = ( t A , f A ) ∈ L * .
Proposition
5.
Let A = ( t A , f A ) ∈ L * and π A = 1 − h A . Then
where w = ( w 1 , w 2 , w 3 ) is the weight vector.
Proof.
Let
. Note first that
and
according to Definition 8.
Using Definition 13 and Equation (
6
), we deduce that
Note also that
. Thus we have
| https://www.mdpi.com/2227-7390/6/11/215 |
Simple Two-way Active Measurement Protocol (STAMP) Data Model
This document specifies the data model for implementations of Session-Sender and Session-Reflector for Simple Two-way Active Measurement Protocol (STAMP) mode using YANG.
Simple Two-way Active Measurement Protocol (STAMP) Data Model
draft-ietf-ippm-stamp-yang-03
Abstract
This document specifies the data model for implementations of Session-Sender and Session-Reflector for Simple Two-way Active Measurement Protocol (STAMP) mode using YANG.
Status of This Memo
This Internet-Draft is submitted in full conformance with the provisions of BCP 78 and BCP 79.
Internet-Drafts are working documents of the Internet Engineering Task Force (IETF). Note that other groups may also distribute working documents as Internet-Drafts. The list of current Internet-Drafts is at https://datatracker.ietf.org/drafts/current/.
Internet-Drafts are draft documents valid for a maximum of six months and may be updated, replaced, or obsoleted by other documents at any time. It is inappropriate to use Internet-Drafts as reference material or to cite them other than as "work in progress."
This Internet-Draft will expire on September 5, 2019.
Copyright Notice
Copyright (c) 2019 IETF Trust and the persons identified as the document authors. All rights reserved.
This document is subject to BCP 78 and the IETF Trust's Legal Provisions Relating to IETF Documents (https://trustee.ietf.org/license-info) in effect on the date of publication of this document. Please review these documents carefully, as they describe your rights and restrictions with respect to this document. Code Components extracted from this document must include Simplified BSD License text as described in Section 4.e of the Trust Legal Provisions and are provided without warranty as described in the Simplified BSD License.
Table of Contents
1. Introduction
1.1. Conventions used in this document
1.1.1. Requirements Language
2. Scope, Model, and Applicability
2.1. Data Model Parameters
2.1.1. STAMP-Sender
2.1.2. STAMP-Reflector
3. Data Model
3.1. Tree Diagrams
3.2. YANG Module
4. IANA Considerations
5. Security Considerations
6. Acknowledgments
7. References
7.1. Normative References
7.2. Informative References
Appendix A. Example of STAMP Session Configuration
Authors' Addresses
1. Introduction
The Simple Two-way Active Measurement Protocol (STAMP)
[I-D.ietf-ippm-stamp]
can be used to measure performance parameters of IP networks such as latency, jitter, and packet loss by sending test packets and monitoring their experience in the network. The STAMP protocol
[I-D.ietf-ippm-stamp]
in unauthenticated mode is on-wire compatible with STAMP Light, discussed in Appendix I
[RFC5357]
. The STAMP Light is known to have many implementations though no common management framework being defined, thus leaving some aspects of test packet processing to interpretation. As one of the goals of STAMP is to support these variations, this document presents their analysis; describes common STAMP and STAMP model while allowing for STAMP extensions in the future. This document defines the STAMP data model and specifies it formally, using the YANG data modeling language
[RFC7950]
.
This version of the interfaces data model conforms to the Network Management Datastore Architecture (NMDA) defined in[RFC8342].
1.1. Conventions used in this document
1.1.1. Requirements Language
The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT", "SHOULD", "SHOULD NOT", "RECOMMENDED", "NOT RECOMMENDED", "MAY", and "OPTIONAL" in this document are to be interpreted as described in BCP 14
[RFC2119]
[RFC8174]
when, and only when, they appear in all capitals, as shown here.
2. Scope, Model, and Applicability
The scope of this document includes a model of the STAMP as defined in[I-D.ietf-ippm-stamp].
o----------------------------------------------------------o
| Config client |
o----------------------------------------------------------o
|| ||
|| NETCONF/RESTCONF ||
|| ||
o----------------------o o-------------------------o
| Config server | | Config server |
| | | |
+----------------------+ +-------------------------+
| STAMP Session-Sender | <--- STAMP---> | STAMP Session-Reflector |
+----------------------+ +-------------------------+
Figure 1: STAMP Reference Model
2.1. Data Model Parameters
This section describes containers within the STAMP data model.
2.1.1. STAMP-Sender
The stamp-session-sender container holds items that are related to the configuration of the stamp Session-Sender logical entity.
The stamp-session-sender-state container holds information about the state of the particular STAMP test session.
RPCs stamp-sender-start and stamp-sender-stop respectively start and stop the referenced session by the session-id of the STAMP.
2.1.1.1. Controls for Test Session and Performance Metric Calculation
The data model supports several scenarios for a STAMP Session-Sender to execute test sessions and calculate performance metrics:
The test mode in which the test packets are sent unbound in time as defined by the parameter 'interval' in the stamp-session-sender container frequency is referred to as continuous mode. Performance metrics in the continuous mode are calculated at a period defined by the parameter 'measurement-interval'.
The test mode that has a specific number of the test packets configured for the test session in the 'number-of-packets' parameter is referred to as a periodic mode. The STAMP-Sender MAY repeat the test session with the same parameters. The 'repeat' parameter defines the number of tests and the 'repeat-interval' - the interval between the consecutive tests. The performance metrics are calculated after each test session when the interval defined by the 'session-timeout' expires.
2.1.2. STAMP-Reflector
The stamp-session-reflector container holds items that are related to the configuration of the STAMP Session-Reflector logical entity.
The stamp-session-refl-state container holds Session-Reflector state data for the particular STAMP test session.
3. Data Model
Creating STAMP data model presents a number of challenges and among them is the identification of a test-session at Session-Reflector. A Session-Reflector MAY require only as little as its IP and UDP port number in received STAMP-Test packet to spawn new test session. More so, to test processing of Class-of-Service along the same route in Equal Cost Multi-Path environment Session-Sender may perform STAMP test sessions concurrently using the same source IP address, source UDP port number, destination IP address, and destination UDP port number. Thus the only parameter that can be used to differentiate these test sessions would be DSCP value. The DSCP field may get re-marked along the path, and without the use of
[RFC7750]
that will go undetected, but by using five-tuple instead of four-tuple as a key, we can ensure that STAMP test packets that are considered as different test sessions follow the same path even in ECMP environments.
3.1. Tree Diagrams
This section presents a simplified graphical representation of the STAMP data model using a YANG tree diagram[RFC8340].
module: ietf-stamp
+--rw stamp
| +--rw stamp-session-sender {session-sender}?
| | +--rw sender-enable? boolean
| | +--rw test-session* [session-id]
| | +--rw session-id uint32
| | +--rw test-session-enable? boolean
| | +--rw number-of-packets? union
| | +--rw packet-padding-size? uint32
| | +--rw interval? uint32
| | +--rw session-timeout? uint32
| | +--rw measurement-interval? uint32
| | +--rw repeat? union
| | +--rw repeat-interval? uint32
| | +--rw dscp-value? inet:dscp
| | +--rw test-session-reflector-mode? session-reflector-mode
| | +--rw sender-ip inet:ip-address
| | +--rw sender-udp-port inet:port-number
| | +--rw reflector-ip inet:ip-address
| | +--rw reflector-udp-port? inet:port-number
| | +--rw sender-timestamp-format? timestamp-format
| | +--rw security! {stamp-security}?
| | | +--rw key-chain? kc:key-chain-ref
| | +--rw first-percentile? percentile
| | +--rw second-percentile? percentile
| | +--rw third-percentile? percentile
| +--rw stamp-session-reflector {session-reflector}?
| +--rw reflector-enable? boolean
| +--rw ref-wait? uint32
| +--rw reflector-mode-state? session-reflector-mode
| +--rw test-session* [session-id]
| +--rw session-id uint32
| +--rw dscp-handling-mode? session-dscp-mode
| +--rw dscp-value? inet:dscp
| +--rw sender-ip? union
| +--rw sender-udp-port? union
| +--rw reflector-ip? union
| +--rw reflector-udp-port? inet:port-number
| +--rw reflector-timestamp-format? timestamp-format
| +--rw security! {stamp-security}?
| +--rw key-chain? kc:key-chain-ref
Figure 2: STAMP Configuration Tree Diagram
module: ietf-stamp
+--ro stamp-state
+--ro stamp-session-sender-state {session-sender}?
| +--ro test-session-state* [session-id]
| +--ro session-id uint32
| +--ro sender-session-state? enumeration
| +--ro current-stats
| | +--ro start-time yang:date-and-time
| | +--ro packet-padding-size? uint32
| | +--ro interval? uint32
| | +--ro duplicate-packets? uint32
| | +--ro reordered-packets? uint32
| | +--ro sender-timestamp-format? timestamp-format
| | +--ro reflector-timestamp-format? timestamp-format
| | +--ro dscp? inet:dscp
| | +--ro two-way-delay
| | | +--ro delay
| | | | +--ro min? yang:gauge32
| | | | +--ro max? yang:gauge32
| | | | +--ro avg? yang:gauge32
| | | +--ro delay-variation
| | | +--ro min? uint32
| | | +--ro max? uint32
| | | +--ro avg? uint32
| | +--ro one-way-delay-far-end
| | | +--ro delay
| | | | +--ro min? yang:gauge32
| | | | +--ro max? yang:gauge32
| | | | +--ro avg? yang:gauge32
| | | +--ro delay-variation
| | | +--ro min? uint32
| | | +--ro max? uint32
| | | +--ro avg? uint32
| | +--ro one-way-delay-near-end
| | | +--ro delay
| | | | +--ro min? yang:gauge32
| | | | +--ro max? yang:gauge32
| | | | +--ro avg? yang:gauge32
| | | +--ro delay-variation
| | | +--ro min? uint32
| | | +--ro max? uint32
| | | +--ro avg? uint32
| | +--ro low-percentile
| | | +--ro delay-percentile
| | | | +--ro rtt-delay? percentile
| | | | +--ro near-end-delay? percentile
| | | | +--ro far-end-delay? percentile
| | | +--ro delay-variation-percentile
| | | +--ro rtt-delay-variation? percentile
| | | +--ro near-end-delay-variation? percentile
| | | +--ro far-end-delay-variation? percentile
| | +--ro mid-percentile
| | | +--ro delay-percentile
| | | | +--ro rtt-delay? percentile
| | | | +--ro near-end-delay? percentile
| | | | +--ro far-end-delay? percentile
| | | +--ro delay-variation-percentile
| | | +--ro rtt-delay-variation? percentile
| | | +--ro near-end-delay-variation? percentile
| | | +--ro far-end-delay-variation? percentile
| | +--ro high-percentile
| | | +--ro delay-percentile
| | | | +--ro rtt-delay? percentile
| | | | +--ro near-end-delay? percentile
| | | | +--ro far-end-delay? percentile
| | | +--ro delay-variation-percentile
| | | +--ro rtt-delay-variation? percentile
| | | +--ro near-end-delay-variation? percentile
| | | +--ro far-end-delay-variation? percentile
| | +--ro two-way-loss
| | | +--ro loss-count? int32
| | | +--ro loss-ratio? percentage
| | | +--ro loss-burst-max? int32
| | | +--ro loss-burst-min? int32
| | | +--ro loss-burst-count? int32
| | +--ro one-way-loss-far-end
| | | +--ro loss-count? int32
| | | +--ro loss-ratio? percentage
| | | +--ro loss-burst-max? int32
| | | +--ro loss-burst-min? int32
| | | +--ro loss-burst-count? int32
| | +--ro one-way-loss-near-end
| | | +--ro loss-count? int32
| | | +--ro loss-ratio? percentage
| | | +--ro loss-burst-max? int32
| | | +--ro loss-burst-min? int32
| | | +--ro loss-burst-count? int32
| | +--ro sender-ip inet:ip-address
| | +--ro sender-udp-port inet:port-number
| | +--ro reflector-ip inet:ip-address
| | +--ro reflector-udp-port? inet:port-number
| | +--ro sent-packets? uint32
| | +--ro rcv-packets? uint32
| | +--ro sent-packets-error? uint32
| | +--ro rcv-packets-error? uint32
| | +--ro last-sent-seq? uint32
| | +--ro last-rcv-seq? uint32
| +--ro history-stats* [session-id]
| +--ro session-id uint32
| +--ro end-time yang:date-and-time
| +--ro packet-padding-size? uint32
| +--ro interval? uint32
| +--ro duplicate-packets? uint32
| +--ro reordered-packets? uint32
| +--ro sender-timestamp-format? timestamp-format
| +--ro reflector-timestamp-format? timestamp-format
| +--ro dscp? inet:dscp
| +--ro two-way-delay
| | +--ro delay
| | | +--ro min? yang:gauge32
| | | +--ro max? yang:gauge32
| | | +--ro avg? yang:gauge32
| | +--ro delay-variation
| | +--ro min? uint32
| | +--ro max? uint32
| | +--ro avg? uint32
| +--ro one-way-delay-far-end
| | +--ro delay
| | | +--ro min? yang:gauge32
| | | +--ro max? yang:gauge32
| | | +--ro avg? yang:gauge32
| | +--ro delay-variation
| | +--ro min? uint32
| | +--ro max? uint32
| | +--ro avg? uint32
| +--ro one-way-delay-near-end
| | +--ro delay
| | | +--ro min? yang:gauge32
| | | +--ro max? yang:gauge32
| | | +--ro avg? yang:gauge32
| | +--ro delay-variation
| | +--ro min? uint32
| | +--ro max? uint32
| | +--ro avg? uint32
| +--ro low-percentile
| | +--ro delay-percentile
| | | +--ro rtt-delay? percentile
| | | +--ro near-end-delay? percentile
| | | +--ro far-end-delay? percentile
| | +--ro delay-variation-percentile
| | +--ro rtt-delay-variation? percentile
| | +--ro near-end-delay-variation? percentile
| | +--ro far-end-delay-variation? percentile
| +--ro mid-percentile
| | +--ro delay-percentile
| | | +--ro rtt-delay? percentile
| | | +--ro near-end-delay? percentile
| | | +--ro far-end-delay? percentile
| | +--ro delay-variation-percentile
| | +--ro rtt-delay-variation? percentile
| | +--ro near-end-delay-variation? percentile
| | +--ro far-end-delay-variation? percentile
| +--ro high-percentile
| | +--ro delay-percentile
| | | +--ro rtt-delay? percentile
| | | +--ro near-end-delay? percentile
| | | +--ro far-end-delay? percentile
| | +--ro delay-variation-percentile
| | +--ro rtt-delay-variation? percentile
| | +--ro near-end-delay-variation? percentile
| | +--ro far-end-delay-variation? percentile
| +--ro two-way-loss
| | +--ro loss-count? int32
| | +--ro loss-ratio? percentage
| | +--ro loss-burst-max? int32
| | +--ro loss-burst-min? int32
| | +--ro loss-burst-count? int32
| +--ro one-way-loss-far-end
| | +--ro loss-count? int32
| | +--ro loss-ratio? percentage
| | +--ro loss-burst-max? int32
| | +--ro loss-burst-min? int32
| | +--ro loss-burst-count? int32
| +--ro one-way-loss-near-end
| | +--ro loss-count? int32
| | +--ro loss-ratio? percentage
| | +--ro loss-burst-max? int32
| | +--ro loss-burst-min? int32
| | +--ro loss-burst-count? int32
| +--ro sender-ip inet:ip-address
| +--ro sender-udp-port inet:port-number
| +--ro reflector-ip inet:ip-address
| +--ro reflector-udp-port? inet:port-number
| +--ro sent-packets? uint32
| +--ro rcv-packets? uint32
| +--ro sent-packets-error? uint32
| +--ro rcv-packets-error? uint32
| +--ro last-sent-seq? uint32
| +--ro last-rcv-seq? uint32
+--ro stamp-session-refl-state {session-reflector}?
+--ro reflector-light-admin-status? boolean
+--ro test-session-state* [session-id]
+--ro session-id uint32
+--ro reflector-timestamp-format? timestamp-format
+--ro sender-ip inet:ip-address
+--ro sender-udp-port inet:port-number
+--ro reflector-ip inet:ip-address
+--ro reflector-udp-port? inet:port-number
+--ro sent-packets? uint32
+--ro rcv-packets? uint32
+--ro sent-packets-error? uint32
+--ro rcv-packets-error? uint32
+--ro last-sent-seq? uint32
+--ro last-rcv-seq? uint32
Figure 3: STAMP State Tree Diagram
rpcs:
+---x stamp-sender-start
| +---w input
| +---w session-id uint32
+---x stamp-sender-stop
+---w input
+---w session-id uint32
Figure 4: STAMP RPC Tree Diagram
3.2. YANG Module
<CODE BEGINS> file "ietf-stamp@2018-09-07.yang"
module ietf-stamp {
yang-version 1.1;
namespace "urn:ietf:params:xml:ns:yang:ietf-stamp";
//namespace need to be assigned by IANA
prefix "ietf-stamp";
import ietf-inet-types {
prefix inet;
reference "RFC 6991: Common YANG Types.";
}
import ietf-yang-types {
prefix yang;
reference "RFC 6991: Common YANG Types.";
}
import ietf-key-chain {
prefix kc;
reference "RFC 8177: YANG Data Model for Key Chains.";
}
organization
"IETF IPPM (IP Performance Metrics) Working Group";
contact
"WG Web: http://tools.ietf.org/wg/ippm/
WG List: ippm@ietf.org
Editor: Greg Mirsky
gregimirsky@gmail.com
Editor: Xiao Min
xiao.min2@zte.com.cn
Editor: Wei S Luo
wei.s.luo@ericsson.com";
description
"This YANG module specifies a vendor-independent model
for the Simple Two-way Active Measurement Protocol (STAMP).
The data model covers two STAMP logical entities -
Session-Sender and Session-Reflector; characteristics
of the STAMP test session, as well as measured and
calculated performance metrics.
Copyright (c) 2018 IETF Trust and the persons identified as
the document authors. All rights reserved.
Redistribution and use in source and binary forms, with or
without modification, is permitted pursuant to, and subject
to the license terms contained in, the Simplified BSD
License set forth in Section 4.c of the IETF Trust's Legal
Provisions Relating to IETF Documents
(http://trustee.ietf.org/license-info).
This version of this YANG module is part of RFC XXXX; see
the RFC itself for full legal notices.";
revision "2018-09-07" {
description
"Initial Revision. Base STAMP specification is covered";
reference
"RFC XXXX: STAMP YANG Data Model.";
}
/*
* Typedefs
*/
typedef session-reflector-mode {
type enumeration {
enum stateful {
description
"When the Session-Reflector is stateful,
i.e. is aware of STAMP-Test session state.";
}
enum stateless {
description
"When the Session-Reflector is stateless,
i.e. is not aware of the state of
STAMP-Test session.";
}
}
description "State of the Session-Reflector";
}
typedef session-dscp-mode {
type enumeration {
enum copy-received-value {
description
"Use DSCP value copied from received
STAMP test packet of the test session.";
}
enum use-configured-value {
description
"Use DSCP value configured for this
test session on the Session-Reflector.";
}
}
description
"DSCP handling mode by Session-Reflector.";
}
typedef timestamp-format {
type enumeration {
enum ntp-format {
description
"NTP 64 bit format of a timestamp";
}
enum ptp-format {
description
"PTPv2 truncated format of a timestamp";
}
}
description
"Timestamp format used by Session-Sender
or Session-Reflector.";
}
typedef percentage {
type decimal64 {
fraction-digits 5;
}
description "Percentage";
}
typedef percentile {
type decimal64 {
fraction-digits 2;
}
description
"Percentile is a measure used in statistics
indicating the value below which a given
percentage of observations in a group of
observations fall.";
}
/*
* Feature definitions.
*/
feature session-sender {
description
"This feature relates to the device functions as the
STAMP Session-Sender";
}
feature session-reflector {
description
"This feature relates to the device functions as the
STAMP Session-Reflector";
}
feature stamp-security {
description "Secure STAMP supported";
}
/*
* Reusable node groups
*/
grouping maintenance-statistics {
description "Maintenance statistics grouping";
leaf sent-packets {
type uint32;
description "Packets sent";
}
leaf rcv-packets {
type uint32;
description "Packets received";
}
leaf sent-packets-error {
type uint32;
description "Packets sent error";
}
leaf rcv-packets-error {
type uint32;
description "Packets received error";
}
leaf last-sent-seq {
type uint32;
description "Last sent sequence number";
}
leaf last-rcv-seq {
type uint32;
description "Last received sequence number";
}
}
grouping test-session-statistics {
description
"Performance metrics calculated for
a STAMP test session.";
leaf packet-padding-size {
type uint32;
description
"Size of the Packet Padding. Suggested to run
Path MTU Discovery to avoid packet fragmentation
in IPv4 and packet blackholing in IPv6";
}
leaf interval {
type uint32;
units microseconds;
description
"Time interval between transmission of two
consecutive packets in the test session";
}
leaf duplicate-packets {
type uint32;
description "Duplicate packets";
}
leaf reordered-packets {
type uint32;
description "Reordered packets";
}
leaf sender-timestamp-format {
type timestamp-format;
description "Sender Timestamp format";
}
leaf reflector-timestamp-format {
type timestamp-format;
description "Reflector Timestamp format";
}
leaf dscp {
type inet:dscp;
description
"The DSCP value that was placed in the header of
STAMP UDP test packets by the Session-Sender.";
}
container two-way-delay {
description
"two way delay result of the test session";
uses delay-statistics;
}
container one-way-delay-far-end {
description
"one way delay far-end of the test session";
uses delay-statistics;
}
container one-way-delay-near-end {
description
"one way delay near-end of the test session";
uses delay-statistics;
}
container low-percentile {
when "/stamp/stamp-session-sender/"
+"test-session[session-id]/"
+"first-percentile != '0.00'" {
description
"Only valid if the
the first-percentile is not NULL";
}
description
"Low percentile report";
uses time-percentile-report;
}
container mid-percentile {
when "/stamp/stamp-session-sender/"
+"test-session[session-id]/"
+"second-percentile != '0.00'" {
description
"Only valid if the
the first-percentile is not NULL";
}
description
"Mid percentile report";
uses time-percentile-report;
}
container high-percentile {
when "/stamp/stamp-session-sender/"
+"test-session[session-id]/"
+"third-percentile != '0.00'" {
description
"Only valid if the
the first-percentile is not NULL";
}
description
"High percentile report";
uses time-percentile-report;
}
container two-way-loss {
description
"two way loss count and ratio result of
the test session";
uses packet-loss-statistics;
}
container one-way-loss-far-end {
when "/stamp/stamp-session-sender/"
+"test-session[session-id]/"
+"test-session-reflector-mode = 'stateful'" {
description
"One-way statistic is only valid if the
session-reflector is in stateful mode.";
}
description
"one way loss count and ratio far-end of
the test session";
uses packet-loss-statistics;
}
container one-way-loss-near-end {
when "/stamp/stamp-session-sender/"
+"test-session[session-id]/"
+"test-session-reflector-mode = 'stateful'" {
description
"One-way statistic is only valid if the
session-reflector is in stateful mode.";
}
description
"one way loss count and ratio near-end of
the test session";
uses packet-loss-statistics;
}
uses session-parameters;
uses maintenance-statistics;
}
grouping stamp-session-percentile {
description "Percentile grouping";
leaf first-percentile {
type percentile;
default 95.00;
description
"First percentile to report";
}
leaf second-percentile {
type percentile;
default 99.00;
description
"Second percentile to report";
}
leaf third-percentile {
type percentile;
default 99.90;
description
"Third percentile to report";
}
}
grouping delay-statistics {
description "Delay statistics grouping";
container delay {
description "Packets transmitted delay";
leaf min {
type yang:gauge32;
units microseconds;
description
"Min of Packets transmitted delay";
}
leaf max {
type yang:gauge32;
units microseconds;
description
"Max of Packets transmitted delay";
}
leaf avg {
type yang:gauge32;
units microseconds;
description
"Avg of Packets transmitted delay";
}
}
container delay-variation {
description
"Packets transmitted delay variation";
leaf min {
type uint32;
units microseconds;
description
"Min of Packets transmitted
delay variation";
}
leaf max {
type uint32;
units microseconds;
description
"Max of Packets transmitted
delay variation";
}
leaf avg {
type uint32;
units microseconds;
description
"Avg of Packets transmitted
delay variation";
}
}
}
grouping time-percentile-report {
description "Delay percentile report grouping";
container delay-percentile {
description
"Report round-trip, near- and far-end delay";
leaf rtt-delay {
type percentile;
description
"Percentile of round-trip delay";
}
leaf near-end-delay {
type percentile;
description
"Percentile of near-end delay";
}
leaf far-end-delay {
type percentile;
description
"Percentile of far-end delay";
}
}
container delay-variation-percentile {
description
"Report round-trip, near- and far-end delay variation";
leaf rtt-delay-variation {
type percentile;
description
"Percentile of round-trip delay-variation";
}
leaf near-end-delay-variation {
type percentile;
description
"Percentile of near-end delay variation";
}
leaf far-end-delay-variation {
type percentile;
description
"Percentile of far-end delay-variation";
}
}
}
grouping packet-loss-statistics {
description
"Grouping for Packet Loss statistics";
leaf loss-count {
type int32;
description
"Number of lost packets
during the test interval.";
}
leaf loss-ratio {
type percentage;
description
"Ratio of packets lost to packets
sent during the test interval.";
}
leaf loss-burst-max {
type int32;
description
"Maximum number of consecutively
lost packets during the test interval.";
}
leaf loss-burst-min {
type int32;
description
"Minimum number of consecutively
lost packets during the test interval.";
}
leaf loss-burst-count {
type int32;
description
"Number of occasions with packet
loss during the test interval.";
}
}
grouping session-parameters {
description
"Parameters Session-Sender";
leaf sender-ip {
type inet:ip-address;
mandatory true;
description "Sender IP address";
}
leaf sender-udp-port {
type inet:port-number {
range "49152..65535";
}
mandatory true;
description "Sender UDP port number";
}
leaf reflector-ip {
type inet:ip-address;
mandatory true;
description "Reflector IP address";
}
leaf reflector-udp-port {
type inet:port-number{
range "862 | 49152..65535";
}
default 862;
description "Reflector UDP port number";
}
}
grouping session-security {
description
"Grouping for STAMP security and related parameters";
container security {
if-feature stamp-security;
presence "Enables secure STAMP";
description
"Parameters for STAMP authentication";
leaf key-chain {
type kc:key-chain-ref;
description "Name of key-chain";
}
}
}
/*
* Configuration Data
*/
container stamp {
description
"Top level container for STAMP configuration";
container stamp-session-sender {
if-feature session-sender;
description "STAMP Session-Sender container";
leaf sender-enable {
type boolean;
default "true";
description
"Whether this network element is enabled to
act as STAMP Session-Sender";
}
list test-session {
key "session-id";
unique "sender-ip sender-udp-port reflector-ip"
+" reflector-udp-port dscp-value";
description
"This structure is a container of test session
managed objects";
leaf session-id {
type uint32;
description "Session ID";
}
leaf test-session-enable {
type boolean;
default "true";
description
"Whether this STAMP Test session is enabled";
}
leaf number-of-packets {
type union {
type uint32 {
range 1..4294967294 {
description
"The overall number of UDP test packet
to be transmitted by the sender for this
test session";
}
}
type enumeration {
enum forever {
description
"Indicates that the test session SHALL
be run *forever*.";
}
}
}
default 10;
description
"This value determines if the STAMP-Test session is
bound by number of test packets or not.";
}
leaf packet-padding-size {
type uint32;
default 27;
description
"Size of the Packet Padding. Suggested to run
Path MTU Discovery to avoid packet fragmentation in
IPv4 and packet blackholing in IPv6";
}
leaf interval {
type uint32;
units microseconds;
description
"Time interval between transmission of two
consecutive packets in the test session in
microseconds";
}
leaf session-timeout {
when "../number-of-packets != 'forever'" {
description
"Test session timeout only valid if the
test mode is periodic.";
}
type uint32;
units "seconds";
default 900;
description
"The timeout value for the Session-Sender to
collect outstanding reflected packets.";
}
leaf measurement-interval {
when "../number-of-packets = 'forever'" {
description
"Valid only when the test to run forever,
i.e. continuously.";
}
type uint32;
units "seconds";
default 60;
description
"Interval to calculate performance metric when
the test mode is 'continuous'.";
}
leaf repeat {
type union {
type uint32 {
range 0..4294967294;
}
type enumeration {
enum forever {
description
"Indicates that the test session SHALL
be repeated *forever* using the
information in repeat-interval
parameter, and SHALL NOT decrement
the value.";
}
}
}
default 0;
description
"This value determines if the STAMP-Test session must
be repeated. When a test session has completed, the
repeat parameter is checked. The default value
of 0 indicates that the session MUST NOT be repeated.
If the repeat value is 1 through 4,294,967,294
then the test session SHALL be repeated using the
information in repeat-interval parameter.
The implementation MUST decrement the value of repeat
after determining a repeated session is expected.";
}
leaf repeat-interval {
when "../repeat != '0'";
type uint32;
units seconds;
default 0;
description
"This parameter determines the timing of repeated
STAMP-Test sessions when repeat is more than 0.";
}
leaf dscp-value {
type inet:dscp;
default 0;
description
"DSCP value to be set in the test packet.";
}
leaf test-session-reflector-mode {
type session-reflector-mode;
default "stateless";
description
"The mode of STAMP-Reflector for the test session.";
}
uses session-parameters;
leaf sender-timestamp-format {
type timestamp-format;
default ntp-format;
description "Sender Timestamp format";
}
uses session-security;
uses stamp-session-percentile;
}
}
container stamp-session-reflector {
if-feature session-reflector;
description
"STAMP Session-Reflector container";
leaf reflector-enable {
type boolean;
default "true";
description
"Whether this network element is enabled to
act as STAMP Session-Reflector";
}
leaf ref-wait {
type uint32 {
range 1..604800;
}
units seconds;
default 900;
description
"REFWAIT(STAMP test session timeout in seconds),
the default value is 900";
}
leaf reflector-mode-state {
type session-reflector-mode;
default stateless;
description
"The state of the mode of the STAMP
Session-Reflector";
}
list test-session {
key "session-id";
unique "sender-ip sender-udp-port reflector-ip"
+" reflector-udp-port";
description
"This structure is a container of test session
managed objects";
leaf session-id {
type uint32;
description "Session ID";
}
leaf dscp-handling-mode {
type session-dscp-mode;
default copy-received-value;
description
"Session-Reflector handling of DSCP:
- use value copied from received STAMP-Test packet;
- use value explicitly configured";
}
leaf dscp-value {
when "../dscp-handling-mode = 'use-configured-value'";
type inet:dscp;
default 0;
description
"DSCP value to be set in the reflected packet
if dscp-handling-mode is set to use-configured-value.";
}
leaf sender-ip {
type union {
type inet:ip-address;
type enumeration {
enum any {
description
"Indicates that the Session-Reflector
accepts STAMP test packets from
any Session-Sender";
}
}
}
default any;
description
"This value determines whether specific
IPv4/IPv6 address of the Session-Sender
or the wildcard, i.e. any address";
}
leaf sender-udp-port {
type union {
type inet:port-number {
range "49152..65535";
}
type enumeration {
enum any {
description
"Indicates that the Session-Reflector
accepts STAMP test packets from
any Session-Sender";
}
}
}
default any;
description
"This value determines whether specific
port number of the Session-Sender
or the wildcard, i.e. any";
}
leaf reflector-ip {
type union {
type inet:ip-address;
type enumeration {
enum any {
description
"Indicates that the Session-Reflector
accepts STAMP test packets on
any of its interfaces";
}
}
}
default any;
description
"This value determines whether specific
IPv4/IPv6 address of the Session-Reflector
or the wildcard, i.e. any address";
}
leaf reflector-udp-port {
type inet:port-number{
range "862 | 49152..65535";
}
default 862;
description "Reflector UDP port number";
}
leaf reflector-timestamp-format {
type timestamp-format;
default ntp-format;
description "Reflector Timestamp format";
}
uses session-security;
}
}
}
/*
* Operational state data nodes
*/
container stamp-state {
config false;
description
"Top level container for STAMP state data";
container stamp-session-sender-state {
if-feature session-sender;
description
"Session-Sender container for state data";
list test-session-state{
key "session-id";
description
"This structure is a container of test session
managed objects";
leaf session-id {
type uint32;
description "Session ID";
}
leaf sender-session-state {
type enumeration {
enum active {
description "Test session is active";
}
enum ready {
description "Test session is idle";
}
}
description
"State of the particular STAMP test
session at the sender";
}
container current-stats {
description
"This container contains the results for the current
Measurement Interval in a Measurement session ";
leaf start-time {
type yang:date-and-time;
mandatory true;
description
"The time that the current Measurement Interval started";
}
uses test-session-statistics;
}
list history-stats {
key session-id;
description
"This container contains the results for the history
Measurement Interval in a Measurement session ";
leaf session-id {
type uint32;
description
"The identifier for the Measurement Interval
within this session";
}
leaf end-time {
type yang:date-and-time;
mandatory true;
description
"The time that the Measurement Interval ended";
}
uses test-session-statistics;
}
}
}
container stamp-session-refl-state {
if-feature session-reflector;
description
"STAMP Session-Reflector container for
state data";
leaf reflector-light-admin-status {
type boolean;
description
"Whether this network element is enabled to
act as STAMP Session-Reflector";
}
list test-session-state {
key "session-id";
description
"This structure is a container of test session
managed objects";
leaf session-id {
type uint32;
description "Session ID";
}
leaf reflector-timestamp-format {
type timestamp-format;
description "Reflector Timestamp format";
}
uses session-parameters;
uses maintenance-statistics;
}
}
}
rpc stamp-sender-start {
description
"start the configured sender session";
input {
leaf session-id {
type uint32;
mandatory true;
description
"The STAMP session to be started";
}
}
}
rpc stamp-sender-stop {
description
"stop the configured sender session";
input {
leaf session-id {
type uint32;
mandatory true;
description
"The session to be stopped";
}
}
}
}
<CODE ENDS>
4. IANA Considerations
This document registers a URI in the IETF XML registry
[RFC3688]
. Following the format in
[RFC3688]
, the following registration is requested to be made.
URI: urn:ietf:params:xml:ns:yang:ietf-stamp
Registrant Contact: The IPPM WG of the IETF.
XML: N/A, the requested URI is an XML namespace.
This document registers a YANG module in the YANG Module Names registry[RFC7950].
name: ietf-stamp
namespace: urn:ietf:params:xml:ns:yang:ietf-stamp
prefix: stamp
reference: RFC XXXX
5. Security Considerations
The YANG module specified in this document defines a schema for data that is designed to be accessed via network management protocols such as NETCONF
[RFC6241]
or RESTCONF
[RFC8040]
. The lowest NETCONF layer is the secure transport layer, and the mandatory-to-implement secure transport is Secure Shell (SSH)
[RFC6242]
. The lowest RESTCONF layer is HTTPS, and the mandatory-to-implement secure transport is TLS
[RFC8446]
.
The NETCONF access control model
[RFC8341]
provides the means to restrict access for particular NETCONF or RESTCONF users to a pre-configured subset of all available NETCONF or RESTCONF protocol operations and content.
There are a number of data nodes defined in this YANG module that are writable/creatable/deletable (i.e., config true, which is the default). These data nodes may be considered sensitive or vulnerable in some network environments. Write operations (e.g., edit-config) to these data nodes without proper protection can have an adverse effect on network operations. These are the subtrees and data nodes and their sensitivity/vulnerability:
TBD
Unauthorized access to any data node of these subtrees can adversely affect the routing subsystem of both the local device and the network. This may lead to corruption of the measurement that may result in false corrective action, e.g., false negative or false positive. That could be, for example, prolonged and undetected deterioration of the quality of service or actions to improve the quality unwarranted by the real network conditions.
Some of the readable data nodes in this YANG module may be considered sensitive or vulnerable in some network environments. It is thus important to control read access (e.g., via get, get-config, or notification) to these data nodes. These are the subtrees and data nodes and their sensitivity/vulnerability:
TBD
Unauthorized access to any data node of these subtrees can disclose the operational state information of VRRP on this device.
Some of the RPC operations in this YANG module may be considered sensitive or vulnerable in some network environments. It is thus important to control access to these operations. These are the operations and their sensitivity/vulnerability:
TBD
6. Acknowledgments
Authors recognize and appreciate valuable comments provided by Adrian Pan.
7. References
7.1. Normative References
[I-D.ietf-ippm-stamp] Mirsky, G. , Jun, G. , Nydell, H. and R. Foote , " Simple Two-way Active Measurement Protocol ", Internet-Draft draft-ietf-ippm-stamp-05, November 2018. [RFC2119] Bradner, S. , " Key words for use in RFCs to Indicate Requirement Levels ", BCP 14, RFC 2119, DOI 10.17487/RFC2119, March 1997. [RFC3688] Mealling, M. , " The IETF XML Registry ", BCP 81, RFC 3688, DOI 10.17487/RFC3688, January 2004. [RFC5357] Hedayat, K. , Krzanowski, R. , Morton, A. , Yum, K. and J. Babiarz , " A Two-Way Active Measurement Protocol (TWAMP) ", RFC 5357, DOI 10.17487/RFC5357, October 2008. [RFC6241] Enns, R. , Bjorklund, M. , Schoenwaelder, J. and A. Bierman , " Network Configuration Protocol (NETCONF) ", RFC 6241, DOI 10.17487/RFC6241, June 2011. [RFC6242] Wasserman, M. , " Using the NETCONF Protocol over Secure Shell (SSH) ", RFC 6242, DOI 10.17487/RFC6242, June 2011. [RFC7750] Hedin, J. , Mirsky, G. and S. Baillargeon , " Differentiated Service Code Point and Explicit Congestion Notification Monitoring in the Two-Way Active Measurement Protocol (TWAMP) ", RFC 7750, DOI 10.17487/RFC7750, February 2016. [RFC7950] Bjorklund, M. , " The YANG 1.1 Data Modeling Language ", RFC 7950, DOI 10.17487/RFC7950, August 2016. [RFC8040] Bierman, A. , Bjorklund, M. and K. Watsen , " RESTCONF Protocol ", RFC 8040, DOI 10.17487/RFC8040, January 2017. [RFC8174] Leiba, B. , " Ambiguity of Uppercase vs Lowercase in RFC 2119 Key Words ", BCP 14, RFC 8174, DOI 10.17487/RFC8174, May 2017. [RFC8341] Bierman, A. and M. Bjorklund , " Network Configuration Access Control Model ", STD 91, RFC 8341, DOI 10.17487/RFC8341, March 2018. [RFC8342] Bjorklund, M. , Schoenwaelder, J. , Shafer, P. , Watsen, K. and R. Wilton , " Network Management Datastore Architecture (NMDA) ", RFC 8342, DOI 10.17487/RFC8342, March 2018. [RFC8446] Rescorla, E. , " The Transport Layer Security (TLS) Protocol Version 1.3 ", RFC 8446, DOI 10.17487/RFC8446, August 2018.
7.2. Informative References
[RFC8340] Bjorklund, M. and L. Berger , " YANG Tree Diagrams ", BCP 215, RFC 8340, DOI 10.17487/RFC8340, March 2018.
Appendix A. Example of STAMP Session Configuration
Figure 5shows a configuration example of a STAMP-Sender.
<?xml version="1.0" encoding="utf-8"?>
<data xmlns="urn:ietf:params:xml:ns:netconf:base:1.0">
<stamp xmlns="urn:ietf:params:xml:ns:yang:ietf-stamp">
<stamp-session-sender>
<session-enable>enable</session-enable>
<session-id>10</session-id>
<test-session-enable>enable<test-session-enable>
<number-of-packets>forever</number-of-packets>
<packet-padding-size/> <!-- use default 27 octets -->
<interval>10</interval> <!-- 10 microseconds -->
<measurement-interval/> <!-- use default 60 seconds -->
<!-- use default 0 repetitions,
i.e. do not repeat this session -->
<repeat/>
<dscp-value/> <!-- use deafult 0 (CS0) -->
<!-- use default 'stateless' -->
<test-session-reflector-mode/>
<sender-ip></sender-ip>
<sender-udp-port></sender-udp-port>
<reflector-ip></reflector-ip>
<reflector-udp-port/> <!-- use default 862 -->
<sender-timestamp-format/>
<!-- No authentication -->
<first-percentile/> <!-- use default 95 -->
<second-percentile/> <!-- use default 99 -->
<third-percentile/> <!-- use default 99.9 -->
</stamp-session-sender>
</stamp>
</data>
Figure 5: XML instance of STAMP Session-Sender configuration
<?xml version="1.0" encoding="utf-8"?>
<data xmlns="urn:ietf:params:xml:ns:netconf:base:1.0">
<stamp xmlns="urn:ietf:params:xml:ns:yang:ietf-stamp">
<stamp-session-reflector>
<session-enable>enable</session-enable>
<ref-wait/> <!-- use default 900 seconds -->
<!-- use default 'stateless' -->
<reflector-mode-state/>
<session-id></session-id>
<!-- use default 'copy-received-value' -->
<dscp-handling-mode/>
<!-- not used because of dscp-hanling-mode
being 'copy-received-value' -->
<dscp-value/>
<sender-ip/> <!-- use default 'any' -->
<sender-udp-port/> <!-- use default 'any' -->
<reflector-ip/> <!-- use default 'any' -->
<reflector-udp-port/> <!-- use default 862 -->
<reflector-timestamp-format/>
<!-- No authentication -->
</stamp-session-reflector>
</stamp>
</data>
Figure 6: XML instance of STAMP Session-Reflector configuration
Authors' Addresses
Greg Mirsky Mirsky ZTE Corp. EMail: gregimirsky@gmail.com
Xiao Min Min ZTE Corp. EMail: xiao.min2@zte.com.cn
Wei S Luo Luo Ericsson EMail: wei.s.luo@ericsson.com
| http://www.watersprings.org/pub/id/draft-ietf-ippm-stamp-yang-03.html |
Setting the record straight on some common beliefs about food and health -- ScienceDaily
When it comes to what certain foods can do to or for you, it’s probably best to take motherly advice, familiar sayings and other bits of conventional wisdom with a grain of salt.
Setting the record straight on some common beliefs about food and health
Summary:
When it comes to what certain foods can do to or for you, it’s probably best to take motherly advice, familiar sayings and other bits of conventional wisdom with a grain of salt.
"Everything our parents said was good is bad," complains Alvy Singer, the character played by Woody Allen in "Annie Hall," his 1977 Oscar-winning romantic comedy.
That's a bit of an exaggeration, but when it comes to what certain foods can do to or for you, it's probably best to take motherly advice, familiar sayings and other bits of conventional wisdom with a grain of salt.
"There's some validity to some of them, but many of them are just old wives' tales or myths that have trickled down over the years," said Annette Frain, a registered dietitian at Wake Forest Baptist Medical Center in Winston-Salem, North Carolina.
To help draw the line between what is and isn't baloney, so to speak, here's the medical lowdown on a couple of widely held notions about food and health.
Fish is brain food
Score one for Mom.
"Many long-term studies have found a correlation between improved cognition and the consumption of fish that are high in omega-3 fatty acids such as DHA," said Frain, the medical program coordinator at Wake Forest Baptist's Weight Management Center. "This isn't a speedy fix -- you're not going to get a higher score on your test or do a better job on your project at work because you ate fish last night. It's rather the build-up over time. So the sooner you start, the better off you'll be in the long run."
The best seafood sources of these omega-3s that promote optimal brain function are fatty and oil-rich fish such as salmon, albacore tuna, mackerel, sardines and herring.
These obviously aren't among America's most popular types of seafood. The "lighter" fish like flounder and tilapia that more frequently appear on our plates are good for you, too. Just not as good.
"They aren't as potent in terms of omega-3s, and they're often breaded and fried, which only adds calories," said Frain, who recommends grilling as the best way to prepare fish.
Eating chocolate causes acne
Nope.
"I remember hearing that when I was growing up and I still hear it when I see patients, especially teenagers," said Sarah Taylor, M.D., a dermatologist at Wake Forest Baptist. "But it's not true. Chocolate has been studied, and there's no hard evidence it has anything to do with acne."
Acne occurs when the skin's pores become clogged with excess oil produced by hair follicles. This allows dirt, bacteria and dead skin cells to build up in the pores and form the lesions and blemishes of acne.
What triggers this isn't clear. Hormonal changes can prompt the overproduction of oil, and heredity can be a factor. But eating chocolate is not. That goes for pizza, potato chips, french fries and cheeseburgers, too.
Research, however, has identified one acne-food connection.
"Non-organic dairy products can make acne worse, because the cows are treated with growth hormones," Taylor said. "So we'll tell patients that when they're having yogurt, cheese, milk or ice cream to make sure it's organic if they want to help their acne out."
Eating carrots improves vision
Not exactly.
"Carrots are a good source of vitamin A, which is one of the nutrients necessary for good ocular health," said Craig Greven, M.D., chair of ophthalmology at Wake Forest Baptist. "But they won't improve your eyesight."
Their vision-friendly reputation notwithstanding, carrots are far from the only way to get vitamin A. Dairy products, eggs, fish and liver are prime sources, as are a number of fruits (peaches, mangoes, tomatoes) and vegetables (spinach, kale, broccoli, peas, red bell peppers) that also provide other nutrients and antioxidants that contribute to good vision.
"In general, a balanced diet, and really anything that leads to a healthy lifestyle, is good for your eyes," Greven said. "But there's not one specific perfect eye food."
Spicy foods cause ulcers
No. Jalapenos and habaneros aren't to blame.
Ulcers are sores on the inside lining of the stomach, esophagus or small intestine that develop when acid is able to penetrate the layer of mucus that normally protects the digestive tract. But spicy foods have nothing to do with that.
"About 75 percent of all ulcers are caused by bacteria called Helicobacter pylori," said Joel Bruggen, M.D., a gastroenterologist at Wake Forest Baptist. "Most of the others are caused by the use of aspirin and other non-steroidal anti-inflammatory medications."
So how did chili, curry and kung-pao chicken get such a bad rap?
"Stomach ulcers can produce a burning pain in your stomach," Bruggen said, "and if you have a pain in your stomach after eating spicy food you might think you have an ulcer, or a doctor might even tell you you have an ulcer, but you probably don't."
Stress and alcohol also can be added to the list of things that don't cause ulcers. In fact, the research pointing to bacteria as the primary culprit has been around since the mid-1980s.
But, as Bruggen put it, "Some legends just live on."
Story Source:
Materialsprovided byWake Forest Baptist Medical Center. Note: Content may be edited for style and length.
Cite This Page:
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Wake Forest Baptist Medical Center. "Setting the record straight on some common beliefs about food and health." ScienceDaily. ScienceDaily, 14 February 2017. <www.sciencedaily.com/releases/2017/02/170214095827.htm>.
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| https://www.sciencedaily.com/releases/2017/02/170214095827.htm |
Fossil Proboscidea from China
Download Citation | A.T. Hopwood published Fossil Proboscidea from China | Find, read and cite all the research you need on ResearchGate
Article
Fossil Proboscidea from China
Authors:
A.T. Hopwood
... Trilophodont proboscideans did not recover in northern China until~7 Ma, when Mammut cf. obliquelophus occurred at~7 Ma (Baode and Linxia basins)
(Hopwood, 1935)
and Sinomastodon praeintermedius at~6 Ma (Yushe Basin) (Hopwood, 1935;Flynn et al., 1991;Tedford et al., 1991;Opdyke et al., 2013;Wang et al., 2016a). ...
... Trilophodont proboscideans did not recover in northern China until~7 Ma, when Mammut cf. obliquelophus occurred at~7 Ma (Baode and Linxia basins) (Hopwood, 1935) and Sinomastodon praeintermedius at~6 Ma (Yushe Basin)
(Hopwood, 1935;
Flynn et al., 1991;Tedford et al., 1991;Opdyke et al., 2013;Wang et al., 2016a). ...
... The biochronology of proboscideans from northern China and Yunnan were studied based on both previous data
(Hopwood, 1935;
Bohlin, 1937;Teilhard and Trassaert, 1937;Chow, 1959;Liu et al., 1978;Yan et al., 1983;Tobien et al., 1988;Deng et al., 2003; and our own researches (Wang and Deng, 2011;Wang, 2014;Wang et al., 2013Wang et al., , 2015aWang et al., , b, c, 2016aWang et al., , b, c, 2017a. However, several results have not yet been published. ...
Yunnan, a refuge for trilophodont proboscideans during the late Miocene aridification of East Asia
Article
Aug 2017
PALAEOGEOGR PALAEOCL
Zi-Ling He
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
Xue-Ping Ji
<here is a image b3cf4c031b9b5828-2cde4af9f99d03d0> Tao Deng
Fossil elephantimorph proboscideans are very common in Miocene faunas of East Asia. However, their evolution and migration associated with ecological pressure have been studied little, especially in China. In the present article, analyses of the dynamics of the elephantimorph genera of northern and southern China were performed. The results indicate considerable depression of elephantimorph proboscidean diversity in northern China and continuous success of this group in the Yunnan region (southern China) during the late Miocene. Notably, all trilophodont elephantimorph proboscideans were extinct by the end of the middle Miocene in northern China and did not recover until the latest Miocene. However, trilophodont and tetralophodont elephantimorph proboscideans coexisted throughout the late Miocene in the Yunnan region. Therefore, we interpret the Yunnan region as a late Miocene refuge for proboscideans, especially trilophodonts, from severe aridity in northern China caused by uplift of the Tibetan Plateau and retreat of the Paratethys Sea. Further analysis of the dynamics of coexisting genera indicates that the components of elephantimorph proboscidean assemblages in northern China display patterns distinct from those of Yunnan/Southeast Asia and Siwalik. Therefore, ecological barriers between northern China and Siwalik and between northern China and Yunnan/Southeast Asia are hypothesized to have existed by as early as the middle Miocene. The latter barrier occasionally opened, e.g. at the boundary between the middle and late Miocene, and thus provided a pathway for the survival of trilophodont proboscideans escaping from ecological pressures in northern China.
... subtapiroideum in IVPP. Information regarding other material was obtained from previous publications (Andrews, 1906;Schlesinger, 1917;Borissiak and Belyaeva, 1928;
Hopwood, 1935;
Tassy, , 1985Tassy, , 1986Tassy, , 2013Tassy, , 2014G€ ohlich, 1998, 2007Shoshani et al., 2006;Wang et al., 2013bWang et al., , 2015Wang, 2014;Yang et al., in press; for details, see Appendix 1). ...
... inopinatum, although the interlophids are anteroposteriorly wide, the posttrite loph(id)s and pretrite central conules are almost undivided (Borissiak and Belyaeva, 1928;Wang, 2014), which is distinct from the strongly subdivided crown elements in G. tassyi. In G. wimani
(Hopwood, 1935;
Wang et al., 2013b), although the crown elements are subdivided, the contour of the teeth is narrower than that of G. tassyi and posterior posttrite central conules are present, which are never observed in G. tassyi. Furthermore, the tooth morphology of G. tassyi is very similar to that of G. subtapiroideum from Europe and G. cf. ...
... subtapiroideum from China, except that the first posttrite lophs of the upper molars are unchangeably FIGURE 6. Bivariate plots of cheek tooth measurements of Gomphotherium. Data source: G. hannibali, Le Mazet, France ; G. annectens, Banjôburo, Japan (cast in MNHN); G. cooperi, Dera Bugti, Pakistan ; G. mongoliense, Loh, Mongolia (AMNH and G€ ohlich, 2007); G. sylvaticum, Artenay, France (AMNH); G. angustidens, En P ejouan, France (Tassy, 2014); G. connexum, Diaogou and Junggar Basin, China
(Hopwood, 1935;
Wang et al., 2015); G. inopinatum, Turgai, Kazakhstan, and Ganchiliang, China (Borissiak and Belyaeva, 1928;Wang, 2014); G. subtapiroideum, Vordersdorf near Eibiswald, Austria, and Sandelzhausen, Germany (Schlesinger, 1917;G€ ohlich, 2010); G. cf. subtapiroideum, Lengshuigou, China ; G. wimani, Bapanshan, Quantougou, and Zhengjiaping, China (Hopwood, 1935;Yang et al., in press); G. browni, Chinji Bungalow, Pakistan (AMNH); G. steinheimense, Massenhausen, Germany (G€ ohlich, 1999); G. productum, Clarendon, U.S.A. (AMNH). ...
A new species of Gomphotherium (Proboscidea, Mammalia) from China and the evolution of Gomphotherium in Eurasia
Article
Full-text available
Jun 2017
<here is a image a5492ba7b1eb86f0-0c734f2f2a7bdfd5> Yu Li
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
<here is a image ad94ccf5386637dd-5ef0925ec199784e> Jaroon Duangkrayom
Shan-Qin Chen
Gomphotherium is a stem taxon of Elephantida that was widespread in Africa, Eurasia, and North America during the Miocene. However, the evolution of this genus is greatly debated because of morphological variation among the species of Gomphotherium. In the present work, we describe a cranium and accompanying material of Gomphotherium from the late middle Miocene Hujialiang Formation of Linxia Basin, China. The new material shows dental similarities to G. subtapiroideum from the middle Miocene of Europe; however, it displays some cranial, mandibular, and dental feature combinations that are distinct from the known species of Gomphotherium. Therefore, a new species, G. tassyi, is established. We further study the phylogeny of Gomphotherium by cladistic analysis and recognize four groups. The most basal ‘G. annectens group’ is a paraphyletic group that includes G. annectens, G. cooperi, G. sylvaticum, and G. hannibali. The African taxa, G. libycum and G. pygmaeus, constitute a monophyletic group that has not been named. The ‘G. angustidens group’ is a monophyletic group that includes G. inopinatum, G. mongoliense, G. connexum, and G. angustidens. In addition, the ‘derived Gomphotherium group,’ which includes G. subtapiroideum, G. tassyi, G. wimani, G. browni, G. productum, and G. steinheimense, was widely distributed in Eurasia and North America during the middle and late Miocene.
http://zoobank.org/urn:lsid:zoobank.org:act:28B89A74-7FF6-41DB-BA3C-C4CDD200A30F
SUPPLEMENTAL DATA—Supplemental materials are available for this article for free at www.tandfonline.com/UJVP
Citation for this article: Wang, S.-Q., Y. Li, J. Duangkrayom, X.-W. Yang, W. He, and S.-Q. Chen. 2017. A new species of Gomphotherium (Proboscidea, Mammalia) from China and the evolution of Gomphotherium in Eurasia. Journal of Vertebrate Paleontology. DOI: 10.1080/02724634.2017.1318284.
... However, fossil records of tetralophodont gomphotheres from the Upper Miocene of northern China are rare, relatively to Western Europe and southern Asia, and the taxonomy of these specimens is controversial. For example, the classical taxon "Tetralophodon exoletus
Hopwood, 1935"
was erected based on the type material from the Baode region (Hopwood, 1935) (Fig. 1), and Liu et al. (1978) mens from the Lantian region (Fig. 1). However, Tobien et al. (1988) attributed the hypodigm to "Stegotetrabelodon exoletus" and referred the Lantian material to "Tetralophodon (Paratetralophodon) cf. ...
... However, fossil records of tetralophodont gomphotheres from the Upper Miocene of northern China are rare, relatively to Western Europe and southern Asia, and the taxonomy of these specimens is controversial. For example, the classical taxon "Tetralophodon exoletus Hopwood, 1935" was erected based on the type material from the Baode region
(Hopwood, 1935)
(Fig. 1), and Liu et al. (1978) mens from the Lantian region (Fig. 1). However, Tobien et al. (1988) attributed the hypodigm to "Stegotetrabelodon exoletus" and referred the Lantian material to "Tetralophodon (Paratetralophodon) cf. ...
... Firstly, the subject that should be compared is the only known but debated Tetralophodon species from northern China, "Tetralophodon exoletus
" Hopwood, 1935
. This species has been reported from three regions of the northern China, Baode, Lantian, and Linxia (Hopwood, 1935;Liu et al., 1978;Deng et al., 2004Deng et al., , 2013. ...
A new species of Tetralophodon from the Linxia Basin and the biostratigraphic significance of tetralophodont gomphotheres from the Upper Miocene of northern China
Article
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Haruo Saegusa
Shan-Qin Chen
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
<here is a image ad94ccf5386637dd-5ef0925ec199784e> Jaroon Duangkrayom
Tetralophodont gomphotheres, i.e., Tetralophodon, Paratetralophodon, and Anancus, show significant morphological diversity and are of great importance for the biostratigraphy of the Upper Miocene. However, material of this group from the Upper Miocene of northern China is rare and easily to be confused with the similar taxa such as Konobelodon and Stegolophodon. The stratigraphy of this group is also unclear in China. Here we described the first mandible from northern China that can be definitely attributed to Tetralophodon, and erected a new species Tetralophodon euryrostris n. sp. Furthermore, we amended the previously reported tetralophodont gomphotheres from northern China. We attributed the type material of “Tetralophodon exoletus” to?Paratetralophodon exoletus, the material from Lantian region (“Tetralophodon exoletus”) to Paratetralophodon sp., and the material from the Qaidam Basin (Tetralophodon sp.) to Tetralophodon aff. xiaolongtanensis. We also discussed the stratigraphic ranges of the tetralophodont proboscideans from the Upper Miocene of China, that is, Tetralophodon aff. xiaolongtanensis from MN9, Tetralophodon cf. euryrostris from MN10, Konobelodon robustus from MN9–MN10, Paratetralophodon sp. from MN11,? Paratetralophodon exoletus from MN12, and Stegolophodon licenti from MN13. This work is important for the study of the taxonomy and biostratigraphy of tetralophodont gomphotheres from the Upper Miocene of northern China.
... Gomphotherium connexum and G. shensiensis are two members of the genus known only from China. The type material of G. connexum was published by
Hopwood (1935)
, and it was the first gomphotheriid species named in China. The type locality is Diaogou [=Tiao Kou (Hopwood 1935)], Huangzhong County, Qinhai Province, in the Xianshuihe [=Hsienshuiho (Young and Bian 1937)] Formation. ...
... The type material of G. connexum was published by Hopwood (1935), and it was the first gomphotheriid species named in China. The type locality is Diaogou [=Tiao Kou
(Hopwood 1935)
], Huangzhong County, Qinhai Province, in the Xianshuihe [=Hsienshuiho (Young and Bian 1937)] Formation. However, this species appears to be rather isolated. ...
... For example, Osborn (1936) listed 60 species in these genera. In China,
Hopwood (1935)
listed six species of Trilophodon and Serridentinus (including species from Mongolia). Chow and Zhang (1974) listed 16 species of Gomphotherium and Serridentinus. ...
Occurrence of the Gomphotherium angustidens group in China, based on a revision of Gomphotherium connexum (Hopwood, 1935) and Gomphotherium shensiensis Chang and Zhai, 1978: continental correlation of Gomphotherium species across the Palearctic
Article
Full-text available
Jan 2016
Xiang-Wen Yang
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
<here is a image ad94ccf5386637dd-5ef0925ec199784e> Jaroon Duangkrayom
In this paper, we restudy previously reported material of Gomphotherium connexum and G.
shensiensis from China. G. connexum is characterized by the strong posterior pretrite central conules of the upper molars, which are larger than the corresponding anterior ones (at least in the second loph), the narrow interloph(id)s, the high central conules, and the narrow contour of m3. Gomphotherium cf. shensiensis (here is attributed to G. connexum) from the Junggar Basin is more derived than the type material of G. connexum in larger size and heavier cementum. G. connexum is very similar to G. angustidens, which was widely distributed in the Middle Miocene (MN6–8) of Europe. Gomphotherium
shensiensis (here is attributed to G. cf. subtapiroideum) shows crest-like elements in the teeth crowns. The posttrite lophs are subdivided and anteroposteriorly compressed, and the interlophs are relatively anteroposteriorly wide. These features are similar to G. subtapiroideum, which occurred in the later Early Miocene to the earlier Late Miocene (MN5–9) of Europe. This revision of Chinese Gomphotherium demonstrates strong similarities in Gomphotherium species between eastern and western Eurasia, representing a continental diffusion of Gomphotherium species across the Palearctic region.
... sendaicus; (3) the cingulid is stronger in the Yanghecun Figure 6 Bivariate plots for m3 comparison among species of Sinomastodontinae and Gomphotherium wimani. 1, G. wimani, data from
Hopwood (1935)
; 2, Sinomastodontinae gen. et sp. ...
... However, no strong fossil evidence unites these two forms. One candidate that could be considered the ancestor of Sinomastodon is Gomphotherium wimani
(Hopwood, 1935)
, which was discovered from the Middle Miocene of the Xining, Lanzhou, Linxia, and Tianshui basins (Hopwood, 1935;Qiu et al., 1997;Wang et al., 2013). The cheek tooth characters, such as the number of lophids, development of accessory central conules, cingulids, and cementum, are comparable to the Yanghecun specimen. ...
... However, no strong fossil evidence unites these two forms. One candidate that could be considered the ancestor of Sinomastodon is Gomphotherium wimani (Hopwood, 1935), which was discovered from the Middle Miocene of the Xining, Lanzhou, Linxia, and Tianshui basins
(Hopwood, 1935;
Qiu et al., 1997;Wang et al., 2013). The cheek tooth characters, such as the number of lophids, development of accessory central conules, cingulids, and cementum, are comparable to the Yanghecun specimen. ...
An Asian origin for Sinomastodon (Proboscidea, Gomphotheriidae) inferred from a new Upper Miocene specimen from Gansu of China
Article
Full-text available
Oct 2014
DeSi Zhao
Guangpu Xie
<here is a image 959fb1f9dc3b810d-e35e614bd898467c> Boyang Sun
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
We report a fossil specimen referable to Sinomastodontinae gen. et sp. indet. from the Neogene strata at Yanghecun locality, Xihe County, Gansu Province, China. The specimen is characterized by a brevirostrine mandible, complete pretrite trefoils, and relatively simple posttrite half lophids, showing typical features of Sinomastodon. It differs from the other known species of Sinomastodon by the following features: relatively short and wide m3 due to fewer lophid numbers, less inflated pretrite accessory central conules, poorly developed secondary trefoils and cementum, and relatively strong cingulid. All of these features indicate a bias towards pleisiomorphies of Sinomastodon, implying that this specimen is more ancestral than any known species of Sinomastodon. The symphysis of the new specimen is relatively long, which differs from the typical brevirostrine Sinomastodon, and thus we consider it a gen. et sp. indet. in the Subfamily Sinomastodontinae. In addition, the horizon in which the present specimen was found probably represents the Upper Miocene because it is lower than Pliocene strata yielding Hipparion (Proboscidipparon) pater. Generally, Sinomastodon is considered to have migrated from North America at about the time of the Miocene/Pliocene boundary, and to have been derived from a certain clade of American gomphotheres. However, the discovery of the Yanghecun specimen verifies that Sinomastodon lived in East Asia during the Late Miocene, and probably derived from Old World gomphotheres (e.g., G. wimani). The similarity between the members of the Subfamilies Sinomastodontinae and those of Cuvieroniinae is suggested to have been the result of parallel evolution.
... Therefore, the most important morphological features of the specimen are clear. The lower p3 is rarely preserved in gomphotheres, but has been reported in the Early Miocene species Platybelodon dangheensis (wang and Qiu, 2002), Gomphotherium connexum
(hopwood, 1935;
Tobien et al., 1986), G. angustidens, Archaeobelodon filholi (Tassy, 1985) and G. subtapiroideum (göhlich, 2010). This tooth has not been recovered in any Middle Miocene platybelodont (wang and Qiu, 2002) or Early-Middle Miocene choerolophodont (wang and Deng, 2011a). ...
... Although the p3 in the Nanyucun specimen is small, this tooth is complex in structure relative to its counterparts in P. dangheensis, G. angustidens and G. connexum, in which the p3 is composed only of a main cusp and small anterior and posterior conules (wang and Qiu, 2002:fig. 2;
hopwood, 1935)
. however, the crown structure of the p3 is similar to that seen in G. subtapiroideum from Sandelzhausen and A. filholi from Bézian. ...
... By the 1990s, more than ten species within Gomphotherium had been established, including G. connexum (hopwood, 1935), G. wimani (hopwood, 1935), G. spectabilis (hopwood, 1935), G. hopwoodi (Young & Liu, 1948), G. elegans (Young & Liu, 1948), G. quinanensis Chow & Chang, 1961, G. changzhiensis Zhai, 1963, G. watzeensis hu, 1962, G. xiaolongtanensis Chow & Chang, 1976, G. hypsodontum Li, 1976, G. cf. G. macrognathum (Pilgrim, 1913, G. shensiensis Chang & Zhai, 1978, G. tongxinensis Chen, 1978 (Chow, 1959), G. guangxiensis (Chow, 1959), G. wufengensis (Pei, 1965), and G. serridentoides Pei, 1974 (Chang andZhai, 1978;Chen, 1978;Chow and Zhang, 1974;
hopwood, 1935;
Li, 1976;Pei, 1987). Among these species, Tobien et al. (1986Tobien et al. ( , 1988 reassigned G. elegans and G. changzhiensis to Choerolophodon 1) ; G. spectabilis, G. hopwoodi, and G. hypsodontum to Platybelodon; G. xiaolongtanensis to Tetralophodon 2) ; G. watzeensis to Paratetralophodon; G. quinanensis to Stegotetrabelodon; and G. yangziensis, G. guangxiensis, G. serridentoides, and G. wufengensis to Sinomastodon. ...
Gomphotherium wimani from Wushan County, China, and its implications for the Miocene stratigraphy of the Tianshui area
Article
Full-text available
Jan 2013
liu Shan-Pin
<here is a image d10de11d157cb7b0-7bff7f0711602191> Vertebrata Palasiatica
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
xie Guang-Pu
A fragmentary juvenile mandible referable to Gomphotherium wimani is described in this report. It was discovered at the Nanyucun Locality, Simen Township, wushan County, Tianshui area, gansu Province. Both the left and right p3, dp4, and m1 are completely preserved in this specimen. The cheek teeth show characters that are derived within the genus Gomphotherium, such as anteroposterior compression of lophids associated with wide interlophids, presence of weak posttrite central conules, multiplication of mesoconelets and central conules, and weak cementation. These features are consistent with the diagnosis of G. wimani. G. wimani was originally discovered in the Middle Miocene of gansu, and the fossiliferous horizon within the Nanyucun exposures that yielded G. wimani can be correlated with strata at neighboring Middle Miocene localities. Therefore, the G. wimani horizon at Nanyucun should be dated to the Middle Miocene. In combination with palynological data, the discovery of G. wimani at the Nanyucun Locality implies that the paleoenvironment of the Tianshui area in the Middle Miocene was probably relatively warm and humid, suitable for large populations of brachyodont mammals such as gomphotheres.
... Therefore, the most important morphological features of the specimen are clear. The lower p3 is rarely preserved in gomphotheres, but has been reported in the Early Miocene species Platybelodon dangheensis (wang and Qiu, 2002), Gomphotherium connexum
(hopwood, 1935;
Tobien et al., 1986), G. angustidens, Archaeobelodon filholi (Tassy, 1985) and G. subtapiroideum (göhlich, 2010). This tooth has not been recovered in any Middle Miocene platybelodont (wang and Qiu, 2002) or Early-Middle Miocene choerolophodont (wang and Deng, 2011a). ...
... Although the p3 in the Nanyucun specimen is small, this tooth is complex in structure relative to its counterparts in P. dangheensis, G. angustidens and G. connexum, in which the p3 is composed only of a main cusp and small anterior and posterior conules (wang and Qiu, 2002:fig. 2;
hopwood, 1935)
. however, the crown structure of the p3 is similar to that seen in G. subtapiroideum from Sandelzhausen and A. filholi from Bézian. ...
... By the 1990s, more than ten species within Gomphotherium had been established, including G. connexum (hopwood, 1935), G. wimani (hopwood, 1935), G. spectabilis (hopwood, 1935), G. hopwoodi (Young & Liu, 1948), G. elegans (Young & Liu, 1948), G. quinanensis Chow & Chang, 1961, G. changzhiensis Zhai, 1963, G. watzeensis hu, 1962, G. xiaolongtanensis Chow & Chang, 1976, G. hypsodontum Li, 1976, G. cf. G. macrognathum (Pilgrim, 1913, G. shensiensis Chang & Zhai, 1978, G. tongxinensis Chen, 1978 (Chow, 1959), G. guangxiensis (Chow, 1959), G. wufengensis (Pei, 1965), and G. serridentoides Pei, 1974 (Chang andZhai, 1978;Chen, 1978;Chow and Zhang, 1974;
hopwood, 1935;
Li, 1976;Pei, 1987). Among these species, Tobien et al. (1986Tobien et al. ( , 1988 reassigned G. elegans and G. changzhiensis to Choerolophodon 1) ; G. spectabilis, G. hopwoodi, and G. hypsodontum to Platybelodon; G. xiaolongtanensis to Tetralophodon 2) ; G. watzeensis to Paratetralophodon; G. quinanensis to Stegotetrabelodon; and G. yangziensis, G. guangxiensis, G. serridentoides, and G. wufengensis to Sinomastodon. ...
Gomphotherium wimani from Wushan County, China and its implications for the Miocene stratigraphy of the Tianshui Area
Article
Full-text available
Jan 2014
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
<here is a image 64258f7a124fa149-49c9fbb663c7bb66> Shanpin Liu
xie Guang-Pu
Hou Su-Kuan
A fragmentary juvenile mandible referable to Gomphotherium wimani is described in this report. It was discovered at the Nanyucun Locality, Simen Township, wushan County,
... 13.2): trilophodont gomphotheres s.l. with Gomphotherium (G. connexum
(HOPWOOD, 1935)
, G, wimani (HOPWOOD, 1935), G. shensiense CHANG & ZHAI 1978), Choerolophodon sp., and Synconolophus sp.; tetralophodont gomphotheres s.l. represented by Tetralophodon xiaolongtanensis (CHOW & CHANG, 1974); shovel-tusked gomphotheres s.l. with the taxa Platybelodon (P. ...
... 13.2): trilophodont gomphotheres s.l. with Gomphotherium (G. connexum (HOPWOOD, 1935), G, wimani
(HOPWOOD, 1935)
, G. shensiense CHANG & ZHAI 1978), Choerolophodon sp., and Synconolophus sp.; tetralophodont gomphotheres s.l. represented by Tetralophodon xiaolongtanensis (CHOW & CHANG, 1974); shovel-tusked gomphotheres s.l. with the taxa Platybelodon (P. ...
... grangeri BORISSIAK, 1928, P. danovi OSBORN, 1929, P. dangheensis WANG & QUI, 2002, Amebelodon tobieni GUAN, 1988and Serbelodon zhongningensis GUAN, 1988, stegodonts with Stegolophodon hueiheensis (CHOW, 1959, mammutids like Zygolophodon (Z. chinjiensis OSBORN, 1929, Z. gobiensis) and Elephantids with Stegotetrabelodon exoletus
(HOPWOOD, 1935)
. ...
9. Gomphotheres (Proboscidea, Mammalia) from the Early-Middle Miocene of Central Mongolia
Article
Full-text available
Jan 2007
<here is a image 80e23eb8e9b391ff-e4cdab4139263b07> Ursula B Göhlich
Abstract
Presented here is new fossil proboscidean material from the Miocene Loh Formation of the Valley of Lakes in Central Mongolia. Two, possibly three, different taxa of gomphotheres s. l. are represented in three different localities, but the fragmentary preservation of the couple of cheek teeth and some postcranial bone remains restricts their systematic determination. Only one molar can be identified as cf. Gomphotherium mongoliense representing the crown morphology of the bunodont type of the "Gomphotherium angustidens group ". The residual tooth and remains might belong to more derived, trilophodont gomphotheres of the genus Gomphotherium, or perhaps also to shovel-tusked gomphotheres.
... The first mammal fossils treat¬ ed as scientific object, but not as "dragon bones", were record¬ ed from this area by J. G. Andersson (1923). They were later identified as of middle Miocene age (Pearson 1928
, Hopwood 1935
gradually been known that the majority of the thick series of the "red beds" belonged to the Mesozoic Era. and only a small amount of deposits was of the Cenozoic Era. Being more vari¬ able in lithology and easily mappable. ...
... The upper boundary of the Lower Member in the Dahonggou section is rather arbitrarily defined, based on the occurrence of the first thick layer of the White Sand" (see below) at a level of 1137.21 m measured from the base of the section. This makes the thickness of the Lower Kubanochoerus) gigas by Pearson (1928) and the pro¬ boscidean Trilophodon (now Gomphotherium) wimani by
Hopwood (1935)
. This locality turned out to be at the very top of the whole sequence of the Tertiary deposits, i.e. in the Upper Member of the Xianshuihe Formation. ...
... 4) Duitinggou I. f. from the white sandstone layers interca¬ lated in the reddish brown mudstones of the middle and upper parts of the Middle Member. The name is taken from a village 3 km east of Zhangjiaping (Fig. 1) (Pearson 1928) and Gomphotherium wimani
(Hopwood 1935)
. ...
Land mammal geochronology and magnetostratigraphy of mid-Tertiary deposits in the Lanzhou Basin, Gansu Province, China
Article
Full-text available
Jan 2001
Ban-Yue Wang
Burkart Engesser
<here is a image 9390b9acbb647b56-c2facefc9f5378ae> Qiu Zhanxiang
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Qiu Zhuding
The Lanzhou Basin is situated at the northeast slopes of the Tibetan Plateau, and its basin-fill is expected to reflect the process of uplifting of the plateau like the Siwaliks south to the Himalayas. The more than 1000 m thick Cenozoic part of the continental deposits of the basin is composed by the Xilugou, Yehucheng and Xianshuihe Formations. They form a syncline, the axis of which stretches in SSE-NNW direction in the eastern part of the basin. The Xianshuihe Formation, which contains a rich mammalian fauna, is well dated paleontologically. More than 600 paleomagnetic samples were collected for magnetostratigraphic analysis in the Dahonggou and Xiajie sections in the western part of the basin at a mean sampling interval of 2.2 m. The polarity column which was derived from the stable part of the natural remanent magnetization of the rocks, is well defined in most parts. It contains some apparent polarity characteristics which can be linked closely to the geomagnetic polarity time scale taking paleontological key points into account. The polarity zones of the Xianshuihe Formation seem to correspond in great detail to chrons C12r - C5A with the bottom boundary of the formation placed at 31 Ma and its top around 15 Ma. The 10 normal-reversed polarity zones of the underlying Yehucheng Formation are interpreted to approach chron C22 at about 51 Ma towards the older end. This interpretation is hampered, however, by a very fragmentary fossil record and evident hiatuses. Using the paleontologic-magnetostratigraphic time frame, several obvious changes in the sedimentation environment can be recognized in the Lanzhou Basin. Their timing and character are related to the uplift of the Tibetan plateau which took place mainly after deposition of the Lanzhou red beds in the late Pliocene.
... Amended diagnosis Revised after
Hopwood (1935)
Medium-sized Gomphotherium; interloph(id)s moderately to relatively largely anteroposteriorly crowded; anterior and posterior pretrite central conules subdivided into approximately three conules and thick-crest-like; weak posttrite central conules present; posttrite half lophs of upper molars subdivided; posttrite mesoconelets of lower molars small; the development of cementum variable, from absent to moderately developed; crown height slightly larger than that of G. annectens group and G. angustidens group. ...
... As the above discussed, the age of G. wimani spans approximately from 15 to 13 Ma, correlated to MN6 and the early MN7/8.
Hopwood, 1935
and the present article; P. grangeri from the other localities, after Wang et al., 2013b; the remaining data, after Wang et al., in press 的施泰因海姆嵌齿象 (Göhlich, 1998:pl. 2, figs. ...
Cranial and dental material of Gomphotherium wimani (Gomphotheriidae, Proboscidea) from the Middle Miocene of the Linxia Basin, northwestern China
Article
Full-text available
Oct 2017
Yang Xiang-Wen
<here is a image a5492ba7b1eb86f0-0c734f2f2a7bdfd5> Yu Li
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
<here is a image d10de11d157cb7b0-7bff7f0711602191> Vertebrata Palasiatica
Key words Linxia Basin; Middle Miocene; Gomphotherium; biochronology
... Tables S1-S3; Figs. 3, 4, and 5 Synonyms Trilophodon cf. wimani:
Hopwood, 1935;
Teilhard and Trassaert, 1937: pl. XII, figs. 1 and 2 Trilophodon cf. ...
... XII, figs. 1 and 2 Trilophodon cf. spectabilis:
Hopwood, 1935;
Teilhard and Trassaert, 1937: pl. III, fig. 3 partim Choerolophodon sp.: Tobien et al., 1986: figs. ...
The Oldest Cranium of Sinomastodon (Proboscidea, Gomphotheriidae), Discovered in the Uppermost Miocene of Southwestern China: Implications for the Origin and Migration of This Taxon
Article
Full-text available
Jun 2016
J Mamm Evol
Xue-Ping Ji
<here is a image 15e8512e6b6955e6-ecff3b63cf406bab> Nina G Jablonski
<here is a image ad94ccf5386637dd-5ef0925ec199784e> Jaroon Duangkrayom
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
The origin of the Old World brevirostrine gomphotheriid taxon Sinomastodon has been debated intensively. The discovery of the oldest known Sinomastodon cranium, reported herein, supports its endemic origin and contradicts the prevalent theory of its North America origin. The new cranium was discovered from the Shuitangba locality, southwestern China, and is dated at about 6.5–6.0 Ma, corresponding to the latest Miocene. The new specimen shows distinct characters from the other species of Sinomastodon and was therefore named Sinomastodon praeintermedius, sp. nov. Newly discovered, isolated Sinomastodon-like teeth from the upper Miocene to the lower Pleistocene of southwestern China and Southeast Asia indicate a long evolution of Sinomastodon endemically. Remains of this species are frequently accompanied by those of stegodontid species. These two groups may have had a similar migration route, invading northern China and Japan during the latest Miocene, and retreating or becoming extinct from the Palearctic realm by the end of the Pliocene. The migrations of proboscideans may have been sparked by major paleoenviromental changes, i.e., the strengthened summer monsoon beginning in the late Miocene (~7–8 Ma) and global cooling due to the expansion of ice sheets from the middle Pliocene to the early Pleistocene. The new finding reveals a close relationship of the early Pliocene fauna of northern China and the latest Miocene fauna of southwestern China, and thus provides novel insight into the origin and components of Pliocene fauna in northern China.
... Therefore, it is difficult to make intensive comparisons between these two taxa. The only available specimen for comparison is a left upper jaw with the DP2e3 attached
(Hopwood, 1935
: Plate. H.-w. Tong, X. Chen / Quaternary International xxx (2015) 1e13 9 VIII, Fig. 3), whose DP2 is smaller and only has 2 lamellae and 2 talons. ...
... H.-w. Tong, X. Chen / Quaternary International xxx (2015) 1e13 9 VIII, Fig. 3), whose DP2 is smaller and only has 2 lamellae and 2 talons. Although its DP3 has a similar size as that of M. trogontherii (Table 4), it only has 5 lamellae and 2 talons
(Hopwood, 1935)
, and each lamella is thicker than that of M. trogontherii. Furthermore, it is less hypsodont. ...
On newborn calf skulls of Early Pleistocene Mammuthus trogontherii from Shanshenmiaozui in Nihewan Basin, China
Article
Mar 2015
QUATERN INT
<here is a image adc33a982172bb06-4b19ac900a177b43> Haowen Tong
<here is a image 880a2a595bd0f53b-8b512db320c9df8f> Chen xi
Numerous juvenile specimens, including skulls and deciduous teeth of Mammuthus primigenius (Blumenbach, 1799), have been reported, which is rare among the recovered fossil records of the early mammoth species including Mammuthus meridionalis (Nesti, 1825) and Mammuthus trogontherii (Pohlig, 1885). After the publication of the juvenile mandibles and lower deciduous teeth of M. trogontherii, some more specimens, including a nearly complete skull, with the DP2 and DP3 of both sides preserved in situ, have been recovered from the Shanshenmiaozui site for this species. This paper reports the first discovery of the first generation tooth (DP2) for the species M. trogontherii. Both the upper and lower DP2s are more elongated and larger than those of M. primigenius, and the DP3 is also on average larger than that of M. primigenius. The calf skull of M. trogontherii, despite the breakage and deformation, is larger than that of M. primigenius, and it also shows some general characteristics lying between Elephas maximus and Loxodonta africana. The comparative studies in the skull and dental morphology indicate that the differences among the newborn calves of the principal elephantid species, including different mammoth species and the extinct as well as extant Elephas and Loxodonta, are not as obvious as in their adult stages, except that the calf of M. trogontherii is relatively larger.
... A number of specimens from the late Pliocene of the Siwaliks have been referred to as Anancus. Originally, A. sivalensis was named Pentalophodon sivalensis 43 and later was placed in the genus Anancus by Chakravarti 12 40,
56
and Japan 57 . By the late Pliocene, the archaic forms had disappeared and the crown genus had undergone episodes of evolutionary change, evidenced by parallel acquisition of enhanced cranio-dental specializations for grazing 58 . ...
Tusk-1
Article
Full-text available
Aug 2022
<here is a image 2398a579161110a1-f939a2727a45232b> Abdul Ghaffar
Figure 1. Scatter plot for fruit weight (g) and B. dorsalis oviposition punctures (#) in three mango varieties.
... perimensis (Falconer and Cautley, 1847); A. petrocchii Coppens, 1965;A. sinensis
(Hopwood, 1935)
; A. sivalensis (Cautley, 1836); A. ultimus Sanders, 2011. Distribution Late Miocene-Early Pleistocene of Europe, Africa, and Asia. ...
The Fossil Record of the Neogene Proboscidea (Mammalia) in Greece
Chapter
Jan 2022
Evangelia Tsoukala
<here is a image cb064e46887d6400-21c186e299af8cfb> George Konidaris
Proboscideans (Mammalia: Proboscidea) originated during the Eocene (perhaps already during the Paleocene) in Africa. Their fossil record narrates an amazing evolutionary history, ranging from the Paleogene to the Quaternary. Proboscideans experienced in the past a great diversification and wide distribution in Africa, Europe, Asia, and the Americas. They persist until today with only two genera, Loxodonta and Elephas, geographically confined in regions of Africa and Asia, respectively. The review of the fossil record of the Neogene proboscideans (excluding the members of Elephantidae that are treated elsewhere) in Greece revealed the presence of deinotheres (Deinotheriidae), mammutids (Mammutidae), choerolophodonts (Choerolophodontidae), amebelodonts (Amebelodontidae), tetralophodont gomphotheres (Gomphotheriidae), and stegodonts (Stegodontidae) in more than fifty localities, ranging from the early Miocene to the Early Pleistocene. Fourteen taxa are here considered valid, three of them (Choerolophodon chioticus, C. pentelici, and Konobelodon atticus) erected from type localities in Greece. The most diverse localities are Pikermi and Samos, where at least four proboscidean species have been recorded. The peak in taxonomic diversity occurred during the Turolian (late Miocene). The Greek proboscidean fossil record contains several highlights. The earliest appearance of the family Deinotheriidae in Europe is documented in Gavathas of Lesvos Island, and it is the proboscidean family with the widest temporal distribution in Greece. A deinotheriid skull from Samos Island is so far the most complete juvenile one known from Eurasia and Africa. Choerolophodon presents the widest temporal distribution among the genera in Greece, and where present, it is the dominant genus in terms of abundance. The rich choerolophodont sample allows the distinction into evolutionary stages and renders the genus as biostatigraphically important for Southeastern Europe. The late Miocene Anancus from Chomateri represents the first appearance of the genus in Greece and one of the earliest occurences in Europe. The sample of the late Pliocene Mammut borsoni from Milia, Grevena, is the richest one of this species, including partial skeletons, the longest upper tusks ever recorded in the world and the most complete mandible in Europe. During the Pliocene–Early Pleistocene, the most frequent and widespread proboscidean is the last European gomphothere Anancus arvernensis. Finally, the Siatista Stegodon is the first evidence of the presence of stegodontids in Europe.
... (2) palaeomastodonts--古乳齿象类群(并系) Pliomastodon (Simpson, 1945;Makov, 2008 Konobelodon britti, 下门齿断面齿柱状，上门齿向下弯有釉质带 (Lambert 1990), m2四 棱，具双三叶 (Lucas and Morgen, 2008b); Pediolophodon, M2/m2为四棱，M1/m1, DP4/dp4 为三棱，具双三叶 (Lambert, 2007), 上门齿向下弯有釉质带 (Osborn, 1936 (Guan, 1988) ¶--托宾原直齿象。种名献给德国古生物学 家Heinz Tobien (见前)。 按：近年来发现的材料表明，Protanancus tobieni (Guan, 1988)很可能是Trilophodon wimani Hopwood, 1935的晚出异名，T. wimani应该归为原直齿象属，即为Protanancus wimani
(Hopwood, 1935)
, 见下。 (128) 属型种：Sinomastodon sendaicus (Matsumoto, 1924) Matsumoto, 1924并无 明显差别(讨论见Tomida et al., 2013Wang et al., 2016a), 是后者的晚出异名。笔者建议以 Sinomastodon sendaicus (Matsumoto, 1924) ...
On the scientific names of mastodont taxa: nomenclature, Chinese translation, and taxonomic problems
Oct 2021
LI Chun-Xiao
ZHANG Xiao-Xiao
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
<here is a image d10de11d157cb7b0-7bff7f0711602191> Vertebrata Palasiatica
The mastodont-grade proboscideans represent an important stage in the evolution of the group, establishing the basic pattern of the evolution of the crown groups of proboscideans. The research on mastodons has a history of more than 400 years. The classification and nomenclature have been revised and changed many times, and the problems in their evolution were fully reflected in the history of mastodon nomenclature. In this paper, we undertook a bibliographical research into the nomenclature and etymology of various mastodont groups, reviewing 175 translated Chinese names of mastodont-grade proboscideans, including 12 taxon names higher than the genus level, 46 genera, and 117 species, covering almost all the species of the mastodont radiation. On this basis, we review the principal phylogenetic hypotheses of mastodont interrelationships, and highlight problems in the classification and nomenclature of mastodonts. The evolution of the skull and mandible of mastodons is continuous in all clades, reflecting the same parallel evolution trend; while, although the morphological characteristics of cheek teeth across all lineages are not obvious, they are relatively stable in each lineage.
... However, based on its size, the M3 of AMNH 19686 is within the upper limit of the range of variation of the M3 of T. longirostris in both length and width (Tassy 1983). Wang et al. (2017) reported Paratetralophodon sp. from the late Miocene Shuijiazui locality, Lantian region, and ?Pa. exoletus
(Hopwood, 1935)
from Sangjialianggou of Jijiagou, Baode region, China. According to them, "the Lantian specimens are distinguished from Pa. hasnotensis in lacking posterior pretrite central conule of the third loph of the intermediate cheek teeth." ...
UC Berkeley PaleoBios Title New proboscidean material from the Siwalik Group of Pakistan with remarks on some species Permalink Publication Date
Jul 2021
Ghyour Sayyed
Muhammad Khan
<here is a image cf96ec729928df66-3764b0e16ae4a467> Muhammad Akbar khan
<here is a image 4c70074833a49486-016d32ee281e33f1> Muhammad Adeeb Babar
Siwalik Proboscideans
... However, based on its size, the M3 of AMNH 19686 is within the upper limit of the range of variation of the M3 of T. longirostris in both length and width (Tassy 1983). Wang et al. (2017) reported Paratetralophodon sp. from the late Miocene Shuijiazui locality, Lantian region, and ?Pa. exoletus
(Hopwood, 1935)
from Sangjialianggou of Jijiagou, Baode region, China. According to them, "the Lantian specimens are distinguished from Pa. hasnotensis in lacking posterior pretrite central conule of the third loph of the intermediate cheek teeth." ...
New proboscidean material from the Siwalik Group of Pakistan with remarks on some species
Article
Full-text available
<here is a image 8fe6c6f0cdc56bad-e8055f051789ae65> Ghyour Abbas
<here is a image 4c70074833a49486-016d32ee281e33f1> Muhammad Adeeb Babar
<here is a image cf96ec729928df66-3764b0e16ae4a467> Muhammad Akbar khan
<here is a image 57659c1de6e6daee-20dd61ec55a00af2> Muhammad Akhtar
Over the years a diverse assemblage of proboscidean remains has been recovered from the Lower to Upper Siwalik Subgroups of Pakistan and India. This article reports newly discovered dental material of tri- and tetralophodont proboscideans that includes cf. Paratetralophodon hasnotensis and Choerolophodon sp., and a Gomphothere gen. et sp. indet., recently collected from late middle to late Miocene localities of the Pakistani Siwalik Group, with a brief history of these species. The partial premolar of cf. Pa. hasnotensis is described for the first time from the Siwalik Group, recovered from the Dhok Pathan Formation, and the specimens reported herein are the latest to be described after a 38-year gap from previously described material for this species. A preliminary survey of the literature and previously described material of Siwalik species suggests a revision of Siwalik Group proboscideans is much needed.
... Although Anancus flourished in the Old World during the Pliocene and until the early Pleistocene, its earliest occurrences are from the late Miocene. Tassy (1986) included the species A. perimensis (Falconer and Cautley, 1846) from India and Pakistan, A. cuneatus (Teilhard de Chardin and Trassaert, 1937)/paisuyensis Hsieh, 1962, from China (both synonymized with the Pliocene A. sinensis
[Hopwood, 1935]
by Tobien et al., 1988, andMetz-Muller, 2000), and the late Miocene European Anancus sp. in a paraphyletic group, which does not exhibit the derived Anancus features. Metz-Muller (2000) studied the phylogenetic relationships among the anancine species and proposed two groups: (1) a primitive group, composed of A. perimensis from the late Miocene of south-central Asia, A. kazachstanensis Aubekerova, 1974, from the Pliocene of Kazakhstan (considered possibly synonymous with either A. arvernensis or A. sinensis in Shoshani and Tassy, 1996:appendix C.1), and the specimens from Hohenwarth (Austria, Turolian; Zapfe, 1957) and Dorn-Dürkheim 1 (Germany, Turolian; Gaziry, 1997); and (2) an advanced group, including all the other anancine species. ...
The first record of Anancus (Mammalia, Proboscidea) in the late Miocene of Greece and reappraisal of the primitive anancines from Europe
Article
<here is a image cb064e46887d6400-21c186e299af8cfb> George Konidaris
Socrates Roussiakis
In this article, we present the proboscideans from the late Miocene (Turolian) locality Chomateri, Greece, near the classical locality Pikermi. The material consists of juvenile teeth, whose morphological features, such as the dislocation of the half-loph(id)s and the resultant alternate arrangement of the successive loph(id)s (anancoidy), permit assignment to the tetralophodont gomphothere Anancus. However, the anancoidy is rather weak and the occlusal morphology simple, both regarded as primitive features within anancines. Reexamination of the late Miocene anancines from Europe reveals that they all share primitive molar features (weak anancoidy, simple morphology, thick enamel) with the material from Hohenwarth, Austria, showing further primitive skull features, such as the longer mandibular symphysis compared with other anancines. The proper name to refer to the late Miocene anancines from Europe is Anancus lehmanni (Gaziry, 1997), with type locality Dorn-Dürkheim 1 (Turolian; Germany). The presence of Anancus in Chomateri constitutes the first late Miocene record of the genus in Greece, and the first faunal element that clearly indicates that Chomateri postdates the classical Pikermi. Finally, we discuss the biostratigraphy and the biogeography of the late Miocene anancines of the Old World. Anancus originated possibly at ∼9.0-8.5 Ma in Asia and entered Europe during the second half of the Turolian, at ∼7.2 Ma (Tortonian-Messinian boundary). The arrival of Anancus in Europe coincides with a faunal turnover in both the eastern and western sectors of the European Mediterranean region, and in the southern Balkans in particular, with the decline of the 'Pikermian' large-mammal fauna.
... The reported results were based on MPTs. Mastodon americanus (Kerr, 1792):
Hopwood, 1935
, p. 43-46, pl. 6.5 pr. ...
Early Mammut from the Upper Miocene of northern China, and its implications for the evolution and differentiation of Mammutidae
Article
Full-text available
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
<here is a image a5492ba7b1eb86f0-0c734f2f2a7bdfd5> Yu Li
<here is a image ad94ccf5386637dd-5ef0925ec199784e> Jaroon Duangkrayom
<here is a image d10de11d157cb7b0-7bff7f0711602191> Vertebrata Palasiatica
Mammut is the terminal taxon of the proboscidean group Mammutidae, which survived to the Late Pleistocene. Although this genus was widely distributed in the Pliocene of Eurasia and the Pleistocene of North America, little is known about its early evolution. Here, we report on Mammut cf. M. obliquelophus from the Upper Miocene of northern China based on new fossil material, including an almost complete juvenile cranium and other remains, which show many primitive features within Mammutidae and clearly demonstrate the morphological evolution of Mammut. The strongly laterally expanded lateral wing of the occiput and the presence of basal constriction of the incisive fossa display cranial similarity between Mammut cf. M. obliquelophus and both Eozygodon morotoensis and Choerolophodon guangheensis, early representatives of the Mammutidae and Choerolophodontidae, respectively, indicating the close relationship between these two groups: both of them are located at the basal phylogenetic positions in Elephantimorpha. This result is further confirmed by a cladistic analysis.
... China has an enormous abundance and diversity of large mammal fossils from the late Cenozoic, including proboscideans (e.g. Owen, 1870;
Hopwood, 1935;
Colbert and Hooijer, 1953;Chow and Zhang, 1974;Han, 1987;Pei, 1987;Qiu et al., 2004;Qiu, 2006;Wang et al., 2013;Chi and Wei, 2014;Jin et al., 2014;Zeitoun et al., in press): a long history of research of these materials has also provided an established literature for understanding the process of proboscidean evolution and turnover in the context of environmental change and faunal turnover (Maglio, 1972;Pei, 1987;Chen, 1999Chen, , 2011Tong, 2007;Jin et al., 2009a,b;2014;Wei et al., 2010;Wang et al., 2012;Button et al., 2013Button et al., , 2014b. ...
An examination of feeding ecology in Pleistocene proboscideans from southern China (Sinomastodon, Stegodon, Elephas), by means of dental microwear texture analysis
Article
Full-text available
QUATERN INT
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Hanwen Zhang
<here is a image b4c1f5699f75c1e4-4394a80172942400> Yuan Wang
<here is a image ea4b292b4c8409d3-1caebb44263fa974> Christine Janis
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Mark Purnell
It has long been thought that environmental perturbations were the key driving force behind the succession of three distinct mammal faunas in the Pleistocene Ailuropoda-Stegodon faunal complex (sensu lato) of South China: the lower Pleistocene Gigantopithecus-Sinomastodon fauna, the middle Pleistocene Ailuropoda-Stegodon fauna (sensu stricto) and the upper Pleistocene Homo-Elephas fauna. Here, we apply three-dimensional dental microwear texture analysis (DMTA) to three characteristic fossil proboscideans from these mammal faunas to provide preliminary tests for hypotheses of trophic ecology. Despite a few methodological caveats, this study demonstrates the potential of DMTA for understanding the diets of fossil proboscideans. The texture of microwear in Sinomastodon and Stegodon are more reflective of browsing, whereas that of Elephas is suggestive of mixed feeding. The results suggest a more complex process of Pleistocene faunal turnovers in South China. Rather than a unidirectional trend of climate-driven environmental deterioration, biotic factors might have played a more substantial role than previously thought.
... 11 Data from Scott Taylor (Taylor Made Fossils, http://www.taylormadefossils.com/). The large body mass is in line with
Hopwood's (1935)
description that this is the largest Stegodon species. , where x is measurement M18 and y is body mass. ...
2016-JoB-area isolation-JBI12743-SI
Data
Full-text available
<here is a image 8a53648db31815c0-4a7e9c2d38170e7b> Alexandra Anna van der Geer
<here is a image ff07c427213656fb-3972c29f24e68ec4> George A Lyras
<here is a image ae97909c556812cd-15fe49f421dd9090> Hara Drinia
<here is a image 46084eb2af256c7e-33ab21657f1471cb> Gert Van den Bergh
... In the same quarry, an incomplete mandible of Gomphotherium wimani has been reported (Wang, S-Q et al., 2013). Gomphotherium wimani has previously been found in the Xianshuihe Formation, which is correlated with MN6
(Hopwood, 1935;
Wang, X-M et al., 2013). We also found G. wimani in the Shinanu Fauna of the Linxia Basin, MN6 . ...
Diversity of Moschidae (Ruminantia, Artiodactyla, Mammalia) in the Middle Miocene of China
Paleontol Res
<here is a image 6eb625ae5c054f9d-8ee05750c7e467d1> Qinqin Shi
<here is a image 4f683f2a3f3608a9-cb87d3363662f1a8> Zhengchuang Hui
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Tingjiang Peng
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
In this paper, we describe newly discovered and previously collected fossil moschid specimens from
the middle Miocene of China. Besides the previously reported Hispanomeryx andrewsi, we recognize four additional
fossil species in two genera of Moschidae in the middle Miocene of China based on dental morphology:
Micromeryx cf. flourensianus, Micromeryx sp., Hispanomeryx sp. 1, and Hispanomeryx sp. 2. The specimens are
of Tunggurian age (Neogene Chinese Land Mammal Age), corresponding to European MN6–MN7/8. The
records show a diversity of fossil moschids in the middle Miocene of China comparable with the contemporaneous
diversity in western European faunas.
... The symbol '?' indicates incomplete or inadequately preserved specimens. Data from Pavlow (1914a), Khomenko (1914), Kl€ ahn (1931), Schlesinger (1917Schlesinger ( , 1922, Riabinin (1929),
Hopwood (1935)
, Burchak-Abramovich (1940), Lehmann (1950), Antunes and Mazo (1983), Tassy (1983bTassy ( , 1986Tassy ( , 2005, Gaziry (1987Gaziry ( , 1997, Lambert (1990), G€ ohlich (1998), Theodorou et al. (2003), Gasparik (2005), and the senior author's measurements from AMPG, BSPG, HGI, MNHN, NMNH and SU. specimens AMPG PA3708/91, AMPG PA3936/91, and AMPG PA3937/91. ...
The Eurasian occurrence of the shovel-tusker Konobelodon (Mammalia, Proboscidea) as illuminated by its presence in the late Miocene of Pikermi (Greece)
Nov 2014
<here is a image 886e4d7594b69ecf-4bb8e04924fadd9e> George D. Koufos
<here is a image cb064e46887d6400-21c186e299af8cfb> George Konidaris
Socrates Roussiakis
<here is a image f16b998e6ae966f4-e3139779429be882> Georgios Theodorou
Presented here are the tetralophodont proboscidean remains from the late Miocene locality Pikermi (Attica, Greece). The study of the Pikermi tetralophodons and their comparison with other relevant specimens revealed that the late Miocene species ‘Tetralophodon’ atticus and ‘Mastodon’ grandincisivus are synonymous. The morphological characters of the Pikermi specimens, as well as of those attributed to ‘Mastodon’ grandincisivus, are consistent with the North American shovel-tusker Amebelodon (Konobelodon). However, generic rank revision of Konobelodon is deemed appropriate. The observed differences between the type species Konobelodon britti and the Pikermi tetralophodon indicate that the latter belongs to a distinct species, Konobelodon atticus. This species encompasses the Turolian tetralophodont shovel-tuskers from eastern Europe–western Asia. The paleogeographic distribution and biostratigraphy of Konobelodon atticus are discussed, as well as the evolution and the possible migrational scenarios of Konobelodon.
... A number of specimens from the late Pliocene of the Siwaliks have been referred to as Anancus. Originally, A. sivalensis was named Pentalophodon sivalensis 43 and later was placed in the genus Anancus by Chakravarti 12 40,
56
and Japan 57 . By the late Pliocene, the archaic forms had disappeared and the crown genus had undergone episodes of evolutionary change, evidenced by parallel acquisition of enhanced cranio-dental specializations for grazing 58 . ...
The longest tusk of cf. Anancus sivalensis (Proboscidea, Mammalia) from the Tatrot Formation of the Siwaliks, Pakistan
Jan 2011
<here is a image cf96ec729928df66-3764b0e16ae4a467> Muhammad Akbar khan
George Iliopoulos
<here is a image 57659c1de6e6daee-20dd61ec55a00af2> Muhammad Akhtar
Zubaid-ul-Haq
Figure 1. Scatter plot for fruit weight (g) and B. dorsalis oviposition punctures (#) in three mango varieties. Theoretically, for a female fruit fly with multiple ovi-positions on a single fruit, it is biologically advantageous to oviposit in a fruit with more pulp as more eggs can be laid for a unit of food resource (pulp) available to the maggots, spending lesser amount of time and energy. But this assumption was not true. The objective of this study was to see whether fruit exploitation for oviposition varied with quantum (weight of fruit pulp). The results of the study indicate that in all the three varieties, oviposition by fruit flies was not influenced by the quantum (= weight) of the fruit pulp of mango. This does not exclude the role of other visual or olfactory cues. The plausible issue for a gravid poly-phagous female seemed to be selecting a suitable host tree (mango) first and then to randomly oviposit within a host on an unlimited resource – fruits in this case, which on an average is 200–1000/mango tree, depending on the age of the orchard. So, we infer that fruit flies have a random selection of mango fruits for oviposition irrespec-tive of fruit weight, either due to the incapability of dis-criminating a higher volume of visual or olfactory cues, expected in heavier fruits, or the fact that two 'small' fruits are as good as one 'big' fruit in a resource-unlimited situation, as in a typical mango orchard. So, for B. dor-salis to adapt a non-random ovipositional strategy once a host is selected does not confer any additional advantage. Thus, every fruit on a tree has equal probability of being selected by the fruit fly for oviposition. This was true for all three varieties chosen for the study and commercially speaking, every fruit is equally vulnerable to attack by fruit flies.
... Currently, five African species of Anancus have been identified (Sanders, 2011): Anancus kenyensis (MacInnes, 1942), Anancus ultimus Sanders, 2011, Anancus capensis Sanders, 2007, Anancus petrocchii Coppens, 1965, andAnancus osiris Arambourg, 1945. Five Asian species of Anancus are also recognized: Anancus sinensis
(Hopwood, 1935)
and Anancus cuneatus (Teilhard de Chardin and Trassaert, 1937) from China, two species based on materials recovered in the foothills of the Siwaliks in India, i.e., Anancus sivalensis (Cautley, 1836) and Anancus perimensis (Falconer and Cautley, 1846), and Anancus kazachstanensis (Aubekerova, 1974) from Kazakhstan. ...
The last Iberian gomphothere (Mammalia, Proboscidea): Anancus arvernensis mencalensis nov. ssp. from the earliest Pleistocene of the Guadix Basin (Granada, Spain)
Jan 2014
PALAEONTOL ELECTRON
<here is a image db702d65d8f80685-5a5b2989bac7a10b> Guiomar Garrido
<here is a image 99b500cfed9bb523-f04c92a0449bf27e> Alfonso Arribas
This work describes a new finding of Anancus arvernensis—a maxilla fragment that preserves M2 and M3—from the earliest Pleistocene (c.a. 2.5-2.4 Ma) at the Fonelas SCC-3 site (Cuenca de Guadix, Granada, Spain). This fossil is attributed to a new chronosubspecies based on the combination of anatomical features shown by M3: a primitive anatomical pattern plus derived features. The primitive features include the hexalophodont condition, a massive, rectangular distal outline, inconspicuous enamel folding, and indiscernible anancoidy. The derived features—tooth-valleys covered by cement and the small overall size of the tooth—are typical of the last representatives of the lineage. This mosaic of features allows a new chronosubspecies to be proposed: Anancus arvernensis mencalensis nov. ssp. This would be the youngest representative of the genus Anancus known for the Iberian Peninsula (MNQ 17a), and represents an intermediate evolutionary stage between Anancus arvernensis arvernensis and Anancus arvernensis chilhiacensis, the last known representative of the European lineage. A. arvernensis mencalensis therefore forms part of a temporal cline in the configuration of M3 over the Plio-Pleistocene transition. These anatomical changes could have occurred as a response to the aridification that began around 2.5 Ma, which led to changes in the composition of plant communities.
New zygolophodonts from Miocene of China and their taxonomy
Apr 2023
<here is a image e9e0bdf3a31588e8-879044ac514f9070> Xiaoxiao Zhang
Yang Xu
Sun Yan
<here is a image d10de11d157cb7b0-7bff7f0711602191> Vertebrata Palasiatica
Gomphotheres from Linxia Basin, China, and their significance in biostratigraphy, biochronology, and paleozoogeography
Mar 2023
PALAEOGEOGR PALAEOCL
Shi-Qi Wang
Yan Li
Xiaoxiao Zhang
<here is a image eb014345c904a0ed-42a6efb742db46e1> Li Chunxiao
Fossil Mammals of Asia: Neogene Biostratigraphy and Chronology
May 2013
Mikael Fortelius
Lawrence Flynn
<here is a image aebb8b1e86852d91-b3abeae568a75b88> Nikos Solounias
<here is a image 42508e31d35123a6-a2e02bbaf8df8998> Xiaoming Wang
This book is devoted to the late Cenozoic (Neogene) mammalian biostratigraphy and geochronology of Asia. It employs cutting-edge biostratigraphic and geochemical dating methods to map the emergence of mammals across the continent. Written by specialists working in a variety of Asian regions, it uses data from fossil records to establish a geochronological framework for the evolution of land mammals. It shows how Asia's violent tectonic history has resulted in some of the world's most varied topography, and shows how the region's high mountain ranges and intense monsoon climates have spawned widely diverse environments over time. It describes how these geologic conditions profoundly influenced the evolution of Asian mammals and their migration into Europe, Africa, and North America. The book focuses on new fossil finds that have redefined Asia's role in mammalian evolution, and synthesizes information from a range of field studies on Asian mammals and biostratigraphy. In this way, it traces the histories and movements of extinct and extant mammals from various major groups and all northern continents, and provides geologists with a richer understanding of a variety of Asian terrains.
First Occurrence of a Gomphotheriid (Proboscidea, Mammalia) from the Democratic People’s Republic of Korea
Dec 2021
Kum Sik Han
Kwang Sik So
Rye Sun Choe
Se Chan Kim
Stegotetrabelodon syrticus emiratus Khalaf 2010 : A New Fossil Four-Tusked Elephant subspecies from the Emirate of Abu Dhabi, United Arab Emirates . ستجوتترابلودون سيرتيكوس إميراتوس خلف ، 2010 : أحافير لنُويع جديد من الفيلة ذات الأربعة أنياب من إمارة أبو ظبي ، دولة الإمارات العربية المتحدة
<here is a image a415ae2964fc1f65-3d68f65e1eec617a> Norman Ali Bassam Khalaf-Prinz Sakerfalke von Jaffa
† Stegotetrabelodon syrticus emiratus Khalaf, 2010 : A New Fossil Four-Tusked Elephant Subspecies from the Emirate of Abu Dhabi, United Arab Emirates.
†ستّجوتّترابّلودون سيرتيكوس إميراتوس خلف ، 2010 : أحافير لنُويع جديد من الفيلة ذات الأربعة أنياب من إمارة أبو ظبي ، دولة الإمارات العربية المُتحدة
By: Dr. Sc. Norman Ali Bassam Ali Taher Khalaf-Sakerfalke von Jaffa.
Abstract: A new Miocene fossil subspecies of four-tusked elephant of the genus Stegotetrabelodon (Order Proboscidea, Family Elephantoidea, Subfamily Gomphotheriidae) from the Western Region, Emirate of Abu Dhabi, United Arab Emirates is described. The remains of the new fossil subspecies are distinguished from the remains of Stegotetrabelodon syrticus from Libya and Southern Italy, by its slightly different skeletal, skull and tusk features. It is morphologically and geographically distinct from the species Stegotetrabelodon syrticus. The new Emirati fossil subspecies was named † Stegotetrabelodon syrticus emiratus Khalaf, 2010.
Reference: Khalaf-Sakerfalke von Jaffa, Dr. Sc. Norman Ali Bassam Ali Taher (2010). † Stegotetrabelodon syrticus emiratus Khalaf, 2010 : A New Fossil Four-Tusked Elephant Subspecies from the Emirate of Abu Dhabi, United Arab Emirates. Gazelle: The Palestinian Biological Bulletin. ISSN 0178 – 6288. Volume 28, Number 98, February 2010, Safar 1431 AH. pp. 1-60. Sharjah, United Arab Emirates. https://issuu.com/dr-normanalibassamkhalaf/docs/stegotetrabelodon_syrticus_emiratus_khalaf_2010__a
Proboscidean fossils (Mammalia) from the Quaternary deposits on Stegodon Cave, Thungwa, Satun Province, southern Thailand
Jaroon Duangkrayom
<here is a image 90b58f2ea20f036e-70acb9cff0281eba> Yuichiro Nishioka
<here is a image a20c696a201a8f1c-0f333218792d510d> Shaokun Chen
Rattapong Worawansongkham
The mammalian fossil assemblage was newly discovered from Quaternary deposits on Stegodon Cave, Thungwa District, Satun Province, southern Thailand. The fossil-bearing laterite is distributed on the floor throughout the cave, which had been possibly transported and reworked several times by tidal stream-flow in the cave, and yields many dental and bone fossils of mammals. The mammalian fossil assemblage is preliminarily classified into six genera belonging to three orders: Proboscidea (Stegodon, Elephas), Perissodactyla (Rhinoceros), and Artiodactyla (Bubalus, Capricornis, Cervus/Rusa). Stegodon molars have irregular enamel folding with scallop chevrons and low amplitude, which are similar to S. orientalis from East Asia rather than S. trigonocephalus from Java. Elephas sp. is indeterminate taxonomically in a species level, but it is somewhat more primitive than extant E. maximus, in having molars with thicker enamel, higher enamel amplitude folding, and lower number of laminae. These characteristics are observed in Pleistocene species of Elephas, such as E. kiangnanensis from middle-late Pleistocene of southern China. Taxonomic and morphological evidence on the basis of the proboscidean fossils suggests a strong faunal relationship in the middle or late Pleistocene between the Malay Peninsula and southern China.
First report of Eozygodon (Mammutidae, Proboscidea) in Eurasia
<here is a image e9e0bdf3a31588e8-879044ac514f9070> Xiaoxiao Zhang
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
Mammutidae are one of the two main branches of the Elephantiformes. Fossil records of Mammutidae were reported from the late Oligocene to the late Pleistocene throughout Africa, Europe, Asia, and North America. However, Eozygodon, one of the primitive members of Mammutidae, was found only in Africa with very few representatives. In this paper, a juvenile mandible and several isolated cheek teeth from the middle Miocene Lengshuigou Formation, Lintong, China, which were previously identified as Gomphotheriidae gen. et sp. indet., are re-evaluated. The cheek teeth display clear zygodont features, thus should be attributed into Mammutidae. Furthermore, the lower tusks are elongated with a longitudinal dorsal groove, resulting in a pyriform cross-section. These features are unique in Eozygodon within Mammutidae, and therefore the Lintong specimens are identified as Eozygodon sp. herein. This is the first report of Eozygodon in Eurasia, and the material might represent the most ancestral mammutids from China so far. The Lintong Eozygodon sp. reveals an interchange event of Eozygodon from Africa to Asia possibly at early Miocene through the ‘Gomphotherium landbridge’, or via a further ‘southern route’ passing through the Indian Subcontinent.
New fossils of early and middle Miocene Choerolophodon from northern China reveal a Holarctic distribution of Choerolophodontidae
<here is a image eb014345c904a0ed-42a6efb742db46e1> Li Chunxiao
<here is a image 0a3edae06e189887-1c2079820bc71081> Dimila Mothé
<here is a image 7f5de04ef49a3670-8c1aafc40fb9b654> Xijun Ni
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
As one of the three major groups of gomphotheres, the Miocene Choerolophodontidae were long considered to have been distributed in Europe, Africa, and South Asia, with a few localities in East Asia, whereas choerolophodontids never extended into North America during the Miocene. In this paper, we report new Choerolophodon fossil materials from the early and middle Miocene of China, which suggest morphological similarities to the enigmatic North American Gnathabelodon thorpei. The new fossils were recovered from the lower Miocene of Linxia (C. guangheensis) and the middle Miocene of Junggar (Choerolophodon sp.) basins, suggesting the persistence of this genus in East Asia during the early–middle Miocene. The cheek tooth morphology of the new specimens resembles that of early–middle Miocene Choerolophodon from elsewhere (i.e., C. palaeindicus, C. kisumuensis, and C. chioticus), in addition to striking affinities with Gnathabelodon thorpei. The upper tusk and mandibular characters of G. thorpei, which include upwardly bent maxillary tusks without enamel bands, and elongated and trough-like mandibular symphysis without mandibular tusks, also support its relationship with the choerolophodontids. The occurrence of a possible member of Choerolophodontidae in the late Miocene of North America (i.e., G. thorpei) reveals intercontinental dispersals of choerolophodontids from East Asia across Beringia possibly between 16.0 and 11.0 Ma, at roughly the same time as other proboscideans, e.g., Mammutidae, Amebelodontidae, and Gomphotheriidae. Together, these new materials significantly revise previously established models of the geographic distribution, taxonomic diversity, and ecological adaptations of Choerolophodontidae within China and elsewhere across the Holarctic.
Late Pleistocene proboscideans from Yangjiawan caves in Pingxiang of Jiangxi, with discussions on the Stegodon orientalis-Elephas maximus assemblage
<here is a image adc33a982172bb06-4b19ac900a177b43> Haowen Tong
Deng Li
<here is a image 880a2a595bd0f53b-8b512db320c9df8f> Chen xi
<here is a image d10de11d157cb7b0-7bff7f0711602191> Vertebrata Palasiatica
The mammalian fauna from the Yangjiawan caves in Jiangxi contains more than 40 species, including Stegodon and Elephas, whose age is Late Pleistocene. The 40 pieces of Stegodon fossils include such elements as DP2, DP3, DP4, M1, M3, dp3, m2 and m3, which can be included in the species S. orientalis according to their morphological characters and their dimensions; but with the following specialities: the teeth are relatively small, with thin but wrinkled enamel layer, the mammillae are lesser in number but well defined and equally developed, DP3 and dp3 with larger W/L ratios, and the cement is not well developed. The fossils of Elephas are few, only 2 isolated lamellae whose thickness and size correspond with those of Elephas maximus. In addition, a fragment of tusk (upper incisor) of elephant was also recovered, whose Schreger outer angle is 136°, which falls within the ranges of both Stegodon and Elephas.
The First Discovery of Pentalophodon from Japan
Proc Imper Acad
Tokio SHIKAMA
Mammoth and other proboscideans in China during the Late Pleistocene
<here is a image adc33a982172bb06-4b19ac900a177b43> Haowen Tong
<here is a image 5ee6ea0050ff4265-0bfff5991742da4f> Marylène Patou-Mathis
Chapter 1. Neogene Land Mammal Stages/Ages of China Toward the Goal to Establish an Asian Land Mammal Stage/Age Scheme: Neogene Biostratigraphy and Chronology
<here is a image 9390b9acbb647b56-c2facefc9f5378ae> Qiu Zhanxiang
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Qiu Zhuding
<here is a image b3cf4c031b9b5828-2cde4af9f99d03d0> Tao Deng
<here is a image 42508e31d35123a6-a2e02bbaf8df8998> Xiaoming Wang
Neogene land mammal stages/ages of China: toward the goal to establish an Asian land mammal stage/age scheme
<here is a image 9390b9acbb647b56-c2facefc9f5378ae> Qiu Zhanxiang
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Qiu Zhuding
<here is a image b3cf4c031b9b5828-2cde4af9f99d03d0> Tao Deng
<here is a image 42508e31d35123a6-a2e02bbaf8df8998> Xiaoming Wang
Proboscidea (Mammalia) from the Early Miocene of Kazakhstan
Neues Jahrbuch Geol Palaontol Monatsh
<here is a image 1937ee36a50dd27a-fa33d150fae83bfe> Spencer G. Lucas
The oldest proboscideans from Kazakhstan are represented by three early Miocene records of Gomphotherium and one of Zygolophodon correlative to European Mammal Reference Levels MN4 (Bestobe) and MN5 (Dzhilanchik River, Aktau Mountain). We identify a Gomphotherium datum event across Eurasia based on the first appearance of Gomphotherium, which occurs during a short time interval correlative to MN 4.
A mandible of Anancus arvernensis (Proboscidea, Mammalia, Pliocene) with pentalophodont M2's - Significance of the pentalophodont grade in Anancus
Neues Jahrbuch Geol Palaontol Monatsh
Florence Metz-Muller
A mandible of Anancus arvernensis from Dorkovo (Bulgaria) shows that pentalophodonty of M2's exists in Europe as well as in Asia and Africa. The appearance of a fifth lophid is independent of the complexity of the crown. Moreover pentalophodonty is associated with an increase of the size of the M2's in Dorkovo, while not in Africa and Asia. A parameter, corresponding to the lamellar frequency of elephant's molars, is proposed and shows differences between European and African Anancus. Frequencies of pentalophodont M2's in populations, compared to stratigraphy, suggest that pentalophodonty, which appeared in parallel on different continents, is retained in Africa while a decrease of the size of the recent A. arvernensis eliminated it in Europe.
The Late Neogene elephantoid-bearing faunas of Indonesia and their palaeozoogeographic implications: A study of the terrestrial faunal succession of Sulawesi, Flores and Java, including evidence for early hominid dispersal east of Wallace's Line
<here is a image 46084eb2af256c7e-33ab21657f1471cb> Gert Van den Bergh
Die mastodonten (Proboscidea, Mammalia) aus dorn-Dürkheim 1 (Rheinhessen)
<here is a image dbee1d00088c9a8d-433d9a038e670da9> Abdel Wahid Gaziry
U. Lehmann
J.L. Franzen
Among the mastodonts of Dorn-Durkheim 1 the following taxa were identified: Teiralophodon longirostris (KAUP, 1832), Anancus arvernensis turoliensis n. ssp., Stegotetrabelodon lehmanni n. sp., and Stegolophodon caementifer n. sp. These identifications were mainly based on molar structures, which represent three evolutionary trends among the tetralophodonts. The mastodonts confirm the turolian age of Dorn-Dürkheim 1, although they rather point to a Middle or even Upper Turolian age (MN 12-13).
Neogene Land Mammal Stages/Ages of China
This chapter analyzes the existing stages/ages in the Chinese Neogene in relation to the current widely adopted approaches in terrestrial stratigraphy (Neogene Mammal unit [MN] and North American Land Mammal Age [NALMA]) and from the point of view of the International Stratigraphic Guides. More specifically, it discusses the principles, methods, and working procedures used for the establishment of Chinese stages/ages in the past. It also examines some issues in Neogene land mammal stratigraphy, with particular emphasis on the use of terrestrial mammal fossils vs. marine microfossils as tools of stratigraphic subdivision, and the zoogeographic division of Chinese Neogene land mammals. The chapter proposes a new Neogene chronostratigraphic framework that it deems to be more consistent with the reality of the state of research and conditions in China, to be used as a foundation for the establishment of a formal Chinese Regional Land Mammal Stage/Age system.
Miocene mammalian fauna of Xiaolongtan, Kaiyuan, Yunnan Province
<here is a image fb8f200cbb3ef994-f7cd5a37074fb5fc> Wei Dong
Pliocene and Early Pleistocene Primitive Mammoths of northern China: Their revised taxonomy, biostratigraphy and evolution
Primitive mammoth remains from the Pliocene and Lower Pleistocene of northern China are examined taxonomically and biostratigraphically. The taxonomy of the remains has been greatly confused in previous studies, but our revision reveals that three species such as Mammuthus rumanus, M. meridionalis and M. trogontherii are recognized in the remains. The recognition of the three species is comparable with the revised classification of the primitive mammoths recently proposed for European and Siberian remains. Among the three species, M. rumanus and M. meridionalis occur in the Pliocene sediments paleomagnetically dated as ca. 3.4-2.8 Ma and ca. 2.6-1.8 Ma, respectively. The biostratigraphic range of the remaining species, M. trogontherii, is determined more accurately to be 1.66 to 1.1 Ma in the Early Pleistocene, by referring to the results of the paleomagnetic measurements. On the basis of the taxonomic and biostratigraphic conclusions, we briefly discuss the evolution of the primitive mammoths in northern China, and their migration to and from the same area.
History of Scientific Exploration of Yushe Basin
The Yushe Basin is a complex of subbasins that accumulated fluvio-lacustrine deposits. The Yuncu subbasin contains the longest, most complete stratigraphic record and yields abundant fossils from multiple horizons. Vertebrate paleontology began in China early in the twentieth century, and since the 1920s Yushe Basin figured prominently in recognition of pre-Pleistocene faunas of North China. Emile Licent’s collecting campaign of 1934–1935 established the richness of Yushe Basin’s fossils and stimulated later exploration by collectors for Childs Frick of the American Museum of Natural History. Many new taxa were based on Yushe Basin fossils, but field work languished through much of the last century. Renewed interest in Yushe led to the formal field project conducted jointly by a Sino-American team in the 1980–1990s. This field work documented the localities of early finds, analyzed the composite section and dated it by paleomagnetic reversal stratigraphy, and added important new fossil data.
The new Algerian locality of Bir el Ater 3: validity of Libycosaurus algeriensis (Mammalia, Hippopotamoidea) and the age of the Nementcha Formation
<here is a image 9157bc57ad33833c-89d9bfee3760710b> Fabrice Lihoreau
<here is a image 1b7f0440faddad30-b40e5beedfde8a68> Lionel Hautier
<here is a image 83c3ad392a99ea5e-cf74f9a35e47eca3> Mahammed Mahboubi
The description of original material of anthracothere and proboscidean in the new locality of Bir el Ater 3 from East
Algeria, and a thorough review of early Libycosaurus remains of Bir el Ater 2 allows us validating L. algeriensis as the smallest and
earliest species of Libycosaurus and probably the earliest migrant of the genus from Asia. The presence of a Tetralophodon in the
Neogene Nementcha formation might represent the earliest occurrence of the genus in Africa. These original fossil remains allow us
to discuss the age of the Neogene part of the Nementcha formation close to the Serravalian/Tortonian boundary.
Paleobiological implications of new material of Platybelodon danovi from the Dingjiaergou Fauna, western China
<here is a image 12aff3b58e901f72-d8410dc453403b74> Shiqi Wang
We report on a newly born mandible and an adult pes of Platybelodon danovi from the Dingjiaergou fauna, China. Tooth succession in Platybelodon is very specialised, including a tendency to lose the dp2, an early loss of the di2 perhaps at the foetal stage, a tendency to lose the p3 and a tendency to reduce the P4 and the p4. The pes is also specialised, with metatarsals IV and III nearly equal in length, metatarsal IV less twisted than metatarsal III, metatarsals IV and III more anteroposteriorly compressed and metatarsals aligned nearly at the same level. These findings have important paleobiological significance. First, the relatively derived tooth succession of Platybelodon occurred at a relatively early geological time, thus representing an early evolution of tooth succession independent from other proboscideans. Second, the gravity vector of the hind limb of Platybelodon shifted towards metatarsal IV, and the modified standing posture may imply a lightly built body and rapid locomotion relative to other gomphotheres and elephants. These new paleobiological data add to our knowledge of the life history of Platybelodon and the diverse adaptations of ancient proboscideans.
The Eurasian occurrence of the shovel-tusker Konobelodon (Mammalia, Proboscidea) as illuminated by its presence in the late Miocene of Pikermi (Greece)
Socrates Roussiakis
<here is a image f16b998e6ae966f4-e3139779429be882> Georgios Theodorou
Presented here are the tetralophodont proboscidean remains from the late Miocene locality Pikermi (Attica, Greece). The study of the Pikermi tetralophodons and their comparison with other relevant specimens revealed that the late Miocene species ‘Tetralophodon’ atticus and ‘Mastodon’ grandincisivus are synonymous. The morphological characters of the Pikermi specimens, as well as of those attributed to ‘Mastodon’ grandincisivus, are consistent with the North American shovel-tusker Amebelodon (Konobelodon). However, generic rank revision of Konobelodon is deemed appropriate. The observed differences between the type species Konobelodon britti and the Pikermi tetralophodon indicate that the latter belongs to a distinct species, Konobelodon atticus. This species encompasses the Turolian tetralophodont shovel-tuskers from eastern Europe–western Asia. The paleogeographic distribution and biostratigraphy of Konobelodon atticus are discussed, as well as the evolution and the possible migrational scenarios of Konobelodon.
Neogene Land Mammal Stages/Ages of China: Toward the Goal to Establish an Asian Land Mammal Stage/Age Scheme
| https://www.researchgate.net/publication/285432826_Fossil_Proboscidea_from_China |
The Centre for Internet and Society
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<title> The Centre for Internet and Society </title>
<link> https://cis-india.org </link>
These are the search results for the query, showing results 31 to 45.
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<rdf:li rdf:resource=" https://cis-india.org/internet-governance/blog/interview-with-irish-data-protection-commissioner"/>
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<rdf:li rdf:resource=" https://cis-india.org/internet-governance/blog/report-on-the-third-privacy-round-table-meeting"/>
<rdf:li rdf:resource=" https://cis-india.org/accessibility/blog/global-accessibility-awareness-day-event"/>
<rdf:li rdf:resource=" https://cis-india.org/internet-governance/blog/the-surveillance-industry-in-india-at-least-76-companies-aiding-our-watchers"/>
<rdf:li rdf:resource=" https://cis-india.org/internet-governance/blog/surveillance-technology-companies-operating-in-india"/>
<rdf:li rdf:resource=" https://cis-india.org/internet-governance/blog/report-on-the-2nd-privacy-round-table"/>
<rdf:li rdf:resource=" https://cis-india.org/internet-governance/blog/report-on-delhi-privacy-round-table.pdf"/>
<rdf:li rdf:resource=" https://cis-india.org/internet-governance/blog/report-on-the-first-privacy-round-table-meeting"/>
<rdf:li rdf:resource=" https://cis-india.org/internet-governance/blog/indias-big-brother-the-central-monitoring-system"/>
<rdf:li rdf:resource=" https://cis-india.org/internet-governance/blog/microsoft-releases-first-report-on-data-requests-by-law-enforcement-agencies"/>
<rdf:li rdf:resource=" https://cis-india.org/internet-governance/blog/driving-in-the-surveillance-society-cameras-rfid-black-boxes"/>
<rdf:li rdf:resource=" https://cis-india.org/internet-governance/blog/workshop-on-the-uid-and-npr"/>
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<title>
Interview with Mr. Billy Hawkes - Irish Data Protection Commissioner
<link>
https://cis-india.org/internet-governance/blog/interview-with-irish-data-protection-commissioner
<description>
<b>Maria Xynou recently interviewed Mr. Billy Hawkes, the Irish Data Protection Commissioner, at the CIS´ 4th Privacy Round Table meeting. View this interview and gain an insight on recommendations for data protection in India!</b>
<hr />
<p><i>This research was undertaken as part of the 'SAFEGUARDS' project that CIS is undertaking with Privacy International and IDRC</i></p>
<hr />
<p>The Irish Data Protection Commissioner was asked the following questions:</p>
<p>1. What powers does the Irish Data Commissioner´s office have? In your opinion, are these sufficient? Which powers have been most useful? If there is a lack, what would you feel is needed?</p>
<p>2. Does your office differ from other EU data protection commissioner offices?</p>
<p>3. What challenges has your office faced? What is the most common type of privacy violation that your office has faced?</p>
<p>4. Why should privacy legislation be enacted in India?</p>
<p>5. Does India need a Privacy Commissioner? Why? If India creates a Privacy Commissioner, what structure / framework would you suggest for the office?</p>
<p>6. How do you think data should be regulated in India? Do you support the idea of co-regulation or self-regulation?</p>
<p>7. How can India protect its citizens´ data when it is stored in foreign servers?</p>
<p> </p>
<p>video <iframe frameborder="0" height="250" src="http://blip.tv/play/AYOTmT4A.html?p=1" width="250"></iframe></p>
<p>
For more details visit <a href='https://cis-india.org/internet-governance/blog/interview-with-irish-data-protection-commissioner'>https://cis-india.org/internet-governance/blog/interview-with-irish-data-protection-commissioner</a>
</p>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:subject> SAFEGUARDS </dc:subject>
<dc:subject> Internet Governance </dc:subject>
<dc:subject> Privacy </dc:subject>
<dc:date> 2013-07-12T11:06:31Z </dc:date>
<dc:type> Blog Entry </dc:type>
<item rdf:about=" https://cis-india.org/internet-governance/blog/india-subject-to-nsa-dragnet-surveillance">
<title>
India Subject to NSA Dragnet Surveillance! No Longer a Hypothesis — It is Now Officially Confirmed
</title>
<link>
https://cis-india.org/internet-governance/blog/india-subject-to-nsa-dragnet-surveillance
</link>
<description>
<b>As of last week, it is officially confirmed that the metadata of everyone´s communications is under the NSA´s microscope. In fact, the leaked data shows that India is one of the countries which is under NSA surveillance the most! </b>
<hr />
<p><i>This research was undertaken as part of the 'SAFEGUARDS' project that CIS is undertaking with Privacy International and IDRC. This blog was <a class="external-link" href="http://www.medianama.com/2013/06/223-what-does-nsa-prism-program-mean-to-india-cis-india/">cross-posted in Medianama</a> on 24th June 2013. <br /></i></p>
<hr />
<p><span id="docs-internal-guid-5905db2c-6115-80fb-3332-1eaa5155c762"> </span></p>
<blockquote class="italized" dir="ltr" style="text-align: justify; "><span>¨Does the NSA collect any type of data at all on millions or hundreds of millions of Americans?”, the democratic senator, </span><a href="http://www.guardian.co.uk/world/2013/jun/08/nsa-boundless-informant-global-datamining">Ron Wyden, asked James Clapper</a><span>, the director of national intelligence a few months ago. “No sir”, replied Clapper.</span></blockquote>
<p dir="ltr" style="text-align: justify; "> </p>
<p dir="ltr" style="text-align: justify; "><span>True, the National Security Agency (NSA) does not collect data on millions of Americans. Instead, it collects data on billions of </span><a href="http://www.guardian.co.uk/world/2013/jun/08/nsa-boundless-informant-global-datamining"><span>Americans, Indians, Egyptians, Iranians, Pakistanis and others</span></a><span> all around the world.</span></p>
<p><span> </span></p>
<h2>Leaked NSA surveillance</h2>
<p><span> </span></p>
<h3><span>Verizon Court Order</span></h3>
<p style="text-align: justify; ">Recently, the <a href="http://www.guardian.co.uk/world/2013/jun/06/nsa-phone-records-verizon-court-order">Guardian released</a> a top secret order of the secret Foreign Intelligence Surveillance Court (FISA) requiring Verizon on an “ongoing, daily basis” to hand over information to the NSA on all telephone calls in its systems, both within the US and between the US and other countries. Verizon is one of America's largest telecoms providers and under a top secret court order issued on 25 April 2013, the communications records of millions of US citizens are being collected indiscriminately and in bulk supposedly until 19 July 2013. In other words, data collection has nothing to do with whether an individual has been involved in a criminal or terrorist activity or not. Literally everyone is potentially subject to the same type of surveillance.</p>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><a href="http://yahoo.usatoday.com/news/washington/2006-05-10-nsa_x.htm"><span>USA Today reported in 2006</span></a><span> that the NSA had been secretly collecting the phone call records of millions of Americans from various telecom providers. However, the </span><a href="http://www.guardian.co.uk/world/interactive/2013/jun/06/verizon-telephone-data-court-order"><span>April 25 top secret order</span></a><span> is proof that the Obama administration is continuing the data mining programme begun by the Bush administration in the aftermath of the 09/11 terrorist attacks. While content data may not be collected, this dragnet surveillance includes </span><a href="http://www.guardian.co.uk/world/2013/jun/06/nsa-phone-records-verizon-court-order"><span>metadata </span></a><span>such as the numbers of both parties on a call, location data, call duration, unique identifiers, the International Mobile Subscriber Identity (IMSI) number and the time and duration of all calls.</span></p>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><span>Content data may not be collected, but metadata can also be adequate to discover an individual's network of associations and communications patterns. </span><a href="https://www.privacyinternational.org/blog/top-secret-nsa-program-spying-on-millions-of-us-citizens"><span>Privacy and human rights concerns</span></a><span> rise from the fact that the collection of metadata can result in a highly invasive form of surveillance of citizens´ communications and lives.</span><a href="http://www.guardian.co.uk/world/2013/jun/06/nsa-phone-records-verizon-court-order"><span> Metadata records can enable the US government to know the identity of every person with whom an individual communicates electronically</span></a><span>, as well as the time, duration and location of the communication. In other words, metadata is aggregate data and it is enough to spy on citizens and to potentially violate their right to privacy and other human rights.</span></p>
<p><span> </span></p>
<h3><span>PRISM</span></h3>
<p align="JUSTIFY">Recently, a secret NSA surveillance programme, code-named PRISM, was leaked by <a href="http://www.washingtonpost.com/investigations/us-intelligence-mining-data-from-nine-us-internet-companies-in-broad-secret-program/2013/06/06/3a0c0da8-cebf-11e2-8845-d970ccb04497_story.html">The Washington Post</a>. Apparently, not only is the NSA gaining access to the meta data of all phone calls through the Verizon court order, but it is also tapping directly into the servers of nine leading Internet companies: Microsoft, Skype, Google, Facebook, YouTube, Yahoo, PalTalk, AOL and Apple. However, following these allegations, Google, Microsoft and Facebook recently asked the U.S. government to allow them to <a href="http://www.bbc.co.uk/news/business-22867185">disclose the security requests</a> they receive for handing over user data. It remains unclear to what extent the U.S. government is tapping into these servers.</p>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><span>Yet it appears that the </span><a href="http://www.washingtonpost.com/investigations/us-intelligence-mining-data-from-nine-us-internet-companies-in-broad-secret-program/2013/06/06/3a0c0da8-cebf-11e2-8845-d970ccb04497_story.html"><span>PRISM online surveillance programme</span></a><span> enables the NSA to extract personal material, such as audio and video chats, photographs, emails and documents. The </span><a href="http://www.guardian.co.uk/world/2013/jun/09/prism-gchq-william-hague-statement"><span>Guardian reported</span></a><span> that PRISM appears to allow GCHQ, Britain's equivalent of the NSA, to secretly gather intelligence from the same internet companies. Following allegations that GCHQ tried to circumvent UK law by using the PRISM computer network in the US, the British foreign secretary, William Hague, stated that it is “fanciful nonsense” to suggest that GCHQ would work with an agency in another country to circumvent the law. Most notably, William Hague emphasized that reports that GCHQ are gathering intelligence from photos and online sites should not concern people who have nothing to hide! However, this implies that everyone is guilty until proven innocent...when actually, democracy mandates the opposite.</span></p>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><span>James R. Clapper, the US Director of National Intelligence, </span><a href="http://www.washingtonpost.com/investigations/us-intelligence-mining-data-from-nine-us-internet-companies-in-broad-secret-program/2013/06/06/3a0c0da8-cebf-11e2-8845-d970ccb04497_story.html"><span>stated</span></a><span>:</span></p>
<p><span> </span></p>
<blockquote class="italized" dir="ltr" style="text-align: justify; "><span>“</span><span>Information collected under this program is among the most important and valuable foreign intelligence information we collect, and is used to protect our nation from a wide variety of threats. The unauthorized disclosure of information about this important and entirely legal program is reprehensible and risks important protections for the security of Americans.”</span></blockquote>
<p dir="ltr" style="text-align: justify; "><span>So essentially, Clapper stated that in the name of US national security, the personal data of billions of citizens around the world is being collected. By having access to data stored in the servers of some of the biggest Internet companies in the world, the NSA ultimately has access to the private data of almost all the Internet users in the world. </span></p>
<h3><span>Boundless Informant</span></h3>
<p dir="ltr" style="text-align: justify; "><span>And once the NSA has access to tons of data through the Verizon court order and the PRISM surveillance programme, how does it create patterns of intelligence and generally mine huge volumes of data? </span></p>
<p dir="ltr" style="text-align: justify; "><span>The Guardian released top secret documents about the NSA data mining tool, called </span><a href="http://www.guardian.co.uk/world/2013/jun/08/nsa-boundless-informant-global-datamining"><span>Boundless Informant</span></a><span>; this tool is used to detail and map by country the volumes of information collected from telephone and computer networks. The focus of the Boundless Informant is to count and categorise the records of communication, known as metadata, and to record and analyse where its intelligence comes from. One of the leaked documents states that the tool is designed to give NSA officials answers to questions like: “What type of coverage do we have on country X”. According to the Boundless Informant documents, the NSA has been collecting 3 billion pieces of intelligence from US computer networks over a 30-day period ending in March 2013. During the same month, 97 billion pieces of intelligence from computer networks were collected worldwide. </span></p>
<p dir="ltr" style="text-align: justify; "><span>The following </span><a href="http://www.guardian.co.uk/world/2013/jun/08/nsa-boundless-informant-global-datamining"><span>“global heat map”</span></a><span> reveals how much data is being collected by the NSA from around the world:</span></p>
<p dir="ltr" style="text-align: justify; "><span><img src="https://cis-india.org/BoundlessInformantmap.jpg" alt="Boundless Informant: "Global Heat Map"" class="image-inline" title="Boundless Informant: "Global Heat Map"" /></span></p>
<p><span style="text-align: justify; ">The colour scheme of the above map ranges from green (least subjected to surveillance) through yellow and orange to red (most surveillance). India is notably orange and is thus subject to some of the highest levels of surveillance by the NSA in the world.</span></p>
<p dir="ltr" style="text-align: justify; "><span>During a mere 30-day period, the largest amount of intelligence was gathered from Iran with more than 14 billion reports, while Pakistan, Jordan and Egypt were next in line in terms of intelligence gathering. Unfortunately, India ranks 5th worldwide in terms of intelligence gathering by the NSA. According to the map above, 6.3 billion pieces of intelligence were collected from India by the NSA from February to March 2013. In other words, India is currently one of the top countries worldwide which is under the US microscope, with </span><a href="http://epaper.timesofindia.com/Default/Scripting/ArticleWin.asp?From=Archive&Source=Page&Skin=ETNEW&BaseHref=ETBG/2013/06/12&PageLabel=20&ForceGif=true&EntityId=Ar02002&ViewMode=HTML"><span>15% of all information</span></a><span> being tapped by the NSA coming from India during February-March 2013. </span></p>
<p dir="ltr" style="text-align: justify; "><a href="http://www.guardian.co.uk/world/2013/jun/09/edward-snowden-nsa-whistleblower-surveillance"><span>Edward Snowden</span></a><span> is the 29-year-old man behind the NSA leaks...who is responsible for one of the most important leaks in US (and one may argue, global) history.</span></p>
<p dir="ltr" style="text-align: justify; "><span>
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</span></p>
<p><br /><span> </span></p>
<h2><span>So what does this all mean for India?</span></h2>
<p dir="ltr" style="text-align: justify; "><span>In his </span><a href="http://www.youtube.com/watch?v=Wl5OQz0Ko8c"><span>keynote speech at the 29th Chaos Communications Congress</span></a><span>, Jacob Appelbaum stated that surveillance should be an issue which concerns “everyone´s department”, especially in light of the NSA spying on citizens all over the world. True, the U.S. appears to have </span><a href="http://space.jpl.nasa.gov/msl/Programs/corona.html"><span>a history in spying on civilians</span></a><span>, and the Corona, Argon, and Lanyard satellites used by the U.S. for photographic surveillance from the late 1950s is proof of that. But how does all this affect India?</span></p>
<p dir="ltr" style="text-align: justify; "><span>By </span><a href="http://www.nytimes.com/2013/06/09/us/revelations-give-look-at-spy-agencys-wider-reach.html?_r=1&"><span>tapping into the servers of some of the biggest Internet companies in the world,</span></a><span> such as Google, Facebook and Microsoft, the NSA does not only gain access to the data of American users, but also to that of Indian users. In fact, the “global heat map” of the controversial </span><a href="http://www.guardian.co.uk/world/2013/jun/08/nsa-boundless-informant-global-datamining"><span>Boundless Informant</span></a><span> data mining tool clearly shows that India ranked 5th worldwide in terms of intelligence gathering, which means that not only is the NSA spying on Indians, but that it is also spying on India more than most countries in the world. Why is that a problem?</span></p>
<p dir="ltr" style="text-align: justify; "><span>India has no privacy law. India lacks privacy legislation which could safeguard citizens from potential abuse by different types of surveillance. But the worst part is that, even if India did have privacy laws, that would still not prevent the NSA from tapping into Indians´ data through the servers of Internet companies, such as Google. Moreover, the fact that India lacks a Privacy Commissioner means that the country lacks an expert authority who could address data breaches. </span></p>
<p dir="ltr" style="text-align: justify; "><span>Recent reports that the NSA is tapping into these servers ultimately means that the U.S. government has access to the data of Indian internet users. However, it remains unclear how the U.S. government is handling Indian data, which other third parties may have access to it, how long it is being retained for, whether it is being shared with other third parties or to what extent U.S. intelligence agencies can predict the behaviour of Indian internet users through pattern matching and data mining. </span></p>
<p dir="ltr" style="text-align: justify; "><span>Many questions remain vague, but one thing is clear: through the NSA´s total surveillance programme, the U.S. government can potentially control the data of billions of internet users around the world, and with this control arises the possibility of oppression. It´s not just about the U.S. government having access to Indians´ data, because access can lead to control and according to security expert, </span><a href="http://www.wired.com/politics/security/commentary/securitymatters/2008/05/securitymatters_0515"><span>Bruce Schneier</span></a><span>:</span></p>
<blockquote class="italized"><span> “Our data reflects our lives...and those who control our data, control our lives”. </span></blockquote>
<p dir="ltr" style="text-align: justify; "><span>How are Indians supposed to control their data, and thus their lives, when it is being stored in foreign servers and the U.S. has the “right” to tap into that data? The NSA leaks mark a significant point in our history, not only because they are resulting in </span><a href="http://www.bbc.co.uk/news/business-22867185"><span>corporations seeking data request transparency</span></a><span>, but also because they are unveiling a major global issue: surveillance is a fact and can no longer can be denied. The massive, indiscriminate collection of Indians´ data, without their prior knowledge or consent, and without the provision of guarantees in regards to how such data is being handled, poses major threats to their right to privacy and other human rights. The potential for abuse is real, especially since </span><a href="http://www.statsoft.com/textbook/data-mining-techniques/"><span>the larger the database, the larger the probability for error</span></a><span>. Mining more data does not necessarily increase security; on the contrary, it increases the potential for abuse, especially since </span><a href="http://dspace.flinders.edu.au/xmlui/bitstream/handle/2328/26269/wahlstrom%20on%20the%20impact.pdf;jsessionid=D948EDED21805D871C18E6E4B07DAE14?sequence=1"><span>technology is not infallible </span></a><span>and data trails are not always accurate.</span></p>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><span>What does this mean? Well, probably the best case scenario is that an individual is targeted. The worst case scenario is that an individual is imprisoned (or maybe even </span><a href="http://www.time.com/time/world/article/0,8599,2097899,00.html"><span>murdered - remember the drones</span></a><span>?) because his or her data “says” that he or she is guilty. Is that the type of world we want to live in?</span></p>
<p><span> </span></p>
<h2><span>What can we do now?</span></h2>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><span>Let´s start from the basics. India needs privacy legislation. India needs privacy legislation now. India needs privacy legislation now, more than ever.</span></p>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><span>Privacy legislation would regulate the collection, access to, sharing of, retention and disclosure of all personal data within India. Such legislation could also regulate surveillance and the interception of communications, in compliance with the right to privacy and other human rights. A Privacy Commissioner would also be established through privacy legislation, and this expert authority would be responsible for overseeing the enforcement of the Privacy Act and addressing data breaches. But clearly, privacy legislation is not enough. The various privacy laws of European countries have not prevented the NSA from tapping into the servers of some of the biggest Internet companies in the world and from gaining access to the data of millions of citizens around the world. Yet, privacy legislation in India should be a basic prerequisite to ensure that data is not breached within India and by those who may potentially gain access to Indian national databases.</span></p>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><span>As a next- but immediate- step, the Indian government should demand answers from the NSA to the following questions:</span></p>
<p><span> </span></p>
<ul style="text-align: justify; ">
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><span>What type of data is collected from India and which parties have access to it?</span></p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><span>How long is such data retained for? Can the retention period be renewed and if so, for how long?</span></p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><span>Is data collected on Indian internet users shared with third parties? If so, which third parties can gain access to this data and under what conditions? Is a judicial warrant required?</span></p>
</li>
</ul>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><span>In addition to the above questions, the Indian government should also request all other information relating to Indians´ data collected through the PRISM programme, as well as proceed with a dialogue on the matter. Governments are obliged to protect their citizens from the abuse of their human rights, especially in cases when such abuse may occur from foreign agencies. Thus, the Indian government should ensure that the future secret collection of Indians´ data is prevented and that Internet companies are transparent and accountable in regards to who has access to their servers.</span></p>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><span>On an individual level, Indians can protect their data by using encryption, such as </span><a href="http://www.gnupg.org/"><span>GPG encryption</span></a><span> for their emails and </span><a href="https://www.encrypteverything.ca/index.php/Setting_up_OTR_and_Pidgin"><span>OTR encryption</span></a><span> for instant messaging. </span><a href="https://www.torproject.org/"><span>Tor</span></a><span> is free software and an open network which enables online anonymity by bouncing communications around a distributed network of relays run by volunteers all around the world. Tor is originally short for “The Onion Router” and “onion routing” refers to the layers of encryption used. In particular, data is encrypted and re-encrypted multiple times and is sent to randomly selected Tor relays. Each relay decrypts a “layer” of encryption to reveal it only to the next relay in the circuit and the final relay decrypts the last “layer” of encryption. Essentially, Tor reduces the possibility of original data being understood in transit and conceals the routing of it.</span></p>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><span>To avoid surveillance, the use of </span><a href="https://www.eff.org/https-everywhere"><span>HTTPS-Everywhere</span></a><span> in the </span><a href="https://www.torproject.org/download/download-easy.html"><span>Tor Browser</span></a><span> is recommended, as well as the use of combinations of additional software, such as </span><a href="https://addons.mozilla.org/en-us/thunderbird/addon/torbirdy/"><span>TorBirdy</span></a><span> and </span><a href="http://www.enigmail.net/home/index.php"><span>Enigmail</span></a><span>, OTR and </span><a href="https://joindiaspora.com/"><span>Diaspora</span></a><span>. </span><a href="https://blog.torproject.org/blog/prism-vs-tor"><span>Tor hidden services are communication endpoints </span></a><span>that are resistant to both metadata analysis and surveillance, which is why they are highly recommended in light of the NSA´s surveillance. An XMPP client that ships with an XMPP server and a Tor hidden service is a good example of how to avoid surveillance.</span></p>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><span>Protecting our data is more important now than ever. Why? Because global, indiscriminate, mass data collection is no longer a hypothesis: it´s a fact. And why is it vital to protect our data? Because if we don´t, we are ultimately sleepwalking into our control and oppression where basic human rights, such as freedom, would be a myth of the past.</span></p>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><span>The </span><a href="http://necessaryandproportionate.net/"><span>principles</span></a><span> formulated by the Electronic Frontier Foundation and Privacy International on communication surveillance should be taken into consideration by governments and law enforcement agencies around the world. In short, these </span><a href="https://cis-india.org/internet-governance/blog/draft-intl-principles-on-communications-surveillance-and-human-rights"><span>principles</span></a><span> are:</span></p>
<p><span> </span></p>
<ul style="text-align: justify; ">
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><b>Legality</b>: Limitations to the right to privacy must be prescribed by law</p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><b>Legitimate purpose</b>: Access to communications or communications metadata should be restricted to authorised public authorities for investigative purposes and in pursuit of a legitimate purpose</p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><b>Necessity</b>: Access to communications or communications metadata by authorised public authorities should be restricted to strictly and demonstrably necessary cases</p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><b>Adequacy</b>: Public authorities should be restricted from adopting or implementing measures that allow access to communications or communications metadata that is not appropriate for fulfillment of the legitimate purpose</p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><b>Competent authority</b>: Authorities must be competent when making determinations relating to communications or communications metadata</p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><b>Proportionality</b>: Public authorities should only order the preservation and access to specifically identified, targeted communications or communications metadata on a case-by-case basis, under a specified legal basis</p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><b>Due process</b>: Governments must respect and guarantee an individual's human rights, that may interference with such rights must be authorised in law, and that the lawful procedure that governs how the government can interfere with those rights is properly enumerated and available to the public</p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><b>User notification</b>: Service providers should notify a user that a public authority has requested his or her communications or communications metadata with enough time and information about the request so that a user may challenge the request</p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><b>Transparency about use of government surveillance</b>: The access capabilities of public authorities and the process for access should be prescribed by law and should be transparent to the public</p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><b>Oversight</b>: An independent oversight mechanism should be established to ensure transparency of lawful access requests</p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><b>Integrity of communications and systems</b>: Service providers are responsible for the secure transmission and retention of communications data or communications metadata</p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><b>Safeguards for international cooperation</b>: Mutual legal assistance processes between countries and how they are used should be clearly documented and open to the public</p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><b>Safeguards against illegitimate access</b>: Governments should ensure that authorities and organisations who initiate, or are complicit in, unnecessary, disproportionate or extra-legal interception or access are subject to sufficient and significant dissuasive penalties, including protection and rewards for whistleblowers, and that individuals affected by such activities are able to access avenues for redress</p>
</li>
<li dir="ltr" style="list-style-type: disc; ">
<p dir="ltr" style="text-align: justify; "><b>Cost of surveillance</b>: The financial cost of providing access to user data should be borne by the public authority undertaking the investigation</p>
</li>
</ul>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><span>Applying these above principles is a prerequisite, but may not be enough. Now is the time to resist unlawful and non-transparent surveillance. Now is the time for </span><span>everyone </span><span>to fight for their right to be free.</span></p>
<p><span> </span></p>
<p dir="ltr" style="text-align: justify; "><span><i>Is a world without freedom worth living in?</i></span></p>
<p>
For more details visit <a href='https://cis-india.org/internet-governance/blog/india-subject-to-nsa-dragnet-surveillance'>https://cis-india.org/internet-governance/blog/india-subject-to-nsa-dragnet-surveillance</a>
</p>
</description>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:subject> SAFEGUARDS </dc:subject>
<dc:subject> Internet Governance </dc:subject>
<dc:subject> Privacy </dc:subject>
<dc:date> 2013-11-06T10:20:46Z </dc:date>
<dc:type> Blog Entry </dc:type>
</item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/report-on-the-third-privacy-round-table-meeting">
<title> Report on the 3rd Privacy Round Table meeting </title>
<link>
https://cis-india.org/internet-governance/blog/report-on-the-third-privacy-round-table-meeting
</link>
<description>
<b>This report entails an overview of the discussions and recommendations of the third Privacy Round Table meeting in Chennai, on 18th May 2013.</b>
<hr />
<p><i>This research was undertaken as part of the 'SAFEGUARDS' project that CIS is undertaking with Privacy International and IDRC.</i></p>
<hr />
<p style="text-align: justify; ">In furtherance of Internet Governance multi-stakeholder Initiatives and Dialogue in 2013, the Centre for Internet and Society (CIS) in collaboration with the Federation of Indian Chambers of Commerce and Industry (FICCI), and the Data Security Council of India (DSCI), is holding a series of six multi-stakeholder round table meetings on “privacy” from April 2013 to August 2013. The CIS is undertaking this initiative as part of their work with Privacy International UK on the SAFEGUARD project.</p>
<p style="text-align: justify; ">In 2012, the CIS and DSCI were members of the Justice AP Shah Committee which created the “Report of Groups of Experts on Privacy”. The CIS has recently drafted a Privacy (Protection) Bill 2013, with the objective of contributing to privacy legislation in India. The CIS has also volunteered to champion the session/workshops on “privacy” in the meeting on Internet Governance proposed for October 2013.</p>
<p style="text-align: justify; ">At the roundtables the Report of the Group of Experts on Privacy, DSCI´s paper on “Strengthening Privacy Protection through Co-regulation” and the text of the Privacy (Protection) Bill 2013 will be discussed. The discussions and recommendations from the six round table meetings will be presented at the Internet Governance meeting in October 2013.</p>
<p style="text-align: justify; ">The dates of the six Privacy Round Table meetings are enlisted below:</p>
<ol style="text-align: justify; ">
<li>New Delhi Roundtable: 13 April 2013</li>
<li>Bangalore Roundtable: 20 April 2013</li>
<li>Chennai Roundtable: 18 May 2013</li>
<li>Mumbai Roundtable: 15 June 2013</li>
<li>Kolkata Roundtable: 13 July 2013</li>
<li>New Delhi Final Roundtable and National Meeting: 17 August 2013</li>
</ol>
<p style="text-align: justify; "> </p>
<p style="text-align: justify; "><span>Following the first two Privacy Round Tables in Delhi and Bangalore, this report entails an overview of the discussions and recommendations of the third Privacy Round Table meeting in Chennai, on 18</span><sup>th</sup><span> May 2013.</span></p>
<h2><span><span><b>Overview of DSCI´s paper on ´Strengthening Privacy Protection through Co-Regulation´</b></span></span></h2>
<h2 style="text-align: justify; "></h2>
<p style="text-align: justify; ">The third Privacy Round Table meeting began with an overview of the paper on “Strengthening Privacy Protection through Co-Regulation” by the Data Security Council of India (DSCI). In particular, the DSCI pointed out that although the IT (Amendment) Act 2008 lays down the data protection provisions in the country, it has its limitations in terms of applicability, which is why a comprehensive privacy law is required in India. The DSCI provided a brief overview of the Report of the Group of Experts on Privacy (drafted in the Justice AP Shah Committee) and argued that in light of the UID scheme, NATRGID, DNA profiling and the Central Monitoring System (CMS), privacy concerns have arisen and legislation which would provide safeguards in India is necessary. However, the DSCI emphasized that although they support the enactment of privacy legislation which would safeguard Indians from potential abuse, the economic value of data needs to be taken into account and bureaucratic structures which would hinder the work of businesses should be avoided.</p>
<p style="text-align: justify; ">The DSCI supported the enactment of privacy legislation and highlighted its significance, but also emphasized that such a legal framework should support the economic value of data. The DSCI appeared to favour the enactment of privacy legislation as it would not only oblige the Indian government to protect individuals´ sensitive personal data, but it would also attract more international customers to Indian online companies. That being said, the DSCI argued that it is important to secure a context for privacy based on Indian standards, rather than on global privacy standards, since the applicability of global standards in India has proven to be weak. The privacy bill should cover all dimensions (including, but not limited to, interception and surveillance) and the misuse of data should be legally prevented and prohibited. Yet, strict regulations on the use of data could potentially have a negative effect on companies’ competitive advantage in the market, which is why the DSCI proposed a co-regulatory framework – if not self-regulation.</p>
<p style="text-align: justify; ">In particular, the DSCI argued that companies should be obliged to provide security assurances to their customers and that regulation should not restrict the way they handle customers´ data, especially since customers <i>choose </i>to use a specific service in every case. This argument was countered by a participant who argued that in many cases, customers may not have alternative choices for services and that the issue of “choice” and consent is complicated. Thus it was argued that companies should comply with regulations which restrict the manner with which they handle customers´ data. Another participant argued that a significant amount of data is collected without users´ consent (such as through cookies) and that in most cases, companies are not accountable in regards to how they use the data, who they share it with or how long they retain it. Another participant who also countered the co-regulatory framework suggested by the DSCI argued that regulations are required for smartphones, especially since there is currently very low accountability as to how SMS data is being used or shared. Other participants also argued that, in every case, individual consent should be acquired prior to the collection, processing, retention, and disclosure of data and that that individual should have the right to access his/her data and make possible corrections.</p>
<p style="text-align: justify; ">The DSCI firmly supported its position on co-regulation by arguing that not only would companies provide security assurances to customers, but that they would also be accountable to the Privacy Commissioner through the provision of a detailed report on how they handle their customers´ data. Furthermore, the DSCI pointed out that in the U.S. and in Europe, companies provide privacy policies and security assurances and that this is considered to be adequate. Given the immense economic value of data in the Digital Age and the severe effects regulation would have on the market, the DSCI argued that co-regulation is the best solution to ensure that both individuals´ right to privacy and the market are protected.</p>
<p style="text-align: justify; ">The discussion on co-regulation proceeded with a debate on what type of sanctions should be applied to those who do not comply with privacy regulations. However, a participant argued that if a self-regulatory model was enforced and companies did not comply with privacy principles, the question of what would happen to individuals´ data would still remain. It was argued that neither self-regulation nor co-regulation provides any assurances to the individual in regards to how his/her data is protected and that once data is breached, there is very little that can be done to eliminate the damage. In particular, the participant argued that self-regulation and co-regulation provide very few assurances that data will not be illegally disclosed and breached. The DSCI responded to this argument by stating that in the case of a data breach, the both the Privacy Commissioner and the individual in question would have to be informed and that this issue would be further investigated. Other participants agreed that co-regulation should not be an option and argued that the way co-regulation would benefit the public has not been adequately proven.</p>
<p style="text-align: justify; ">The DSCI countered the above arguments by stating that the industry is in a better position to understand privacy issues than the government due to the various products that it produces. Industries also have better outreach than the Indian government and could enhance awareness to both other companies and individuals in terms of data protection, which is why the code of practice should be created by the industry and validated by the government. This argument was countered by a participant who stated that if the industry decides to participate in the enforcement process, this would potentially create a situation of conflict of interest and could be challenged by the courts in the future. The participant argued that an industry with a self-regulatory code of practice may be problematic, especially since there would be inadequate checks and balances on how data is being handled.</p>
<p style="text-align: justify; ">Another participant argued that the Indian government does not appear to take responsibility for the right to privacy, as it is not considered to be a fundamental human right; this being said, a co-regulatory framework could be more appropriate, especially since the industry has better insights on how data is being protected on an international level. Thus it was argued that the government could create high level principles and that the industry would comply. However, a participant argued that every company is susceptible to some type of violation and that in such a case, both self-regulation and co-regulation would be highly problematic. It was argued that, as any company could probably violate users´ data in some way down the line either way, self-regulation or co-regulation would probably not be the most beneficial option for the industry. This argument was supplemented by another participant who stated that co-regulation would mandate the industry and the Privacy Commissioner as the ultimate authorities to handle users´ data and that this could potentially lead to major violations, especially due to inadequate accountability towards users.</p>
<p style="text-align: justify; ">Co-regulation was once again supported by the DSCI through the argument that customers <i>choose </i>to use specific services and that by doing so, they should comply with the security measures and privacy policies provided. However, a participant asked whether other stakeholders should be involved, as well as what type of <i>incentives</i> companies have in order to comply with regulations and to protect users´ data. Another participant argued that the very definition of privacy remains vague and that co-regulation should not be an option, since the industry could be violating individuals´ privacy without even realising it. Another issue which was raised is how data would be protected when many companies have servers based in other countries. The DSCI responded by arguing that checks and balances would be in place to deal with all the above concerns, yet a general consensus on co-regulation did not appear to have been reached.</p>
<h1 style="text-align: justify; ">Discussion on the draft Privacy (Protection) Bill 2013</h1>
<h2 style="text-align: justify; ">Discussion of definitions: Chapter II</h2>
<p style="text-align: justify; ">The sections of the draft Privacy (Protection) Bill 2013 were discussed during the second session of the third Privacy Round Table meeting. In particular, the session started with a discussion on whether the draft Privacy (Protection) Bill 2013 should be split into two separate Bills, where the one would focus on data protection and the other on surveillance and interception. The split of a Bill on data protection to two consecutive Bills was also proposed, where the one would focus on data protection binding the public sector and the other on data protection binding the private sector. As the draft Privacy (Protection) Bill 2013 is in line with global privacy standards, the possibility of splitting the Bill to focus separately on the sections mentioned above was seriously considered.</p>
<p style="text-align: justify; ">The discussion on the definitions laid out in Chapter 2 of the draft Privacy (Protection) Bill 2013 started with a debate around the definitions of personal data and sensitive personal data and what exactly they should include. It was pointed out that the Data Protection Act of the UK has a much broader definition for the term ´sensitive personal data´ and it was recommended that the Indian draft Privacy (Protection) Bill complies with it. Other participants argued that a controversy lies in India on whether the government would conduct a caste census and if that were to be the case, such data (also including, but not limited to, religion and ethnic origin) should be included in the legal definition for ´sensitive personal data´ to safeguard individuals from potential abuse. Furthermore, the fact that the term ´sensitive personal data´ does not have a harmonious nature in the U.S. and in Europe was raised, especially since that would make it more difficult for India to comply to global privacy standards.</p>
<p style="text-align: justify; ">The broadness of the definition for ´sensitive personal data´ was raised as a potential problematic issue, especially since it may not be realistic to expect companies in the long term to protect everything it may include. The participants debated on whether financial information should be included in the definition of ´sensitive personal data´, but a consensus was not reached. Other participants argued that the terms ´data subject´ and ´data controller´ should be carefully defined, as well as that a generic definition for the term ´genetic data´ should be included in the Bill. Furthermore, it was argued that the word ´monitor´ should be included in the definitions of the Bill and that the universal norms in regards to the definitions should apply to each and every state in India. It was also noted that organizational affiliation, such as a trade union membership, should also be included in the definitions of the Bill, since the lack of legal protection may potentially have social and political implications.</p>
<p style="text-align: justify; "><b>Discussion of “Protection of Personal Data”: Chapter III </b><b> </b></p>
<p style="text-align: justify; ">The discussion on the data protection chapter of the draft Privacy (Protection) Bill began with the recommendation that data collected by companies should comply with a confidentiality agreement. Another participant argued that the UK looks at every financial mechanism to trace how information flows and that India should do the same to protect individuals´ personal data. It was also argued that when an individual is constantly under surveillance, that individual´s behaviour is more controlled and that extra accountability should be required for the use of CCTV cameras. In particular, it was argued that when entities outside the jurisdiction gain access to CCTV data, they should be accountable as to how they use it. Furthermore, it was argued that the Bill should provide provisions on how data is used abroad, especially when it is stored in foreign servers. <b> </b></p>
<p style="text-align: justify; "><b>Issue of Consent</b></p>
<p style="text-align: justify; ">The meeting proceeded with a discussion of Section 6 and it was pointed out that consent needs to be a prerequisite to data collection. Furthermore, conditions laid out in section 3 would have to be met, through which the individual would have to be informed prior to any data collection, processing, disclosure and retention of data. Section 11 of the Bill entails an accuracy provision, through which individuals have the right to access the data withheld about them and make any necessary corrections. A participant argued that the transmission of data should also be included in the Bill and that the transmitter would have to be responsible for the accuracy of the data. Another participant argued that transmitters should be responsible for the integrity of the data, but that individuals should be responsible for its accuracy. However, such arguments were countered by a participant who argued that it is not practically possible to inform individuals every time there is a change in their data.</p>
<p style="text-align: justify; "><b>Outsourcing of Data</b></p>
<p style="text-align: justify; ">It was further recommended that outsourcing guidelines should be created and implemented, which would specify the agents responsible for outsourcing data. On this note, the fact that a large volume of Indian data is being outsourced to the U.S. under the Patriot Act was discussed. In particular, it was pointed out that most data retention servers are based in the U.S., which makes it difficult for Indians to be able to be informed about which data is being collected, whether it is being processed, shared, disclosed and/or retained. A participant argued that most companies have special provisions which guarantee that data will not cross borders and that it actually depends on the type of ISP handling the data.</p>
<p style="text-align: justify; ">Another issue which was raised was that, although a consumer may have control over his/her data at the first stage, that individual ultimately loses control over his/her data in the next stages when data is being shared and/or disclosed without his/her knowledge or consent. Not only is this problematic because individuals lose control over their data, but also because the issue of accountability arises, as it is hard to determine who is responsible for the data once it has been shared and disclosed. Some participants suggested that such a problem could possibly be solved if the data subject is informed by the data processor that its data is being outsourced, as well as of the specific parties the data is being outsourced to. Another participant argued that it does not matter who the data is being outsourced to, but the manner of its use is what really matters.</p>
<p style="text-align: justify; "><b>Data Retention</b></p>
<p style="text-align: justify; ">Acting on the powers given by POTA, it was argued that 50,000 arrests have been made. Out of these arrests, only seven convictions have been made, yet the data of thousands of individuals can be stored for many years under POTA. Thus, it was pointed out that it is crucial that the individual is informed when his/her data is destroyed and that such data is not retained indefinitely. This was supplemented by a participant who argued that most countries in the West have data retention laws and that India should too. Other participants argued that data retention does not end with data destruction, but with the return of the data to the individual and the assurance that it is not stored elsewhere. However, several participants argued that the return of data is not always possible, especially since parties may lack the infrastructure to take back their data.</p>
<p style="text-align: justify; ">It was pointed out that civil society groups have claimed that collected data should be destroyed within a specific time period, but the debate remains polarized. In particular, some participants argued that data should be retained indefinitely, as the purpose of data collection may change within time and that data may be valuable in dealing with crime and terrorism in the future. This was countered by participants who argued that the indefinite retention of data may potentially lead to human rights violations, especially if the government handling the data is non-democratic. Another participant argued that the fact that data may be collected for purpose A, processed for purpose B and retained or disclosed for purpose C can be very problematic in terms of human rights violations in the future. Furthermore, another participant stated that destruction should mean that data is no longer accessible and that is should not only apply to present data, but also to past data, such as archives.</p>
<p style="text-align: justify; "><b>Data Processing</b></p>
<p style="text-align: justify; ">The processing of personal data is regulated in section 8 of the draft Privacy (Protection) Bill 2013. A participant argued that the responsibility should lie with the person doing the outsourcing of the data (the data collector). Another participant raised the issue that although banks acquire consent prior to collection and use of data, they subsequently use that data for any form of data processing and disclosure. Credit information requires specific permission and it was argued that the same should apply to other types of personal data. Consent should be acquired for every new purpose other than the original purpose for data collection. It was strongly argued that general consent should not cover every possible disclosure, sharing and processing of data. Another issue which was raised in terms of data processing is that Indian data could be compromised through global cooperation or pre-existing cooperation with third parties.</p>
<p style="text-align: justify; "><b>Data Disclosure</b></p>
<p style="text-align: justify; ">The disclosure of personal data was highlighted as one of the most important provisions within the draft Privacy (Protection) Bill 2013. In particular, three types of disclosure were pointed out: (1) disclosure with consent, (2) disclosure in outsourcing, (3) disclosure for law enforcement purposes. Within this discussion, principle liability issues were raised, as well as whether the data of a deceased person should be disclosed. Other participants raised the issue of data being disclosed by international third parties, who gain access to it through cooperation with Indian law enforcement agencies and cases of dual criminality in terms of the misuse of data abroad were raised. A participant highlighted three points: (1) the subject who has responsibility for the processing of data, (2) any obligation under law should be made applicable to the party receiving the information, (3) applicable laws for outsourcing Indian data to international third parties. It was emphasized that the failure to address these three points could potentially lead to a conflict of laws.</p>
<p style="text-align: justify; ">According to a participant, a non-disclosure agreement should be a prerequisite to outsourcing. This was preceded by a discussion on the conditions for data disclosure under the draft Privacy (Protection) Bill 2013 and it was recommended that if data is disclosed without the consent of the individual, the individual should be informed within one year. It was also pointed out that disclosure of data in furtherance of a court order should not be included in the Bill because courts in India tend to be inconsistent. This was followed by a discussion on whether power should be invested in the High Court in terms of data disclosure.</p>
<h2 style="text-align: justify; ">Discussion of “Interception of Communications”: Chapter IV</h2>
<p style="text-align: justify; ">The third Privacy Round Table ended with a brief discussion on the fourth chapter of the draft Privacy (Protection) Bill 2013, which regulates the interception of communications. Following an overview of the sections and their content, a participant argued that interception does not necessarily need to be covered in the draft Privacy (Protection) Bill, as it is already covered in the Telegraph Act. This was countered by participants who argued that the interception of communications can potentially lead to a major violation of the right to privacy and other human rights, which is why it should be included in the draft Privacy (Protection) Bill. Other participants argued that a requirement that intercepted communication remains confidential is necessary, but that there is no need to include privacy officers in this. Some participants proposed that an exception for sting operations should be included in this chapter.</p>
<h2 style="text-align: justify; ">Meeting conclusion</h2>
<p style="text-align: justify; ">The third Privacy Round Table entailed a discussion of the definitions used in the draft Privacy (Protection) Bill 2013, as well as of chapters II, III and IV on the right to privacy, the protection of personal data and the interception of communications. The majority of the participants agreed that India needs a privacy legislation and that individuals´ data should be legally protected. However, participants disagreed in regards to how data would be safeguarded and the extent to which data collection, processing, sharing, disclosure, destruction and retention should be regulated. This was supplemented by the debate on self-regulation and co-regulation; participants disagreed on whether the industry should regulate the use of customers´ data autonomously from government regulation or whether the industry should co-operate with the Privacy Commissioner for the regulation of the use of data. Though a consensus was not reached in regards to co-regulation and self-regulation, the majority of the participants agreed upon the establishment of a privacy legislation which would safeguard individuals´ personal data. The major issue, however, with the creation of a privacy legislation in India would probably be its adequate enforcement.</p>
<p>
For more details visit <a href='https://cis-india.org/internet-governance/blog/report-on-the-third-privacy-round-table-meeting'>https://cis-india.org/internet-governance/blog/report-on-the-third-privacy-round-table-meeting</a>
</p>
</description>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:subject> SAFEGUARDS </dc:subject>
<dc:subject> Internet Governance </dc:subject>
<dc:subject> Privacy </dc:subject>
<dc:date> 2013-07-12T11:35:22Z </dc:date>
<dc:type> Blog Entry </dc:type>
</item>
<item rdf:about=" https://cis-india.org/accessibility/blog/global-accessibility-awareness-day-event">
<title>
Global Accessibility Awareness Day (GAAD 2013) - CIS panel
</title>
<link>
https://cis-india.org/accessibility/blog/global-accessibility-awareness-day-event
</link>
<description>
<b>Interested in understanding the importance of accessibility and how technology can become more accessible by persons with disabilities? Read this post on the Global Accessibility Awareness Day (GAAD)!</b>
<p style="text-align: justify;">Last week, the Centre for Internet and Society (CIS) held a <a href="https://cis-india.org/accessibility/events/global-accessibility-awareness-day-2013">panel on the Global Accessibility Awareness Day</a> which entailed a three hour discussion on how technology can become more accessible by persons with disabilities. GAAD is a community-driven effort with an aim to raise the profile of digital accessibility and people with different disabilities. The target audience of the panel was the design, development, usability and related communities who build, shape, fund and influence technology and its use. This event consisted of presentations by Accessibility professionals in the industry, as well as of hands on demonstrations of how people with disabilities can use technology.</p>
<p style="text-align: justify;"><img class="image-inline" src="resolveuid/903bc29c477e4325907f26aad99832ae/@@images/image/mini" alt="null" /></p>
<p style="text-align: justify;">Vivek Gaikwad started his presentation by defining the term “accessibility” as easy access and by pointing out that the World Health Organization considers “disability” an umbrella term covering impairment, activity limitation and participation restriction, which would not only entail the deaf and blind, but even pregnant women. Assistive technology was defined as a device, a technology or a process used by individuals with disabilities to perform functions which might otherwise have been impossible. Gaikwad emphasized that accessibility is an extremely significant issue in terms of legal compliance and would also help create new markets by including people with disabilities.</p>
<p style="text-align: justify;">Section 508 of the U.S. Workforce Rehabilitation Act 1973 was pointed out by Gaikwad, as well as the Web Content Accessibility Guidelines (WCAG) - developed by the Web Accessibility Initiative- which provide an internationally recognized benchmark for accessibility of web content. Gaikwad argued that India should comply with such guidelines and that the best practices to adopt could be the following:</p>
<p style="text-align: justify;">● Provide an appropriate alternative text for all images</p>
<p style="text-align: justify;">● Provide meaningful and hierarchical heading structure</p>
<p style="text-align: justify;">● Provide accessible colours</p>
<p style="text-align: justify;">● Ensure that the application is usable by both the keyboard and the mouse</p>
<p style="text-align: justify;">● Ensure that the focus caret is shown on the active control on the screen</p>
<p style="text-align: justify;">● Ensure that the link purpose is clear</p>
<p style="text-align: justify;">● Specify language of the page</p>
<p style="text-align: justify;">● Understand ECAG 2.0/Section 508 thoroughly</p>
<p style="text-align: justify;">● Educate teams/peers</p>
<p style="text-align: justify;">● Create your own best practices and share them</p>
<p style="text-align: justify;">● Learn how to use a screen reader/other testing tools</p>
<p style="text-align: justify;">● Think in different ways to satisfy a guideline</p>
<p style="text-align: justify;"><img src="https://cis-india.org/home-images/DSC08683.JPG/@@images/76f476d3-8478-442f-8156-71fa319aba6d.jpeg" alt="null" class="image-inline" title="" /></p>
<p style="text-align: justify;">Lavanya Lakshman started her presentation by introducing the the different types of disabilities and by emphasizing the significance of accessibility. In particular, Lakshman argued that accessibility is important not only because it is the right thing to do, but also because it is the law, it offers benefits for all users, it enhances innovative technology and it creates new market opportunities. Lakshman referred to the various assistive technologies used by persons with disabilities, such as screen readers, to use the computer. It was emphasized that SME testing is important because experts understand how the underlying technologies interact and that end-user testing is also crucial because they are the real experts in their own abilities and their own assistive technology. Accessibility can be tested through automated tools and manual testing and SME testing can be conducted through screening, tool based inspection and evaluation, and code inspection. Laksham highly emphasized that most assistive technologies for people with motor disabilities either work through the keyboard or emulate the functionality of the keyboard, which is why assistive technologies - such as an over sized trackball, an eye-tracker and a head-wand, were recommended.</p>
<p style="text-align: justify;">Srividya Vaidyanathan argued that audio visual media accessibility is needed by everyone and that it should not only be restricted to persons with disabilities. Intelligence picture and sound, accessible players and access services are needed and as there is not much of TV and radio accessibility in India, this field should be further developed. Vaidyanathan also referred to the various types of access services, such as captions (closed and open), sign language and audio description.</p>
<p style="text-align: justify;">Anusuya Das focused her presentation on the print disabled, which are persons who cannot read standard print because of visual impairment, cognitive disabilities (such as dyslexia, autism, ADHD and others), or physical disabilities that limit one´s ability to hold a book. In particular, she argued that braille books include print alternatives and that time and format are critical factors while creating accessible materials. Structure, navigation and simplicity are central concepts of accessible content and it should comply with the Digitial Accessibility Information System (DAISY) standards, which are international standards for accessible content. Das referred to the various advanced accessibility features, such as bookmarking, and emphasized that combined text and audio can increase learning effectiveness by nearly 50%. E-Pub is the mainstream standard, but the United Nations have recommended the DAISY standards. My Studio PC, Obi, Microsoft save as DAISY, Sigtuna DAR 3, Tobi and Dolphin Producer include authoring and production tools.</p>
<p style="text-align: justify;">Das also referred to the various types of DAISY books which may include a full audio and navigation centre, text and no audio or text with audio. Das emphasized upon the need to create accessible word documents, as well as to give alternate text for images and to edit hyperlinks. Principles for regional languages were mentioned, along with the need to convert texts to other formats, such as converting word to HTML. Das also argued that accessible powerpoint files should be created, which would ensure that files have correctly-structured headings among other features. PlexTalk Portable Recorder includes a hardware option for people with disabilities, while Symbian Nokia phones include mobile phone options and other software options are included in the DAISY Book Players.</p>
<p style="text-align: justify;"><img src="https://cis-india.org/home-images/DSC08712.JPG/@@images/3994eabc-4e92-46cf-bc06-41c2c352702f.jpeg" alt="null" class="image-inline" title="" /></p>
<p style="text-align: justify;">Rama Chari, the final panelist, referred to the various types of disabilities, as well as to the built needs of people with disabilities. She emphasized that easy navigation in a website is extremely important and that the architecture should be simplified. It was further argued that India should comply with the international standards for information accessibility and that some of the best practices need to be adopted to create new standards. However, such practices vary from state to state in India (e.g. the fire safety standards) which is problematic. Nonetheless, Chari mentioned an organization in Delhi called “Accessibility”, which has very useful guidelines; these include standards for ramps, staircases and washrooms, and it is significant to evaluate the challenges that people with different disabilities face in order to improve such standards.</p>
<p style="text-align: justify;">A discussion on the various tools to increase accessibility followed the presentations of the five panelists, as well as a hands on demonstration by Vivek Gaikwad of how to use more accessible mobile phones. The outcome of the GAAD panel was that in the current Digital Age, persons with disabilities should not be marginalised, but should be included in the social, political and economic structures of the contemporary digitised world. The tools discussed throughout the panel could potentially provide a decisive step in ensuring that persons with disabilities have equal access to technology. As technology today is the gateway to the contemporary world, accessibility is a fundamental human right and persons with disabilities should not be excluded. Through the thorough examination of the various needs of persons with disabilities and the subsequent enactment of adequate laws, standards and guidelines, India should enhance accessibility to technology if it wants to be the democracy it claims to be.</p>
<hr />
<h3>Presentation File</h3>
<p><a href="https://cis-india.org/accessibility/blog/gaad-presentation-1" class="internal-link">Srividya's Presentation</a></p>
<p>
For more details visit <a href='https://cis-india.org/accessibility/blog/global-accessibility-awareness-day-event'>https://cis-india.org/accessibility/blog/global-accessibility-awareness-day-event</a>
</p>
</description>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:subject> Accessibility </dc:subject>
<dc:date> 2021-09-27T08:34:34Z </dc:date>
<dc:type> Blog Entry </dc:type>
</item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/the-surveillance-industry-in-india-at-least-76-companies-aiding-our-watchers">
<title>
The Surveillance Industry in India: At Least 76 Companies Aiding Our Watchers!
<link>
https://cis-india.org/internet-governance/blog/the-surveillance-industry-in-india-at-least-76-companies-aiding-our-watchers
</link>
<description>
<b>Maria Xynou is conducting research on surveillance technology companies operating in India. So far, 76 companies have been detected which are currently producing and selling different types of surveillance technology. This post entails primary data on the first ever investigation of the surveillance industry in India. Check it out! </b>
<hr />
<p style="text-align: justify; ">This blog post has been <a class="external-link" href="http://www.medianama.com/2013/05/223-surveillance-industry-study-shows-at-least-76-companies-aiding-surveillance-in-india-cis-india/">cross-posted</a> in Medianama on May 8, 2013. <i>This research was undertaken as part of the 'SAFEGUARDS' project that CIS is undertaking with Privacy International and IDRC</i>.</p>
<hr />
<p style="text-align: justify; ">So yes, we live in an <a href="http://www.schneier.com/blog/archives/2013/03/our_internet_su.html">Internet Surveillance State</a>. And yes, we are constantly under the microscope. But how are law enforcement agencies even equipped with such advanced technology to surveille us in the first place?</p>
<p style="text-align: justify; "><span>Surveillance exists because certain companies produce and sell products and solutions which enable mass surveillance. Law enforcement agencies would not be capable of mining our data, of intercepting our communications and of tracking our every move if they did not have the technology to do so. Thus an investigation of the surveillance industry should be an integral part of research for any privacy advocate, which is why I started looking at surveillance technology companies. India is a very interesting case not only because it</span><a href="https://cis-india.org/internet-governance/blog/report-on-the-first-privacy-round-table-meeting"> lacks privacy legislation </a><span>which could safeguard us from the use of intrusive technologies, but also because no thorough investigation of the surveillance industry in the country has been carried out to date.</span></p>
<p style="text-align: justify; "><span>The investigation of the Indian surveillance industry has only just begun and so far, 76 surveillance technology companies have been detected. No privacy legislation...and a large surveillance industry. What does this mean?</span></p>
<h2><b>A glimpse of the surveillance industry in India</b></h2>
<p style="text-align: justify; "><span>In light of the </span><a href="http://uidai.gov.in/">UID scheme</a><span>, the </span><a href="http://cybersecurityforindia.blogspot.in/2012/12/national-intelligence-grid-natgrid.html">National Intelligence Grid</a><span> (NATGRID), the </span><a href="http://ncrb.nic.in/cctns.htm">Crime and Criminal Tracking Network System</a><span> (CCTNS) and the </span><a href="https://cis-india.org/internet-governance/blog/indias-big-brother-the-central-monitoring-system">Central Monitoring System</a><span> (CMS), who supplies law enforcement agencies the technology to surveille us?</span></p>
<p style="text-align: justify; "><span>In an attempt to answer this question and to uncover the surveillance industry in India, I randomly selected a sample of 100 companies which appeared to produce and sell surveillance technology. This sample consisted of companies producing technology ranging from internet and phone monitoring software to biometrics, CCTV cameras, GPS tracking and access control systems. The reason why these companies were randomly selected was to reduce the probability of research bias and out of the 100 companies initially selected, 76 of them turned out to sell surveillance technology. These companies vary in the types of surveillance technology they produce and it should be noted that most of them are not restricted to surveillance technologies, but also produce other non-surveillance technologies. Paradoxically enough, some of these companies </span><a href="http://www.infoserveindia.com/products/26/Internet-Monitoring-System.html">simultaneously produce internet monitoring software and encryption tools</a><span>! Thus it would probably not be fair to label companies as ´surveillance technology companies´ per se, but rather to acknowledge the fact that, among their various products, they also sell surveillance technologies to law enforcement agencies.</span></p>
<p style="text-align: justify; ">Companies selling surveillance technology in India are listed in <a href="https://cis-india.org/internet-governance/blog/table-1.pdf" class="internal-link">Table 1</a>. Some of these companies are Indian, whilst others have international headquarters and offices in India. Not surprisingly, the majority of these companies are based in India's IT hub, Bangalore.</p>
<p style="text-align: justify; "><span><a href="https://cis-india.org/internet-governance/blog/table-2.pdf" class="internal-link">Table 2</a> shows the types of surveillance technology produced and sold by these 76 companies.</span></p>
<p style="text-align: justify; ">The graph below is based on <a href="https://cis-india.org/internet-governance/blog/table-2.pdf" class="internal-link">Table 2</a> and shows which types of surveillance are produced the most by the 76 companies.</p>
<table class="invisible">
<tbody>
<tr>
<th><img src="https://cis-india.org/home-images/copy_of_Surveillancetechgraph.png" alt="Surveillance Graph" class="image-inline" title="Surveillance Graph" /></th>
</tr>
</tbody>
</table>
<p style="text-align: justify; ">Graph on types of surveillance sold to law enforcement agencies by 76 companies in India</p>
<p style="text-align: justify; "><span>Out of the 76 companies, the majority (32) sell surveillance cameras, whilst 31 companies sell biometric technology; this is not a surprise, given the </span><a href="http://www.economist.com/node/21542814">UID scheme</a><span> which is rapidly expanding across India. Only </span><a href="http://www.clear-trail.com/">one company</a><span> from the sample produces social network analysis software, but this is not to say that this type of technology is low in the Indian market, as this sample was randomly selected and many companies producing this type of software may have been excluded. Moreover, many companies (13) from the sample produce data mining and profiling technology, which could be used in social networking sites and which could have similar - if not the same - capabilities as social network analysis software. Such technology may potentially be aiding the </span><a href="https://cis-india.org/internet-governance/blog/indias-big-brother-the-central-monitoring-system">Central Monitoring System (CMS)</a><span>, especially since the project would have to monitor and mine Big Data.</span></p>
<p style="text-align: justify; "><span>On countless occasions I have been told that surveillance is an issue which concerns the elite and which does not affect the poorer classes, especially since </span><a href="https://opennet.net/research/profiles/india">the majority of the population in India does not even have Internet access</a><span>. However, the data in the graph above falsifies this mainstream belief, as many companies operating in India produce and sell phone and SMS monitoring technology, while </span><a href="http://www.thehindu.com/news/national/half-of-indias-homes-have-cellphones-but-not-toilets/article2992061.ece">more than half the population owns mobile phones</a><span>. Seeing as companies, such as </span><a href="http://www.clear-trail.com/">ClearTrail Technologies</a><span> and </span><a href="http://www.shoghicom.com/">Shoghi Communications</a><span>, sell phone monitoring equipment to law enforcement agencies and more than half the population in India has mobile phones, it is probably safe to say that surveillance is an issue which affects everyone, not just the elite.</span></p>
<h2>Did you Know:</h2>
<table class="invisible">
<tbody>
<tr>
<th><img src="https://cis-india.org/home-images/spywarepic.jpg" alt="Spyware" class="image-inline" title="Spyware" /></th>
</tr>
</tbody>
</table>
<p style="text-align: justify; "><span>CARLOS62 on flickr </span></p>
<ol>
<li>WSS Security Solutions Pvt. Ltd. is <a href="http://www.wssgroup.in/aboutus.html">north India´s first CCTV zone</a></li>
<li>Speck Systems Limited was <a href="http://www.specksystems.com/sub-links/Strengths/core-strengths-UAV.htm">the first Indian company to design, manufacture and fly a micro UAV indigenously</a></li>
<li>Mobile Spy India (Retina-X Studios) has the following <a href="http://www.mobilespy.co.in/">mobile spying features</a>: </li>
</ol>
<ul>
<li><i>SniperSpy</i>: remotely monitors smartphones and computers from any location</li>
</ul>
<ul>
<li><i>Mobile Spy: </i>monitors up to three phones and uploads SMS data to a server using GPRS without leaving traces</li>
</ul>
<p>4. Infoserve India Private Limited produces an<a href="http://www.infoserveindia.com/products/26/Internet-Monitoring-System.html"> Internet monitoring System</a> with the following features:</p>
<ul>
<li>Intelligence gathering for an entire state or a region</li>
<li>Builds a chain of suspects from a single start point</li>
<li>Data loss of less than 2%</li>
<li>2nd Generation Interception System</li>
<li>Advanced link analysis and pattern matching algorithms</li>
<li>Completely Automated System</li>
<li>Data Processing of up to 10 G/s</li>
<li>Automated alerts on the capture of suspicious data (usually based on keywords)</li>
</ul>
<p>5. ClearTrail Technologies<b> </b>deploys <a href="https://www.documentcloud.org/documents/409231-111-cleartrail.html#document/p3/a68269">spyware into a target´s machine</a><br />6. Spy Impex<b> </b>sells <a href="http://www.tradedir.in/s/coca-cola-tin-camera">Coca Cola Tin Cameras</a>!<br />7. Nice Deal<b> </b>also sells Coca Cola Spy Cameras, as well as Spy Pen Cameras, Wrist Watch Cameras and <a href="http://www.indiamart.com/nicedeal/spy-hidden-cameras.html">Lighter Video Cameras</a> to name a few...<br />8. Raviraj Technologies<b> </b>is an Indian company which supplies <a href="http://www.ravirajtech.com/index.html">RFID and biometric technology</a> to multiple countries all around the world... Countries served by Raviraj Technologies include non-democracies, such as Zimbabwe and Saudi Arabia...as well as post-revolutionary countries, such as Egypt and Tunisia... Why is this concerning?</p>
<ul>
<li style="text-align: justify; ">Non-democracies lack adequate privacy and human rights safeguards and by supplying such regimes with biometric and tracking technology, the probability is that this will lead to further <a href="http://www.rogerclarke.com/DV/Biometrics.html">oppression</a> within these countries </li>
</ul>
<ul>
<li style="text-align: justify; ">Egypt and Tunisia had elections to transit to democracy and by providing them biometric technology, this could lead to further oppression and stifle efforts to increase human rights safeguards</li>
</ul>
<h2><b>“I´m not a terrorist, I have nothing to hide!”</b></h2>
<table class="invisible">
<tbody>
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<th><img src="https://cis-india.org/home-images/surveillancetechpic.jpg" alt="Surveillance Tec" class="image-inline" title="Surveillance Tec" /></th>
</tr>
</tbody>
</table>
<p><span> </span><a href="http://www.flickr.com/photos/r1chard/">r1chardm</a> on flickr</p>
<p style="text-align: justify; ">It´s not a secret: Everyone knows we are being surveilled, more or less. Everyone is aware of the CCTV cameras (luckily there are public notices to warn us...for now). Most people are aware that the data they upload on Facebook is probably surveilled...one way or the other. Most people are aware that mobile phones can potentially be wiretapped or intercepted. Yet, that does not prevent us from using our smartphones and from disclosing our most intimate secrets to our friends, from uploading hundreds of photos on Facebook and on other social networking sites, or from generally disclosing our personal data on the Internet. The most mainstream argument in regards to surveillance and the disclosure of personal data today appears to be the following:</p>
<blockquote class="italized"><i>“I´m not a terrorist, I have nothing to hide!”</i></blockquote>
<p style="text-align: justify; "><span>Indeed. You may not be a terrorist...and you may </span><i>think </i><span>you have nothing to hide. But in a surveillance state, to what extent does it really matter if you are a terrorist? And how do we even define ´risky´ and ´non-risky´ information?</span></p>
<p style="text-align: justify; "><span>Last year at the </span><a href="http://lcaunderthestars.org.au/programme/schedule">linux.conf.au</a><span>, </span><a href="http://www.youtube.com/watch?v=GMN2360LM_U">Jacob Appelbaum</a><span> stated that in a surveillance state, everyone can potentially be a suspect. The argument “I´m not a terrorist, I have nothing to hide” is merely a psychological coping mechanism when dealing with surveillance and expresses a lack of agency. </span><a href="http://www.schneier.com/essay-155.html">Bruce Schneier</a><span> has argued that the psychology of security does not necessarily reflect the reality of security. In other words, we may feel or think that our data is secure because we consider it to ential ´non-risky´ information, but the reality of security may indicate that our data may entail ´risky information´ depending on who is looking at it, when, how and why. I disagree with the distinction between ´risky´ and ´non-risky´ information, as any data can potentially be ´risky´ depending on the circumstances of its access.</span></p>
<p style="text-align: justify; "><span>That being said, we do not necessarily need to disclose nude photos or be involved in some criminal organization in order to be tracked. In a surveillance society, </span><a href="http://www.schneier.com/blog/archives/2013/03/our_internet_su.html">we are all potentially suspects</a><span>. The mining and profiling of our data may lead to us somehow being linked to someone who, for whatever reason, is a suspect (regardless of whether that person has committed an actual offence) and thus may ultimately end us up being suspects. Perhaps one of our interests (as displayed in our data), our publicly expressed ideas or even our browsing habits may fall under ´suspicious activity´. It´s not really an issue of whether we are involved in a criminal organisation per se or if we are disclosing so-called </span><a href="http://www.computerworld.com/s/article/9176265/Half_of_social_networkers_post_risky_information_study_finds_">´risky information´</a><span>. As long as our data is being surveilled, we are all suspects, which means that </span><a href="http://papers.ssrn.com/sol3/papers.cfm?abstract_id=2239412">we can all potentially be arrested, interrogated and maybe even tortured</a><span>, just like any other criminal suspect.</span></p>
<p style="text-align: justify; "><span>But what fuels a surveillance society? How can law enforcement agencies mine such huge volumes of data? Many companies, such as the 76 listed in this research, equip law enforcement agencies with the technology to monitor the Internet and our phones, to deploy malware to our computers, to mine and profile our data on social networking sites and to track our vehicles and movement. A main reason why we currently live in a Surveillance State is because the surveillance industry is blooming and currently equipping law enforcement agencies with the technology to watch our every move. Thus companies producing and selling surveillance technologies play an essential role in maintaining the surveillance state and should be accountable for the implications their products have on individuals´ right to privacy and other human rights.</span></p>
<p style="text-align: justify; "><span>Surveillance technologies, however, are not the only factor which fuels a surveillance state. Companies produce technologies based on the market´s demand and without it, the surveillance industry would not exist. The </span><a href="http://www.sourcesecurity.com/news/articles/co-1753-ga.4047.html">market appears to demand for surveillance technologies</a><span> because a pre-existing </span><a href="http://www.abc.net.au/tv/bigideas/stories/2012/04/16/3476847.htm">surveillance culture</a><span> has been established which in turn may or may not have been created by political interests of public control. Nonetheless, surveillance appears to be socially integrated. The fact that some of the most profitable businesses in the world, such as </span><a href="http://money.cnn.com/magazines/fortune/global500/2012/snapshots/284.html">3M</a><span>, produce and sell surveillance technologies, as well as the fact that, in most countries in the world, it is considered socially prestigious to work in such a company is minimum proof that </span><a href="http://www.sscqueens.org/davidlyon/">surveillance is being socially integrated</a><span>. In other words, companies should be accountable in regards to the technologies they produce and who they sell them to, but we should also take into consideration that the only reason why these companies exist to begin with is because there is a demand for them.</span></p>
<p style="text-align: justify; "><span>By not opposing to repressive surveillance laws, to the CCTV cameras in every corner, to surveillance schemes -such as </span><a href="http://cybersecurityforindia.blogspot.in/2012/12/national-intelligence-grid-natgrid.html">NATGRID </a><span>and the </span><a href="https://cis-india.org/internet-governance/blog/indias-big-brother-the-central-monitoring-system">CMS</a><span> in India- or by handing over our data, </span><a href="http://www.schneier.com/essay-167.html"><i>we </i></a><a href="http://www.schneier.com/essay-167.html">are fuelling the surveillance state</a><span>. Unlike Orwell's totalitarian state described in 1984, surveillance today does not appear to be imposed in a top-down manner, but rather it appears to be a product of both the Information Revolution </span><i>and </i><span>of our illusionary sense of control over our personal data. Our ´apathy´ enables surveillance laws to be enacted and companies to produce the technology which will aid law enforcement agencies in putting us all under the microscope. As easy as it would be to blame companies for producing surveillance technologies, the reality of surveillance appears to be much more complicated than that, especially if surveillance is socially integrated.</span></p>
<p style="text-align: justify; "><span>Yet, the reality in India is that at least 76 companies are producing and selling surveillance technologies and equipping law enforcement agencies with them. This is extremely concerning because </span><a href="https://cis-india.org/internet-governance/blog/report-on-the-first-privacy-round-table-meeting">India lacks privacy legislation </a><span>which could safeguard individuals from potential abuse. The fact that India has not enacted a privacy law ultimately means that individuals are not informed when their data is collected, who has access to it, whether it is being processed, shared, disclosed and/or retained. Furthermore, the absence of privacy legislation in India also means that law enforcement agencies are not held liable and this has an impact on accountability and transparency, as it is not possible to determine whether surveillance is effective or not. In other words, there are currently absolutely no safeguards for the individual in India and simultaneously, the rapidly expanding surveillance industry poses major threats to human rights.</span></p>
<p style="text-align: justify; "><span>Not only does India urgently need privacy legislation to be enacted to safeguard citizens from potential abuse, but the use of all surveillance technologies should be strictly regulated now. As previously mentioned, some companies, such as </span><a href="http://www.ravirajtech.com/index.html">Raviraj Technologies</a><span>, are exporting biometric technology to non-democratic countries and to fragile states transitioning to democracy. This should be prevented, as equipping a country - which lacks adequate safeguards for its citizens - with the technology to ultimately control its citizens can potentially have severe effects on human rights within the country. Thus </span><a href="https://www.privacyinternational.org/reports/our-response-to-eu-consultation-on-legality-of-exporting-surveillance-and-censorship-3">export controls</a><span> are necessary to prevent the expansion of surveillance technologies to countries which lack legal safeguards for their citizens. This also means that there should be some restrictions to international companies selling surveillance technologies from creating offices in India, since the country currently lacks privacy legislation.</span></p>
<p style="text-align: justify; "><span>Surveillance technologies can potentially have very severe effects, such as innocent people being arrested, interrogated, tortured...and maybe even </span><a href="http://edition.cnn.com/2013/03/15/world/asia/u-n-drone-objections">murdered</a><span> in some states. Should they be treated as weapons? Should the same export restrictions that apply to arms apply to surveillance technologies? Sure, the threat posed by surveillance technologies appears to be indirect. But don't indirect threats usually have worse outcomes in the long run? We may not be terrorists and we may have nothing to hide...but we have no privacy safeguards and a massively expanding surveillance industry in India. We are exposed to danger...to say the least.</span></p>
<p>
For more details visit <a href='https://cis-india.org/internet-governance/blog/the-surveillance-industry-in-india-at-least-76-companies-aiding-our-watchers'>https://cis-india.org/internet-governance/blog/the-surveillance-industry-in-india-at-least-76-companies-aiding-our-watchers</a>
</p>
</description>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:subject> surveillance technologies </dc:subject>
<dc:subject> Internet Governance </dc:subject>
<dc:subject> SAFEGUARDS </dc:subject>
<dc:date> 2013-07-12T11:59:10Z </dc:date>
<dc:type> Blog Entry </dc:type>
</item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/surveillance-technology-companies-operating-in-india">
<title>
Surveillance technology companies operating in India - spreadsheet
<link>
https://cis-india.org/internet-governance/blog/surveillance-technology-companies-operating-in-india
</link>
<description>
<b>The Centre for Internet and Society has started investigating surveillance technology companies operating in India! This spreadsheet entails the first 77 companies which are being researched. </b>
<p>
For more details visit <a href='https://cis-india.org/internet-governance/blog/surveillance-technology-companies-operating-in-india'>https://cis-india.org/internet-governance/blog/surveillance-technology-companies-operating-in-india</a>
</p>
</description>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:subject> Internet Governance </dc:subject>
<dc:date> 2013-04-27T16:29:14Z </dc:date>
<dc:type> File </dc:type>
</item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/surveillance-technology-companies-operating-in-india"> ... </item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/report-on-the-2nd-privacy-round-table">
<title> Report on the 2nd Privacy Round Table meeting </title>
<link>
https://cis-india.org/internet-governance/blog/report-on-the-2nd-privacy-round-table
</link>
<description>
<b>This post entails a report on the second Privacy Round Table meeting which took place on 20th April 2013. </b>
<hr />
<p>This research was undertaken as part of the 'SAFEGUARDS' project that CIS is undertaking with Privacy International and IDRC</p>
<hr />
<p style="text-align: justify; ">In furtherance of Internet Governance multi-stakeholder Initiatives and Dialogue in 2013, the Centre for Internet and Society (CIS) in collaboration with the Federation of Indian Chambers of Commerce and Industry (FICCI), and the Data Security Council of India (DSCI), is holding a series of six multi-stakeholder round table meetings on “privacy” from April 2013 to August 2013. The CIS is undertaking this initiative as part of their work with Privacy International UK on the SAFEGUARD project.</p>
<p style="text-align: justify; ">In 2012, the CIS and DSCI were members of the Justice AP Shah Committee which created the “Report of Groups of Experts on Privacy”. The CIS has recently drafted a Privacy (Protection) Bill 2013, with the objective of contributing to privacy legislation in India. The CIS has also volunteered to champion the session/workshops on “privacy” in the meeting on Internet Governance proposed for October 2013.</p>
<p style="text-align: justify; ">At the roundtables the Report of the Group of Experts on Privacy, DSCI´s paper on “Strengthening Privacy Protection through Co-regulation” and the text of the Privacy (Protection) Bill 2013 will be discussed. The discussions and recommendations from the six round table meetings will be presented at the Internet Governance meeting in October 2013.</p>
<p style="text-align: justify; ">The dates of the six Privacy Round Table meetings are enlisted below:</p>
<ol style="text-align: justify; ">
<li>New Delhi Roundtable: 13 April 2013</li>
<li>Bangalore Roundtable: 20 April 2013</li>
<li>Chennai Roundtable: 18 May 2013</li>
<li>Mumbai Roundtable: 15 June 2013</li>
<li>Kolkata Roundtable: 13 July 2013</li>
<li>New Delhi Final Roundtable and National Meeting: 17 August 2013</li>
</ol>
<p style="text-align: justify; "> </p>
<p style="text-align: justify; ">Following the first Privacy Round Table in Delhi, this <a href="https://cis-india.org/internet-governance/blog/report-on-bangalore-privacy-meeting" class="internal-link">report</a> entails an overview of the discussions and recommendations of the second Privacy Round Table meeting in Bangalore, on 20<sup>th</sup> April 2013.</p>
<h2 style="text-align: justify; ">Overview of DSCI´s paper on “Strengthening Privacy Protection through Co-regulation”</h2>
<p style="text-align: justify; "> </p>
<p style="text-align: justify; ">The meeting began with a brief summary of the first Privacy Round Table meeting which took place in Delhi on 13<sup>th</sup> April 2013. Following the summary, the Data Security Council of India (DSCI) presented the paper “Strengthening Privacy Protection through Co-regulation”. In particular, DSCI presented the regulatory framework for data protection under the IT (Amendment) Act 2008, which entails provisions for sensitive personal information, privacy principles and “reasonable security practices”. It was noted that the privacy principles, as set out in the Justice AP Shah Report, refer to: data collection limitation, data quality, purpose specification, use limitation, security safeguards, openness and individual participation. The generic definitions of identified privacy principles refer to: notice, choice and consent, collection limitation, purpose specification, access and correction, disclosure of information, security, openness/transparency and accountability. However, the question which prevailed is what type of regulatory framework should be adopted to incorporate all these privacy principles.</p>
<p style="text-align: justify; ">DSCI suggested a co-regulatory framework which would evolve from voluntary self-regulation with legal recognition. The proposed co-regulatory regime could have different types of forms based on the role played by the government and industry in the creation and enforcement of rules. DSCI mentioned that the Justice AP Shah Committee recommends: (1) the establishment of the office of the Privacy Commissioner, both at the central and regional levels, (2) a system of co-regulation, with emphasis on SROs and (3) that SROs would be responsible for appointing an ombudsman to receive and handle complaints.</p>
<p style="text-align: justify; ">The discussion points brought forward by DSCI were:</p>
<ul style="text-align: justify; ">
<li>What role should government and industry respectively play in developing and enforcing a regulatory framework? </li>
<li>How can the codes of practice developed by industry be enforced in a co-regulatory regime? How will the SRO check the successful implementation of codes of practice? How can the SRO penalize non-compliances?</li>
<li>How can an organization be incentivized to follow the codes of practice under the SRO?</li>
<li>What should be the role of SROs in redressal of complaints?</li>
<li>What should be the business model for SROs?</li>
</ul>
<p style="text-align: justify; ">DSCI further recommended the establishment of “light weight” regulations based on global privacy principles that value economic beliefs of data flow and usage, while guaranteeing privacy to citizens. DSCI also recommended that bureaucratic structures that could hinder business interests be avoided, as well as that the self-regulatory framework of businesses adapts technological advances to the privacy principles. Furthermore, DSCI recommended that self-regulatory bodies are legally recognised.</p>
<p style="text-align: justify; "> </p>
<h2 style="text-align: justify; ">Discussion on the draft Privacy (Protection) Bill 2013</h2>
<h3 style="text-align: justify; ">Discussion of definitions and preamble: Chapter I & II</h3>
<p style="text-align: justify; ">The second session began with a discussion of definitions used in the Bill. In particular, many participants argued that the term ´personal data´ should be more specific, especially since the vague definition of the term could create a potential for abuse. Other participants asked who the protection of personal data applies to and whether it covers both companies and legal persons. Furthermore, the question of whether the term ´personal data´ entails processed and stored data was raised, as well as whether the same data protection regulations apply to foreign citizens residing in India. A participant argued that the preamble of the Bill should be amended to include the term ´governance´ instead of ´democracy´, as this privacy legislation should be applicable in all cases in India, regardless of the current political regime.</p>
<h3 style="text-align: justify; ">Sensitive Personal Data</h3>
<p style="text-align: justify; ">The meeting proceeded with a discussion of the term ´sensitive personal data´ and many participants argued that the term should be broadened to include more categories, such as religion, ethic group, race, caste, financial information and others. Although the majority of the participants agreed that the term ´sensitive personal data´ should be redefined, they disagreed in regards to what should be included in the term. In particular, the participants were not able to reach a consensus on whether religion, caste and financial information should be included in the definition of the term ´sensitive personal data´. Other participants argued that passwords should be included within the scope of ´sensitive personal data´, as they can be just as crucial as financial information.</p>
<h3 style="text-align: justify; ">Information vs. Data</h3>
<p style="text-align: justify; ">During the discussion, a participant argued that there is a subtle difference between the term ´information´ and ´data´ and that this should be pointed out in the Bill to prevent potential abuse. Another participant argued that ´sensitive personal data´ should be restricted to risk factors, which is why unique identifiers, such as passwords, should be included in the definition of the term. Other participants argued that the context of data defines whether it is ´sensitive´ or not, as it may fall in the category of ´national security´ in one instance, but may not in another. Thus, all types of data should be considered within their context, rather than separately. The fact that privacy protection from several financial services already exists was pointed out and the need to exclude pre-existing protections from the Bill was emphasised. In particular, a participant argued that banks are obliged to protect their customers´ financial information either way, which is why it should not be included in the definition of the term ´sensitive personal data´.</p>
<h3 style="text-align: justify; ">Exemptions</h3>
<p style="text-align: justify; ">Several exemptions to the right to privacy were discussed throughout the meeting. A participant asked whether the right to privacy would also apply to deceased persons and to unborn infants. Another participant asked whether the term ´persons´ would be restricted to natural persons or if it would also apply to artificial persons. The fact that children should also have privacy rights was discussed in the meeting and in particular, participants questioned whether children´s right to privacy should be exempted in cases when they are being surveilled by their own parents.</p>
<h2 style="text-align: justify; ">Discussion of “Protection of Personal Data”: Chapter III</h2>
<p style="text-align: justify; ">Following the discussion of definitions used in the Bill, the meeting proceeded with a discussion on the protection of personal data. A participant emphasized that the probability of error in data is real and that this could lead to major human rights violations if not addressed appropriately and in time. The fact that the Bill does not address the element of error within data was pointed out and suggested that it be included in draft Privacy (Protection) Bill. Another participant recommended an amendment to the Bill which would specify the parties, such as the government or companies, which would be eligible to carry out data collection in India. As new services are been included, the end purpose of data collection should be taken into consideration and, in particular, the ´new purposes´ for data collection would have to be specified at every given moment.</p>
<h3 style="text-align: justify; ">Data Collection</h3>
<p style="text-align: justify; ">In terms of data collection, a participant emphasized that the objectives and purposes are different from an individual and an industry perspective, which should be explicitly considered through the Bill. Furthermore, the participant argued that the fact that multiple purposes for data collection may arise should be taken into consideration and relevant provisions should be incorporated in the in Bill. Another participant argued that the issue of consent for data collection may be problematic, especially since the purpose of data collection may change in the process and while an individual may have given consent to the initial purpose for data collection, he/she may not have given consent to the purposes which evolved throughout the process. Thus, explicitly defining the instances for data collection may not be feasible.</p>
<h3 style="text-align: justify; ">Consent</h3>
<p style="text-align: justify; ">On the issue of consent, several participants argued that it would be important to distinguish between ´mandatory´ and ´optional´ information, as, although individuals may be forced by the government to hand over certain cases, in other cases they <i>choose </i>to disclose their personal data. Thus participants argued that the Bill should provide different types of privacy protections for these two separate cases. Other participants argued that the term ´consent´ varies depending on its context and that this should too be taken into consideration within the draft Privacy (Protection) Bill. It was also argued that a mechanism capable of gaining individual consent prior to data collection should be developed. However, a participant emphasized upon the fact that, in many cases, it is very difficult to gain individual consent for data collection, especially when individuals cannot read or write. Thus the need to include provisions for uneducated or disabled persons within the Bill was highly emphasized.</p>
<p style="text-align: justify; ">Further questions were raised in regards to the withdrawal of consent. Several participants argued that the draft Privacy (Protection) Bill should explicitly determine that all data is destroyed once an individual has withdrawn consent. Participants also argued that consent should also be a prerequisite to the collection, processing, sharing and retention of secondary users´ data, such as the data of individuals affiliated to the individual in question. A participant argued that there are two problematic areas of consent: (1) financial distribution (such as loans) and (2) every financial institution must store data for a minimum of seven to eight years. Having taken these two areas in consideration, the participant questioned whether it is feasible to acquire consent for such cases, especially since the purpose for data retention may change in the process. Participants also referred to extreme cases through which consent may not be acquired prior to the collection, processing, sharing and retention of data, such as in disastrous situations (e.g. earthquake) or in extreme medical cases (e.g. if a patient is in a coma), and suggested that relevant provisions are included in the Bill.</p>
<h3 style="text-align: justify; ">Data Disclosure</h3>
<p style="text-align: justify; ">In terms of data disclosure, several participants argued that the disclosure of data can potentially be a result of blackmail and that the Bill does not provide any provisions for such extreme cases. Furthermore, participants argued that although consent may be taken from an individual for a specific purpose, such data may be used in the process for multiple other purposes by third parties and that it is very hard to prevent this. It was recommended that the Bill should incorporate provisions to prevent the disclosure of data for purposes other than the ones for which consent was given.</p>
<p style="text-align: justify; ">A participant recommended that individuals are informed of the name of the Data Processor prior to the provision of consent for the disclosure of data, which could potentially increase transparency. Many participants raised questions in regards to the protection of data which goes beyond the jurisdiction of a country. It remains unclear how data will be processed, shared, retained when it is not handled within India and several participants argued that this should be encountered within the Bill.</p>
<h3 style="text-align: justify; ">Data Destruction</h3>
<p style="text-align: justify; ">In terms of data destruction, a participant emphasized upon the fact that the draft Privacy (Protection) Bill lacks provisions for the confirmation of the destruction of data. In particular, although the Bill guarantees the destruction of data in certain cases, it does not provide a mechanism through which individuals can be assured that their data has actually been deleted from databases. Another individual argued that since the purposes for data collection may change within the process, it is hard to determine the cases under which data can be destroyed. Since the purposes for data collection and data retention may change in time, the participant argued that it would be futile to set a specific regulatory framework for data destruction. Another participant emphasized upon the value of data and stated that although some data may appear to have no value today, it may in the future, which is why data should not be destroyed.</p>
<h3 style="text-align: justify; ">Data Processing</h3>
<p style="text-align: justify; ">In terms of data processing, participants argued that privacy protection complications have arisen in light of the social media. In particular, they argued that social media develop and expand technologically constantly and that it is very difficult to regulate the processing of data that may be conducted by such companies. A participant emphasized the difference between (1) the processing of data when it is being read and (2) the processing of data when it is being analysed. Such a distinction should be considered within the Bill, as well as the use of data which is being processed. Many participants distinguished between the primary and secondary use of data and argued that the secondary use of data should also be included in the privacy statements of companies.</p>
<p style="text-align: justify; ">However, participants also pointed out that purposes for the collection of data may overlap and that it may be difficult to distinguish between primary and secondary purposes for data collection. A participant disagreed with this argument and stated that it is possible to distinguish between primary and secondary purposes of data collection, as long as companies are transparent about why they are collecting information and about the purpose of its processing. This argument was seconded by another participant who argued that the specific purposes for the processing of data should be incorporated in the Bill.</p>
<p style="text-align: justify; ">In brief, the following questions with regards to chapter III of the bill were raised during the meeting:</p>
<ul style="text-align: justify; ">
<li>Should consent be required prior to the collection of data?</li>
<li>Should consent be acquired prior and after the disclosure of data? </li>
<li>Should the purpose of data collection be the same as the purpose for the disclosure of data?</li>
<li>Should an executive order or a court order be required to disclose data?</li>
<li>At the background of national security, anyone´s data can be under the ´suspicion list´. How can the disclosure of data be prevented in such circumstances? Non-criminals may have their data in the ´suspicion list´ and under national security, the government can disclose information; how can their information be protected in such cases?</li>
<li>An individual may not be informed of the collection, analysis, disclosure and retention of his/her data; how can an individual prevent the breach of his/her data?</li>
</ul>
<ul style="text-align: justify; ">
<li>Should companies notify individuals when they share their (individuals´) data with international third parties?</li>
</ul>
<p style="text-align: justify; "> </p>
<p style="text-align: justify; ">In brief, the following recommendations with regards to chapter III of the bill were raised during the meeting:</p>
<ul style="text-align: justify; ">
<li>The data subject has to be informed, unless there is a model contract. </li>
<li>The request for consent should depend on the type of data that is to be disclosed.</li>
<li>Some exceptions need to be qualified (for example, in instances of medical patients different exceptions may apply).</li>
<li>The shared data may be considered private data (need of a relevant regulatory framework).</li>
<li>An international agreement should deal with the sharing of data with international third parties - incorporating such provisions in Indian law would probably be inadequate.</li>
<li>If any country is not data-secure, there should be an approval mechanism for the transfer of data to such a country. </li>
<li>India could have an export law which would monitor which data is sensitive and should not be shared with international third parties.</li>
<li>The problem with disclosure is when there is an exception for certain circumstances </li>
<li>Records should be kept on individuals who disclose data; there should be a trail of disclosure, so that there can be more transparency and accountability. </li>
<li>Ownership of data is a controversial issue and so is the disclosure of data; consumers give up the ownership of their data when they share it with third parties and ergo cannot control its disclosure (or non-disclosure).</li>
<li>´Data ownership´ should be included in the definitions of the Bill. </li>
<li>What is the ´quality´ of data? The definition for ´quality´ under section 11 of the Bill is not well defined and should be improved.</li>
</ul>
<p> </p>
<h2 style="text-align: justify; ">Discussion of “Interception of Communications”: Chapter IV</h2>
<p style="text-align: justify; "> </p>
<p style="text-align: justify; ">The discussion on the interception of communications started off with a statement that 70 percent of the citizens in India are enrolled on “voice”, which means that the interception of communications affects a large proportion of the population in the country. A participant asked whether the body corporate in India should be treated as a telecommunications provider and whether it should be responsible for the interception of communications. Another participant argued that the disclosure of information should be closely regulated, even when it is being intercepted for judicial purposes. Many participants agreed that data which is collected and intercepted should not be used for other purposes other than the original purpose, as well as that such information should not be shared with third parties.</p>
<p style="text-align: justify; ">Questions were raised in regards to who should authorise the interception of communications and a participant recommended that a judicial warrant should be a prerequisite to the interception of communications in India. Some participants argued that the Bill should clearly specify the instances under which communications can be intercepted, as well as the legitimate purposes for interception. It was also argued that some form of ´check and balance´ should exist for the interception of communications and that the Bill should provide mechanisms to ensure that interception is carried out in a legal way. Several participants recommended that the Privacy Commissioner is mandated to approve the interception of communications, while questions were raised in regards to the sharing of intercepted data.</p>
<h2 style="text-align: justify; ">Discussion on self-regulation and co-regulation</h2>
<p> </p>
<p style="text-align: justify; ">The final session of the meeting consisted of a debate on self-regulation and co-regulation. Questions were raised in regards to how self-regulation and co-regulation could be enforced. Some participants recommended the establishment of sector regulations which would mandate the various forms of surveillance, such as a separate regulation for the UID scheme. However, this recommendation was countered by participants who argued that the government would probably not approve every sector regulation and that this would leave large areas of surveillance unregulated.</p>
<p style="text-align: justify; ">The participants who supported the self-regulation framework argued that the government should not intervene in the industry and that the industry should determine its own rules in terms of handling its customers´ data. Other participants supported the co-regulatory framework and argued that companies should cooperate with the Privacy Commissioner in terms of handling customers´ data, especially since this would increase transparency on how the industry regulates the use of customers´ data. The supporters of co-regulation supplemented this statement by arguing that the members of the industry should comply with regulations and that if they do not, there should be sanctions. Such arguments were countered by supporters of self-regulation, who stated that the industry should create its own code of conduct and that the government should not regulate its work.</p>
<p style="text-align: justify; ">Furthermore, it was argued that although government regulations for the handling of data could make more sense in other countries, in India, the industry became aware of privacy far sooner than what the government did, which is why a self-regulatory regime should be established in terms of handling data. Such arguments were countered by supporters of co-regulation who argued that the industry has vested interest in self-regulation, which should be countered by public policy. This argument was also countered by participants arguing that, given the high levels of corruption in India, the Privacy Commissioner in India may be corrupt and co-regulation may end up being ineffective. Other participants questioned this argument by stating that if India lacks legal control over the use of data by companies, individuals are exposed to potential data breaches. Supporters of co-regulation stated that the Privacy Commissioner should formulate a set of practices and both the industry and the government should comply with them.</p>
<h2 style="text-align: justify; ">Meeting conclusion</h2>
<p> </p>
<p style="text-align: justify; ">The second Privacy Round Table entailed a discussion of the definitions used in the draft Privacy (Protection) Bill 2013, as well as of chapters II, III and IV on the right to privacy, the protection of personal data and the interception of communications. The majority of the participants agreed that India needs a privacy legislation and that individuals´ data should be legally protected. However, participants disagreed in regards to how data would be safeguarded and the extent to which data collection, processing, sharing, disclosure, destruction and retention should be regulated. This was supplemented by the debate on self-regulation and co-regulation which concluded the meeting; participants disagreed on whether the industry should regulate the use of customers´ data autonomously from government regulation or whether the industry should co-operate with the Privacy Commissioner for the regulation of the use of data. Though a consensus was not reached in regards to co-regulation and self-regulation, the majority of the participants agreed upon the establishment of a privacy legislation which would safeguard individuals´ personal data. The major issue, however, with the creation of a privacy legislation in India would probably be its adequate enforcement.</p>
<p>
For more details visit <a href='https://cis-india.org/internet-governance/blog/report-on-the-2nd-privacy-round-table'>https://cis-india.org/internet-governance/blog/report-on-the-2nd-privacy-round-table</a>
</p>
</description>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:subject> SAFEGUARDS </dc:subject>
<dc:subject> Internet Governance </dc:subject>
<dc:subject> Privacy </dc:subject>
<dc:date> 2013-07-12T11:54:28Z </dc:date>
<dc:type> Blog Entry </dc:type>
</item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/report-on-the-2nd-privacy-round-table"> ... </item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/report-on-delhi-privacy-round-table.pdf">
<title>
Report on the 1st Privacy Round Table meeting - pdf
</title>
<link>
https://cis-india.org/internet-governance/blog/report-on-delhi-privacy-round-table.pdf
</link>
<description>
<b></b>
<p>
For more details visit <a href='https://cis-india.org/internet-governance/blog/report-on-delhi-privacy-round-table.pdf'>https://cis-india.org/internet-governance/blog/report-on-delhi-privacy-round-table.pdf</a>
</p>
</description>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:date> 2013-11-07T17:01:33Z </dc:date>
<dc:type> File </dc:type>
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<item rdf:about=" https://cis-india.org/internet-governance/blog/report-on-delhi-privacy-round-table.pdf"> ... </item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/report-on-the-first-privacy-round-table-meeting">
<title> Report on the 1st Privacy Round Table meeting </title>
<link>
https://cis-india.org/internet-governance/blog/report-on-the-first-privacy-round-table-meeting
</link>
<description>
<b>This report entails an overview of the discussions and recommendations of the first Privacy Round Table meeting in New Delhi, on 13th April 2013.</b>
<hr />
<p><i>This research was undertaken as part of the 'SAFEGUARDS' project that CIS is undertaking with Privacy International and IDRC.</i></p>
<hr />
<p style="text-align: justify; ">In furtherance of Internet Governance multi-stakeholder Initiatives and Dialogue in 2013, the Centre for Internet and Society (CIS) in collaboration with the Federation of Indian Chambers of Commerce and Industry (FICCI), is holding a series of six multi-stakeholder round table meetings on “privacy” from April 2013 to August 2013. DSCI will be joining the CIS as a co-organizer on 20 April 2013. The CIS is undertaking this initiative as part of their work with Privacy International UK on the SAFEGUARD project.</p>
<p style="text-align: justify; ">In 2012, the CIS was a member of the Justice AP Shah Committee which created the “Report of Groups of Experts on Privacy”. The CIS has recently drafted a Privacy (Protection) Bill 2013, with the objective of contributing to privacy legislation in India. The CIS has also volunteered to champion the session/workshops on “privacy” in the final meeting on Internet Governance proposed for October 2013.</p>
<p style="text-align: justify; ">At the roundtables the Report of the Group of Experts on Privacy and the text of the Privacy (Protection) Bill 2013 will be discussed. The discussions and recommendations from the six round table meetings will be presented at the Internet Governance meeting in October 2013.</p>
<p style="text-align: justify; "><span>The dates of the six Privacy Round Table meetings are enlisted below:</span></p>
<ol style="text-align: justify; ">
<li>New Delhi Roundtable: 13 April 2013</li>
<li>Bangalore Roundtable: 20 April 2013</li>
<li>Chennai Roundtable: 18 May 2013</li>
<li>Mumbai Roundtable: 15 June 2013</li>
<li>Kolkata Roundtable: 13 July 2013</li>
<li style="text-align: justify; ">New Delhi Final Roundtable and National Meeting: 17 August 2013</li>
</ol>
<p> </p>
<p>This <a href="https://cis-india.org/internet-governance/blog/report-on-delhi-privacy-round-table.pdf" class="internal-link">report </a>entails an overview of the discussions and recommendations of the first Privacy Round Table meeting in New Delhi, on 13th April 2013.</p>
<p> </p>
<h2><b>Overview of Justice A P Shah Report: Purpose, Principles and Framework</b></h2>
<p style="text-align: justify; ">The Delhi Privacy Round Table meeting began with an overview of the Report of the Group of Experts on Privacy, by the Justice AP Shah Committee. The report recommends a potential framework for privacy in India, including detailing nine privacy principles and a regulatory framework. India currently lacks a privacy legislation and during the meeting it was pointed out that the protection of personal data in India is a highly significant issue, especially in light of the UID scheme. The Report of the Group of Experts on Privacy has guided the draft of the Privacy (Protection) Bill 2013 by CIS and will potentially guide the creation of privacy legislation by the Government of India.</p>
<p style="text-align: justify; ">During the discussion on the report, a participant stated that, although a privacy legislation should be enacted in India to protect individuals´ personal data, commercial interests should not be endangered in the name of privacy. In particular, he called upon the need for the creation of a comprehensive privacy law in India and argued that although privacy should be protected, it should not have a negative impact on cloud computing, social media and on online businesses. Thus, the participant emphasized upon the creation of “light-weight” privacy legislation, which would protect individual´s right to privacy, without infringing upon the interests of the private sector.</p>
<p style="text-align: justify; ">Following the presentation of the privacy principles of the Justice AP Shah Report, the participants of the meeting made many comments on the feasibility of applying these principles within privacy legislation. In particular, a participant stated that setting a specific data retention framework is a very complicated issue, since the storage of data depends on many factors, some of which are:</p>
<ul style="text-align: justify; ">
<li>The purpose of the collection of data</li>
<li>The purpose behind the collection of data may change within the process and may require a longer retention period, depending on the case</li>
<li>Data is shared with third parties and it is hard to control how long they retain the data for</li>
<li>Every type of data serves a different purpose and it is hard to set a universal data retention regulatory framework for all different types of data</li>
</ul>
<p style="text-align: justify; ">Some participants argued that the nature of technological evolution should be considered within the privacy principles framework, in the sense that privacy is a fundamental human right to the extent that it does not disrupt other human rights and interests, such as those of companies. Many questions were raised in regards to data collection, one of them being: When data is collected for two different purposes, should an individual be eligible to single access of both types of data? Many other questions were raised in regards to co-regulation and self-regulation. In particular, a participant argued that, based on international experience, India will not be able to enforce self-regulation. On self-regulation in the United States, a participant stated that there are fifty laws which deal with certain aspects of privacy. The participant suggested that India follows the U.S. model, since self-regulation is more effective when the industry is involved, rather than when the government just imposes laws in a top-down manner. The United States enables the involvement of the industry in self-regulation and a participant recommended the same for India, as well as that the standards for co-regulation and self-regulation are approved by the Privacy Commissioner.</p>
<p style="text-align: justify; ">While identifying the clash between the right to privacy and the right to information, participants argued that safeguards are essential in a co-regulation framework, to ensure transparency. It was emphasized that India has a history of corruption and abuse of government power, which increases the probability of self-regulation in the country not being successful. India is currently facing serious problems of accountability and lack of transparency, and participants argued that a solid legal privacy framework would have to be reached, which would not require a legal amendment every other month. Participants pointed out that, within the privacy context, it is highly significant to identify where incentives lie and to regulate the Privacy Commissioner. Currently, if an officer denies access to information, it could take at least a year and a half before being authorised access to information. Participants argued that IT companies and law enforcement agencies should be enabled to access information and that the denial of access to information by the Privacy Commissioner should be regulated. In particular, participants referred to examples from the UK and questioned whether Privacy Commissioners should be considered public authorities.</p>
<p style="text-align: justify; ">The need to find a mechanism which would inform individuals of how their data is used was discussed during the meeting. A debate revolved around the question of whether the Indian government should inform an individual, once that individual´s personal information has been collected, used, processed and retained. Many participants argued that since customers decide to use their products, they should comply with the companies´ method of handling data and they should trust that the company will not misuse that data. This argument was countered by other participants, who argued that companies should be accountable as to how they handle customers´ data and that the sharing of customer data without the individual´s prior knowledge or consent could lead to data breaches and human rights violation.</p>
<p style="text-align: justify; ">The first hour of the meeting concluded that self-regulation should be considered in regards to IT companies dealing with customers´ data, but a consensus on whether companies should inform individuals of how their data is being used was not reached. Nonetheless, everyone in the meeting agreed upon the need to introduce privacy legislation in India, especially since phone tapping and the interception of communications is a widespread phenomenon in the country. India currently lacks rules for CDRs and the introduction of procedures and laws which would regulate the interception of communications in India was generally agreed upon throughout the first session of the meeting, even though the technical details of how data would be used by the private sector remained controversial.</p>
<h3 style="text-align: justify; ">Discussion Highlights:</h3>
<ul style="text-align: justify; ">
<li>The pros and cons of self-regulation and co-regulation</li>
<li>The national privacy principles – and how to build in insurance for technology</li>
<li>The role of the Privacy Commissioner</li>
<li>The definition of terms used in the draft Privacy (Protection) Bill 2013 </li>
</ul>
<p style="text-align: justify; "> </p>
<h2><b>Overview, explanation and discussion on the Privacy (Protection) Bill 2013</b></h2>
<p style="text-align: justify; ">The second session of the meeting began with an overview of the Privacy (Protection) Bill 2013, which was drafted by the Centre for Internet and Society (CIS) and represents a citizen´s version of a privacy legislation for India. The Bill entails chapters on the definition of privacy, personal data, interception, surveillance and the Privacy Commissioner. The surveillance chapter was not thoroughly discussed during the meeting, as it is primarily handled from a criminal law perspective and the majority of the participants were from the IT sector.</p>
<p style="text-align: justify; ">During the meeting, the possibility of splitting the Bill was discussed. In particular, if separated, one Bill would focus on personal data and interception, while the second would focus on the criminal justice system. This would broadly be along the lines of the Canadian regime, which has two separate legislations to deal with privacy in the private and public sector.</p>
<p style="text-align: justify; ">Participants discussed the possibility of narrowing down the scope of the exceptions to the right to privacy, and made the critique that the Bill does not include any provisions for co-regulation and self-regulation. Many participants insisted that self-regulation should be included in the Bill, while other participants pointed out that the Bill does not provide protection for very several types of data, such as sexual orientation, caste and religion, which may be problematic in the future.</p>
<p style="text-align: justify; ">As the draft Privacy (Protection) Bill 2013 may possibly clash with pre-existing laws, such as the IT Act, participants recommended that new definitions be created, to ensure that the proposed privacy legislation coincides with other contradicting legislation. Many questions were raised in regards to how personal data in the public sector would be distinguished by personal data in the private sector. Other questions were raised on the harmonization of the Privacy Bill with the Right to Information Act, as well as on the redefinition of surveillance and interception, their changing nature and the difficulties of regulating them.</p>
<p style="text-align: justify; ">Many participants agreed that India´s proposed Privacy Law should meet <i>global standards </i>in order to attract more customers to Indian IT companies. However, a participant disagreed with this notion and argued that privacy principles generally differ depending on the social, economic, political and cultural status of a country and that the same universal privacy principles should not be imposed upon all countries. The participant argued that India should not copy global standards, but should instead create parallel legislation which would be interoperable with global standards.</p>
<p style="text-align: justify; ">The issue of to whom privacy laws would apply to was thoroughly discussed during the meeting. In particular, questions were raised in regards to whether privacy legislation would only apply to Indian individuals, or if it would also apply to international individuals using services and/or products by Indian IT companies. The data protection of customers beyond India remains vague and this was thoroughly discussed, while participants disagreed upon this issue. According to the draft Privacy (Protection) Bill 2013, consent needs to be taken from the individual, but it remains unclear whether that would be applicable to international customers. Questions were raised on how Indian IT companies would gain consent on the use of data by customers of foreign countries, especially since different laws apply to each country.</p>
<p style="text-align: justify; ">The second session of the meeting also entailed a debate on the disclosure of data to intelligence agencies by IT companies. Public authorities often request data from IT companies, on the grounds of national security and the prevention of crime and terrorism. However, questions were raised on whether companies should inform the individual prior to disclosing data to public authorities, as well as on whether certain terms, such as ´data´, should be reconceptualised.</p>
<p style="text-align: justify; ">The term ´sensitive personal data´ was analysed in the meeting and it was argued that it entails data such as sexual orientation, religion, caste and health records among others. The participants emphasized the significance of the Bill explicitly including the protection of all sensitive personal data, as well as the need to provide requirements for using personal data in both the private and public sphere. Some participants suggested that the Privacy Commissioner in India be empowered with the authority to define the term ´sensitive personal data´ and that he/she not only ensures that all such data is legally protected, but also that health data is included within the definition of the term. A participant backed up the need to closely define the term ´sensitive personal data´, by arguing that a loose definition of the term, which would not include ethnic origin, could lead to social violence and tension and thus the necessity to strictly define the term is highly essential.</p>
<p style="text-align: justify; ">Throughout the meeting it was pointed out that the Bill only deals with three aspects of privacy: personal data, surveillance and interception of communications. According to the draft Privacy (Protection) Bill 2013, an individual has the right to install surveillance technology in his/her private property, as long as that technology does not monitor other individuals in private areas. A participant asked about the balance between internet freedom and privacy, whether that should be included in the Bill and whether exemptions to privacy should be included within those lines. Other participants asked whether CDR records should be placed under privacy exemptions and whether the public disclosure of surveillance should be prohibited by the Bill. The need to redefine ´public figures´ was also emphasized in the meeting, as the threshold for public disclosure of data remains unclear. Some participants argued that the public disclosure of data should be prohibited, as this may potentially have severe effects on vulnerable groups of people, such as victims of violence. However, several participants disagreed by arguing that disclosure of data in the name of public interest should be enabled.</p>
<p style="text-align: justify; ">During the meeting several participants argued that the fact that many social networking sites and other online social media enable individuals to publicize their personal data makes it even harder to protect their online privacy. A participant emphasized the need to take freedom of expression into consideration, as it significantly enables individuals to disclose their personal data and increases the probability of online data breaches. Thus, it was argued that the draft Bill should distinguish between private data and private data being made publicly available. However, a participant argued that publicly available data depends on <i>where </i>it is being broadcasted. To support this argument, an example was brought forward of an individual uploading a video on YouTube and that same video being broadcasted on national television. Thus the context in which data is made publicly available is highly significant and should be outlined within the draft Privacy Bill.</p>
<p style="text-align: justify; ">The meeting proceeded to a discussion on the interception of communications and a participant claimed that a major privacy abuse is to intercept communications without a warrant or a legal order, and to request for authorisation once the interception has already being conducted. It was argued that, in any case, legal authorisation prior to any interception should be a prerequisite and should be highlighted in the draft Privacy Bill. However, another participant argued that currently, the interception of communications needs to be legally authorised within seven days and that prior authorisation should not be a prerequisite. This argument was supported by the statement that in extreme cases, the conditions may not enable prior authorisation. Many participants then questioned this practice by asking what happens in cases when authorisation is not granted within seven days after an interception and whether the agencies conducting the interception would be accountable. An assertive answer was not given, but the majority of the participants appeared to agree upon the need for legal authorisation prior to any interception.</p>
<p style="text-align: justify; ">The second session of the meeting concluded to the significance of the principles of notice and consent, which should apply in every case, prior to every interception of communications and in regards to the handling of all individuals´ personal data.<span> </span></p>
<h3>Discussion Highlights:</h3>
<ul>
<li>If the draft Privacy (Protection) Bill 2013 should be split to two separate Bills</li>
<li><span>Definition for the term ´sensitive personal data´ (to include broader categories, such as health data)</span></li>
<li>If personal data should be distinguished in the private and public sector</li>
<li>If the draft Privacy (Protection) Bill 2013 should comply with global privacy standards</li>
<li>The nuances of consumer consent</li>
<li>Various ways to define ´public figures´</li>
<li>Freedom of expression in the context of the draft Privacy (Protection) Bill 2013 </li>
<li>The distinction between exemptions and exceptions</li>
</ul>
<p> </p>
<h2><b>In depth explanation and discussions regarding the Privacy (Protection)</b></h2>
<h2><b> Bill 2013</b></h2>
<p style="text-align: justify; ">The third and final session of the Privacy Round Table began with a discussion on data collection. In particular, a participant stated that data collection should not be defined for a specific purpose, as the purposes for data collection constantly change. This argument was supported by the statement that privacy provisions can negatively affect a company and reduce its earnings, since restricting the instances for data collection ultimately restricts the services a company can provide (such as advertising). Thus it was strongly argued that data collection should not be restricted to ´specific purposes´, because such purposes can constantly change and all such restrictions can have a negative impact on both the industry and on intelligence agencies carrying out crime investigations. Other participants countered this argument by stating that the term ´necessary information´ is too broad and vague and could create a potential for abuse, which is why data collection should be restricted to specific instances which are legally justified.</p>
<p style="text-align: justify; ">The idea that Internet users should be given the right or the option not to be tracked was emphasized during the meeting. It was suggested that the draft Privacy Bill entails provisions which would oblige IT companies and intelligence agencies to inform an individual prior to the tracking of data and to request consent. This argument was supported by the statement that IT companies should protect the interest of the people, especially in terms of data mining and analytics. All such arguments were countered by a participant who stated that the collateral damage surrounding privacy needs to be acknowledged. This statement was supported by the argument that, although it is important to safeguard individuals´ right to privacy, regulations should not infringe upon the rights and interests of companies. In particular, it was argued that a deterrent law should not be created and that it should be acknowledged that individuals <i>choose</i> to disclose a large amount of information.</p>
<p style="text-align: justify; ">The meeting proceeded to the discussion of the disclosure of data to third parties, and many participants argued that they should not be obliged to disclose the names of the parties they are sharing data with. It was argued that businesses prefer not to reveal the names of the third parties to which they are disclosing data to, as this would affect their competitive advantage in the market. This argument was supplemented by the statement that it would not be feasible to inform individuals every time their data is being shared and that not only would this affect a company´s competitive advantage in the market, but it would also be costly and time consuming. Instead of informing individuals every time their data is being shared, it was argued that companies are responsible for protecting their customers´ data and that those customers should trust companies with their data. A participant strongly argued that while companies are obliged to protect their customers´ data, they are not obliged to reveal the parties with whom they are sharing information with, as this would be highly inconvenient.</p>
<p style="text-align: justify; ">Many participants strongly reacted to these statements by arguing that customers should have the right to be informed of how their data is being used and with which parties it is being shared. A participant argued that a customer may not trust the parties that the company chooses to trust and thus every customer should be informed of the sharing of their data. The customer should be respected and should be informed about the sharing of his/her personal data with third parties, because when data is being outsourced, the customer can only hope that the third parties handling his/her data will not misuse it. Thus, customers ultimately lose control over their data and over their personal lives. In order to avoid potential privacy breaches and to empower individuals with control over their personal data and their lives, it was argued that companies should be obliged to inform individuals of the sharing of their data and that this provision should be included in the draft Privacy Bill.</p>
<p style="text-align: justify; ">A participant countered this argument by stating that when data is being automated, it is hard to identify the source of the data and that by providing transparency on which parties share customer data, companies would be put out of business. A participant responded to this argument by stating that companies only protect users´ data when they have an incentive to do so, which is why a liability element should be added to the Bill. Other participants supported the argument of not informing customers of the handling of their data by stating that even some of the biggest IT companies, such as Gmail, share customers data with third parties without informing individuals or gaining prior consent. Such arguments were supported by other participants who emphasized upon the futility of informing customers of the handling of their data, especially since the average customer would not understand the security setting of a server. Since the majority of online users lack the technological expertise to understand the security settings, all companies should do is provide a security assurance to their customers in regards to how their data is being used.</p>
<p style="text-align: justify; ">In terms of data retention, a participant repeated the argument that a specific regulatory framework for data retention should not be established, especially since the purpose of data collection may change within time. Thus it was emphasized that no data retention period should be included within the draft Privacy Bill.</p>
<p style="text-align: justify; ">In terms of transparency, some participants argued that IT companies should submit detailed reports on how they are using customers’ data to the Privacy Commissioner, but not to the public. In particular, many participants emphasized that a co-regulation framework should be implemented for the use of data, through which IT companies would regulate the use of data in co-operation with the Privacy Commissioner. Under a co-regulation framework, the public would be excluded from the right to receive detailed reports on how data is being used. Yet, participants emphasized that companies would be in compliance with regulations on data protection and security, which would ensure that customers´ data is not breached.</p>
<p style="text-align: justify; ">Such arguments were countered by other participants, who argued that a tremendous amount of significance lies in informing online users of what type of data is being collected, whether it is being analysed and processed, why it is being collected and with which parties it is being shared with. Such questions are considered to be crucial elements of privacy, especially since privacy means that individuals are able to share some data with some individuals, and choose not to share the same or other data with other individuals. The practices of non-disclosure supported by some participants appear to be infringing upon the core of privacy. The participants emphasized that privacy cannot be protected if companies are not accountable in regards to how they handle data.</p>
<p style="text-align: justify; ">The fact that companies can use meta-data for research purposes was mentioned in the meeting, which called upon the need to redefine the term ´data´. Questions were raised in regards to how data can be deleted once used within analytics. Some participants referred to the ´Right to be Forgotten´ debate and stated that the deletion of data, in many cases, is not feasible. A participant stated that some data is very sensitive and that companies should be responsible for deciding on how such data should be handled. Data should not be disclosed for the sake of being disclosed, but companies should decide upon the disclosure, retention and destruction of data based on how sensitive its content is. The participant emphasized that customers directly or indirectly give their consent to their data being handled by companies when they use their products and if they do not agree with the security assurances provided by the companies, then they should use a different product or service. However, this argument was countered by several participants who argued that online consumers do not always have an alternative choice and that there is a difference between the bargaining powers of consumers around the world. Some consumers may be socially pressured into using a specific product or service, or may not have an alternative option and the example of Facebook was brought up. Participants argued that given that consumers do not always have a choice to use or not use a specific online service, their data should be protected regardless of consent.</p>
<p style="text-align: justify; ">The debate on the destruction of data continued with participants arguing that companies should not have to destroy all personal data and that such restrictions should only apply to ´sensitive personal data´. The need for the redefinition of the term ´sensitive personal data´ in the draft Privacy Bill was emphasized again, as well as participants´ concern that the purpose behind the collection of data may change within the process and that the regulations which apply in such cases remain vague. In response to issues revolving around the collection of data, a participant recommended the regulation of instances under which data should <i>not </i>be used. In terms of consent, several participants argued that it is not rational to expect consumers to give consent for the future (indefinite) use of their data, as this may expose them to future threats which they may have not considered when granting initial consent.</p>
<p style="text-align: justify; ">The meeting proceeded to discuss the processing of data and several participants emphasized upon the need to gain consent, whilst others disagreed for the reasons mentioned above. On the disclosure of data, a participant stated that companies can be approached by law enforcement agencies for multiple purposes and that it is usually hard for companies to define the cases under which information is disclosed. Other participants disagreed with the disclosure of data when it is being collected and analysed for investigatory purposes and argued that regulations on the disclosure of data should not be applicable to intelligence agencies. <span> </span></p>
<h3>Discussion Highlights:</h3>
<ul>
<li>The different instances of data collection and consumer consent</li>
<li>The nuances of data sharing </li>
<li>The issue of consumer consent and security assurances offered by companies</li>
<li>The pros and cons of having a data retention regulatory framework</li>
<li>How transparency is incorporated into the draft Privacy Protection Bill 2013 </li>
<li>What is needed in provisions that speak to data destruction</li>
</ul>
<h2>Meeting conclusion</h2>
<p style="text-align: justify; ">The general conclusion of the meeting was that self-regulation should be encouraged, as IT companies should provide security assurances to their consumers and regulate the collection, use, analysis, sharing and retention of their data. There was some discussion on the possibility of introducing co-regulation between IT companies and the Privacy Commissioner, but most participants appeared to prefer self-regulation. All participants in the meeting agreed upon the necessity to introduce a Privacy Bill in India which would safeguard individuals´ right to privacy and other human rights. However, the debate revolved around the definition of terms used in the Bill, whether consent should be a prerequisite to the collection, use, analysis, processing and retention of data, as well as whether companies should be obliged to inform consumers of the sharing, disclosure and destruction of their data.</p>
<p style="text-align: justify; ">Following the first Privacy Round Table meeting on the Privacy (Protection) Bill 2013, the discussion between various stakeholders will continue in the next national round table meetings throughout the year 2013. Following the Delhi Privacy Round Table, corrections have been incorporated into the <a href="https://cis-india.org/internet-governance/blog/privacy-protection-bill-2013-with-amendments-based-on-public-feedback" class="internal-link">Privacy Protection Bill, 2013</a> based on participants´ feedback, concerns, comments and ideas.</p>
<p>
For more details visit <a href='https://cis-india.org/internet-governance/blog/report-on-the-first-privacy-round-table-meeting'>https://cis-india.org/internet-governance/blog/report-on-the-first-privacy-round-table-meeting</a>
</p>
</description>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:subject> SAFEGUARDS </dc:subject>
<dc:subject> Internet Governance </dc:subject>
<dc:subject> Privacy </dc:subject>
<dc:date> 2013-07-30T11:11:11Z </dc:date>
<dc:type> Blog Entry </dc:type>
</item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/report-on-the-first-privacy-round-table-meeting"> ... </item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/indias-big-brother-the-central-monitoring-system">
<title>
India's 'Big Brother': The Central Monitoring System (CMS)
</title>
<link>
https://cis-india.org/internet-governance/blog/indias-big-brother-the-central-monitoring-system
</link>
<description>
<b>In this post, Maria Xynou looks at India´s Central Monitoring System (CMS) project and examines whether it can target individuals´ communications data, regardless of whether they are involved in illegal activity.</b>
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<p><i>This research was undertaken as part of the 'SAFEGUARDS' project that CIS is undertaking with Privacy International and IDRC</i>.</p>
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<p style="text-align: justify; ">Starting from <a href="http://www.ciol.com/ciol/news/184770/governments-central-monitoring-system-operational-soon">this month</a>, all telecommunications and Internet communications in India will be analysed by the government and its agencies. What does that mean? It means that everything we say or text over the phone, write, post or browse over the Internet will be centrally monitored by Indian authorities. This totalitarian type of surveillance will be incorporated in none other than the Central Monitoring System (CMS).</p>
<h2><b>The Central Monitoring System (CMS)</b></h2>
<p style="text-align: justify; "><span>The Central Monitoring System (CMS) may just be another step in the wrong direction, especially since India currently lacks privacy laws which can protect citizens from potential abuse. Yet, all telecommunications and Internet communications are to be monitored by Indian authorities through the CMS, despite the fact that it remains </span><a href="http://www.lossofprivacy.com/index.php/2009/11/india-to-set-up-a-central-monitoring-system/">unclear how our data will be used</a><span>.</span></p>
<p style="text-align: justify; "><span>The CMS was prepared by the Telecom Enforcement, Resource and Monitoring (TREM) and by the Centre for Development of Telematics (C-DoT) and is being manned by the Intelligence Bureau. The CMS project is likely to start operating this month and the </span><a href="http://newindianexpress.com/nation/article1300012.ece">government plans</a><span> on creating a platform that will include all the service providers in Delhi, Haryana and Karnataka. The </span><a href="http://cactusblog.files.wordpress.com/2010/01/it_act_2008.pdf">Information Technology Amendment Act 2008</a><span> enables e-surveillance and central and regional databases will be created to help central and state level law enforcement agencies in interception and monitoring. Without any manual intervention from telecom service providers, the CMS will equip government agencies with Direct Electronic Provisioning, filters and alerts on the target numbers. The CMS will also enable </span><a href="http://www.nextbigwhat.com/indian-government-to-setup-centralized-communication-monitor-system-297/">Call Data Records (CDR) analysis and data mining</a><span> to identify the personal information of the target numbers.</span></p>
<p style="text-align: justify; "><span>The estimated set up cost of the CMS is</span><a href="http://www.ciol.com/ciol/news/184770/governments-central-monitoring-system-operational-soon"> Rs. 4 billion</a><span> and it will be connected with the Telephone Call Interception System (TCIS) which will help monitor voice calls, SMS and MMS, fax communications on landlines, CDMA, video calls, GSM and 3G networks. Agencies which will have access to the CMS include the Research and Analysis Wing (R&AW), the Central Bureau of Investigation (CBI), the National Investigation Agency (NIA), the Central Board of Direct Taxes (CBDT), the Narcotics Control Bureau, and the Enforcement Directorate (ED). In particular, last October, </span><a href="http://www.zdnet.com/in/india-agency-petitions-for-monitoring-system-7000005762/">the NIA approached the Department of Telecom</a><span> requesting its connection with the CMS, which would help it intercept phone calls and monitor social networking sites </span><a href="http://articles.timesofindia.indiatimes.com/2012-10-15/internet/34471762_1_loknath-behera-nia-dot">without the cooperation of telcos.</a><span> However, the NIA is</span><a href="http://newindianexpress.com/nation/article1300012.ece"> currently monitoring eight out of 10,000 telephone lines </a><span>and if it is connected with the CMS, the NIA will also get access to e-mails and other social media platforms. Essentially, the CMS will be converging all the interception lines at one location and Indian law enforcement agencies will have access to them. The CMS will also be capable of </span><a href="http://www.zdnet.com/in/india-agency-petitions-for-monitoring-system-7000005762/">intercepting our calls and analyzing our data on social networking sites</a><span>. Thus, even our attempts to protect our data from ubiquitous surveillance would be futile.</span></p>
<p style="text-align: justify; "><span>In light of the CMS being installed soon, the Mumbai police took the initiative of setting up a </span><a href="http://www.google.com/hostednews/afp/article/ALeqM5iVMgMkOgpXOTaon2VoLdvu2x5oyg?docId=CNG.6d8f555d3498b94bac2fb1046fc7d3a6.4a1%20,%20http://m.timesofindia.com/articleshow/19040572.cms">´social media lab´</a><span> last month, which aims to monitor Facebook, Twitter and other social networking sites. This lab would be staffed by 20 police officers who would keep an eye on issues being publicly discussed and track matters relating to public security. According to </span><a href="http://www.google.com/hostednews/afp/article/ALeqM5iVMgMkOgpXOTaon2VoLdvu2x5oyg?docId=CNG.6d8f555d3498b94bac2fb1046fc7d3a6.4a1%20,%20http://m.timesofindia.com/articleshow/19040572.cms">police spokesman Satyanarayan Choudhary</a><span>, the lab will be used to identify trends among the youth and to plan law and order accordingly. However, fears have arisen that the lab may be used to stifle political debate and freedom of expression. The </span><a href="http://www.bbc.co.uk/news/world-asia-india-20405457">arrest of two Indian women last November over a Facebook post</a><span> which criticized the shutdown of Mumbai after the death of politician Bal Thackeray was proof that the monitoring of our communications can potentially oppress our freedom and human rights. And now that all our online activity will be under the microscope...will the CMS security trade-off be worth it?</span></p>
<h2><b>Surveillance in the name of Security</b></h2>
<p style="text-align: justify; "><span>In a digitised world,</span><a href="http://www.businessrevieweurope.eu/technology/software/addressing-the-cyber-security-threat"> threats to security have been digitised</a><span>. Terrorism is considered to be a </span><a href="http://www.rorg.no/Artikler/869.html">product of globalisation</a><span> and as such, the Internet appears to be a tool used by terrorists. Hence governments all around the world are convinced that </span><a href="http://www.slate.com/blogs/future_tense/2012/12/13/national_counterterrorism_center_s_massive_new_surveillance_program_uncovered.html">surveillance is probably one of the most effective methods in detecting and prosecuting terrorists</a><span>, as all movement, action, interests, ideas and everything else that could define an individual are closely being monitored under the ´surveillance umbrella´ True; if everything about our existence is being closely monitored and analysed, it seems likely that we will instantly be detected and prosecuted if engaged in illegal activity. But is that the case with big data? According to </span><a href="http://www.schneier.com/blog/archives/2006/03/data_mining_for.html">security expert Bruce Schneier</a><span>, searching for a terrorist through data mining is like looking for a needle in a haystack. Generally, the bigger the amount of data, </span><a href="http://www.statsoft.com/textbook/data-mining-techniques/">the bigger the probability of an error in matching profiles</a><span>. Hence, when our data is being analysed through data mining of big data, the probability of us being charged for a crime we did not commit is real. Nonetheless, the CMS is going to start operating soon in an attempt to enable law enforcement agencies to tackle crime and terrorism.</span></p>
<p style="text-align: justify; "><span>A few days ago, I had a very interesting chat with an employee at </span><a href="http://www.sas.com/offices/asiapacific/india/company/index_india.html">SAS Institute (India) Pvt. Ltd.</a><span> in Bangalore, which is a wholly owned subsidiary of</span><a href="http://www.sas.com/company/about/index.html"> SAS Institute Inc</a><span>. SAS is a company which produces </span><a href="http://www.sas.com/company/about/index.html">software solutions and services</a><span> to combat fraud in financial services, identify cross-sell opportunities in retail, and all the business issues it addresses are based on three capabilities: information management, analytics and business intelligence. Interestingly enough, SAS also produces</span><a href="http://www.sas.com/solutions/fraud/social-network/#section=1"> social network analysis</a><span> which ´helps institutions detect and prevent fraud by going beyond individual and account views to analyze all related activities and relationships at a network dimension´. In other words, social network analysis by SAS would mean that, through Facebook, for example, all of an individual's´ interests, activities, habits, relationships and everything else that could be, directly or indirectly, linked to an individual would be mapped out in relation to other individuals. If, for example, several individuals appear to have mutual interests and activities, there is a high probability that an individual will be associated with the same type of organization as the other individuals, which could potentially be a terrorist organization. Thus, an essential benefit of the social network analysis solution is that it </span><a href="http://www.sas.com/solutions/fraud/social-network/#section=3">uncovers previously unknown network connections and relationships</a><span>, which significantly enables more efficient investigations.</span></p>
<p style="text-align: justify; "><span>According to the SAS employee I spoke to, the company provides social network analysis to Indian law enforcement agencies and aims at supporting the CMS project in an attempt to tackle crime and terrorism. Furthermore, the SAS employee argued that their social network analysis solution only analyzes open source data which is either way in the public online domain, hence respecting individuals´ online privacy. In support of the Mumbai ´social media lab´, </span><a href="http://m.timesofindia.com/city/mumbai/Social-media-lab-cant-keep-a-tab-on-all-social-media-users-Experts/articleshow/19027308.cms">cyber security expert, Vijay Mukhi</a><span>, argued:</span></p>
<blockquote class="italized"><i>´There may be around 60 lakh twitter users in the city and millions of other social media network users. The police will require a budget of around Rs 500 crore and huge resources such as complex software, unique bandwidth and manpower to keep a track of all of them. To an extent, the police can monitor select people who have criminal backgrounds or links with anti-social or anti-national elements...[...]...Even the apprehension that police is reading your tweet is wrong. The volume of networking on social media sites is beyond anybody's capacity. Deleting any user's message is humanly impossible. It is even difficult to find the origin of messages and shares. However, during the recent Delhi gangrape incident such monitoring of data in public domain helped the police gauge the mood of the people.´</i></blockquote>
<p style="text-align: justify; "><a href="http://m.timesofindia.com/city/mumbai/Social-media-lab-cant-keep-a-tab-on-all-social-media-users-Experts/articleshow/19027308.cms">Another cyber security expert</a><span> argued that the idea that the privacy of our messages and online activity would be intercepted is a misconception. The expert stated that:</span></p>
<blockquote class="italized"><i>´The police are actually looking out for open source intelligence for which information in public domain on these sites is enough. Through the lab, police can access what is in the open source and not the message you are sending to your friend.´</i></blockquote>
<p style="text-align: justify; "><a href="http://m.timesofindia.com/city/mumbai/Social-media-lab-cant-keep-a-tab-on-all-social-media-users-Experts/articleshow/19027308.cms">Cyber security experts</a><span> also argued that the purpose of the creation of the Mumbai social media lab and the CMS in general is to ensure that Indian law enforcement agencies are better informed about current public opinion and trends among the youth, which would enable them to take better decisions on a policy level. It was also argued that, apparently, there is no harm in the creation of such monitoring centres, especially since other countries, such as the U.S., are conducting the same type of surveillance, while have enacted stringent privacy regulations. In other words, the monitoring of our communications appears to be justified, as long as it is in the name of security.</span></p>
<h2><b>CMS targeting individuals: myth or reality?</b></h2>
<p style="text-align: justify; "><span>The CMS is not a big deal, because it will not target us individually...or at least that is what </span><a href="http://m.timesofindia.com/city/mumbai/Social-media-lab-cant-keep-a-tab-on-all-social-media-users-Experts/articleshow/19027308.cms">cyber security experts</a><span> in India appear to be claiming. But is that really the case? Lets look at the following hypothesis:</span></p>
<blockquote class="quoted"><i>The CMS can surveille and target individuals, if Indian law enforcement agencies have access to individuals content and non-content data and are simultaneously equipped with the necessary technology to analyse their data.</i></blockquote>
<p style="text-align: justify; "><span>The two independent variables of the hypothesis are: (1) Indian law enforcement agencies have access to individuals´ content and non-content data, (2) Indian law enforcement agencies are equipped with the necessary technology to analyse individuals´ content and non-content data. The dependent variable of the hypothesis is that the CMS can surveille and target individuals, which can only be proven once the two independent variables have been confirmed. Now lets look at the facts.</span></p>
<p style="text-align: justify; "><span>The </span><a href="http://bigbrotherinc.org/v1/India/">surveillance industry in India</a><span> is a vivid reality. </span><a href="http://www.clear-trail.com/">ClearTrail</a><span> is an Indian surveillance technology company which provides communication monitoring solutions to law enforcement agencies around the world and which is a regular sponsor of ISS world surveillance trade shows. In fact, ClearTrail </span><a href="http://www.issworldtraining.com/iss_mea/sponsors2.html">sponsored the ISS world surveillance trade show in Dubai </a><span>last month - another opportunity to sell its surveillance technologies to law enforcement agencies around the world. ClearTrail´s </span><a href="http://wikileaks.org/spyfiles/files/0/111_CLEARTRAIL.pdf">solutions</a><span> include, but are not limited to, mass monitoring of IP and voice networks, targeted IP monitoring, tactical Wi-Fi monitoring and off-the-air interception. Indian law enforcement agencies are equipped with such technologies and solutions and thus have the technical capability of targeting us individually and of monitoring our ´private´ online activity.</span></p>
<p style="text-align: justify; "><a href="http://www.shoghicom.com/">Shoghi Communications Ltd.</a><span> is just another example of an Indian surveillance technology company. WikiLeaks has published a</span><a href="http://wikileaks.org/spyfiles/files/0/160_SHOGI-2006-semiactive_gsm_monitoring.pdf"> brochure</a><span> with one of Shoghi´s solutions: the Semi Active GSM Monitoring System. This system can be used to intercept communications from any GSM service providers in the world and has a 100% target call monitor rate. The fact that the system is equipped with IMSI analysis software enables it to extract the suspect´s actual mobile number from the network without any help from the service provider. Indian law enforcement agencies are probably being equipped with such systems by Shoghi Communications, which would enable the CMS to monitor telecommunications more effectively.</span></p>
<p style="text-align: justify; "><span>As previously mentioned, SAS provides Indian law enforcement agencies </span><a href="http://www.sas.com/solutions/fraud/social-network/">social network analysis solutions</a><span>. In general, many companies, Indian and international, produce </span><a href="http://wikileaks.org/the-spyfiles.html">surveillance products and solutions</a><span> which they supply to law enforcement agencies around the world. However, if such technology is used solely to analyse open source data, how do law enforcement agencies expect to detect criminals and terrorists? The probability of an individual involved in illegal activity to disclose secrets and plans in the public online sphere is most likely significantly low. So given that law enforcement agencies are equipped with the technology to analyse our data, how do they get access to our content data in order to detect criminals? In other words, how do they access our ´private´ online communications to define whether we are a terrorist or not?</span></p>
<p style="text-align: justify; "><span>Some of the biggest online companies in the world, such as Google and Microsoft, </span><a href="http://www.nytimes.com/2013/03/22/technology/microsoft-releases-report-on-law-enforcement-requests.html?_r=0">disclose our content data to law enforcement agencies</a><span> around the world. Sure, a lawful order is a prerequisite for the disclosure of our data...but in the end of the day, law enforcement agencies </span><i>can </i><span>and </span><i>do </i><span>have access to our content data, such as our personal emails sent to friends, our browsing habits, the photos we sent online and every other content created or communicated via the Internet. </span><a href="http://www.engadget.com/tag/transparencyreport/">Law enforcement requests reports </a><span>published by companies, such as Google and </span><a href="https://cis-india.org/internet-governance/blog/microsoft-releases-first-report-on-data-requests-by-law-enforcement-agencies">Microsoft</a><span>, confirm the fact that law enforcement agencies have access to both our</span><a href="http://blogs.technet.com/b/microsoft_on_the_issues/archive/2013/03/21/microsoft-releases-2012-law-enforcement-requests-report.aspx"> content and non-content data</a><span>, much of which was disclosed to Indian law enforcement agencies. Thus, having access to our ´private´ online data, all Indian law enforcement agencies need is the technology to analyse our data and match patterns. The various surveillance technology companies operating in India, such as </span><a href="http://wikileaks.org/spyfiles/files/0/111_CLEARTRAIL.pdf">ClearTrail</a><span> and </span><a href="http://wikileaks.org/spyfiles/files/0/160_SHOGI-2006-semiactive_gsm_monitoring.pdf">Shoghi Communications</a><span>, ensure that Indian law enforcement agencies are equipped with the necessary technology to meet these ends.</span></p>
<p style="text-align: justify; "><span>The hypothesis that the CMS can surveille and target us individually can be confirmed, since Indian law enforcement agencies have access to our content and non-content data, while simultaneously being equipped with the necessary technology to analyse our data. Thus, the arguments brought forth by cyber security experts in India appear to be weak in terms of validity and reliability and the CMS appears to be a new type of ´Big Brother´ upon us. But what does this mean in terms of our privacy and human rights?</span></p>
<p style="text-align: justify; "><span>The </span><a href="http://perry4law.org/cecsrdi/?topic=central-monitoring-system-cms-for-telephone-tapping-in-india-2">telephone tapping laws in India are weak</a><span> and violate constitutional protections. The Information Technology Amendment Act 2008 has enabled e-surveillance to reach its zenith, but yet </span><a href="http://perry4law.org/cecsrdi/?topic=central-monitoring-system-cms-for-telephone-tapping-in-india-2">surveillance projects, such as the CMS, lack adequate legal backing</a><span>. No privacy legislation currently exists in India which can protect us from potential abuse. The confirmed CMS hypothesis indicates that all individuals can potentially be targeted and monitored, regardless of whether they have been involved in illegal activity. Yet, India currently </span><a href="http://perry4law.org/blog/?cat=9">lacks privacy laws</a><span> which can protect individuals from the infringement of their privacy and other human rights. The following questions in regards to the CMS remain vague: Who can authorise the interception of telecommunications and Internet communications? Who can authorise access to intercepted data? Who can have access to data? Can data monitored by the CMS be shared between third parties and if so, under what conditions? Is data monitored by the CMS retained and if so, for how long and under what conditions? Do individuals have the right to be informed about their communications being monitored and about data retained about them?</span></p>
<p style="text-align: justify; "><span>Immense vagueness revolves around the CMS, yet the project is due to start operating this month. In order to ensure that our right to privacy and other human rights are not breached, </span><a href="http://perry4law.org/cecsrdi/?topic=central-monitoring-system-cms-for-telephone-tapping-in-india-2">parliamentary oversight of intelligence agencies in India</a><span> is a minimal prerequisite. E-surveillance regulations should be enacted, which would cover both policy and legal issues pertaining to the CMS project and which would ensure that human rights are not infringed. The overall function of the CMS project and its use of data collected should be thoroughly examined on a legal and policy level prior to its operation, as its current vagueness and excessive control over communications can create a potential for unprecedented abuse.</span></p>
<p style="text-align: justify; "><span> </span><span>The necessity and utility of the CMS remain unclear and thus it has not been adequately proven yet that the security trade-off is worth it. One thing, though, is clear: we are giving up a lot of our data....we are giving up the control of our lives...with the hope that crime and terrorism will be reduced. Does this make sense?</span></p>
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<p style="text-align: justify; "><span><a class="external-link" href="http://www.medianama.com/2013/04/223-indian-government-plans-digital-central-monitoring-system-cis-india/">This was cross-posted in Medianama</a><br /></span></p>
<hr />
<p>
For more details visit <a href='https://cis-india.org/internet-governance/blog/indias-big-brother-the-central-monitoring-system'>https://cis-india.org/internet-governance/blog/indias-big-brother-the-central-monitoring-system</a>
</p>
</description>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:subject> Internet Governance </dc:subject>
<dc:subject> Privacy </dc:subject>
<dc:date> 2013-12-06T09:39:20Z </dc:date>
<dc:type> Blog Entry </dc:type>
</item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/microsoft-releases-first-report-on-data-requests-by-law-enforcement-agencies">
<title>
Microsoft releases its first report on data requests by law enforcement agencies around the world
</title>
<link>
https://cis-india.org/internet-governance/blog/microsoft-releases-first-report-on-data-requests-by-law-enforcement-agencies
</link>
<description>
<b>In this post, the Centre for Internet and Society presents Microsoft´s report on law enforcement requests, with a focus on data requested by Indian law enforcement agencies.</b>
<hr />
<p><i>This research was undertaken as part of the 'SAFEGUARDS' project that CIS is undertaking with Privacy International and IDRC</i>.</p>
<hr />
<p style="text-align: justify; ">Last week, Microsoft released its first report with data on the number of requests received from law enforcement agencies around the world relating to Microsoft online and cloud services. Microsoft´s newly released <a href="http://www.microsoft.com/about/corporatecitizenship/en-us/reporting/transparency/">2012 Law Enforcement Requests Report </a>depicts the company's willingness to join the ranks of Google, Twitter and other Web businesses that publish transparency reports.</p>
<p style="text-align: justify; "><span>As of 30 June 2012, </span><a href="http://www.internetworldstats.com/asia.htm#in">137 million</a><span> Indians are regular Internet users, many of which use Microsoft services including Skype, Hotmail, Outlook.com, SkyDrive and Xbox Live. Yet, until recently, it was unclear whether Indian law enforcement agencies were requesting data from our Skype calls, emails and other Microsoft services. Thus, Microsoft's release of a report on law enforcement requests is a decisive step in improving transparency in regards to how many requests for data are made by law enforcement agencies and how many requests are granted by companies. Brad Smith, an executive vice president and Microsoft´s general counsel, wrote in his </span><a href="http://blogs.technet.com/b/microsoft_on_the_issues/archive/2013/03/21/microsoft-releases-2012-law-enforcement-requests-report.aspx">blog post</a><span>:</span></p>
<blockquote class="italized"><i>“As we continue to move forward, Microsoft is committed to respecting human rights, free expression and individual privacy.”</i></blockquote>
<h2><b>Microsoft 2012 Law Enforcement Requests</b></h2>
<p style="text-align: justify; "><span>Democratic countries requested the most data during 2012, according to </span><a href="http://www.microsoft.com/about/corporatecitizenship/en-us/reporting/transparency/#FAQs1">Microsoft´s report</a><span>. The law enforcement agencies in the United States, the United Kingdom, Germany, France and Turkey accounted for 69 percent of the 70, 665 requests Microsoft (excluding Skype) received last year. Although India did not join the rank of the countries which made the fewest requests from Microsoft, it did not join the</span><a href="http://www.itpro.co.uk/data-protection/19488/microsoft-opens-collaboration-law-enforcement-agencies"> top-five league</a><span> which accounted for the most requests, despite the country having </span><a href="https://opennet.net/research/profiles/india">one of the world´s highest number of Internet users</a><span>.</span></p>
<p style="text-align: justify; "><span>Out of the</span><a href="http://www.microsoft.com/about/corporatecitizenship/en-us/reporting/transparency/#FAQs1"> 70,665 requests</a><span> to Microsoft by law enforcement agencies around the world, only about 0.6 percent of the requests were made by Indian law enforcement agencies. These 418 requests specified 594 accounts and users, which is significantly low in comparison to the top-five and other countries, such as Taiwan, Spain, Mexico, Italy, Brazil and Australia. Indian law enforcement requests accounted for about 0.5 percent of the total 122, 015 accounts and user data that was requested by law enforcement agencies around the world.</span></p>
<p style="text-align: justify; "><a href="http://www.microsoft.com/about/corporatecitizenship/en-us/reporting/transparency/#FAQs1">Content data</a><span> is defined by Microsoft as what customers create, communicate and store on or through their services, such as words in an e-mail or photographs and documents stored on SkyDrive or other cloud offerings. </span><a href="http://www.nytimes.com/2013/03/22/technology/microsoft-releases-report-on-law-enforcement-requests.html?_r=1&">Non-content data</a><span>, on the other hand, refers to basic subscriber information, such as the e-mail address, name, location and IP address captured at the time of registration. According to Microsoft´s 2012 report, the company did not disclose any content data to Indian law enforcement agencies. In fact, only </span><a href="http://blogs.technet.com/b/microsoft_on_the_issues/archive/2013/03/21/microsoft-releases-2012-law-enforcement-requests-report.aspx">2.2 percent </a><span>of requests from law enforcement agencies around the world resulted in the disclosure of content data, </span><a href="http://www.engadget.com/2013/03/21/microsoft-posts-its-first-law-enforcement-requests-report/">99 percent of which were in response to warrants from courts in the United States</a><span>. Microsoft may have not disclosed any of our content data, but</span><a href="http://www.microsoft.com/about/corporatecitizenship/en-us/reporting/transparency/#FAQs1"> 370 requests</a><span> from Indian law enforcement agencies resulted in the disclosure of our non-content data. In other words, 88.5 percent of the requests by India resulted in the disclosure of e-mail addresses, IP addresses, names, locations and other subscriber information.</span></p>
<p style="text-align: justify; "><span>Out of the 418 requests made to Microsoft by Indian law enforcement agencies, </span><a href="http://www.microsoft.com/about/corporatecitizenship/en-us/reporting/transparency/#FAQs1">only 4 were rejected </a><span>(1 percent) and no data was found for 44 requests (10.5 percent). In total, Microsoft rejected the disclosure of 1.2 percent of the requests made by law enforcement agencies around the world, while data was not found for 16.8 percent of the international requests. Thus, the outcome of the data shows that the majority of the requests by Indian law enforcement agencies resulted in the disclosure of non-content data, while very few requests were rejected by Microsoft (excluding Skype). The following table summarizes the requests by Indian law enforcement agencies and their outcome:</span></p>
<table class="listing" style="text-align: justify; ">
<tbody>
<tr>
<td>
<p>Total number of requests</p>
</td>
<td>
<p>418 (0.6%)</p>
</td>
</tr>
<tr>
<td>
<p>Accounts/Users specified in requests</p>
</td>
<td>
<p>594 (0.5%)</p>
</td>
</tr>
<tr>
<td>
<p>Disclosure of content</p>
</td>
<td>
<p>0 (0%)</p>
</td>
</tr>
<tr>
<td>
<p>Disclosure of non-content data</p>
</td>
<td>
<p>370 (88.5%)</p>
</td>
</tr>
<tr>
<td>
<p>No data found</p>
</td>
<td>
<p>44 (10.5%)</p>
</td>
</tr>
<tr>
<td>
<p>Requests rejected</p>
</td>
<td>
<p>4 (1%)</p>
</td>
</tr>
</tbody>
</table>
<h2><span>Skype 2012 Law Enforcement Requests</span></h2>
<p style="text-align: justify; "><a href="http://blogs.technet.com/b/microsoft_on_the_issues/archive/2013/03/21/microsoft-releases-2012-law-enforcement-requests-report.aspx">Microsoft acquired Skype</a> towards the end of 2011 and the integration of the two companies advanced considerably over the course of 2012. According to the<a href="http://www.microsoft.com/about/corporatecitizenship/en-us/reporting/transparency/#FAQs1"> Microsoft 2012 report</a>, Indian law enforcement agencies made 53 requests for Skype user data and 101 requests for specified accounts on Skype. In other words, out of the total 4,715 requests for Skype user data by law enforcement agencies around the world, the requests by Indian law enforcement accounted for about 0.1 percent. 15,409 international requests were made for specified accounts on Skype, but Indian law enforcement requests only accounted for about 0.6 percent of those.</p>
<p style="text-align: justify; "><span>The</span><a href="http://www.microsoft.com/about/corporatecitizenship/en-us/reporting/transparency/#FAQs1"> report </a><span>appears to be extremely reassuring, as it states that Skype did</span><i> not </i><span>disclose any content data to any law enforcement agencies around the world. That essentially means that, according to the report, that all the content we created and communicated through Skype during 2012 was kept private from law enforcement. Although Microsoft claims to not have disclosed any of our content data, it did </span><a href="http://blogs.technet.com/b/microsoft_on_the_issues/archive/2013/03/21/microsoft-releases-2012-law-enforcement-requests-report.aspx">disclose </a><a href="http://blogs.technet.com/b/microsoft_on_the_issues/archive/2013/03/21/microsoft-releases-2012-law-enforcement-requests-report.aspx"><i>non-content data</i></a><span>, such as SkypeID, name, email account, billing information and call detail records if a user subscribed to the Skype In/Online service, which connects to a telephone number. However, Microsoft did not report how many requests the company received for non-content data, nor how much data was disclosed and to which countries.</span></p>
<p style="text-align: justify; "><span>Microsoft </span><a href="http://www.microsoft.com/about/corporatecitizenship/en-us/reporting/transparency/#FAQs1">reported </a><span>that data was not found for 47 of India´s law enforcement requests, which represents 88.6 percent of the requests. In total, Microsoft reported that data was not found for about half the requests made by law enforcement agencies on an international level. Out of the 53 requests, Microsoft provided guidance to Indian law enforcement agencies for 10 requests. In particular, such guidance was provided either in response to a rejected request or general questions about the process for obtaining Skype user data. Yet, the amount of rejected requests for Skype user data was not included in the report and the guidance provided remains vague. The following table summarizes the requests by Indian law enforcement agencies for Skype user data and their outcome:</span><span> </span></p>
<table class="listing" style="text-align: justify; ">
<tbody>
<tr>
<td>
<p>Total of requests</p>
</td>
<td>
<p>53 (0.1%)</p>
</td>
</tr>
<tr>
<td>
<p>Accounts/identifiers specified in requests</p>
</td>
<td>
<p>101 (0.6%)</p>
</td>
</tr>
<tr>
<td>
<p>Requests resulting in disclosure of content</p>
</td>
<td>
<p>0 (0%)</p>
</td>
</tr>
<tr>
<td>
<p>No data found</p>
</td>
<td>
<p>47 (88.6%)</p>
</td>
</tr>
<tr>
<td>
<p>Provided guidance to law enforcement</p>
</td>
<td>
<p>10 (18.8%)</p>
</td>
</tr>
</tbody>
</table>
<p style="text-align: justify; "><span>The Centre for Internet and Society (CIS) supports the publication of </span><a href="http://www.microsoft.com/about/corporatecitizenship/en-us/reporting/transparency/">Microsoft´s 2012 Law Enforcement Requests Report</a><span> and encourages Microsoft (including Skype) to continue releasing such reports which can provide an insight on how much user data is being shared with law enforcement agencies around the world. In order to ensure that such reports adequately provide transparency, they should be broadened in the future to include more data, such as the amount of non-content data requests disclosed by Skype, the type of guidance provided to law enforcement agencies and the amount of requests rejected by Skype. Nonetheless, this report is a decisive first step in increasing transparency and further, more detailed reports are strongly encouraged.</span></p>
<p>
For more details visit <a href='https://cis-india.org/internet-governance/blog/microsoft-releases-first-report-on-data-requests-by-law-enforcement-agencies'>https://cis-india.org/internet-governance/blog/microsoft-releases-first-report-on-data-requests-by-law-enforcement-agencies</a>
</p>
</description>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:subject> Internet Governance </dc:subject>
<dc:subject> SAFEGUARDS </dc:subject>
<dc:date> 2013-07-12T12:19:31Z </dc:date>
<dc:type> Blog Entry </dc:type>
</item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/driving-in-the-surveillance-society-cameras-rfid-black-boxes">
<title>
Driving in the Surveillance Society: Cameras, RFID tags and Black Boxes...
</title>
<link>
https://cis-india.org/internet-governance/blog/driving-in-the-surveillance-society-cameras-rfid-black-boxes
</link>
<description>
<b>In this post, Maria Xynou looks at red light cameras, RFID tags and black boxes used to monitor vehicles in India.</b>
<hr />
<p><i>This research was undertaken as part of the 'SAFEGUARDS' project that CIS is undertaking with Privacy International and IDRC</i>.</p>
<hr />
<p style="text-align: justify; ">How many times in your life have you heard of people been involved in car accidents and of pedestrians being hit by red-light-running vehicles? What if there could be a solution for all of this? Well, several countries, including the United States, the United Kingdom and Singapore, have <a href="http://www.thenewspaper.com/rlc/docs/syn310.pdf">already adopted measures</a> to tackle vehicle accidents and fatalities, some of which include traffic enforcement cameras and other security measures. India is currently joining the league by not only installing red light cameras, but by also including radio frequency identification (RFID) tags on vehicles´ number plates, as well as by installing electronic toll collection systems and black boxes in some automobiles. Although such measures could potentially increase our safety, <a href="http://arstechnica.com/tech-policy/2012/09/your-car-tracked-the-rapid-rise-of-license-plate-readers/2/">privacy concerns</a> have arisen as it remains unclear how data collected will be used.<span> </span></p>
<h2><b>Red light cameras</b></h2>
<p style="text-align: justify; "><span>Last week, the Chennai police announced that it plans</span><a href="http://articles.timesofindia.indiatimes.com/2011-05-12/chennai/29535601_1_red-light-camera-system-red-light-cameras-traffic-signals"> to install traffic enforcement cameras</a><span>, otherwise known as red light cameras, at 240 traffic signals over the next months, in order to put an end to car thefts in the city. Red light cameras, which capture images of vehicles entering an intersection against a red traffic light, have been installed in Bangalore since </span><a href="http://www.traffictechnologytoday.com/news.php?NewsID=2767">early 2008</a><span> and a</span><a href="http://ibnlive.in.com/news/study-finds-red-light-cameras-cuts-crashes/142065-57-132.html"> study</a><span> indicates that they have reduced the traffic violation rates. A </span><a href="http://www.thenewspaper.com/rlc/docs/syn310.pdf">2003 report by the National Cooperative Highway Research Programme (NCHRP)</a><span> examined studies from the previous 30 years in the United States, the United Kingdom, Australia and Singapore and concluded that red light cameras ´improve the overall safety of intersections when they are used´.</span></p>
<p style="text-align: justify; "><span></span><span>However, how are traffic violation rates even measured? According to </span><a href="http://blogs.wsj.com/numbersguy/seeing-red-1208/">Barbara Langland Orban</a><span>, an associate professor of health policy and management at the University of South Florida:</span></p>
<blockquote class="italized"><i>“Safety is measured in crashes, in particular injury crashes, and violations are not a proxy for injuries. Also, violations can be whatever number an agency chooses to report, which is called an ‘endogenous variable’ in research and not considered meaningful as the number can be manipulated. In contrast, injuries reflect the number of people who seek medical care, which cannot be manipulated by the reporting methods of jurisdictions.”</i></blockquote>
<p style="text-align: justify; "><span>Last year, the Bombay state government informed the High Court that the </span><a href="http://www.indianexpress.com/news/cctvs-not-fit-to-detect-traffic-violations-state-to-hc/910392">100 CCTV cameras</a><span> installed at traffic junctions in 2006-2007 were unsuitable for traffic enforcement because they lacked the capacity of automatic processing. Nonetheless, red light cameras, which are capable of monitoring speed and intersections with stop signals, are currently being proliferated in India. Yet, questions remain: Do red light cameras adequately increase public safety? Do they serve financial interests? Do they violate driver´s </span><a href="http://www.thehindu.com/opinion/op-ed/of-constitutional-due-process/article436586.ece">due-process rights</a><span>?</span></p>
<h2 style="text-align: justify; "><b>RFID tags and Black Boxes</b></h2>
<p style="text-align: justify; "><span>A communication revolution is upon us, as Maharashtra state transport department is currently including radio </span><a href="http://www.dnaindia.com/mumbai/report_maharashtra-rto-spy-to-breathe-down-drivers-neck_1625521">frequency identification (RFID) tags on each and every number plate of vehicles</a><span>. This ultimately means that the state will be able to monitor your vehicle´s real-time movement and track your whereabouts. RFID tags are not only supposedly used to increase public safety by tracking down offenders, but to also streamline public transport timetables. Thus, the movement of buses and cars would be precisely monitored and would provide passengers minute-to-minute information at bus stops. Following the </span><a href="http://www.hsrpdelhi.com/Rule50.pdf">2001 amendment of Rule 50 of the Central Motor Vehicles Rules</a><span>, 1989, new number plates with RFID tags have been made mandatory for all types of motor vehicles throughout India.</span></p>
<p style="text-align: justify; "><span>RFID technology has also been launched at Maharashtra´s </span><a href="http://articles.timesofindia.indiatimes.com/2012-08-18/mumbai/33261046_1_rfid-stickers-border-check-posts">state border check-posts</a><span>. Since last year, the state government has been circulating RFID stickers to trucks, trailers and tankers, which would not only result in heavy goods vehicles not having to wait in long queues for clearance at check-posts, but would also supposedly put an end to corruption by RTO officials.</span></p>
<p style="text-align: justify; "><span>By </span><a href="http://articles.timesofindia.indiatimes.com/2013-03-07/mumbai/37530519_1_plazas-on-national-highways-toll-plazas-toll-collection">31 March 2014</a><span>, it is estimated that RFID-based electronic toll collection (ETC) systems will be installed on all national highways in India. According to </span><a href="http://netindian.in/news/2013/03/05/00023379/electronic-toll-collection-all-national-highways-march-2014-joshi">Dr. Joshi</a><span>, the Union Minister for Road Transport and Highways:</span></p>
<blockquote class="italized" style="text-align: justify; "><i>“</i><i>The RFID technology</i><i> shall expedite the clearing of traffic at toll plazas and the need of carrying cash shall also be eliminated when toll plazas shall be duly integrated with each other throughout India.”</i></blockquote>
<p style="text-align: justify; "><span>Although Dr. Joshi´s mission to create a quality highway network across India and to increase the transparency of the system seems rational, the ETC system raises privacy concerns, as it </span><a href="http://articles.timesofindia.indiatimes.com/2013-03-07/mumbai/37530519_1_plazas-on-national-highways-toll-plazas-toll-collection">uniquely identifies each vehicle</a><span>, collects data and provides general vehicle and traffic monitoring. This could potentially lead to a privacy violation, as India currently lacks adequate statutory provisions which could safeguard the use of our data from potential abuse. All we know is that our vehicles are being monitored, but it remains unclear how the data collected will be used, shared and retained, which raises concerns.</span></p>
<p style="text-align: justify; "><span>The cattle and pedestrians roaming the streets in India appear to have increased the need for the installation of an </span><a href="http://www.thehindu.com/news/national/article3636417.ece">Event Data Recorder (EDR)</a><span>, otherwise known as a black box, which is a device capable of recording information related to crashes or accidents. The purpose of a black box is to record the speed of the vehicle at the point of impact in the case of an accident and whether the driver had applied the brakes. This would help insurance companies in deciding whether or not to entertain insurance claims, as well as to determine whether a driver is responsible for an accident.</span></p>
<p style="text-align: justify; "><span>Black boxes for vehicles are already being designed, tested and installed in some vehicles in India at an affordable cost. In fact, manufacturers in India have recommended that the government make it </span><a href="http://www.thehindu.com/news/national/article3636417.ece">mandatory for cars</a><span> to be fitted with the device, rather than it being optional. But can we have privacy when our cars are being monitored? This is essentially a case of proactive monitoring which has not been adequately justified yet, as it remains unclear how information would be used, who would be authorised to use and share such information, and whether its use would be accounted for to the individual.</span></p>
<h2><b>Are monitored cars safer?</b></h2>
<p style="text-align: justify; "><span>The trade-off is clear: the privacy and anonymity of our movement is being monitored in exchange for the provision of safety. But are we even getting any safety in return? According to a </span><a href="http://www.fhwa.dot.gov/publications/research/safety/05049/05049.pdf">2005 Federal Highway Administration study</a><span>, although it shows a decrease in front-into-side crashes at intersections with cameras, an increase in rear-end crashes has also been proven. Other</span><a href="http://www.techdirt.com/articles/20091218/1100537428.shtml"> studies</a><span> of red light cameras in the US have shown that more accidents have occurred since the installation of traffic enforcement cameras at intersections. Although no such research has been undertaken in India yet, the effectiveness, necessity and utility of red light cameras remain ambiguous.</span></p>
<p style="text-align: justify; "><span>Furthermore, there have been </span><a href="http://www.usatoday.com/story/news/nation/2013/03/08/speed-camera-ruling/1974369/">claims</a><span> that the installation of red light cameras, ETCs, RFID tags, black boxes and other technologies do not primarily serve the purpose of public security, but financial gain. A huge debate has arisen in the United States on whether such monitoring of vehicles actually improves safety, or whether its primary objective is to serve financial interests. Red light cameras have already generated about $1.5 million in fines in the Elmwood village of Ohio, which leads critics to believe that the installation of such cameras has more to do with revenue enhancement than safety. The same type of question applies to India and yet a clear-cut answer has not been reached.</span></p>
<p style="text-align: justify; "><span>Companies which manufacture </span><a href="http://dir.indiamart.com/impcat/vehicle-tracking-systems.html">vehicle tracking systems</a><span> are widespread in India, which constitutes the monitoring of our cars a vivid reality. Yet, there is a lack of statutory provisions in India for the privacy of our vehicle´s real-time movement and hence, we are being monitored without any safeguards. Major privacy concerns arise in regards to the monitoring of vehicles in India, as the following questions have not been adequately addressed: What type of data is collected in India through the monitoring of vehicles? Who can legally authorize access to such data? Who can have access to such data and under what conditions? Is data being shared between third parties and if so, under what conditions?How long is such data being retained for?</span></p>
<p style="text-align: justify; "><span>And more importantly: Why is it important to address the above questions? Does it even matter if the movement of our vehicles is being monitored? How would that affect us personally? Well, the monitoring of our cars implies a huge probability that it´s not our vehicles per se which are under the microscope,</span><a href="http://www.farnish.plus.com/amatterofscale/mirrors/omni/surveillance.htm"> but us</a><span>. And while the tracking of our movement might not end us up arrested, interrogated, tortured or imprisoned tomorrow...it might in the future. As long as we are being monitored,</span><a href="http://www.samharris.org/blog/item/the-trouble-with-profiling"> we are all suspects</a><span> and we may potentially be treated as any other offender who is suspected to have committed a crime. The current statutory omission in India to adequately regulate the use of traffic enforcement cameras, RFID tags, black boxes and other technologies used to track and monitor the movement of our vehicles can potentially violate our due process rights and infringe upon our right to privacy and other human rights. Thus, the collection, access, use, analysis, sharing and retention of data acquired through the monitoring of vehicles in India should be strictly regulated to ensure that we are not exposed to our defenceless control.</span></p>
<h2><b>Maneuvering our monitoring</b></h2>
<p style="text-align: justify; "><span>Nowadays, surveillance appears to be the quick-fix solution for everything related to public security; but that does not need to be the case.</span></p>
<p style="text-align: justify; "><span>Instead of installing red light cameras monitoring our cars´ movements and bombarding us with fines, other ´simple´ measures could be enforced in India, such as</span><a href="http://d2dtl5nnlpfr0r.cloudfront.net/tti.tamu.edu/documents/0-4196-2.pdf"> increasing the duration of the yellow light</a><span> between the green and the red, </span><a href="http://www.motorists.org/red-light-cameras/alternatives">re-timing lights</a><span> so drivers will encounter fewer red ones or increasing the visibility distance of the traffic lights so that it is more likely for a driver to stop. Such measures should be enforced by governments, especially since the monitoring of our vehicles is not adequately justified.</span></p>
<p style="text-align: justify; "><span>Strict laws regulating the use of all technologies monitoring vehicles in India, whether red light cameras, RFID tags or black boxes, should be enacted now. Such regulations should clearly specify the terms of monitoring vehicles, as well as the conditions under which data can be collected, accessed, shared, used, processed and stored. The enactment of regulations on the monitoring of vehicles in India could minimize the potential for citizens´ due process rights to be breached, as well as to ensure that their right to privacy and other human rights are legally protected. This would just be another step towards preventing ubiquitous surveillance and if governments are interested in protecting their citizens´ human rights as they claim they do, then there is no debate on the necessity of regulating the monitoring of our vehicles. The question though which remains is:</span></p>
<blockquote class="quoted"><i>Should we be monitored at all?</i></blockquote>
<p>
For more details visit <a href='https://cis-india.org/internet-governance/blog/driving-in-the-surveillance-society-cameras-rfid-black-boxes'>https://cis-india.org/internet-governance/blog/driving-in-the-surveillance-society-cameras-rfid-black-boxes</a>
</p>
</description>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:subject> SAFEGUARDS </dc:subject>
<dc:subject> Internet Governance </dc:subject>
<dc:subject> Privacy </dc:subject>
<dc:date> 2013-07-12T15:26:33Z </dc:date>
<dc:type> Blog Entry </dc:type>
</item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/workshop-on-the-uid-and-npr">
<title>
Workshop on the Unique Identity Number (UID), the National Population Register (NPR) and Governance: What will happen to our data?
</title>
<link>
https://cis-india.org/internet-governance/blog/workshop-on-the-uid-and-npr
</link>
<description>
<b>On March 2nd, 2013, the Centre for Internet and Society and the Say No to UID campaign organized a workshop to discuss the present state of the UID and NPR schemes. Some of the questions which were addressed included ´How do the UID and NPR impact citizenship´, ´Why and how is national security linked to UID/NPR´, and ´What is the relationship between UID and Big Data´. </b>
<hr />
<p><i>This research was undertaken as part of the 'SAFEGUARDS' project that CIS is undertaking with Privacy International and IDRC</i>.</p>
<hr />
<p class="italized" style="text-align: justify; "><i>“The UIDAI will own our data...When we hand over information, we hand over the ownership of that data...”</i>, stated Usha Ramanathan, legal researcher and human rights activist.She also pointed out that, although the UID has been set up by an executive order, there is no statute which legally backs up the UID. In other words, the collection of our data through the UID scheme is currently illegal in India, hinging only on an executive order. However, Usha Ramanathan stated that if the UID scheme is going to be carried out, it is highly significant that a statute for the UID is enacted to prevent potential abuse of human rights, especially since the UIDAI is currently collecting, sharing, using and storing our data on untested grounds.</p>
<blockquote class="italized"><i>´What is alarming is that the Indian government has not even attempted to legalize the UID! When a government does not even care about legalizing its actions, then we have much bigger problems...” </i></blockquote>
<p style="text-align: justify; "><span>The NPR is legally grounded in the provisions of the Citizenship Act 1955 and in the Citizenship Rules 2003 and it is mandatory for every usual resident in India to register with the NPR. Even though the collection of biometrics is not accounted for in the statute or rules, the NPR is currently collecting photographs, iris prints and fingerprints. Concerns regarding the use of biometrics in the UID and NPR schemes were raised during the workshop; biometrics are not infallible and can be spoofed, an individual´s biometrics can change in response to a number of factors (including age, environment and stress), the accuracy of a biometric match depends on the accuracy of the technology used and the larger the population is, the higher the probability of an error. Thus, individuals are required to re-enrol every two to three years, to ensure that the biometric data collected is accurate; but the accuracy of the data is not the only problem. The Indian government is illegally collecting biometrics and as of yet has not amended the 2003 Citizenship Rules to include the collection of biometrics! As Usha Ramanathan stated:</span></p>
<blockquote class="italized" style="text-align: justify; "><span> </span><i>“It´s not really about the UID and the NPR per se...it´s more about the idea of profiling citizens and the technologies which enable this...”</i></blockquote>
<p style="text-align: justify; "><span>In his presentation, Anant Maringanti, from the Hyderabad Urban Labs and Right to the City Foundation, stated that even though seventy seven lakh duplicates have been found, no action has been taken, other than discarding one of them. Despite the fact that enrolment with the UID is considered to be voluntary, children in India are forced to get a unique identification number as a prerequisite of going to school. Anant emphasized that the UID scheme supposedly provides some form of identity to the poor and marginalised groups in India, but it actually targets some of the most vulnerable groups of people, such as HIV patients and sex workers. Furthermore, though Indians living below the poverty line (BPL) are eligible for direct cash transfer programmes, apparently registration with the UID scheme is considered essential to determine whether beneficiaries belong in the BLP category. This is problematic as individuals who have not enrolled in the UID or do not want to enroll in the UID could risk being denied benefits because they did not enroll and thus were not classified in the BPL category. Anant also pointed out that, linking biometric data to a bank account through the UID scheme is basically exposing personal data to fraud. Anant Maringanti characteristically stated: </span></p>
<blockquote class="italized"><span> </span><i>“I wish the 100 people applying the UID scheme had UIDs so that we could track them...!”</i></blockquote>
<p style="text-align: justify; "><span>Following the end of the workshop on the UID and NPR schemes, CIS interviewed Usha Ramanathan and Anant Maringanti: <iframe frameborder="0" height="250" src="http://www.youtube.com/embed/P1CdCkdKtcU" width="250"></iframe> </span></p>
<p style="text-align: justify; "><span>The workshop can be viewed in two parts: <iframe frameborder="0" height="250" src="http://www.youtube.com/embed/o7X1Af5Jw3s" width="250"></iframe> <iframe frameborder="0" height="250" src="http://www.youtube.com/embed/rSFYOfvtOr8" width="250"></iframe> </span></p>
<p style="text-align: justify; "><span><br /></span></p>
<p>
For more details visit <a href='https://cis-india.org/internet-governance/blog/workshop-on-the-uid-and-npr'>https://cis-india.org/internet-governance/blog/workshop-on-the-uid-and-npr</a>
</p>
</description>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:subject> SAFEGUARDS </dc:subject>
<dc:subject> Internet Governance </dc:subject>
<dc:subject> Privacy </dc:subject>
<dc:date> 2013-07-12T15:28:50Z </dc:date>
<dc:type> Blog Entry </dc:type>
</item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/hacking-without-borders-the-future-of-artificial-intelligence-and-surveillance">
<title>
Hacking without borders: The future of artificial intelligence and surveillance
</title>
<link>
https://cis-india.org/internet-governance/blog/hacking-without-borders-the-future-of-artificial-intelligence-and-surveillance
</link>
<description>
<b>In this post, Maria Xynou looks at some of DARPA´s artificial intelligence surveillance technologies in regards to the right to privacy and their potential future use in India. </b>
<hr />
<p><i>This research was undertaken as part of the 'SAFEGUARDS' project that CIS is undertaking with Privacy International and IDRC</i>.</p>
<hr />
<p class="Normal1">Robots or computer systems controlling our thoughts is way beyond anything I have seen in science fiction; yet something of the kind may be a reality in the future. The US Defence Advanced Research Projects Agency (DARPA) is currently funding several artificial intelligence projects which could potentially equip governments with the most powerful weapon possible: mind control.</p>
<h2><b>Combat Zones That See (CTS)</b></h2>
<p><b><img src="http://farm5.staticflickr.com/4137/4749564682_9ab88cb4d1.jpg" /></b></p>
<p class="Normal1">Source: <span> </span><a href="http://www.flickr.com/photos/swanksalot/">swanksalot</a> on flickr</p>
<p class="Normal1">Ten years ago DARPA started funding the<a href="http://www.freerepublic.com/focus/f-news/939608/posts"> Combat Zones That See (CTS)</a> project, which aims to ´track everything that moves´ within a city through a massive network of surveillance cameras linked to a centralized computer system. Groundbreaking artificial intelligence software is being used in the project to identify and track all movement within cities, which constitutes Big Brother as a reality. The computer software supporting the CTS is capable of automatically identifying vehicles and provides instant alerts after detecting a vehicle with a license plate on a watch list. The software is also able to analyze the video footage and to distinguish ´normal´ from ´abnormal´ behavior, as well as to discover links between ´places, subjects and times of activity´ and to identify patterns. With the use of this software, the CTS constitute the world´s first multi-camera surveillance system which is capable of automatically analyzing video footage.</p>
<p class="Normal1">Although the CTS project was initially intended to be used for solely military purposes, its use for civil purposes, such as combating crime, remains a possibility. In 2003 DARPA stated that<span> <a class="external-link" href="http://www.wired.com/politics/law/news/2003/07/59471">40 million surveillance cameras were already in use around the </a></span><a class="external-link" href="http://www.wired.com/politics/law/news/2003/07/59471">world </a>by law enforcement agencies to combat crime and terrorism, with 300 million expected by 2005. <a href="http://www.wired.com/politics/law/news/2003/07/59471">Police</a> in the U.S. have stated that buying new technology which may potentially aid their work is an integral part of the 9/11 mentality. Considering the fact that literally millions of CCTV cameras are installed by law enforcement agencies around the world and that DARPA has developed the software that has the capability of automatically analyzing data gathered by CCTV cameras, it is very possible that law enforcement agencies are participating in the CTS network.</p>
<p class="Normal1">However if such a project was used for non-military level purposes, it could raise concerns in regards to data protection, privacy and human rights. As a massive network of surveillance cameras, the CTS ultimately could enable the sharing of footage between private parties and law enforcement agencies without individuals´ knowledge or consent. Databases around the world could be potentially linked to each other and it remains unclear what laws would regulate the access, use and retention of such databases by law enforcement agencies of multiple countries. Furthermore, there is no universal definition for ´normal´ and ´abnormal´ behaviour, thus if the software is used for its original purpose, to distinguish between “abnormal” and “normal” behaviour, and used beyond military purposes, then there is a potential for abuse, as the criteria for being monitored, and possibly arrested, would not be clearly set out.</p>
<h2><b>Mind´s Eye</b></h2>
<p><b><img src="http://farm9.staticflickr.com/8425/7775805386_8260b7836c.jpg" /></b></p>
<p class="Normal1">Source: <span> </span><a href="http://www.flickr.com/photos/58687716@N05/">watchingfrogsboil</a> on flickr</p>
<p class="Normal1">A camera today which is only capable of recording visual footage appears futile in comparison to what DARPA´s creating: a <a href="http://www.wired.com/dangerroom/2011/01/beyond-surveillance-darpa-wants-a-thinking-camera/">thinking camera</a>. The Mind´s Eye project was launched in the U.S. in early 2011 and is currently developing smart cameras endowed with <a href="http://www.darpa.mil/Our_Work/I2O/Programs/Minds_Eye.aspx">´visual intelligence´</a>. This ultimately means that artificial intelligence surveillance cameras can not only record visual footage, but also automatically detect ´abnormal´ behavior, alert officials and analyze data in such a way that they are able to <a href="http://phys.org/news/2012-10-surveillance-tech-carnegie-mellon.html">predict future human activities and situations</a>.</p>
<p class="Normal1">Mainstream surveillance cameras already have visual-intelligence algorithms, but none of them are able to automatically analyze the data they collect. Data analysts are usually hired for analyzing the footage on a per instance basis, and only if a policeman detects ´something suspicious´ in the footage. Those days are over. <a href="http://www.wired.com/dangerroom/2011/01/beyond-surveillance-darpa-wants-a-thinking-camera/">General</a><a href="http://www.wired.com/dangerroom/2011/01/beyond-surveillance-darpa-wants-a-thinking-camera/"> </a><a href="http://www.wired.com/dangerroom/2011/01/beyond-surveillance-darpa-wants-a-thinking-camera/">James Cartwright</a>, the vice chairman of the Joint Chiefs of Staff, stated in an intelligence conference that “Star[ing] at Death TV for hours on end trying to find the single target or see something move is just a waste of manpower.” Today, the Mind´s Eye project is developing smart cameras equipped with artificial intelligence software capable of identifying <a href="http://www.darpa.mil/Our_Work/I2O/Programs/Minds_Eye.aspx">operationally significant activity</a> and predicting outcomes.</p>
<p class="Normal1">Mounting these <a href="http://www.dailygalaxy.com/my_weblog/2011/01/minds-eye-darpas-new-thinking-camera-will-transform-the-world-of-surveillance.html">smart cameras on drones</a> is the initial plan; and while that would enable military operations, many ethical concerns have arisen in regards to whether such technologies should be used for ´civil purposes.´ Will law enforcement agencies in India be equipped with such cameras over the next years? If so, how will their use be regulated?</p>
<h2><b>SyNAPSE</b></h2>
<p><b><img src="http://farm9.staticflickr.com/8230/8384110298_da510e0347.jpg" /></b></p>
<p class="Normal1">Source: <span> </span><a href="http://www.flickr.com/photos/healthblog/">A Health Blog</a> on flickr</p>
<p class="Normal1">The <i>Terminator </i>could be more than just science fiction if current robots had artificial brains with similar form, function and architecture to the mammalian brain. DARPA is attempting this by funding HRL Laboratories, Hewlett-Packard and IBM Research to carry out this task through the <a href="http://www.artificialbrains.com/darpa-synapse-program">Systems of Neuromorphic Adaptive Plastic Scalable Electronics (SyNAPSE)</a> programme. Is DARPA funding the creation of the <i>Terminator</i>? No. Such artificial brains would be used to build robots whose intelligence matches that of mice and cats...for now.</p>
<p class="Normal1">SyNAPSE is a programme which aims to develop <a href="http://celest.bu.edu/outreach-and-impacts/the-synapse-project">electronic neuromorphic machine technology</a> which scales to biological levels. It started in the U.S. in 2008 and is scheduled to run until around 2016, while having received<a href="http://www.artificialbrains.com/darpa-synapse-program"> $102.6 million</a> in funding as of January 2013. The ultimate aim is to build an electronic microprocessor system that matches a mammalian brain in power consumption, function and size. As current programmable machines are limited by their computational capacity, which requires human-derived algorithms to describe and process information, SyNAPSE´s objective is to create <a href="http://www.darpa.mil/Our_Work/DSO/Programs/Systems_of_Neuromorphic_Adaptive_Plastic_Scalable_Electronics_(SYNAPSE).aspx">biological neural systems </a>which can autonomously process information in complex environments. Like the mammalian brain, SyNAPSE´s <a href="http://www.ibm.com/smarterplanet/us/en/business_analytics/article/cognitive_computing.html">cognitive computers</a> would be capable of automatically learning relevant and probabilistically stable features and associations, as well as of finding correlations, creating hypotheses and generally remembering and learning through experiences.</p>
<p class="Normal1">Although this original type of computational device could be beneficial to <a href="http://www.ibm.com/smarterplanet/us/en/business_analytics/article/cognitive_computing.html">predict natural disasters</a> and other threats to security based on its cognitive abilities, human rights questions arise if it were to be used in general for surveillance purposes. Imagine surveillance technologies with the capacity of a human brain. Imagine surveillance technologies capable of remembering your activity, analyzing it, correlating it to other facts and/or activities, and of predicting outcomes; and now imagine such technology used to spy on us. That might be a possibility in the future.</p>
<p class="Normal1">Such cognitive technology is still in an experimental phase and although it could be used to tackle threats to security, it could also potentially be used to monitor populations more efficiently. No such technology currently exists in India, but it could only be a matter of time before Indian law enforcement agencies start using such artificial intelligence surveillance technology to supposedly enhance our security and protect us.</p>
<h2><b>Brain-Computer Interface (BCI)</b></h2>
<p><b><br /></b></p>
<p><iframe frameborder="0" height="360" src="http://www.youtube.com/embed/qCSSBEXBCbY?feature=player_embedded" width="640"></iframe></p>
<p class="Normal1">Remember Orwell's ´<i>Thought Police</i>´? Was Orwell exaggerating just to get his point across? Well, the future appears to be much scarier than Orwell's vision depicted in <i>1984</i>. Unlike the ´<i>Thought Police</i>´ which merely arrested individuals who openly expressed ideas or thoughts which contradicted the Party´s dogma, today, technologies are being developed which can <i>literally </i>read our thoughts.</p>
<p class="Normal1">Once again, DARPA appears to be funding one of the world´s most innovative projects: the <a href="http://www.wired.com/opinion/2012/12/the-next-warfare-domain-is-your-brain/">Brain-Computer Interface (BCI)</a>. The human brain is far better at pattern matching than any computer, whilst computers have greater analytical speed than human brains. The BCI is an attempt to merge the two together, and to enable the human brain to control robotic devices and other machines. In particular, the BCI is comprised of a headset (an electroencephalograph -<a href="http://www.extremetech.com/wp-content/uploads/2012/08/brain-hacking-accuracy-chart.jpg"> an EEG</a>) with sensors that rest on the human scalp, as well as of software which processes brain activity. This enables the human brain to be linked to a computer and for an individual to control technologies without moving a finger, but by merely <i>thinking </i>of the action.</p>
<p class="Normal1">Ten years ago it was reported that the brains of <a href="http://www.newscientist.com/article/dn2237">rats</a> and <a href="http://news.bbc.co.uk/2/hi/health/3186850.stm">monkeys</a> could control robot arms through the use of such technologies. A few years later<a href="http://www.newscientist.com/article/dn4540"> brainstem implants</a> were developed to tackle deafness. Today, brain-computer interface technologies are able to directly link the human brain to computers, thus enabling paralyzed people to conduct computer activity by merely thinking of the actions, as well as<a href="http://www.cyborgdb.org/mckeever.htm"> to control robotic limbs with their thoughts</a>. BCIs appear to open up a new gateway for disabled persons, as all previously unthinkable actions, such as typing on a computer or browsing through websites, can now be undertaken by literally <i>thinking </i>about them, while using a BCI.</p>
<p class="Normal1">Brain-controlled robotic limbs could change the lives of disabled persons, but<a href="http://www.guardian.co.uk/science/2007/feb/09/neuroscience.ethicsofscience"> ethical concerns</a> have arisen in regards to the BCI´s mind-reading ability. If the brain can be used to control computers and other technologies, does that ultimately mean that computers can also be used to control the human brain? Researchers from the University of Oxford and Geneva, and the University of California, Berkley, have created a custom programme that was specially designed with the sole purpose of finding out <a href="http://www.extremetech.com/extreme/134682-hackers-backdoor-the-human-brain-successfully-extract-sensitive-data">sensitive data</a>, such as an individuals´ home location, credit card PIN and date of birth. Volunteers participated in this programme and it had up to 40% success in obtaining useful information. To extract such information, researchers rely on the <i>P300 response</i>, which is a very specific brainwave pattern that occurs when a human brain recognizes something that is meaningful, whether that is personal information, such as credit card details, or an enemy in a battlefield. According to <a href="http://www.digitaltrends.com/cool-tech/this-is-your-brain-on-silicon/">DARPA</a>:</p>
<blockquote class="italized"><i>´When a human wearing the EEG cap was introduced, the number of false alarms dropped to only five per hour, out of a total of 2,304 target events per hour, and a 91 percent successful target recognition rate was introduced.´</i></blockquote>
<p class="Normal1">This constitutes the human brain as<a class="external-link" href="http://www.wired.com/opinion/2012/12/the-next-warfare-domain-is-your-brain/"> a <span>new warfighting </span>domain</a> of the twenty-first century, as experiments have proven that the brain can control and maneuver quadcopter drones and other military technologies. Enhanced threat detection through BCI´s scan for P300 responses and the literal control of military operations through the brain, definitely appear to be changing the future of warfare. Along with this change, the possibility of manipulating a soldier´s BCI during conflict is real and could lead to absolute chaos and destruction.</p>
<p class="Normal1">Security expert, Barnaby Jack, of IOActive demonstrated the <a href="http://www.computerworld.com/s/article/9232477/Pacemaker_hack_can_deliver_deadly_830_volt_jolt">vulnerability of biotechnological systems</a>, which raises concerns that BCI technologies may also potentially be vulnerable and expose an individual's´ brain to hacking, manipulation and control by third parties. If the brain can control computer systems and computer systems are able to detect and distinguish brain patterns, then this ultimately means that the human brain can potentially be controlled by computer software.</p>
<p class="Normal1">Will BCI be used in the future to<a href="http://www.guardian.co.uk/science/2007/feb/09/neuroscience.ethicsofscience"> interrogate terrorists and suspects</a>? What would that mean for the future of our human rights? Can we have human rights if authorities can literally hack our brain in the name of national security? How can we be protected from abuse by those in power, if the most precious thing we have - our <i>thoughts</i> - can potentially be hacked? Human rights are essential because they protect us from those in power; but the <i>privacy of our thoughts</i> is even more important, because without it, we can have no human rights, no individuality.</p>
<p class="Normal1">Sure, the BCI is a very impressive technological accomplishment and can potentially improve the lives of millions. But it can also potentially destroy the most unique quality of human beings: their personal thoughts. Mind control is a vicious game to play and may constitute some of the scariest political novels as a comedy of the past. Nuclear weapons, bombs and all other powerful technologies seem childish compared to the BCI which can literally control our mind! Therefore strict regulations should be enacted which would restrict the use of BCI technologies to visually impaired or handicapped individuals. Though these technologies currently are not being used in India, explicit laws on the use of artificial intelligence surveillance technologies should be enacted in India, to help ensure that they do not infringe upon the right to privacy and other human rights.</p>
<p class="Normal1">Apparently, anyone can<a href="http://www.extremetech.com/extreme/134682-hackers-backdoor-the-human-brain-successfully-extract-sensitive-data"> buy Emotiv or Neurosky BCI online</a> to mind control their computer with only $200-$300. If the use of BCI was imposed in a top-down manner, then maybe there would be some hope that people would oppose its use for surveillance purposes; but if the idea of mind control is being socially integrated...the future of privacy seems bleak.</p>
<p>
For more details visit <a href='https://cis-india.org/internet-governance/blog/hacking-without-borders-the-future-of-artificial-intelligence-and-surveillance'>https://cis-india.org/internet-governance/blog/hacking-without-borders-the-future-of-artificial-intelligence-and-surveillance</a>
</p>
</description>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:subject> SAFEGUARDS </dc:subject>
<dc:subject> Internet Governance </dc:subject>
<dc:subject> Privacy </dc:subject>
<dc:date> 2013-07-12T15:30:27Z </dc:date>
<dc:type> Blog Entry </dc:type>
</item>
<item rdf:about=" https://cis-india.org/internet-governance/blog/comparison-of-draft-dna-profiling-bills">
<title>
A Comparison of the Draft DNA Profiling Bill 2007 and the Draft Human DNA Profiling Bill 2012
</title>
<link>
https://cis-india.org/internet-governance/blog/comparison-of-draft-dna-profiling-bills
</link>
<description>
<b>In this post, Maria Xynou gives us a comparison of the Draft DNA Profiling Bill 2007 and the Draft Human DNA Profiling Bill 2012.</b>
<hr />
<p><i>This research was undertaken as part of the 'SAFEGUARDS' project that CIS is undertaking with Privacy International and IDRC</i>.</p>
<hr />
<p>Last April, the most recent version of the DNA Profiling Bill was leaked in India. The draft 2007 DNA Profiling Bill failed to adequately regulate the collection, use, sharing, analysis and retention of DNA samples, profiles and data, whilst its various loopholes created a potential for abuse. However, its 2012 amended version is not much of an improvement. On the contrary, it excessively empowers the DNA Profiling Board, while remaining vague in terms of collection, use, analysis, sharing and storage of DNA samples, profiles and data. Due to its ambiguity and lack of adequate safeguards, the draft April 2012 Human DNA Profiling Bill can potentially enable the infringement of the right to privacy and other human rights.</p>
<h2><b>Draft 2007 DNA Profiling Bill <i>vs.</i> Draft 2012 Human DNA Profiling Bill</b></h2>
<h3><b> </b><b>1. </b><b>Composition of the DNA Profiling Board</b></h3>
<p><b>Amendment:</b> The Draft 2007 DNA Profiling Bill listed the members which would be appointed by the Central Government to comprise the DNA Profiling Board. A social scientist of national eminence, as stated in section 4(q) of Chapter 3, was included. However, the specific section has been deleted from the Draft 2012 Human DNA Profiling Bill and no other social scientist has been added to the list of members to comprise the DNA Profiling Board. Despite the amendments to the section on the composition of the Board, no privacy or human rights expert has been included.</p>
<p><b>Analysis:</b> The lack of human rights experts on the board can potentially be problematic as a lack of expertise on privacy laws and other human rights laws can lead to the regulation of DNA databases without taking privacy and other civil liberties into consideration.</p>
<ul>
<li><b>DNA 2007 Bill (Section 4): </b><i>“The DNA Profiling Board shall consist of the following members appointed by the Central Government from amongst persons of ability, integrity and standing who have knowledge or experience in DNA profiling including molecular biology, human genetics, population biology, bioethics , social sciences, law and criminal justice or any other discipline which would, in the opinion of the Central Government, be useful to DNA Profiling , namely: (a) a Renowned Molecular Biologist to be appointed by the Central Government Chairperson, (b) Secretary, Ministry of Law and Justice, or his nominee ex-officio Member; (c) Chairman, Bar Council of India, New Delhi or his nominee ex-officio Member; (d) Vice Chancellor, NALSAR University of Law, Hyderabad ex-officio Member; (e) Director, Central Bureau of Investigation or his nominee ex-officio Member; (f) Chief Forensic Scientist, Directorate of Forensic Science, Ministry of Home Affairs, New Delhi ex-officio Member; (g) Director, National Crime Records Bureau, New Delhi ex-officio Member; (h) Director, National Institute of Criminology and Forensic Sciences, New Delhi ex-officio Member; (i) a Forensic DNA Expert to be nominated by Secretary, Ministry of Home Affairs, New Delhi, Government of India Member; (j) a DNA Expert from All India Institute of Medical Sciences, New Delhi to be nominated by its Director, Member; (k) a Population Geneticist to be nominated by the President, Indian National Science Academy, New Delhi Member; (l) an Expert to be nominated by the Director, Indian Institute of Science, Bangalore Member; (m) Director, National Accreditation Board for Testing and Calibration of Laboratories, New Delhi ex-officio Member; (n) Director, Centre for Cellular and Molecular Biology, Hyderabad ex-officio Member; (o) Representative of the Department of Bio-technology, Government of India, New Delhi to be nominated by Secretary, DBT, Ministry of S&T, Government of India Member; (p) The Chairman, National Bioethics Committee of Department of Biotechnology, Government of India, New Delhi ex-officio Member; (q) a Social Scientist of National Eminence to be nominated by Secretary, MHRD, Government of India Member; (r) four Directors General of Police representing different regions of the country to be nominated by MHA Members; (s) two expert Members to be nominated by the Chairperson Members (t) Manager, National DNA Data Bank ex-officio Member; (u) Director, Centre for DNA and Fingerprinting and Diagnostics (CDFD), Hyderabad ex-officio Member Secretary”</i><b> </b></li>
</ul>
<p><b> </b></p>
<ul>
<li><b>DNA April 2012 Bill (Section 4):</b><i>“The Board shall consist of the following Members appointed from amongst persons of ability, integrity and standing who have knowledge or experience in DNA profiling including molecular biology, human genetics, population biology, bioethics, social sciences, law and criminal justice or any other discipline which would be useful to DNA profiling, namely:- (a) A renowned molecular biologist to be appointed by the Central Government- Chairperson; (b) Vice Chancellor of a National Law University established under an Act of Legislature to be nominated by the Chairperson- ex-officio Member; (c) Director, Central Bureau of Investigation or his nominee (not below the rank of Joint Director)- ex-officio Member; (d) Director, National Institute of Criminology and Forensic Sciences, New Delhi- ex-officio Member;(e) Director General of Police of a State to be nominated by Ministry of Home Affairs, Government of India- ex-officio Member; (f) Chief Forensic Scientist, Directorate of Forensic Science, Ministry of Home Affairs, Government of India - ex-officio Member</i><b> </b><i>(g) Director of a Central Forensic Science Laboratory to be nominated by Ministry of Home Affairs, Government of India- ex-officio Member; (h) Director of a State Forensic Science Laboratory to be nominated by Ministry of Home Affairs, Government of India- ex-officio Member; (i) Chairman, National Bioethics Committee of Department of Biotechnology, Government of India- ex-officio Member; (j) Director, National Accreditation Board for Testing and Calibration of Laboratories, New Delhi- exofficio Member; (k) Financial Adviser, Department of Biotechnology, Government of India or his nominee- ex-officio Member; (l) Two molecular biologists to be nominated by the Secretary, Department of Biotechnology, Ministry of Science and Technology, Government of India- Members; (m) A population geneticist to be nominated by the President, Indian National Science Academy, New Delhi- Member; (n) A representative of the Department of Biotechnology, Government of India to be nominated by the Secretary, Department of Biotechnology, Ministry of Science and Technology, Government of India- Member; (o) Director, Centre for DNA and Fingerprinting and Diagnostics (CDFD), Hyderabad- ex-officio Member- Secretary” </i></li>
</ul>
<p><i><br /></i></p>
<h3><b>2. </b><b>Powers and functions of the Chief Executive Officer</b></h3>
<p><b>Amendment:</b> Although the Chief Executive Officer´s (CEO) powers and functions are set out in the 2007 Draft DNA Bill, these have been deleted from the amended 2012 Draft Bill. The Draft 2012 Bill merely states how the CEO will be appointed, the CEO´s status and that the CEO should report to the Member Secretary of the Board. As for the powers and functions of the CEO, the 2012 Bill states that they will be specified by the Board, without any reference to what type of duties the CEO would be eligible for. Furthermore, section 10(3) has been added which determines that the CEO will be ´a scientist with understanding of genetics and molecular biology´.</p>
<p><b>Analysis:</b> The lack of legal guidelines which would determine the scope of such regulations indicates that the CEO´s power is subject to the Board. This could create a potential for abuse, as the CEO´s power and the criteria for the creation of the regulations by the Board are not legally specified. Although an understanding of genetics and molecular biology is a necessary prerequisite for the specific CEO, an official understanding of privacy and human rights laws should also be a prerequisite to ensure that tasks are carried out adequately in regards to privacy and data protection.</p>
<ul>
<li><b>DNA 2007 Bill (Section 11):</b><i>“(1) The DNA Profiling Board shall have a Chief Executive Officer who shall be appointed by the Selection Committee consisting of Chairperson and four other members nominated by the DNA Profiling Board. (2) The Chief Executive Officer shall be of the rank of Joint Secretary to the Govt. of India and report to the Member Secretary of the DNA Profiling Board. (3)The Chief Executive Officer appointed under sub-section (1)shall exercise powers of general superintendence over the affairs of the DNA Profiling Board and its day-to-day management under the direction and control of the Member Secretary. (4) The Chief Executive Officer shall be responsible for the furnishing of all returns, reports and statements required to be furnished, under this Act and any other law for the time being in force, to the Central Government. (5) It shall be the duty of the Chief Executive Officer to place before the DNA Profiling Board for its consideration and decision any matter of financial importance if the Financial Adviser suggests to him in writing that such matter be placed before the DNA Profiling Board.”</i><b> </b></li>
<li><b>DNA April 2012 Bill (Section 10): </b><i>“(1) There shall be a Chief Executive Officer of the Board who shall be appointed by a selection committee consisting of the Chairperson and four other Members nominated by the Board. (2) The Chief Executive Officer shall be a person not below the rank of Joint Secretary to the Government of India or equivalent and he shall report to the Member-Secretary of the Board. (3) The Chief Executive Officer shall be a scientist with understanding of genetics and molecular biology. (4) The Chief Executive Officer appointed under subsection (1) shall exercise such powers and perform such duties, as may be specified by the regulations made by the Board, under the direction and control of the Member-Secretary”</i></li>
</ul>
<p><i><br /></i></p>
<h3><b>3. </b><b>Functions of the Board</b></h3>
<p><b>Amendment:</b> The section on the functions of the DNA Profiling Board of the 2007 Draft DNA Profiling Bill has been amended. In particular, sub-section 12(j) of the Draft 2012 Human DNA Profiling Bill states that the Board would ´authorise procedures for communication of DNA profile for civil proceedings and for crime investigation by law enforcement and other agencies´. The equivalent sub-section in the 2007 Draft DNA Bill restricted the Board´s authorisation to crime investigation by law enforcement agencies, and did not include civil proceedings and other agencies.</p>
<p><b>Analysis:</b> This amendment raises concerns, as the ´other agencies´ and the term ´civil proceedings´ are not defined and remain vague. The broad use of the terms ´other agencies´ and ´civil proceedings´ could create a potential for abuse, as it is unclear which parties would be authorised to use DNA profiles and under what conditions, nor is it clear what ´civil proceedings´ entail.</p>
<p><b>DNA 2007 Bill (Section 13(x)): </b><i>The DNA Profiling Board constituted under section 3 of this Act shall exercise and discharge the following powers and functions, namely: “authorize communication of DNA profile for crime investigation by</i><b> </b><i>law enforcement agencies;” </i><b> </b></p>
<p><b>DNA April 2012 Bill (Section 12(j)): </b><i>The Board shall exercise and discharge the following functions for the purposes of this Act, namely: “authorizing procedures for communication of DNA profile for civil proceedings and for crime investigation by law enforcement and other agencies;”</i></p>
<h3><i> </i><b>4. </b><b>Regional DNA Data Banks</b></h3>
<p><b>Amendment:</b> Section 33(1) of the 2007 Draft DNA Profiling Bill has been amended and its 2012 version (section 32(1)) states that the Central Government will establish a National DNA Data Bank and ´as many Regional DNA Data Banks thereunder, for every state or group of States, as necessary´.</p>
<p><b>Analysis:</b> This amendment enables the potential establishment of infinite regional DNA Data Banks without setting out the conditions for their function, how they would use data, how long they would retain it for or who they would share it with. The establishment of such regional data banks could potentially enable the access to, analysis, sharing and retention of huge volumes of DNA data without adequate regulatory frameworks restricting their function.</p>
<ul>
<li><b>DNA 2007 Bill (Section 33(1)): </b><i>“The Central Government shall, by a notification published in the</i><b> </b><i>Gazette of India, establish a National DNA Data Bank.”</i><b> </b></li>
<li><b>DNA April 2012 Bill (Section 32(1)): </b><i>“The Central Government shall, by notification, establish a National DNA Data Bank and as many Regional DNA Data Banks thereunder for every State or a group of States, as necessary.</i></li>
</ul>
<p><i><br /></i></p>
<h3><b>5. </b><b>Data sharing</b></h3>
<p>Section 33(2) of the 2007 Draft DNA Profiling Bill has been amended and section 32(2) of the 2012 draft Human DNA Profiling Bill includes that every state government should establish a State DNA Data Bank which should share the information with the National DNA Data Bank.</p>
<p>This sharing of DNA data between state and national DNA Data Banks could potentially increase the probability of data being accessed, shared, analysed and retained by unauthorised third parties. Furthermore, specific details, such as which information should be shared, how often and under what conditions, have not been specified.</p>
<ul>
<li><b>DNA 2007 Bill (Section 33(2)): </b><i>“A State Government may, by notification in the Official Gazette, establish a State DNA Data Bank.”</i><b> </b></li>
<li><b>DNA April 2012 Bill (Section 32(2)):</b><i>“Every State Government may, by notification, establish a State DNA Data Bank which shall share the information with the National DNA Data Bank.”</i></li>
</ul>
<p><i><br /></i></p>
<h3><b>6. </b><b>Data retention</b></h3>
<p><b>Amendment:</b> Section 32(3) of the 2012 draft DNA Bill has been amended from its original 2007 form to include that regulations on the retention of DNA data would be drafted by the DNA Profiling Board.</p>
<p><b>Analysis:</b> This amendment does not set out the DNA data retention period, nor who would have the authority to access such data and under what conditions. Furthermore, regulations on the retention of such data would be drafted by the DNA Profiling Board, which could increase their probability of being subject to bias and lack of transparency.</p>
<ul>
<li><b>DNA 2007 Bill (Section 33(3)): </b><i>“The National DNA Data Bank shall receive DNA data from State DNA Data Banks and shall store the DNA Profiles received from different</i><b> </b><i>laboratories in the format as may be specified by regulations.”</i> <b> </b></li>
<li><b>DNA April 2012 Bill (Section 32(3)): </b><i>“The National DNA Data Bank shall receive DNA data from State DNA Data Banks and shall store the DNA profiles received from different laboratories in the format as may be specified by the regulations made by the Board.”</i></li>
</ul>
<p><i><br /></i></p>
<h3><b>7. </b><b>Data Bank Manager</b></h3>
<p><b>Amendment:</b> Section 33 has been added to the 2012 draft Human DNA Profiling Bill and establishes a DNA Data Bank Manager, who would carry out ´all operations of and concerning the National DNA Data Bank´.</p>
<p><b>Analysis:</b> All such operations are not clearly specified and could create a potential for abuse. The DNA Data Manager would have the same type of status as the Chief Executive Officer, but he/she would be required to have an understanding of computer applications and statistics, possibly to support data mining efforts. However, the powers and duties that the DNA Data Bank Manager would be expected to have are not specified in the Bill, which merely states that they would be specified by regulations made by the DNA Profiling Board.</p>
<ul>
<li><b>DNA 2012 Bill (Section 33):</b><i>“(1) All operations of and concerning the National DNA Data Bank shall be carried out under the supervision of a DNA Data Bank Manager who shall be appointed by a selection committee consisting of Chairperson and four other Members nominated by the Board.(2) The DNA Data Bank Manager shall be a person not below the rank of Joint Secretary to the Government of India or equivalent and he shall report to the Member-Secretary of the Board.(3) The DNA Data Bank Manager shall be a scientist with understanding of computer applications and statistics. (4) The DNA Data Bank Manager appointed under sub-section (1) shall exercise such powers and perform such duties, as may be specified by the regulations made by the Board, under the direction and control of the Member-Secretary.”</i></li>
</ul>
<p><i><br /></i></p>
<h3><b>8. </b><b>Communication of DNA profiles to foreign agencies</b></h3>
<p><b>Amendment:</b> The 2007 Draft DNA Profiling Bill has been amended and sub-sections 35(2, 3) have been excluded from the 2012 Draft Human DNA Profiling Bill. These sub-clauses prohibited the use of DNA profiles for purposes other than the administration of the Act, as well as the communication of DNA profiles. Furthermore, sub-section 36(1) has been added to the 2012 Bill, which authorises the communication of DNA profiles to international agencies for the purposes of crime investigation.</p>
<p><b>Analysis:</b> The exclusion of sub-sections 35(2, 3) from the 2012 Bill indicates that the use and communication of DNA profiles without prior authorisation may be legally permitted, which raises major privacy concerns. Sub-section 36(1) does not define a ´crime investigation´, which indicates that DNA profiles could be shared with international agencies for loosely defined ´criminal investigations´ or even for civil proceedings. The lack of a strict definition to the term ´crime investigation´, as well as the broad reference to foreign states and international agencies raises concerns, as it remains unclear who will have access to information, for how long, under what conditions and whether that data will be retained.</p>
<ul>
<li><b>DNA 2007 Bill (Sections 35(2,3)): </b><i>“(2) No person who receives the DNA profile for entry in the DNA Data Bank shall use it or allow it to be used for purposes other than for the administration of this Act. (3) No person shall, except in accordance with the provisions hereinabove, communicate or authorize communication, or allow to be communicated a DNA profile that is contained in the DNA Data Bank or information that is referred to in sub-section (1) of Section 34”</i><b> </b></li>
<li><b>DNA April 2012 Bill (Section 36(1)): </b><i>“On receipt of a DNA profile from the government of a foreign state, an international organisation established by the governments of states or an institution of any such government or international organization, the National DNA Data Bank Manager may compare the DNA profile with those in the DNA Data Bank in order to determine whether it is already contained in the Data Bank and may then communicate through Central Bureau of Investigation or any other appropriate agency of the Central Government and with the prior approval of the Central Government information referred to in subsection (1) of section 35 to that government, international organisation or institution.”</i></li>
</ul>
<p><i><br /></i></p>
<h3><b>9. </b><b>Data destruction</b></h3>
<p><b>Amendment:</b> Section 37 of the 2007 draft DNA Profiling Bill states that the DNA Data Bank Manager shall expunge the DNA analysis of a person from the DNA index once the court has certified that the conviction of a person has been set aside. The 2007 Bill had no particular reference to data retention. The equivalent clause (37) of the 2012 draft DNA Bill, however, not only states that individuals´ DNA data will be kept on a ´permanent basis´, but also that the DNA Data Bank Manager shall expunge a DNA profile under the same conditions under the 2007 Bill.</p>
<p><b>Analysis:</b> This amendment indicates that Indians´ DNA data will be kept indefinitely and that it will be deleted only once the court has cleared an individual from conviction. This raises major concerns, as it does not clarify under what conditions individuals can have access to data during its retention, nor does it give ´non-convicts´ the opportunity to have their data deleted from the data bank.</p>
<ul>
<li><b>DNA 2007 Bill (Section 37): </b><i>“The Data Bank Manager shall, on receiving a certified copy of the order of the court that has become final establishing that the conviction of a person included in the DNA data bank has been set aside, expunge forthwith the DNA analysis of such person from the DNA index. Explanation:- For the purposes of this section, a court order is not ‘final’ till the expiry of the period of limitation for filing an appeal, or revision application, or review if permissible under the law, with respect to the order setting aside the conviction.”</i><b> </b></li>
<li><b>DNA April 2012 Bill (Section 37):</b><i>“(1) Subject to sub-sections (2) and (3), the information in the offenders’ index pertaining to a convict shall be kept on a permanent basis. (2) The DNA Data Bank Manager shall, on receiving a certified copy of the order of the court that has become final establishing that the person in respect of whom the information is included in the offenders’ index has been acquitted of the charge against him, expunge forthwith the DNA profile of such person from the offenders’ index, under intimation to the individual concerned, in such manner as may be prescribed. (3) The DNA Data Bank Manager shall, on receiving a certified copy of the order of the court that has become final establishing that the conviction of a person in respect of whom the information is included in the offenders’ index has been set aside, expunge forthwith the DNA profile of such person from the offenders’ index, under intimation to the individual concerned, in such manner as may be prescribed.”</i><b> </b></li>
</ul>
<p><b> </b></p>
<h3><b>10. </b><b>Use of DNA profiles and DNA samples and records</b></h3>
<p><b>Amendment</b>: Section 39 of the 2007 draft DNA Profiling Bill has been amended and the equivalent section of the 2012 DNA Bill (section 39) states that DNA profiles, samples and records can be used for purposes related to ´other civil matters´ and ´other purposes´, as specified by the regulations made by the DNA Profiling Board.</p>
<p><b>Analysis:</b> The vague use of the terms ´other civil matters´ and ´other purposes´ can create a potential for abuse, especially since the Board will not be comprised by an adequate amount of members with legal expertise on civil matters. This section enables the use of DNA data for potentially any purpose, as long as it is enabled by the Board. Furthermore, the section does not specify <i>who </i>can be authorised to use DNA data under such conditions, which raises further concerns.</p>
<ul>
<li><b>DNA 2007 Bill (Section 39):</b> <i>“(1)All DNA profiles, samples and records shall solely be used for the purpose of facilitating identification of the perpetrator(s) of a specified</i><b> </b><i>offence: Provided that such records or samples may be used to identify victims of</i><b> </b><i>accidents, disasters or missing persons or for such other purposes.</i><b> </b><i>(2) Information stored on the DNA data base system may be accessed by the authorized persons for the purposes of: (i) forensic comparison permitted under this Act; (ii) administering the DNA data base system; (iii) accessing any information contained in the DNA database system</i><b> </b><i>by law enforcement officers or any other persons, as may be</i><b> </b><i>prescribed, in accordance with provisions of any law for the time</i><b> </b><i>being in force; (iv) inquest or inquiry; (v) any other purpose as may be prescribed: Provided that nothing contained in this section shall apply to information</i><b> </b><i>which may be used to determine the identity of any person.”</i><b> </b></li>
<li><b>DNA April 2012 Bill (Section 39): </b><i>“All DNA profiles and DNA samples and records thereof shall be used solely for the purpose of facilitating identification of the perpetrator of a specified offence under Part I of the Schedule: Provided that such profiles or samples may be used to identify victims of accidents or disasters or missing persons or for purposes related to civil disputes and other civil matters listed in Part I of the Schedule or for other purposes as may be specified by the regulations made by the Board.”</i><b> </b></li>
</ul>
<p><b> </b></p>
<h3><b>11. </b><b>Availability of DNA profiles and DNA samples</b></h3>
<p><b>Amendment:</b> Section 40 of the 2007 draft DNA Bill has been amended and an extra paragraph has been included to the equivalent 2012 Bill. In particular, section 40 enables the availability of DNA profiles and samples in criminal cases, judicial proceedings and for defence purposes among others.</p>
<p><b>Analysis:</b> ´Criminal cases´ are loosely defined and could enable the availability of DNA data on low profile cases.</p>
<ul>
<li><b>DNA 2007 Bill (Section 40):</b><i>“The information on DNA profiles, samples and DNA identification records</i><b> </b><i>shall be made available only : (i) to law enforcement agencies for identification purposes in a criminal</i><b> </b><i>case; (ii) in judicial proceedings, in accordance with the rules of</i><b> </b><i>admissibility of evidence; (iii) for facilitating decisions in cases of criminal prosecution; (iv) for defense purposes, to a victim or the accused to the extent relevant and in connection with the case in which such accused is charged; (v) for population statistics data base, identification, research and</i><b> </b><i>protocol development, or for quality control provided that it does not</i><b> </b><i>contain any personally identifiable information and does not violate ethical norms, as specified by rules. (vi) for any other purposes as specified by rules.”</i><b> </b></li>
<li><b>DNA April 2012 Bill (Section 40):</b><i>“Information relating to DNA profiles, DNA samples and records relating thereto shall be made available in the following instances, namely:- (a) for identification purposes in criminal cases, to law enforcement agencies; (b) in judicial proceedings, in accordance with the rules of admissibility of evidence; (c) for facilitating decisions in cases of criminal prosecution; (d) for defence purposes, to the accused to the extent relevant and in connection with the case in which such accused is charged; (e) for creation and maintenance of a population statistics database that is to be used, as prescribed, for the purposes of identification research, protocol development or quality control provided that it does not contain any personally identifiable information and does not violate ethical norms; or (f) in the case of investigations related to civil dispute and other civil matter listed in Part I of the Schedule, to the concerned parties to the said civil dispute or civil matter and to the concerned judicial officer or authority; or (g) for any other purposes, as may be prescribed.”</i><b> </b></li>
</ul>
<p><b> </b></p>
<h3><b>12. </b><b>Restriction on access to information in DNA Data Banks</b></h3>
<p><b>Amendment:</b> Section 43 has been added to the 2012 draft Human DNA Profiling Bill which states that access to information shall be restricted in cases when a DNA profile derives from a victim or a person who has been excluded as a suspect.</p>
<p><b>Analysis:</b> This section implies that everyone who does not belong in these two categories has his/her data exposed to (unauthorised) access by third parties.</p>
<ul>
<li><b>DNA April 2012 Bill (Section 43): </b><i>“Access to the information in the National DNA Data Bank shall be restricted in the manner as may be prescribed if the information relates to a DNA profile derived from- (a) a victim of an offence which forms or formed the object of the relevant investigation, or (b) a person who has been excluded as a suspect in the relevant investigation.”</i><b> </b></li>
</ul>
<p><b> </b></p>
<h3><b>13. </b><b>Board exemption from tax on wealth and income, profits and gains</b></h3>
<p><b>Amendment:</b> Section 53 of the 2007 draft DNA Bill on “Returns and Reports” on behalf of the Board has been deleted and section 62 on the Board exemption from tax on wealth and income, profits and gains, has been added to the 2012 DNA Bill.</p>
<p><b>Analysis:</b> Although the 2007 DNA Bill stated that the Central Government was authorised to issue directions, this has been replaced by section 64 of the 2012 DNA Bill, which authorises the DNA Profiling Board to issue directions.</p>
<ul>
<li><b>DNA 2007 Bill (Section 53):</b><i>“(1) The DNA Profiling Board shall furnish to the Central Government at</i><b> </b><i>such time and in such form and manner as may be specified by rules or </i><b> </b><i>as the Central Government may direct, such returns and statements as</i><b> </b><i>the Central Government may, from time to time, require. (2) Without prejudice to the provisions of sub-section (1), the DNA Profiling</i><b> </b><i>Board shall, within ninety days after the end of each financial</i><b> </b><i>year, submit to the Central Government a report in such form, as may be</i><b> </b><i>prescribed, giving a true and full account of its activities, policy and</i><b> </b><i>programmes during the previous financial year. (3) A copy of the report received under sub-section (2) shall be laid, as soon may be after it is received, before each House of Parliament.”</i><b> </b></li>
<li><b>DNA April 2012 Bill (Section 62): “</b><i>Notwithstanding anything contained in- (a) the Wealth-tax Act, 1957; (b) the Income-tax Act, 1961; or (c) any other enactment for the time being in force relating to tax, including tax on wealth, income, profits or gains or the provision of services,- the Board shall not be liable to pay wealth-tax, income-tax or any other tax in respect of its wealth, income, profits or gains derived.”</i><b> </b></li>
</ul>
<p>
For more details visit <a href='https://cis-india.org/internet-governance/blog/comparison-of-draft-dna-profiling-bills'>https://cis-india.org/internet-governance/blog/comparison-of-draft-dna-profiling-bills</a>
</p>
</description>
<dc:publisher> No publisher </dc:publisher>
<dc:creator> maria </dc:creator>
<dc:rights/>
<dc:subject> SAFEGUARDS </dc:subject>
<dc:subject> Internet Governance </dc:subject>
<dc:subject> Privacy </dc:subject>
<dc:date> 2013-07-12T15:32:08Z </dc:date>
<dc:type> Blog Entry </dc:type>
</item>
</rdf:RDF>
| https://cis-india.org/search_rss?Creator=maria&advanced_search=True&b_start%3Aint=30&sort_on=created&sort_order=reverse |
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Phase II Transp., Inc. v. Carolina Cas. Ins. Co., CV 15–03596–SVW–MRW - Federal Cases - Case Law - VLEX 887166419
0: [object Object]. 1: [object Object]. 2: [object Object]. 3: [object Object]. 4: [object Object]. 5: [object Object]
Phase II Transp., Inc. v. Carolina Cas. Ins. Co., CV 15–03596–SVW–MRW
<table><tbody><tr><td> Court</td><td> United States District Courts. 9th Circuit. United States District Courts. 9th Circuit. Central District of California</td></tr><tr><td> Writing for the Court</td><td> STEPHEN V. WILSON, U.S. DISTRICT JUDGE</td></tr><tr><td> Citation</td><td> 228 F.Supp.3d 999</td></tr><tr><td> Parties</td><td> PHASE II TRANSPORTATION, INC. v. CAROLINA CASUALTY INSURANCE COMPANY</td></tr><tr><td> Docket Number</td><td> CV 15–03596–SVW–MRW</td></tr><tr><td> Decision Date</td><td> 19 January 2017</td></tr></tbody></table>
228 F.Supp.3d 999
PHASE II TRANSPORTATION, INC.
v.
CAROLINA CASUALTY INSURANCE COMPANY
CV 15–03596–SVW–MRW
United States District Court, C.D. California.
Signed January 19, 2017
228 F.Supp.3d 1001
Timothy William Kenna, Jesse D. Marr, John J. Moura, Richard E. Wirick, Gilbert, Kelly, Crowley and Jennett LLP, Los Angeles, CA, for Phase II Transportation, Inc.
Robert D. Hoffman, Charlston, Revich and Wollitz LLP, Los Angeles, CA, for Carolina Casualty Insurance Company.
IN CHAMBERS ORDER GRANTING SUMMARY JUDGMENT FOR CAROLINA CASUALTY INSURANCE COMPANY AND DENYING SUMMARY JUDGMENT FOR PHASE II [25] [26]
STEPHEN V. WILSON, U.S. DISTRICT JUDGE
Having read and considered the papers presented by the parties, the Court finds this matter suitable for determination without oral argument. SeeFed. R. Civ. P. 78 ; Local Rule 7–15. Accordingly, the hearing scheduled for January 23, 2017 at 1:30 p.m. is VACATED and OFF CALENDAR.
I. INTRODUCTION
Plaintiff Phase II Transportation, Inc., ("Phase II" or "Plaintiff") brings this claim against Defendant Carolina Casualty Insurance Company ("CCIC" or "Defendant").Dkt. 1. Phase II claims that CCIC, its insurance company, failed to defend an underlying lawsuit, and thus Phase II seeks reimbursement for its defense costs. CCIC asserts a counterclaim against Phase II claiming that CCIC paid for a settlement with a reservation of rights, and that the settlement was not covered by the insurance policy.Dkt. 22. Thus, CCIC seeks a reimbursement of these settlement expenses.
II. FACTUAL BACKGROUND
CCIC provides insurance coverage for Phase II subject to some exclusions. Specifically, there is a Wage and Hour Exclusion, which states:
IV. Additional Exclusions
In addition to the Exclusions listed in section IV. of the Common Policy Terms and Conditions Section, the
Insurer
shall not be liable to make any payment or for
Loss
in connection with a
Claim
made against any
Insured:
* * *
I. based upon, arising out of, directly or indirectly resulting from or in consequence of, or in any way involving any Federal, State, local or foreign wage and hour laws, including, without limitations, the Fair Labor Standards Act, provided, however, this exclusion shall not apply to any Claim for any actual or alleged retaliatory treatment of the claimant by the Insured on account of the claimant's exercise of right pursuant to any such law or amounts owed under the Equal Pay Act of 1963.
Dkt. 29–1, Exh. A (emphasis in original).
The facts relevant for this case begin on December 5, 2012, when a former Phase II employee Cervando Robles issued a written demand letter against Phase II claiming to have been misclassified as an independent contractor when he should have been classified as an employee. Seedkt.
228 F.Supp.3d 1002
26–2, Exh.2. Phase II tendered the demand letter to CCIC's claims handler Monitor Liability Managers ("Monitor"), which denied coverage based on its determination there was no "Wrongful Act" and that the Wage and Hour Exclusion applied. Seedkt. 26–2, Exh, 3. On December 9, 2013, Robles filed a class action lawsuit in San Bernardino Superior Court ("Robles Lawsuit") asserting the same theory of misclassification. Monitor denied coverage for the same reasons. Therefore, CCIC did not initially tender a defense to this lawsuit.
Specifically, the Robles Lawsuit alleged violations of California Labor Code §§ 226.7 and 512 (Denial of Meal Breaks). § 226.7 (Denial of Rest Breaks), § 204 (Failure to Timely Pay Wages for Hours Worked), § 2802 (Unpaid Work-related Expenses), § 510 and 1194 (Failure to Pay Overtime), § 1194 and 558 (Failure to Pay Minimum Wages), § 201–203 (Waiting Time Penalties), § 221 and 219 (Unlawful Deduction of Wages), and Business & Professions Code §§ 17200 et seq. 1
On May 8, 2013, Nayael Mendoza and others issued a written demand letter against Phase II for unpaid wages.Dkt. 26–1 at 7. Phase II tendered the letter to Monitor, and Monitor denied coverage. On September 4, 2014, the Mendoza plaintiffs filed a lawsuit against Phase II ("Mendoza Lawsuit") in Los Angeles Superior Court. Phase II tendered the lawsuit to Monitor, and Monitor accepted the defense of this action, subject to a reservation of rights. Monitor's acceptance was based on coverage for intentional fraud and negligent misrepresentation claims.
Specifically, the Mendoza lawsuit alleged much of the same Wage and Hour claims as the Robles Lawsuit, plus additions claims for Fraud by Intentional Misrepresentation, Concealment and False Promises, and Negligent Misrepresentation. Seedkt. 26–2, exh. 6.
On February 22, 2015, Phase II retendered the Robles Lawsuit to CCIC. On April 24, 2015, CCIC agreed to defend the Robles Lawsuit under a reservation of rights. Seedkt. 26–2, exh. 9. CCIC determined that the Robles Lawsuit was related to the Mendoza Lawsuit and therefore fell under a Related Claim provision of the insurance policy. See id.CCIC did not agree to reimburse Phase II for previous defense costs incurred.
CCIC then defended both the Robles and Mendoza Lawsuit. Phase II settled both cases in 2015–2016 and CCIC indemnified both these settlements. CCIC paid $354,000 towards the Robles settlement. Relevant for these purposes, the Phase II and Robles settlement specified that "the plaintiffs have requested, and [ ] Defendant agrees, [that] the settlement shall be allocated 100% to covered claims, i.e. negligence, misrepresentation, and retaliation." Seedkt. 25 at 15/36. However, it is also undisputed that CCIC took no part in this settlement negotiation and that the Roble Lawsuit never alleged claims of negligence, misrepresentation, or retaliation.
In these cross-motions for summary judgment, Phase II seeks a judgment that CCIC had a duty to defend the Robles Lawsuit at the date of tender of the Robles demand letter. Phase II also seeks Brandtfees. 2CCIC seeks a judgment that
228 F.Supp.3d 1003
they had no duty to defend the Robles Lawsuit prior to tender of the Mendoza action. CCIC also seeks a judgment that it is entitled to reimbursement for the $354,000 settlement payment to Robles. For the following reasons, the Court GRANTS the summary judgment motion for CCIC in its entirety.
III. LEGAL STANDARDS
Summary judgment is appropriate if there is no genuine issue of material fact and the moving party is entitled to judgment as a matter of law.Fed. R. Civ. P. 56(c). The moving party bears the initial responsibility of informing the court of the basis of its motion, and identifying those portions of the pleadings, depositions, answers to interrogatories, admissions, or affidavits that demonstrate the absence of a triable issue of material fact. Celotex Corp. v. Catrett,477 U.S. 317, 323,106 S.Ct. 2548,91 L.Ed.2d 265(1986). In determining a motion for summary judgment, all reasonable inferences from the evidence must be drawn in favor of the nonmoving party. Anderson v. Liberty Lobby, Inc.,477 U.S. 242, 255,106 S.Ct. 2505,91 L.Ed.2d 202(1986). A genuine issue exists if "the evidence is such that a reasonable jury could return a verdict for the nonmoving party," and material facts are those "that might affect the outcome of the suit under the governing law." Id.at 248,106 S.Ct. 2505. However, no genuine issue of fact exists " [w]here the record taken as a whole could not lead a rational trier of fact to find for the non-moving party." Matsushita Elec. Indus. Co. v. Zenith Radio Corp. ,475 U.S. 574, 587,106 S.Ct. 1348,89 L.Ed.2d 538(1986).
IV. ANALYSIS
The three specific issues in dispute, relevant for the Court's judgment, are: (A) whether § 2802 is a "Wage and Hour" law and thus is covered by the Wage and Hour Exclusion, (B) whether the Robles Lawsuit had a potential for coverage due to potential misrepresentation or retaliation claims, and (C) whether CCIC is bound by the Robles settlement, which purported allocated its payout to "covered claims" under the insurance policy.
A. Whether § 2802 is a Wage and Hour Law
California Labor Code § 2802 provides that, " [a]n employer shall indemnify his or her employee for all necessary expenditures or losses incurred by the employee in direct consequence of the discharge of his or her duties." The Robles Lawsuit sought reimbursement pursuant to this law for expenditures that were necessary to their work as truck drivers for Phase II. This claim was prominent from the beginning of the Robles action, thus if it does not fall under the Wage and Hour Exclusion CCIC would have had a duty to defend the lawsuit from the beginning. Conversely, if it does fall under the Wage and Hour Exclusion then allclaims explicitly alleged in the lawsuit would fall squarely within the Exclusion.
The parties direct the Court's attention to a district court split on whether § 2802 is considered a Wage and Hour law for the purpose of a Wage and Hour exclusion in insurance contracts. The Central District of California decided in Admiral Ins.Co. v. Kay Auto. Distributors, Inc. ,82 F.Supp.3d 1175(C.D. Cal. 2015) (" Kay") that § 2802 is...
3 practice notes
S. Cal. Pizza Co. v. Certain Underwriters at Lloyd's, G056243 United States California Court of Appeals August 27, 2019 ...relied on, answered the question in the affirmative. ( Phase II Transportation, Inc. v. Carolina Casualty Ins. Co. (C.D.Cal. 2017) 228 F.Supp.3d 999, 1006 ( Phase II ); Admiral Ins. Co. v. Kay Automotive Distributors, Inc. (C.D.Cal. 2015) 82 F.Supp.3d 1175, 1181-1182 ( Admiral ).) The case ......
Dupart v. Roussell, CIVIL ACTION NO. 20-1406 United States United States District Courts. 5th Circuit. United States District Court (Eastern District of Louisiana) October 28, 2020 ...of action, the facts set forth in the complaint ... may not be considered"); Phase II Transportation, Inc. v. Carolina Cas. Ins. , 228 F. Supp. 3d 999, 1008 (C.D. Cal. 2017) ("It is elementary that a party cannot recover on a cause of action not in the complaint.").Roussell, who remains pro......
Stacy v. JPMorgan Chase Bank, N.A., No. 3:19-cv-446-M-BN United States United States Courts of Appeals. United States Court of Appeals (10th Circuit) June 19, 2020 ...of law, cannot recover on a claim not in the complaint. See Dkt. No. 1-1 at 8-25; Phase II Transp. Inc. v. Carolina Cas. Ins. Co., 228 F. Supp. 3d 999, 1008 (C.D. Cal. 2017). But, even if he could, he fails to come forward with any evidence of "a false and malicious statement made in dispar......
3 cases
S. Cal. Pizza Co. v. Certain Underwriters at Lloyd's, G056243 United States California Court of Appeals August 27, 2019 ...relied on, answered the question in the affirmative. ( Phase II Transportation, Inc. v. Carolina Casualty Ins. Co. (C.D.Cal. 2017) 228 F.Supp.3d 999, 1006 ( Phase II ); Admiral Ins. Co. v. Kay Automotive Distributors, Inc. (C.D.Cal. 2015) 82 F.Supp.3d 1175, 1181-1182 ( Admiral ).) The case ......
Dupart v. Roussell, CIVIL ACTION NO. 20-1406 United States United States District Courts. 5th Circuit. United States District Court (Eastern District of Louisiana) October 28, 2020 ...of action, the facts set forth in the complaint ... may not be considered"); Phase II Transportation, Inc. v. Carolina Cas. Ins. , 228 F. Supp. 3d 999, 1008 (C.D. Cal. 2017) ("It is elementary that a party cannot recover on a cause of action not in the complaint.").Roussell, who remains pro......
Stacy v. JPMorgan Chase Bank, N.A., No. 3:19-cv-446-M-BN United States United States Courts of Appeals. United States Court of Appeals (10th Circuit) June 19, 2020 ...of law, cannot recover on a claim not in the complaint. See Dkt. No. 1-1 at 8-25; Phase II Transp. Inc. v. Carolina Cas. Ins. Co., 228 F. Supp. 3d 999, 1008 (C.D. Cal. 2017). But, even if he could, he fails to come forward with any evidence of "a false and malicious statement made in dispar......
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| Flow-chart of the study. Notes: SUD, substance use disorders;... | Download Scientific Diagram
Download scientific diagram | | Flow-chart of the study. Notes: SUD, substance use disorders; DEP-ADO, the questionnaire used for participants' screening, is detailed in Section " Screening " ; EMA, ecological momentary assessment; TAU, treatment as usual. from publication: Ecological Momentary Assessment and Smartphone Application Intervention in Adolescents with Substance Use and Comorbid Severe Psychiatric Disorders: Study Protocol | Context Substance use disorders (SUDs) are highly prevalent among inpatient adolescents with psychiatric disorders. In this population, substance use and other psychiatric outcomes can reinforce one another. Despite the need for integrated interventions in youths with dual... | Smartphone, Psychiatric Disorders and Adolescents | ResearchGate, the professional network for scientists.
| Flow-chart of the study. Notes: SUD, substance use disorders; DEP-ADO, the questionnaire used for participants' screening, is detailed in Section " Screening " ; EMA, ecological momentary assessment; TAU, treatment as usual.
Source publication
Ecological Momentary Assessment and Smartphone Application Intervention in Adolescents with Substance Use and Comorbid Severe Psychiatric Disorders: Study Protocol
Angèle Consoli
[...]
Yasser Khazaal
Context
Substance use disorders (SUDs) are highly prevalent among inpatient adolescents with psychiatric disorders. In this population, substance use and other psychiatric outcomes can reinforce one another. Despite the need for integrated interventions in youths with dual diagnoses, few specific instruments are available. App-based technologies ha...
43
[24]
... Mobilyze!
[24]
(44)
44)
Multiple internal factors, such as psychological resilience and mental health status, have been shown to contribute to overall quality of life (QoL). However, very few studies to date have examined how these factors contribute to QoL of youth and young adults in a stressful situation. Here, we studied the contribution of these factors, as well as of ecological momentary mood assessment, to QoL of young army recruits during their Basic Training Combat (BCT). To this end, we collected data from 156 male and female soldiers in a mixed-gender unit in the Israel Defense Forces (IDF). Using a mobile app installed on participants' phones, participants provided self-reports regarding their mental health status and psychological resilience at baseline, and QoL 2 weeks later. Momentary mood reporting was further collected during the 2-week interval period using a daily self-report mood scale (IMS-12). Structural equation modeling (SEM) was used to examine the interrelationships among the study variables based on a hypothesized model. We found that a model with all factors (gender, resilience, mental health status and momentary mood) provided a good fit for the data based on its fit indices [χ ² (38) = 47.506, p = 0.139, CFI = 0.979, NFI = 0.910, RMSEA = 0.040, TLI = 0.964]. However, the only direct contributors to QoL were gender and momentary mood, accounting together for 61.5% of the variance of QoL. Psychological resilience and mental health status contributed to QoL only indirectly, through their associations with momentary mood. Collectively, these results highlight the importance of ecological momentary assessment of mental-health related factors such as mood to the prediction of QoL in young adults under stress. These findings may have broader implications for monitoring and improvement of well-being in young healthy populations as well as in clinical ones.
... For instance, young adults who used an app designed to reduce cannabis use reported decreased cravings and cannabis use when delivered alongside 2 motivational enhancement therapy sessions [46]. A similar approach that leverages ecological momentary assessment and remote intervention is currently being studied with youths who exhibit dual disorders [47,
48]
. This work highlights the importance of considering not only what an app includes (content and functionality) but also how it is implemented with intended users. ...
Acceptability of an mHealth App for Youth with Substance Use and Mental Health Needs: An Iterative, Mixed Methods Design (Preprint)
Article
Full-text available
May 2021
Zachary William Adams
Miyah Grant
Samantha Hupp
Taylor Scott
Dorothy LaPutt
Background:
Treating substance use disorders (SUDs) during adolescence can prevent adult addiction and improve youth outcomes. However, it can be challenging to keep adolescents with SUDs engaged in ongoing services, thus limiting potential benefits. Developmentally appropriate tools are needed to improve treatment engagement during and between sessions for youth with SUDs and mental health disorders. Mobile health apps may augment or replace psychotherapy components; however, few have been developed specifically for youth with SUDs following user-guided design principles, which may limit their appropriateness and utility. Formative research on acceptability to intended end users is needed before the efficacy of such tools can be examined.
Objective:
This study involves user-centered, iterative development and initial user testing of a web-based app for adolescents with SUDs and mental health concerns.
Methods:
Adolescents aged 14 to 17 years with past-year involvement in outpatient psychotherapy and behavioral health clinicians with adolescent SUD treatment caseloads were recruited. Across 2 assessment phases, 40 participants (alpha: 10 youths and 10 clinicians; beta: 10 youths and 10 clinicians) viewed an app demonstration and completed semistructured interviews and questionnaires about app content and functionality.
Results:
Participants expressed positive impressions of the app and its potential utility in augmenting outpatient therapy for youth with SUDs and mental health concerns. Noted strengths included valuable educational content, useful embedded resources, and a variety of activities. Adolescents and clinicians favored the app over conventional (paper-and-pencil) modalities, citing convenience and familiarity. The app was found to be user-friendly and likely to improve treatment engagement. Adolescents suggested the inclusion of privacy settings, and clinicians recommended more detailed instructions and simplified language.
Conclusions:
The novel app developed here appears to be a promising, acceptable, and highly scalable resource to support adolescents with SUDs and mental health concerns. Future studies should test the efficacy of such apps in enhancing adolescent behavioral health treatment engagement and outcomes.
... ecological momentary assessment).
15,
16 This allows for real-time delivery of feedback, and by entering the acquired information into tailoring algorithms, mHealth tools can offer patients flexible and personalized behavior change programs. Finally, combining these common features of mHealth apps with information obtained from Bluetooth-enabled sensing devices, allows for a continuous stream of weight-related information which better imitates the process of face-to-face weight management treatments. ...
Assessing the user experience and usability of the PRECIOUS system: a randomized controlled trial in obese patients
Article
Jul 2020
INFORM HEALTH SOC CA
Carmina Castellano-Tejedor
Jordi Moreno
Keegan Knittle
Johanna Nurmi
Pilar Lusilla-Palacios
Objective
To assess users’ usability, satisfaction, acceptance and effectiveness of the PRECIOUS system to promote behavior change toward healthier lifestyles. Design: Thirty-one adult patients with BMI>30 (M = 44.23, SD = 5.91) were recruited and randomized into three conditions for a longitudinal study (3 months length): 1) Control group (TAU + biofeedback + follow-ups); 2) PRECIOUS only (app + biofeedback + follow-ups); 3) PRECIOUS + MI (app + biofeedback + motivational interviewing follow-ups). Main Outcome Measures: Usability, satisfaction, acceptance and effectiveness of PRECIOUS, and stages of change (S-Weight questionnaire). Results: The system was described as easy to use, flexible, fairly satisfying and good as a preventive health system. Participants rated biofeedback and the Physical Activity module as the most satisfying features. However, participants were unsatisfied with the Diet module. All additional features received acceptable scores in terms of satisfaction. Despite this, the PRECIOUS only group reported that they would probably recommend the system to others because it meets its purposes quite well. Conclusion: PRECIOUS was found a usable and acceptable solution, although improving several features in the Diet module in successive versions of the app would promote sustained use and satisfaction among users, possibly increasing its effectiveness in promoting healthier lifestyles.
Abbreviations: ADA
American Diabetes Association; BG2: BodyGuard2; BMI: Body Mass Index; CBT: Cognitive-behavioral therapy; EMA: Ecological Momentary Assessment; eHealth: Electronic health; mHealth: Mobile health; MI: Motivational interviewing; NCD: Non-communicable diseases; PA: Physical activity; PRECIOUS: PREventive Care Infrastructure based On Ubiquitous Sensing
... MyT [54], PRISM [55], SIMPLe [56][57][58][59] Bipolar and related disorders CASA-CHESS [60], Enuresis Trainer [61], Learn To Quit [62], SMI-CM [63], Stay Quit Coach [64], Stop-Cannabis
[65]
, N/A a [66] Comorbid disorders BackUp; mEMA [67], BeyondNow [68], BRITE [69], iBobbly [70], Virtual Hope Box (VHB) [71,72], N/A [73,74], Blue Ice [75][76][77] Suicidal behavior disorder/nonsuicidal self-injury RELAX [78], N/A [79], Life Armor; PE Coach; Positive Activity Jackpot; Eventful; Tactical Breather; VHB; Daily Yoga; Simply Yoga [79,80],PE Coach [81][82][83][84], PTSD Coach [85][86][87][88][89][90][91] Trauma and stressor-related disorders iCOPE [92], MindFrame [93], movisenseXS [94], RealLife Exp [95], SlowMo [96], TechCare [97], Temstem [98], Actissist [99,100], FOCUS [101,102], Heal Your Mind [103], PRIME [104,105] Schizophrenia spectrum and other psychotic disorders Drink Less [106], Fit&Sobber [107], Mind the Moment [108], S-Health [109], SEVA [110], SmartQuit [111], Smoke Mind [112], Social-Local-Mobile [113], A-CHESS [114,115], CET App [116,117], Kick.it [118,119], Smart-T [120,121] Substance-related and addictive disorders Agoraphobia Free; Stress Free [122], Ångesthjälpen [123], AnxietyCoach [124], CBT Assistant [125], Challenger [126], Lantern [127], PsychAssist [128], Public Speech Trainer (PST) [129], SmartCAT [130], GET.ON PAPP [131,132], N/A [133][134][135][136][137][138][139] Anxiety disorders ACT Daily APP [140], FOCUS [141], Headspace [142], iBobbly [143], iCare-stress [144], IntelliCare Suite [145], MoodMission [146], MoodTrainer [147], myCompass [148], PeerTECH App [149], Pocket Skills [150], Sinasprite [151], SmartCAT [152], SPIRIT [153], The Moment [154], TODAY! [155], Wellframe [156], WellWave [157], N/A [149], WorkingWell [158,159] Various disorders 7Cups [160], Be Good to Yourself [18], BlueWatch [161], Dcombat [162], Get Happy Program [163], HeadGear [164], iCare Prevent [165], MedLink [166], Mobile Sensing and Support [167], MoodHacker [168], Moodivate [169], MyGamePlan [170], PRIME-D [171], Push-D [172], SocioEmpathy [173], SPSRS [174], SuperBetter [175], The Sound Advice [176], Thought Challenger [177], TODAC [178], Kokoro-App [179][180][181], N/A [19,80,[182][183][184][185][186][187] Depressive disorders a N/A: app name not available/not mentioned. ...
Smartphone apps for the treatment of mental disorders: a systematic review.
Article
Full-text available
Apr 2020
J MED INTERNET RES
Nacho Miralles
Carlos Granell
Laura Díaz Sanahuja
William Van Woensel
Sven Casteleyn
Background: Smartphone apps are an increasingly popular means for delivering psychological interventions to patients suffering from a mental disorder. In line with this popularity, there is a need to analyze and summarize the state of the art, both from a psychological and technical perspective.
Objective: This study aimed to systematically review the literature on the use of smartphones for psychological interventions. Our systematic review has the following objectives: (1) analyze the coverage of mental disorders in research articles per year; (2) study the types of assessment in research articles per mental disorder per year; (3) map the use of advanced technical features, such as sensors, and novel software features, such as personalization and social media, per mental disorder; (4) provide an overview of smartphone apps per mental disorder; and (5) provide an overview of the key characteristics of empirical assessments with rigorous designs (ie, randomized controlled trials [RCTs]).
Methods: The Preferred Reporting Items for Systematic Reviews and Meta-Analyses guidelines for systematic reviews were followed. We performed searches in Scopus, Web of Science, American Psychological Association PsycNET, and Medical Literature Analysis and Retrieval System Online, covering a period of 6 years (2013-2018). We included papers that described the use of smartphone apps to deliver psychological interventions for known mental disorders. We formed multidisciplinary teams, comprising experts in psychology and computer science, to select and classify articles based on psychological and technical features.
Results: We found 158 articles that met the inclusion criteria. We observed an increasing interest in smartphone-based interventions over time. Most research targeted disorders with high prevalence, that is, depressive (31/158,19.6%) and anxiety disorders (18/158, 11.4%). Of the total, 72.7% (115/158) of the papers focused on six mental disorders: depression, anxiety, trauma and stressor-related, substance-related and addiction, schizophrenia spectrum, and other psychotic disorders, or a combination of disorders. More than half of known mental disorders were not or very scarcely (<3%) represented. An increasing number of studies were dedicated to assessing clinical effects, but RCTs were still a minority (25/158, 15.8%). From a technical viewpoint, interventions were leveraging the improved modalities (screen and sound) and interactivity of smartphones but only sparingly leveraged their truly novel capabilities, such as sensors, alternative delivery paradigms, and analytical methods.
Conclusions: There is a need for designing interventions for the full breadth of mental disorders, rather than primarily focusing on most prevalent disorders. We further contend that an increasingly systematic focus, that is, involving RCTs, is needed to improve the robustness and trustworthiness of assessments. Regarding technical aspects, we argue that further exploration and innovative use of the novel capabilities of smartphones are needed to fully realize their potential for the treatment of mental health disorders.
... All of these explanations may be true to some degree, and they may well interact which each other, i.e., a prior risk factor may increase vulnerability to MHPs as well as to addictions, and MHPs and addictions may later come to reinforce each other. Ecological momentary assessment studies could be helpful to assess such mechanisms
(Benarous et al., 2016)
. ...
Unique versus shared associations between self-reported behavioral addictions and substance use disorders and mental health problems: A commonality analysis in a large sample of young Swiss men
Article
Full-text available
Dec 2019
Simon Marmet
Joseph Studer
Matthias Wicki
Nicolas Bertholet
Gerhard Gmel
Background and aims:
Behavioral addictions (BAs) and substance use disorders (SUDs) tend to co-occur; both are associated with mental health problems (MHPs). This study aimed to estimate the proportion of variance in the severity of MHPs explained by BAs and SUDs, individually and shared between addictions.
Methods:
A sample of 5,516 young Swiss men (mean = 25.47 years old; SD = 1.26) completed a self-reporting questionnaire assessing alcohol, cannabis, and tobacco use disorders, illicit drug use other than cannabis, six BAs (Internet, gaming, smartphone, Internet sex, gambling, and work) and four MHPs (major depression, attention-deficit hyperactivity disorder, social anxiety disorder, and borderline personality disorder). Commonality analysis was used to decompose the variance in the severity of MHPs explained (R2) by BAs and SUDs into independent commonality coefficients. These were calculated for unique BA and SUD contributions and for all types of shared contributions.
Results:
BAs and SUDs explained between a fifth and a quarter of the variance in severity of MHPs, but individual addictions explained only about half of this explained variance uniquely; the other half was shared between addictions. A greater proportion of variance was explained uniquely or shared within BAs compared to SUDs, especially for social anxiety disorder.
Conclusions:
The interactions of a broad range of addictions should be considered when investigating their associations with MHPs. BAs explain a larger part of the variance in MHPs than do SUDs and therefore play an important role in their interaction with MHPs.
... Digitized interventions can offer automated feedback, individually tailored messages, and can assess outcome expectations, motivation, and self-efficacy [76]. In the last three years, there have been several studies examining the effectiveness of digitized interventions such as web applications [77,
78]
, text messaging [79], video games [80], and cognitive bias training [81]. Development of many of these promising interventions has been based on interventions such as MI [77, 82•, 83], with the aim of effectively reducing substance use and substancerelated cravings and problems through the delivery of automated, personalized text messages [83][84][85]. ...
Adolescent Substance Use Disorder Treatment: an Update on Evidence-Based Strategies
Article
Full-text available
Sep 2019
Curr Psychiatr Rep
Matthew C. Fadus
Lindsay M. Squeglia
Emilio A. Valadez
Rachel L. Tomko
Kevin M. Gray
Purpose of Review
To examine the most recent published evidence (2016–2019) regarding the treatment of adolescent substance use disorders and to provide an update on evidence-based strategies, adjunctive interventions, and methods to improve currently established treatment approaches.
Recent Findings
Recent evidence suggests that psychosocial treatments such as family-based therapy, cognitive behavioral therapy, and multicomponent approaches remain the most effective methods of treatment; however, innovative ways of improving these treatment strategies may include digital and culturally based interventions. New advances in adjunctive treatments such as pharmacotherapy, exercise, mindfulness, and recovery-oriented educational centers may have some clinical utility.
Summary
Well-established psychosocial interventions remain the primary modality of treatment. Promising new adjunctive treatments and improvements in our currently established treatments may yield significant improvements.
... To further investigate this question, future studies should include concomitant assessments of cybersex use, sexual behaviors, and compulsive cybersex, together with the nature of the rewards obtained during cybersex use. Ecological momentary assessment could be used to explore these questions
(Benarous et al., 2016;
Ferreri, Bourla, Mouchabac, & Karila, 2018;Jones, Tiplady, Houben, Nederkoorn, & Field, 2018). This work has several limitations, mainly related to the cross-sectional design, use of self-assessment questionnaires, self-selection biases, and the convenience sample size. ...
Contribution of sexual desire and motives to the compulsive use of cybersex
Article
Full-text available
Sep 2019
Farah Ben Brahim
Stephane Rothen
Francesco Bianchi-Demicheli
Robert Courtois
Yasser Khazaal
Background and aims:
Cybersex is increasingly associated with concerns about compulsive use. The aim of this study was to assess the roles of motives and sexual desire in the compulsive use of cybersex.
Methods:
The sample consisted of 306 cybersex users (150 men and 156 women). The participants were assessed using the Compulsive Internet Use Scale (CIUS) adapted for cybersex, the Cybersex Motives Questionnaire (enhancement, coping, and social motives), and the Sexual Desire Inventory-2 (dyadic and solitary sexual desire).
Results:
For both genders, coping motive was associated with CIUS score. For women, an additional association with social motives was found whereas an association with sexual desire was found for men.
Conclusion:
The study showed gender differences in the contributors to sex-related CIUS scores.
... This study is part of a larger research on the relationship between addictive disorders and psychopathology among adolescents with severe psychiatric disorder
(25)
. Participants are adolescents (12-18 years old) hospitalized in the Department of Child and Adolescent Psychiatry at the Pitié-Salpêtrière University Hospital in Paris. ...
Internet Gaming Disorder in Adolescents With Psychiatric Disorder: Two Case Reports Using a Developmental Framework
Xavier Benarous
Pierre Morales
Hanna Mayer
Cosmin Iancu
David Cohen
Internet gaming disorder (IGD) has been a controversial entity with various opinions about its clinical relevance as an independent mental disorder. This debate has also included discussions about the relationships between problematic gaming, various psychiatric disorders, and personality traits and dimensions. This paper outlines a developmental-theory based model of Internet gaming misuse inspired by the treatment of two adolescent inpatients. The two clinical vignettes illustrate distinct developmental pathways: an "internalized pathway" via the development of social anxiety, emotional and behavioral avoidance; and an "externalized pathway" with a low level of emotional regulation strategies and impulsivity. In both clinical cases, attachment issues played a key role to understand the specific associations of risk and maintaining factors for IGD, and gaming behaviors may be seen as specific forms of maladaptive self-regulatory strategies for these two youths. These clinical observations support the assumption that gaming use problematic in adolescents should be viewed with a developmental approach, including key aspects of emotional development that represent significant targets for therapeutic interventions.
| https://www.researchgate.net/figure/Flow-chart-of-the-study-Notes-SUD-substance-use-disorders-DEP-ADO-the_fig2_308386208 |
Request For Comments - RFC7271
Request For Comments - RFC7271
You are here:
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| RFCs
| RFC7271 [
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]
Internet Engineering Task Force
(IETF) J. Ryoo, Ed.
Request for Comments: 7271 ETRI
Updates: 6378
E. Gray, Ed.
Category: Standards Track Ericsson
ISSN: 2070-1721 H. van Helvoort
Huawei Technologies
A. D'Alessandro
Telecom Italia
T. Cheung
ETRI
E. Osborne
June 2014 MPLS
Transport Profile (MPLS-TP) Linear Protection to Match the
Operational Expectations of Synchronous Digital
Hierarchy,
Optical Transport Network, and Ethernet
Transport Network Operators
Abstract
This document describes alternate mechanisms to perform some of the
functions of MPLS
Transport Profile (MPLS-TP) linear protection
defined in RFC 6378
, and also defines additional mechanisms. The
purpose of these alternate and additional mechanisms is to provide
operator control and experience that more closely models the behavior
of linear protection seen in other transport networks.
This document also introduces capabilities and modes for linear
protection. A capability is an individual behavior, and a mode is a
particular combination of capabilities. Two modes are defined in
this document: Protection State Coordination (PSC) mode and Automatic
Protection Switching (APS) mode.
This document describes the behavior of the PSC protocol including
priority logic and state machine when all the capabilities associated
with the APS mode are enabled.
This document updates RFC 6378
in that the capability advertisement
method defined here is an addition to that document.
Ryoo, et al. Standards Track [Page 1]
RFC 7271 MPLS-TP LP for ITU-T
June 2014
Status of This Memo
This is an Internet
Standards Track document.
This document is a product of the Internet Engineering Task Force
(IETF). It represents the consensus of the IETF
community. It has
received public review and has been approved for publication by the Internet Engineering Steering Group
(IESG). Further information on Internet Standards is available in Section 2 of RFC 5741
.
Information about the current status of this document, any errata,
and how to provide feedback on it may be obtained at http://www.rfc-editor.org/info/rfc7271
.
Copyright Notice
Copyright (c) 2014 IETF
Trust and the persons identified as the
document authors. All rights reserved.
This document is subject to BCP 78 and the IETF
Trust's Legal
Provisions Relating to IETF
Documents
( http://trustee.ietf.org/license-info
) in effect on the date of
publication of this document. Please review these documents
carefully, as they describe your rights and restrictions with respect
to this document. Code Components extracted from this document must
include Simplified BSD License text as described in Section 4
.e of
the Trust Legal Provisions and are provided without warranty as
described in the Simplified BSD
License.
Table of Contents 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . 4
2. Conventions Used in This Document . . . . . . . . . . . . . . 5
3. Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . 6
4. Capability 1: Priority Modification . . . . . . . . . . . . . 6
4.1. Motivation for Swapping Priorities of FS and SF-P . . . . 6
4.2. Motivation for Raising the Priority of SFc . . . . . . . 7
4.3. Motivation for Introducing the Freeze Command . . . . . . 7
4.4. Procedures in Support of Priority Modification . . . . . 8
5. Capability 2: Non-revertive Behavior Modification . . . . . . 8
6. Capability 3: Support of the MS-W Command . . . . . . . . . . 8
6.1. Motivation for adding MS-W . . . . . . . . . . . . . . . 8
6.2. Terminology to Support MS-W . . . . . . . . . . . . . . . 9
6.3. Behavior of MS-P and MS-W . . . . . . . . . . . . . . . . 9
6.4. Equal-Priority Resolution for MS . . . . . . . . . . . . 10
7. Capability 4: Support of Protection against SD . . . . . . . 10
7.1. Motivation for Supporting Protection against SD . . . . . 10
7.2. Terminology to Support SD . . . . . . . . . . . . . . . . 10
Ryoo, et al. Standards Track [Page 2]
RFC 7271 MPLS-TP LP for ITU-T
June 2014 7.3. Behavior of Protection against SD . . . . . . . . . . . . 11
7.4. Equal-Priority Resolution . . . . . . . . . . . . . . . . 12
8. Capability 5: Support of EXER Command . . . . . . . . . . . . 13
9. Capabilities and Modes . . . . . . . . . . . . . . . . . . . 14
9.1. Capabilities . . . . . . . . . . . . . . . . . . . . . . 14
9.1.1. Sending and Receiving the Capabilities TLV . . . . . 15
9.2. Modes . . . . . . . . . . . . . . . . . . . . . . . . . . 16
9.2.1. PSC Mode . . . . . . . . . . . . . . . . . . . . . . 16
9.2.2. APS Mode . . . . . . . . . . . . . . . . . . . . . . 16
10. PSC Protocol in APS Mode . . . . . . . . . . . . . . . . . . 17
10.1. Request Field in PSC Protocol Message . . . . . . . . . 17
10.2. Priorities of Local Inputs and Remote Requests . . . . . 17
10.2.1. Equal-Priority Requests . . . . . . . . . . . . . . 18
10.3. Acceptance and Retention of Local Inputs . . . . . . . . 20
11. State Transition Tables in APS Mode . . . . . . . . . . . . . 20
11.1. State Transition by Local Inputs . . . . . . . . . . . . 23
11.2. State Transition by Remote Messages . . . . . . . . . . 25
11.3. State Transition for 1+1 Unidirectional Protection . . . 27
12. Provisioning Mismatch and Protocol Failure in APS Mode . . . 27
13. Security Considerations . . . . . . . . . . . . . . . . . . . 28
14. IANA Considerations . . . . . . . . . . . . . . . . . . . . . 29
14.1. MPLS PSC Request Registry . . . . . . . . . . . . . . . 29
14.2. MPLS PSC TLV Registry . . . . . . . . . . . . . . . . . 29
14.3. MPLS PSC Capability Flag Registry . . . . . . . . . . . 29
15. Acknowledgements . . . . . . . . . . . . . . . . . . . . . . 30
16. References . . . . . . . . . . . . . . . . . . . . . . . . . 30
16.1. Normative References . . . . . . . . . . . . . . . . . . 30
16.2. Informative References . . . . . . . . . . . . . . . . . 30
Appendix A . An Example of an Out-of-Service Scenario . . . . . . 32
Appendix B
. An Example of a Sequence Diagram Showing
the Problem with the Priority Level of SFc . . . . . 33
Appendix C . Freeze Command . . . . . . . . . . . . . . . . . . . 34
Appendix D . Operation Examples of the APS Mode . . . . . . . . . 35
Ryoo, et al. Standards Track [Page 3]
RFC 7271 MPLS-TP LP for ITU-T June 2014
1.
Introduction
Linear protection mechanisms for the MPLS
Transport Profile (MPLS-TP)
are described in RFC 6378 [ RFC6378
] to meet the requirements
described in RFC 5654 [ RFC5654
].
This document describes alternate mechanisms to perform some of the
functions of linear protection, and also defines additional
mechanisms. The purpose of these alternate and additional mechanisms
is to provide operator control and experience that more closely
models the behavior of linear protection seen in other transport
networks, such as Synchronous Digital
Hierarchy (SDH), Optical
Transport Network (OTN), and Ethernet
transport networks. Linear
protection for SDH, OTN, and Ethernet
transport networks is defined
in ITU-T Recommendations G.841 [ G841 ], G.873.1 [ G873.1
], and G.8031
[ G8031
], respectively.
The reader of this document is assumed to be familiar with [ RFC6378
].
The alternative mechanisms described in this document are for the
following capabilities: 1.
Priority modification, 2.
non-revertive behavior modification,
and the following capabilities have been added to define additional
mechanisms: 3.
support of the Manual Switch to Working path (MS-W) command, 4.
support of protection against Signal Degrade (SD), and 5.
support of the Exercise (EXER) command.
The priority modification includes raising the priority of Signal
Fail on Protection path (SF-P) relative to Forced Switch (FS), and
raising the priority level of Clear Signal Fail (SFc) above SF-P.
Non-revertive behavior is modified to align with the behavior defined
in RFC 4427 [ RFC4427
] as well as to follow the behavior of linear
protection seen in other transport networks.
Support of the MS-W command to revert traffic to the working path in
non-revertive operation is covered in this document.
Ryoo, et al. Standards Track [Page 4]
RFC 7271 MPLS-TP LP for ITU-T
June 2014
Support of the protection-switching protocol against SD is covered in
this document. The specifics for the method of identifying SD are
out of the scope for this document and are treated similarly to
Signal Fail (SF) in [ RFC6378
].
Support of the EXER command to test if the Protection State
Coordination (PSC) communication is operating correctly is also
covered in this document. Without actually switching traffic, the
EXER command tests and validates the linear protection mechanism and
PSC protocol including the aliveness of the priority logic, the PSC
state machine, the PSC message generation and reception, and the
integrity of the protection path.
This document introduces capabilities and modes. A capability is an
individual behavior. The capabilities of a node are advertised using
the method given in this document. A mode is a particular
combination of capabilities. Two modes are defined in this document:
PSC mode and Automatic Protection Switching (APS) mode.
Other modes may be defined as new combinations of the capabilities
defined in this document or through the definition of additional
capabilities. In either case, the specification defining a new mode
will be responsible for documenting the behavior, the priority logic,
and the state machine of the PSC protocol when the set of
capabilities in the new mode is enabled.
This document describes the behavior, the priority logic, and the
state machine of the PSC protocol when all the capabilities
associated with the APS mode are enabled. The PSC protocol behavior
for the PSC mode is as defined in [ RFC6378
].
This document updates [ RFC6378
] by adding a capability advertisement
mechanism. It is recommended that existing implementations of the
PSC protocol be updated to support this capability. Backward
compatibility with existing implementations that do not support this
mechanism is described in Section 9.2.1
.
Implementations are expected to be configured to support a specific
set of capabilities (a mode) and to reject messages that indicate the
use of a different set of capabilities (a different mode). Thus, the
capability advertisement is not a negotiation but a verification that
peers are using the same mode.
2.
Conventions Used in This Document
The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT",
"SHOULD", "SHOULD NOT", "RECOMMENDED", "MAY", and "OPTIONAL" in this
document are to be interpreted as described in RFC 2119 [ RFC2119
].
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3.
Acronyms
This document uses the following acronyms:
APS Automatic Protection Switching
DNR Do-not-Revert
EXER Exercise
FS Forced Switch
LO Lockout of protection
MS Manual Switch
MS-P Manual Switch to Protection path
MS-W Manual Switch to Working path
MPLS-TP MPLS
Transport Profile
NR No Request
OC Operator Clear
OTN Optical Transport Network
PSC Protection State Coordination
RR Reverse Request
SD Signal Degrade
SD-P Signal Degrade on Protection path
SD-W Signal Degrade on Working path SDH Synchronous Digital
Hierarchy
SF Signal Fail
SF-P Signal Fail on Protection path
SF-W Signal Fail on Working path
SFc Clear Signal Fail
SFDc Clear Signal Fail or Degrade
WTR Wait-to-Restore
4.
Capability 1: Priority Modification
[ RFC6378
] defines the priority of FS to be higher than that of SF-P.
That document also defines the priority of Clear SF (SFc) to be low.
This document defines the priority modification capability whereby
the relative priorities of FS and SF-P are swapped, and the priority
of Clear SF (SFc) is raised. In addition, this capability introduces
the Freeze command as described in Appendix C
. The rationale for
these changes is detailed in the following subsections from both the
technical and network operational aspects.
4.1.
Motivation for Swapping Priorities of FS and SF-P
Defining the priority of FS higher than that of SF-P can result in a
situation where the protected traffic is taken out of service. When
the protection path fails, PSC communication may stop as a result.
In this case, if any input that is supposed to be signaled to the
other end has a higher priority than SF-P, then this can result in an
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unpredictable protection-switching state. An example scenario that
may result in an out-of-service situation is presented in Appendix A
of this document.
According to Section 2.4 of [ RFC5654
], it MUST be possible to operate
an MPLS-TP network without using a control plane. This means that
the PSC communication channel is very important for the transfer of
external switching commands (e.g., FS), and these commands should not
rely on the presence of a control plane. In consequence, the failure
of the PSC communication channel has higher priority than FS.
In other transport networks (such as SDH, OTN, and Ethernet
transport
networks), the priority of SF-P has been higher than that of FS. It
is therefore important to offer network operators the option of
having the same behavior in their MPLS-TP networks so that they can
have the same operational protection-switching behavior to which they
have become accustomed. Typically, an FS command is issued before
network maintenance jobs (e.g., replacing optical cables or other
network components). When an operator pulls out a cable on the
protection path, by mistake, the traffic should continue to be
protected, and the operator expects this behavior based on his/her
experience with traditional transport network operations.
4.2.
Motivation for Raising the Priority of SFc
The priority level of SFc defined in [ RFC6378
] can cause traffic
disruption when a node that has experienced local signal fails on
both the working and the protection paths is recovering from these
failures.
A sequence diagram highlighting the problem with the priority level
of SFc as defined in [ RFC6378 ] is presented in Appendix B .
4.3.
Motivation for Introducing the Freeze Command
With the priority swapping between FS and SF-P, the traffic is always
moved back to the working path when SF-P occurs in Protecting
Administrative state. In case network operators need an option to
control their networks so that the traffic can remain on the
protection path even when the PSC communication channel is broken,
the Freeze command can be used. Freeze is defined to be a "local"
command that is not signaled to the remote node. The use of the
Freeze command is described in Appendix C
.
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4.4.
Procedures in Support of Priority Modification
When the modified priority order specified in this document is in
use, the list of local requests in order of priority SHALL be as
follows (from highest to lowest):
o Clear Signal Fail
o Signal Fail on Protection path
o Forced Switch
o Signal Fail on Working path
This requires modification of the PSC Control Logic (including the
state machine) relative to that described in [ RFC6378
]. Sections 10
and 11 present the PSC Control Logic when all capabilities of APS
mode are enabled.
5.
Capability 2: Non-revertive Behavior Modification
Non-revertive operation of protection switching is defined in
[ RFC4427
]. In this operation, the traffic does not return to the
working path when switch-over requests are terminated.
However, the PSC protocol defined in [ RFC6378
] supports this
operation only when recovering from a defect condition: it does not
support the non-revertive function when an operator's switch-over
command, such as FS or Manual Switch (MS), is cleared. To be aligned
with the behavior in other transport networks and to be consistent
with [ RFC4427
], a node should go into the Do-not-Revert (DNR) state
not only when a failure condition on the working path is cleared, but
also when an operator command that requested switch-over is cleared.
This requires modification to the PSC Control Logic (including the
state machine) relative to that described in [ RFC6378
]. Sections 10
and 11 present the PSC Control Logic when all capabilities of APS
mode are enabled.
6. Capability 3: Support of the MS-W Command
6.1.
Motivation for adding MS-W
Changing the non-revertive operation as described in Section 5
introduces the necessity of a new operator command to revert traffic
to the working path in the DNR state. When the traffic is on the
protection path in the DNR state, a Manual Switch to Working (MS-W)
command is issued to switch the normal traffic back to the working
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path. According to Section 4.3.3.6
(Do-not-Revert State) in
[ RFC6378
], "To revert back to the Normal state, the administrator
SHALL issue a Lockout of protection command followed by a Clear
command." However, using the Lockout of protection (LO) command
introduces the potential risk of an unprotected situation while the
LO is in effect.
The "Manual switch-over for recovery LSP/span" command is defined in
[ RFC4427 ]. Requirement 83 in [ RFC5654
] states that the external
commands defined in [ RFC4427
] MUST be supported. Since there is no
support for this external command in [ RFC6378
], this functionality
should be added to PSC. This support is provided by introducing the
MS-W command. The MS-W command, as described here, corresponds to
the "Manual switch-over for recovery LSP/span" command.
6.2.
Terminology to Support MS-W
[ RFC6378
] uses the term "Manual Switch" and its acronym "MS". This
document uses the term "Manual Switch to Protection path" and "MS-P"
to have the same meaning, while avoiding confusion with "Manual
Switch to Working path" and its acronym "MS-W".
Similarly, we modify the name of "Protecting Administrative" state
(as defined in [ RFC6378
]) to be "Switching Administrative" state to
include the case where traffic is switched to the working path as a
result of the external MS-W command.
6.3.
Behavior of MS-P and MS-W
MS-P and MS-W SHALL have the same priority. We consider different
instances of determining the priority of the commands when they are
received either in succession or simultaneously.
o When two commands are received in succession, the command that is
received after the initial command SHALL be cancelled.
o If two nodes simultaneously receive commands that indicate
opposite operations (i.e., one node receives MS-P and the other
node receives MS-W) and transmit the indications to the remote
node, the MS-W SHALL be considered to have a higher priority, and
the MS-P SHALL be cancelled and discarded.
Two commands, MS-P and MS-W, are transmitted using the same Request
field value but SHALL indicate in the Fault Path (FPath) value the
path from which the traffic is being diverted. When traffic is
switched to the protection path, the FPath field value SHALL be set
to 1, indicating that traffic is being diverted from the working
path. When traffic is switched to the working path, the FPath field
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value SHALL be set to 0, indicating that traffic is being diverted
from the protection path. The Data Path (Path) field SHALL indicate
where user data traffic is being transported (i.e., if the working
path is selected, then Path is set to 0; if the protection path is
selected, then Path is set to 1).
When an MS command is in effect at a node, any subsequent MS or EXER
command and any other lower-priority requests SHALL be ignored.
6.4.
Equal-Priority Resolution for MS
[ RFC6378
] defines only one rule for the equal-priority condition in Section 4.3.2 as "The remote message from the far-end LER
is assigned
a priority just below the similar local input." In order to support
the Manual Switch behavior described in Section 6.3
, additional rules
for equal-priority resolution are required. Since the support of
protection against signal degrade also requires a similar equal-
priority resolution, the rules are described in Section 7.4
.
Support of this function requires changes to the PSC Control Logic
(including the state machine) relative to that shown in [ RFC6378
].
Sections 10 and 11 present the PSC Control Logic when all
capabilities of APS mode are enabled.
7. Capability 4: Support of Protection against SD
7.1.
Motivation for Supporting Protection against SD
In the MPLS-TP Survivability Framework [ RFC6372
], both SF and SD
fault conditions can be used to trigger protection switching.
[ RFC6378
], which defines the protection-switching protocol for
MPLS-TP, does not specify how the SF and SD are detected, and
specifies the protection-switching protocol associated with SF only.
The PSC protocol associated with SD is covered in this document, but
the specifics for the method of identifying SD is out of scope for
the protection protocol in the same way that SF detection and MS or
FS command initiation are out of scope.
7.2.
Terminology to Support SD
In this document, the term Clear Signal Fail or Degrade (SFDc) is
used to indicate the clearance of either a degraded condition or a
failure condition.
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The second paragraph of Section 4.3.3.2
(Unavailable State) in
[ RFC6378
] shows the intention of including Signal Degrade on
Protection path (SD-P) in the Unavailable state. Even though the
protection path can be partially available under the condition of
SD-P, this document follows the same state grouping as [ RFC6378
] for
SD-P.
The bulleted item on the Protecting Failure state in Section 3.6
of
[ RFC6378
] includes the degraded condition in the Protecting Failure
state. This document follows the same state grouping as [ RFC6378
]
for Signal Degrade on Working path (SD-W).
7.3.
Behavior of Protection against SD
To better align the behavior of MPLS-TP networks with that of other
transport networks (such as SDH, OTN, and Ethernet
transport
networks), we define the following:
o The priorities of SD-P and SD-W SHALL be equal.
o Once a switch has been completed due to SD on one path, it will
not be overridden by SD on the other path (first come, first
served behavior), to avoid protection switching that cannot
improve signal quality.
The SD message indicates that the transmitting node has identified
degradation of the signal or integrity of the packet received on
either the working path or the protection path. The FPath field
SHALL identify the path that is reporting the degraded condition
(i.e., if the protection path, then FPath is set to 0; if the working
path, then FPath is set to 1), and the Path field SHALL indicate
where the data traffic is being transported (i.e., if the working
path is selected, then Path is set to 0; if the protection path is
selected, then Path is set to 1).
When the SD condition is cleared and the protected domain is
recovering from the situation, the Wait-to-Restore (WTR) timer SHALL
be used if the protected domain is configured for revertive behavior.
The WTR timer SHALL be started at the node that recovers from a local
degraded condition on the working path.
Protection switching against SD is always provided by a selector
bridge duplicating user data traffic and feeding it to both the
working path and the protection path under SD condition. When a
local or remote SD occurs on either the working path or the
protection path, the node SHALL duplicate user data traffic and SHALL
feed it to both the working path and the protection path. The packet
duplication SHALL continue as long as any SD condition exists in the
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protected domain. When the SD condition is cleared, in revertive
operation, the packet duplication SHALL continue in the WTR state and
SHALL stop when the node leaves the WTR state; while in non-revertive
operation, the packet duplication SHALL stop immediately.
The selector bridge with the packet duplication under SD condition,
which is a non-permanent bridge, is considered to be a 1:1 protection
architecture.
Protection switching against SD does not introduce any modification
to the operation of the selector at the sink node described in
[ RFC6378
]. The selector chooses either the working or protection
path from which to receive the normal traffic in both 1:1 and 1+1
architectures. The position of the selector, i.e., which path to
receive the traffic, is determined by the PSC protocol in
bidirectional switching or by the local input in unidirectional
switching.
7.4.
Equal-Priority Resolution
In order to support the MS behavior described in Section 6.3
and the
protection against SD described in Section 7.3
, it is necessary to
expand rules for treating equal-priority inputs.
For equal-priority local inputs, such as MS and SD, apply a simple
first-come, first-served rule. Once a local input is determined as
the highest priority local input, then a subsequent equal-priority
local input requesting a different action, i.e., the action results
in the same PSC Request field but different FPath value, will not be
presented to the PSC Control Logic as the highest local request.
Furthermore, in the case of an MS command, the subsequent local MS
command requesting a different action will be cancelled.
If a node is in a remote state due to a remote SD (or MS) message, a
subsequent local input having the same priority but requesting a
different action to the PSC Control Logic will be considered as
having lower priority than the remote message and will be ignored.
For example, if a node is in remote Switching Administrative state
due to a remote MS-P, then any subsequent local MS-W SHALL be ignored
and automatically cancelled. If a node is in remote Unavailable
state due to a remote SD-P, then any subsequent local SD-W input will
be ignored. However, the local SD-W SHALL continue to appear in the
Local Request Logic as long as the SD condition exists, but it SHALL NOT
be the top-priority global request, which determines the state
transition at the PSC Control Logic.
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Cases where two end-points of the protected domain simultaneously
receive local triggers of the same priority that request different
actions may occur (for example, one node receives SD-P and the other
receives SD-W). Subsequently, each node will receive a remote
message with the opposing action indication. To address these cases,
we define the following priority resolution rules:
o When MS-W and MS-P occur simultaneously at both nodes, MS-W SHALL
be considered as having higher priority than MS-P at both nodes.
o When SD-W and SD-P occur simultaneously at both nodes, the SD on
the standby path (the path from which the selector does not select
the user data traffic) is considered as having higher priority
than the SD on the active path (the path from which the selector
selects the user data traffic) regardless of its origin (local or
remote message). Therefore, no unnecessary protection switching
is performed, and the user data traffic continues to be selected
from the active path.
In the preceding paragraphs, "simultaneously" refers to the case a
sent SD (or MS) request has not been confirmed by the remote end in
bidirectional protection switching. When a local node that has
transmitted an SD message receives an SD (or MS) message that
indicates a different value of Path field from the value of Path
field in the transmitted SD (or MS) message, both the local and
remote SD requests are considered to occur simultaneously.
The addition of support for protection against SD requires
modification to the PSC Control Logic (including the state machine)
relative to that described in [ RFC6378
]. Sections 10 and 11 present
the PSC Control Logic when all capabilities of APS mode are enabled.
8.
Capability 5: Support of EXER Command
The EXER command is used to verify the correct operation of the PSC
communication, such as the aliveness of the Local Request Logic, the
integrity of the PSC Control Logic, the PSC message generation and
reception mechanism, and the integrity of the protection path. EXER
does not trigger any actual traffic switching.
The command is only relevant for bidirectional protection switching,
since it is dependent upon receiving a response from the remote node.
The EXER command is assigned lower priority than any switching
message. It may be used regardless of the traffic usage of the
working path.
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When a node receives a remote EXER message, it SHOULD respond with a
Reverse Request (RR) message with the FPath and Path fields set
according to the current condition of the node. The RR message SHALL
be generated only in response to a remote EXER message.
This command is documented in R84 of [ RFC5654
].
If EXER commands are input at both ends, then a race condition may
arise. This is resolved as follows:
o If a node has issued EXER and receives EXER before receiving RR,
it MUST treat the received EXER as it would an RR, and it SHOULD NOT
respond with RR.
The following PSC Requests are added to the PSC Request field to
support the Exercise command (see also Section 14.1
):
(3) Exercise - indicates that the transmitting end-point is
exercising the protection channel and mechanism. FPath and Path
are set to the same value of the No Request (NR), RR, or DNR
message whose transmission is stopped by EXER.
(2) Reverse Request - indicates that the transmitting end-point is
responding to an EXER command from the remote node. FPath and
Path are set to the same value of the NR or DNR message whose
transmission is stopped by RR.
The relative priorities of EXER and RR are defined in Section 10.2 .
9. Capabilities and Modes
9.1.
Capabilities
A Capability is an individual behavior whose use is signaled in a
Capabilities TLV, which is placed in Optional TLVs field inside the
PSC message shown in Figure 2 of [ RFC6378
]. The format of the
Capabilities TLV is: 0
1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+
| Type = Capabilities | Length |
+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+
| Value = Flags |
+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+
Figure 1: Format of Capabilities TLV
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The value of the Type field is 1.
The value of the Length field is the length of the Flags field in
octets. The length of the Flags field MUST be a multiple of 4 octets
and MUST be the minimum required to signal all the required
capabilities. Section 4 to Section 8
discuss five capabilities that are signaled
using the five most significant bits; if a node wishes to signal
these five capabilities, it MUST send a Flags field of 4 octets. A
node would send a Flags field greater than 4 octets only if it had
more than 32 Capabilities to indicate. All unused bits MUST be set
to zero.
If the bit assigned for an individual capability is set to 1, it
indicates the sending node's intent to use that capability in the
protected domain. If a bit is set to 0, the sending node does not
intend to use the indicated capability in the protected domain. Note
that it is not possible to distinguish between the intent not to use
a capability and a node's complete non-support (i.e., lack of
implementation) of a given capability.
This document defines five specific capabilities that are described
in Section 4 to Section 8
. Each capability is assigned bit as
follows:
0x80000000: priority modification
0x40000000: non-revertive behavior modification
0x20000000: support of MS-W command
0x10000000: support of protection against SD
0x08000000: support of EXER command
If all the five capabilities should be used, a node SHALL set the
Flags field to 0xF8000000.
9.1.1.
Sending and Receiving the Capabilities TLV
A node MUST include its Capabilities TLV in every PSC message that it
transmits. The transmission and acceptance of the PSC message is
described in Section 4.1 of [ RFC6378
].
When a node receives a Capabilities TLV, it MUST compare the Flags
value to its most recent Flags value transmitted by the node. If the
two are equal, the protected domain is said to be running in the mode
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indicated by that set of capabilities (see Section 9.2
). If the sent
and received Capabilities TLVs are not equal, this indicates a
Capabilities TLV mismatch. When this happens, the node MUST alert
the operator and MUST NOT
perform any protection switching until the
operator resolves the mismatch between the two end-points.
9.2.
Modes
A mode is a given set of Capabilities. Modes are shorthand;
referring to a set of capabilities by their individual values or by
the name of their mode does not change the protocol behavior. This
document defines two modes -- PSC and APS. Capabilities TLVs with
other combinations than the one specified by a mode are not supported
in this specification.
9.2.1.
PSC Mode
PSC mode is defined as the lack of support for any of the additional
capabilities defined in this document -- that is, a Capabilities set
of 0x0. It is the behavior specified in [ RFC6378
].
There are two ways to declare PSC mode. A node can send no
Capabilities TLV at all since there are no TLV units defined in
[ RFC6378
], or it can send a Capabilities TLV with Flags value set to
0x0. In order to allow backward compatibility between two end-points
-- one which supports sending the Capabilities TLV, and one which
does not, the node that has the ability to send and process the PSC
mode Capabilities TLV MUST be able to both send the PSC mode
Capabilities TLV and send no Capabilities TLV at all. An
implementation MUST be configurable between these two options.
9.2.2.
APS Mode
APS mode is defined as the use of all the five specific capabilities,
which are described in Sections 4 to 8 in this document. APS mode is
indicated with the Flags value of 0xF8000000.
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10.
PSC Protocol in APS Mode
This section and the following section define the behavior of the PSC
protocol when all of the aforementioned capabilities are enabled,
i.e., APS mode.
10.1.
Request Field in PSC Protocol Message
This document defines two new values for the "Request" field in the
PSC protocol message that is shown in Figure 2 of [ RFC6378
] as
follows:
(2) Reverse Request
(3) Exercise
See also Section 14.1 of this document.
10.2.
Priorities of Local Inputs and Remote Requests
Based on the description in Sections 3 and 4.3.2 in [ RFC6378
], the
priorities of multiple outstanding local inputs are evaluated in the
Local Request Logic, where the highest priority local input (highest
local request) is determined. This highest local request is passed
to the PSC Control Logic that will determine the higher-priority
input (top-priority global request) between the highest local request
and the last received remote message. When a remote message comes to
the PSC Control Logic, the top-priority global request is determined
between this remote message and the highest local request that is
present. The top-priority global request is used to determine the
state transition, which is described in Section 11
. In this
document, in order to simplify the description on the PSC Control
Logic, we strictly decouple the priority evaluation from the state
transition table lookup.
The priorities for both local and remote requests are defined as
follows from highest to lowest:
o Operator Clear (Local only)
o Lockout of protection (Local and Remote)
o Clear Signal Fail or Degrade (Local only)
o Signal Fail on Protection path (Local and Remote)
o Forced Switch (Local and Remote)
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o Signal Fail on Working path (Local and Remote)
o Signal Degrade on either Protection path or Working path (Local
and Remote)
o Manual Switch to either Protection path or Working path (Local and
Remote)
o WTR Timer Expiry (Local only)
o WTR (Remote only)
o Exercise (Local and Remote)
o Reverse Request (Remote only)
o Do-Not-Revert (Remote only)
o No Request (Remote and Local)
Note that the "Local only" requests are not transmitted to the remote
node. Likewise, the "Remote only" requests do not exist in the Local
Request Logic as local inputs. For example, the priority of WTR only
applies to the received WTR message, which is generated from the
remote node. The remote node that is running the WTR timer in the
WTR state has no local request.
The remote SF and SD on either the working path or the protection
path and the remote MS to either the working path or the protection
path are indicated by the values of the Request and FPath fields in
the PSC message.
The remote request from the remote node is assigned a priority just
below the same local request except for NR and equal-priority
requests, such as SD and MS. Since a received NR message needs to be
used in the state transition table lookup when there is no
outstanding local request, the remote NR request SHALL have a higher
priority than the local NR. For the equal-priority requests, see Section 10.2.1 .
10.2.1.
Equal-Priority Requests
As stated in Section 10.2
, the remote request from the remote node is
assigned a priority just below the same local request. However, for
equal-priority requests, such as SD and MS, the priority SHALL be
evaluated as described in this section.
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For equal-priority local requests, the first-come, first-served rule
SHALL be applied. Once a local request appears in the Local Request
Logic, a subsequent equal-priority local request requesting a
different action, i.e., the action results in the same Request value
but a different FPath value, SHALL be considered to have a lower
priority. Furthermore, in the case of an MS command, the subsequent
local MS command requesting a different action SHALL be rejected and
cleared.
When the priority is evaluated in the PSC Control Logic between the
highest local request and a remote request, the following equal-
priority resolution rules SHALL be applied:
o If two requests request the same action, i.e., the same Request
and FPath values, then the local request SHALL be considered to
have a higher priority than the remote request.
o When the highest local request comes to the PSC Control Logic, if
the remote request that requests a different action exists, then
the highest local request SHALL be ignored and the remote request
SHALL remain to be the top-priority global request. In the case
of an MS command, the local MS command requesting a different
action SHALL be cancelled.
o When the remote request comes to the PSC Control Logic, if the
highest local request that requests a different action exists,
then the top-priority global request SHALL be determined by the
following rules:
* For MS requests, the MS-W request SHALL be considered to have a
higher priority than the MS-P request. The node that has the
local MS-W request SHALL maintain the local MS-W request as the
top-priority global request. The other node that has the local
MS-P request SHALL cancel the MS-P command and SHALL generate
"Operator Clear" internally as the top-priority global request.
* For SD requests, the SD on the standby path (the path from
which the selector does not select the user data traffic) SHALL
be considered to have a higher priority than the SD on the
active path (the path from which the selector selects the user
data traffic) regardless of its origin (local or remote
message). The node that has the SD on the standby path SHALL
maintain the local SD on the standby path request as the top-
priority global request. The other node that has local SD on
the active path SHALL use the remote SD on the standby path as
the top-priority global request to lookup the state transition
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table. The differentiation of the active and standby paths is
based upon which path had been selected for the user data
traffic when each node detected its local SD.
10.3.
Acceptance and Retention of Local Inputs
A local input indicating a defect, such as SF-P, SF-W, SD-P, and
SD-W, SHALL be accepted and retained persistently in the Local
Request Logic as long as the defect condition exists. If there is
any higher-priority local input than the local defect input, the
higher-priority local input is passed to the PSC Control Logic as the
highest local request, but the local defect input cannot be removed
but remains in the Local Request Logic. When the higher-priority
local input is cleared, the local defect will become the highest
local request if the defect condition still exists.
The Operator Clear (OC) command, SFDc, and WTR Timer Expiry are not
persistent. Once they appear to the Local Request Logic and complete
all the operations in the protection-switching control, they SHALL
disappear.
The LO, FS, MS, and EXER commands SHALL be rejected if there is any
higher-priority local input in the Local Request Logic. If a new
higher-priority local request (including an operator command) is
accepted, any previous lower-priority local operator command SHALL be
cancelled. When any higher-priority remote request is received, a
lower-priority local operator command SHALL be cancelled. The
cancelled operator command is cleared. If the operators wish to
renew the cancelled command, then they should reissue the command.
11.
State Transition Tables in APS Mode
When there is a change in the highest local request or in remote PSC
messages, the top-priority global request SHALL be evaluated, and the
state transition tables SHALL be looked up in the PSC Control Logic.
The following rules are applied to the operation related to the state
transition table lookup.
o If the top-priority global request, which determines the state
transition, is the highest local request, the local state
transition table in Section 11.1
SHALL be used to decide the next
state of the node. Otherwise, the remote state transition table
in Section 11.2
SHALL be used.
o If in remote state, the highest local defect condition (SF-P,
SF-W, SD-P, or SD-W) SHALL always be reflected in the Request and
FPath fields.
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o For the node currently in the local state, if the top-priority
global request is changed to OC or SFDc, causing the next state to
be Normal, WTR, or DNR, then all the local and remote requests
SHALL be re-evaluated as if the node is in the state specified in
the footnotes to the state transition tables, before deciding the
final state. If there are no active requests, the node enters the
state specified in the footnotes to the state transition tables.
This re-evaluation is an internal operation confined within the
local node, and the PSC messages are generated according to the
final state.
o The WTR timer is started only when the node that has recovered
from a local failure or degradation enters the WTR state. A node
that is entering into the WTR state due to a remote WTR message
does not start the WTR timer. The WTR timer SHALL be stopped when
any local or remote request triggers the state change out of the
WTR state.
The extended states, as they appear in the table, are as follows:
N Normal state
UA:LO:L Unavailable state due to local LO command
UA:P:L Unavailable state due to local SF-P
UA:DP:L Unavailable state due to local SD-P
UA:LO:R Unavailable state due to remote LO message
UA:P:R Unavailable state due to remote SF-P message
UA:DP:R Unavailable state due to remote SD-P message
PF:W:L Protecting Failure state due to local SF-W
PF:DW:L Protecting Failure state due to local SD-W
PF:W:R Protecting Failure state due to remote SF-W message
PF:DW:R Protecting Failure state due to remote SD-W message
SA:F:L Switching Administrative state due to local FS command
SA:MW:L Switching Administrative state due to local MS-W command
SA:MP:L Switching Administrative state due to local MS-P command
SA:F:R Switching Administrative state due to remote FS message
SA:MW:R Switching Administrative state due to remote MS-W message
SA:MP:R Switching Administrative state due to remote MS-P message
WTR Wait-to-Restore state
DNR Do-not-Revert state
E::L Exercise state due to local EXER command
E::R Exercise state due to remote EXER message
Each state corresponds to the transmission of a particular set of
Request, FPath, and Path fields. The table below lists the message
that is generally sent in each particular state. If the message to
be sent in a particular state deviates from the table below, it is
noted in the footnotes of the state transition tables.
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State Request(FPath,Path)
------- ------------------------------------
N NR(0,0)
UA:LO:L LO(0,0)
UA:P:L SF(0,0)
UA:DP:L SD(0,0)
UA:LO:R highest local request(local FPath,0)
UA:P:R highest local request(local FPath,0)
UA:DP:R highest local request(local FPath,0)
PF:W:L SF(1,1)
PF:DW:L SD(1,1)
PF:W:R highest local request(local FPath,1)
PF:DW:R highest local request(local FPath,1)
SA:F:L FS(1,1)
SA:MW:L MS(0,0)
SA:MP:L MS(1,1)
SA:F:R highest local request(local FPath,1)
SA:MW:R NR(0,0)
SA:MP:R NR(0,1)
WTR WTR(0,1)
DNR DNR(0,1)
E::L EXER(0,x), where x is the existing Path value
when Exercise command is issued.
E::R RR(0,x), where x is the existing Path value
when RR message is generated.
Some operation examples of APS mode are shown in Appendix D
.
In the state transition tables below, the letter 'i' stands for
"ignore" and is an indication to remain in the current state and
continue transmitting the current PSC message
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11.1.
State Transition by Local Inputs
| OC | LO | SFDc | SF-P | FS | SF-W |
--------+-----+---------+------+--------+--------+--------+
N | i | UA:LO:L | i | UA:P:L | SA:F:L | PF:W:L |
UA:LO:L | (1) | i | i | i | i | i |
UA:P:L | i | UA:LO:L | (1) | i | i | i |
UA:DP:L | i | UA:LO:L | (1) | UA:P:L | SA:F:L | PF:W:L |
UA:LO:R | i | UA:LO:L | i | UA:P:L | i | PF:W:L |
UA:P:R | i | UA:LO:L | i | UA:P:L | i | PF:W:L |
UA:DP:R | i | UA:LO:L | i | UA:P:L | SA:F:L | PF:W:L |
PF:W:L | i | UA:LO:L | (2) | UA:P:L | SA:F:L | i |
PF:DW:L | i | UA:LO:L | (2) | UA:P:L | SA:F:L | PF:W:L |
PF:W:R | i | UA:LO:L | i | UA:P:L | SA:F:L | PF:W:L |
PF:DW:R | i | UA:LO:L | i | UA:P:L | SA:F:L | PF:W:L |
SA:F:L | (3) | UA:LO:L | i | UA:P:L | i | i |
SA:MW:L | (1) | UA:LO:L | i | UA:P:L | SA:F:L | PF:W:L |
SA:MP:L | (3) | UA:LO:L | i | UA:P:L | SA:F:L | PF:W:L |
SA:F:R | i | UA:LO:L | i | UA:P:L | SA:F:L | PF:W:L |
SA:MW:R | i | UA:LO:L | i | UA:P:L | SA:F:L | PF:W:L |
SA:MP:R | i | UA:LO:L | i | UA:P:L | SA:F:L | PF:W:L |
WTR | (4) | UA:LO:L | i | UA:P:L | SA:F:L | PF:W:L |
DNR | i | UA:LO:L | i | UA:P:L | SA:F:L | PF:W:L |
E::L | (5) | UA:LO:L | i | UA:P:L | SA:F:L | PF:W:L |
E::R | i | UA:LO:L | i | UA:P:L | SA:F:L | PF:W:L |
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(Continued)
| SD-P | SD-W | MS-W | MS-P | WTRExp | EXER
--------+---------+---------+---------+---------+--------+------
N | UA:DP:L | PF:DW:L | SA:MW:L | SA:MP:L | i | E::L
UA:LO:L | i | i | i | i | i | i
UA:P:L | i | i | i | i | i | i
UA:DP:L | i | i | i | i | i | i
UA:LO:R | UA:DP:L | PF:DW:L | i | i | i | i
UA:P:R | UA:DP:L | PF:DW:L | i | i | i | i
UA:DP:R | UA:DP:L | PF:DW:L | i | i | i | i
PF:W:L | i | i | i | i | i | i
PF:DW:L | i | i | i | i | i | i
PF:W:R | UA:DP:L | PF:DW:L | i | i | i | i
PF:DW:R | UA:DP:L | PF:DW:L | i | i | i | i
SA:F:L | i | i | i | i | i | i
SA:MW:L | UA:DP:L | PF:DW:L | i | i | i | i
SA:MP:L | UA:DP:L | PF:DW:L | i | i | i | i
SA:F:R | UA:DP:L | PF:DW:L | i | i | i | i
SA:MW:R | UA:DP:L | PF:DW:L | SA:MW:L | i | i | i
SA:MP:R | UA:DP:L | PF:DW:L | i | SA:MP:L | i | i
WTR | UA:DP:L | PF:DW:L | SA:MW:L | SA:MP:L | (6) | i
DNR | UA:DP:L | PF:DW:L | SA:MW:L | SA:MP:L | i | E::L
E::L | UA:DP:L | PF:DW:L | SA:MW:L | SA:MP:L | i | i
E::R | UA:DP:L | PF:DW:L | SA:MW:L | SA:MP:L | i | E::L
NOTES:
(1) Re-evaluate to determine the final state as if the node is in
the Normal state. If there are no active requests, the node
enters the Normal State.
(2) In the case that both local input after SFDc and the last
received remote message are NR, the node enters into the WTR
state when the domain is configured for revertive behavior, or
the node enters into the DNR state when the domain is configured
for non-revertive behavior. In all the other cases, where one
or more active requests exist, re-evaluate to determine the
final state as if the node is in the Normal state.
(3) Re-evaluate to determine final state as if the node is in the
Normal state when the domain is configured for revertive
behavior, or as if the node is in the DNR state when the domain
is configured for non-revertive behavior. If there are no
active requests, the node enters either the Normal state when
the domain is configured for revertive behavior or the DNR state
when the domain is configured for non-revertive behavior.
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(4) Remain in the WTR state and send an NR(0,1) message. Stop the
WTR timer if it is running. In APS mode, OC can cancel the WTR
timer and hasten the state transition to the Normal state as in
other transport networks.
(5) If Path value is 0, re-evaluate to determine final state as if
the node is in the Normal state. If Path value is 1,
re-evaluate to determine final state as if the node is in the
DNR state. If there are no active requests, the node enters the
Normal state when Path value is 0, or the DNR state when Path
value is 1.
(6) Remain in the WTR state and send an NR(0,1) message.
11.2.
State Transition by Remote Messages
| LO | SF-P | FS | SF-W | SD-P | SD-W |
--------+---------+--------+--------+--------+---------+---------+
N | UA:LO:R | UA:P:R | SA:F:R | PF:W:R | UA:DP:R | PF:DW:R |
UA:LO:L | i | i | i | i | i | i |
UA:P:L | UA:LO:R | i | i | i | i | i |
UA:DP:L | UA:LO:R | UA:P:R | SA:F:R | PF:W:R | i | (7) |
UA:LO:R | i | UA:P:R | SA:F:R | PF:W:R | UA:DP:R | PF:DW:R |
UA:P:R | UA:LO:R | i | SA:F:R | PF:W:R | UA:DP:R | PF:DW:R |
UA:DP:R | UA:LO:R | UA:P:R | SA:F:R | PF:W:R | i | PF:DW:R |
PF:W:L | UA:LO:R | UA:P:R | SA:F:R | i | i | i |
PF:DW:L | UA:LO:R | UA:P:R | SA:F:R | PF:W:R | (8) | i |
PF:W:R | UA:LO:R | UA:P:R | SA:F:R | i | UA:DP:R | PF:DW:R |
PF:DW:R | UA:LO:R | UA:P:R | SA:F:R | PF:W:R | UA:DP:R | i |
SA:F:L | UA:LO:R | UA:P:R | i | i | i | i |
SA:MW:L | UA:LO:R | UA:P:R | SA:F:R | PF:W:R | UA:DP:R | PF:DW:R |
SA:MP:L | UA:LO:R | UA:P:R | SA:F:R | PF:W:R | UA:DP:R | PF:DW:R |
SA:F:R | UA:LO:R | UA:P:R | i | PF:W:R | UA:DP:R | PF:DW:R |
SA:MW:R | UA:LO:R | UA:P:R | SA:F:R | PF:W:R | UA:DP:R | PF:DW:R |
SA:MP:R | UA:LO:R | UA:P:R | SA:F:R | PF:W:R | UA:DP:R | PF:DW:R |
WTR | UA:LO:R | UA:P:R | SA:F:R | PF:W:R | UA:DP:R | PF:DW:R |
DNR | UA:LO:R | UA:P:R | SA:F:R | PF:W:R | UA:DP:R | PF:DW:R |
E::L | UA:LO:R | UA:P:R | SA:F:R | PF:W:R | UA:DP:R | PF:DW:R |
E::R | UA:LO:R | UA:P:R | SA:F:R | PF:W:R | UA:DP:R | PF:DW:R |
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(Continued)
| MS-W | MS-P | WTR | EXER | RR | DNR | NR
--------+---------+---------+-----+------+----+------+----
N | SA:MW:R | SA:MP:R | i | E::R | i | i | i
UA:LO:L | i | i | i | i | i | i | i
UA:P:L | i | i | i | i | i | i | i
UA:DP:L | i | i | i | i | i | i | i
UA:LO:R | SA:MW:R | SA:MP:R | i | E::R | i | i | N
UA:P:R | SA:MW:R | SA:MP:R | i | E::R | i | i | N
UA:DP:R | SA:MW:R | SA:MP:R | i | E::R | i | i | N
PF:W:L | i | i | i | i | i | i | i
PF:DW:L | i | i | i | i | i | i | i
PF:W:R | SA:MW:R | SA:MP:R | (9) | E::R | i | (10) | (11)
PF:DW:R | SA:MW:R | SA:MP:R | (9) | E::R | i | (10) | (11)
SA:F:L | i | i | i | i | i | i | i
SA:MW:L | i | i | i | i | i | i | i
SA:MP:L | i | i | i | i | i | i | i
SA:F:R | SA:MW:R | SA:MP:R | i | E::R | i | DNR | N
SA:MW:R | i | SA:MP:R | i | E::R | i | i | N
SA:MP:R | SA:MW:R | i | i | E::R | i | DNR | N
WTR | SA:MW:R | SA:MP:R | i | i | i | i | (12)
DNR | SA:MW:R | SA:MP:R | (13)| E::R | i | i | i
E::L | SA:MW:R | SA:MP:R | i | i | i | i | i
E::R | SA:MW:R | SA:MP:R | i | i | i | DNR | N
NOTES:
(7) If the received SD-W message has Path=0, ignore the message. If
the received SD-W message has Path=1, go to the PF:DW:R state
and transmit an SD(0,1) message.
(8) If the received SD-P message has Path=1, ignore the message. If
the received SD-P message has Path=0, go to the UA:DP:R state
and transmit an SD(1,0) message.
(9) Transition to the WTR state and continue to send the current
message.
(10) Transition to the DNR state and continue to send the current
message.
(11) If the received NR message has Path=1, transition to the WTR
state if the domain is configured for revertive behavior, else
transition to the DNR state. If the received NR message has
Path=0, transition to the Normal state.
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(12) If the receiving node's WTR timer is running, maintain the
current state and message. If the WTR timer is not running,
transition to the Normal state.
(13) Transit to the WTR state and send an NR(0,1) message. The WTR
timer is not initiated.
11.3.
State Transition for 1+1 Unidirectional Protection
The state transition tables given in Sections 11.1 and 11.2 are for
bidirectional protection switching, where remote PSC protocol
messages are used to determine the protection-switching actions. 1+1
unidirectional protection switching does not require the remote
information in the PSC protocol message and acts upon local inputs
only. The state transition by local inputs in Section 11.1
SHALL be
reused for 1+1 unidirectional protection under the following
conditions:
o The value of Request field in the received remote message is
ignored and always assumed to be no request.
o Replace footnote (4) with "Stop the WTR timer and transit to the
Normal state."
o Replace footnote (6) with "Transit to the Normal state."
o Exercise command is not relevant.
12.
Provisioning Mismatch and Protocol Failure in APS Mode
The remote PSC message that is received from the remote node is
subject to the detection of provisioning mismatch and protocol
failure conditions. In APS mode, provisioning mismatches are handled
as follows:
o If the PSC message is received from the working path due to
working/protection path configuration mismatch, the node MUST
alert the operator and MUST NOT
perform any protection switching
until the operator resolves this path configuration mismatch.
o In the case that the mismatch happens in the two-bit "Protection
Type (PT)" field, which indicates permanent/selector bridge type
and uni/bidirectional switching type:
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* If the value of the PT field of one side is 2 (i.e., selector
bridge) and that of the other side is 1 or 3 (i.e., permanent
bridge), then this event MUST be notified to the operator and
each node MUST NOT
perform any protection switching until the
operator resolves this bridge type mismatch.
* If the bridge type matches but the switching type mismatches,
i.e., one side has PT=1 (unidirectional switching) while the
other side has PT=2 or 3 (bidirectional switching), then the
node provisioned for bidirectional switching SHOULD fall back
to unidirectional switching to allow interworking. The node
SHOULD notify the operator of this event.
o If the "Revertive (R)" bit mismatches, two sides will interwork
and traffic is protected according to the state transition
definition given in Section 11
. The node SHOULD notify the
operator of this event.
o If the Capabilities TLV mismatches, the node MUST alert the
operator and MUST NOT
perform any protection switching until the
operator resolves the mismatch in the Capabilities TLV.
The following are the protocol failure situations and the actions to
be taken:
o No match in sent "Data Path (Path)" and received "Data Path
(Path)" for more than 50 ms: The node MAY continue to perform
protection switching and SHOULD notify the operator of this event.
o No PSC message is received on the protection path during at least
3.5 times the long PSC message interval (e.g., at least 17.5
seconds with a default message interval of 5 seconds), and there
is no defect on the protection path: The node MUST alert the
operator and MUST NOT
perform any protection switching until the
operator resolves this defect.
13.
Security Considerations
This document introduces no new security risks. [ RFC6378
] points out
that MPLS
relies on assumptions about the difficulty of traffic
injection and assumes that the control plane does not have end-to-end
security. [ RFC5920 ] describes MPLS
security issues and generic
methods for securing traffic privacy and integrity. MPLS
use should
conform to such advice.
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14. IANA Considerations
14.1. MPLS
PSC Request Registry
In the "Generic Associated Channel (G-ACh) Parameters" registry, IANA
maintains the "MPLS PSC Request Registry". IANA
has assigned the following two new code points from this
registry.
Value Description Reference
----- --------------------- --------------- 2
Reverse Request (this document) 3 Exercise (this document)
14.2. MPLS
PSC TLV Registry
In the "Generic Associated Channel (G-ACh) Parameters" registry, IANA
maintains the "MPLS PSC TLV Registry".
This document defines the following new value for the Capabilities
TLV type in the "MPLS PSC TLV Registry".
Value Description Reference
------ --------------------- --------------- 1 Capabilities (this document)
14.3. MPLS
PSC Capability Flag Registry IANA
has created and now maintains a new registry within the "Generic
Associated Channel (G-ACh) Parameters" registry called "MPLS PSC
Capability Flag Registry". All flags within this registry SHALL be
allocated according to the "Standards Action" procedures as specified
in RFC 5226 [ RFC5226
].
The length of each flag MUST be a multiple of 4 octets. This
document defines 4-octet flags. Flags greater than 4 octets SHALL be
used only if more than 32 Capabilities need to be defined. The flags
defined in this document are:
Bit Hex Value Capability Reference
---- ---------- ----------------------------------- --------------- 0
0x80000000 priority modification (this document) 1
0x40000000 non-revertive behavior modification (this document) 2
0x20000000 support of MS-W command (this document) 3
0x10000000 support of protection against SD (this document) 4
0x08000000 support of EXER command (this document)
5-31 Unassigned (this document)
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15. Acknowledgements
The authors would like to thank Yaacov Weingarten, Yuji Tochio,
Malcolm Betts, Ross Callon, Qin Wu, and Xian Zhang for their valuable
comments and suggestions on this document.
We would also like to acknowledge explicit text provided by Loa
Andersson and Adrian Farrel.
16. References
16.1.
Normative References
[ RFC2119
] Bradner, S., "Key words for use in RFCs to Indicate
Requirement Levels", BCP 14, RFC 2119
, March 1997.
[ RFC5226
] Narten, T. and H. Alvestrand, "Guidelines for Writing an IANA Considerations Section in RFCs", BCP 26, RFC 5226
,
May 2008.
[ RFC5654
] Niven-Jenkins, B., Brungard, D., Betts, M., Sprecher, N.,
and S. Ueno, "Requirements of an MPLS
Transport Profile", RFC 5654
, September 2009.
[ RFC6378
] Weingarten, Y., Bryant, S., Osborne, E., Sprecher, N., and
A. Fulignoli, "MPLS Transport Profile (MPLS-TP) Linear
Protection", RFC 6378 , October 2011.
16.2.
Informative References
[ G8031
] International Telecommunication Union, "Ethernet Linear
Protection Switching", ITU-T
Recommendation G.8031/Y.1342,
June 2011.
[ G841
] International Telecommunication Union, "Types and
characteristics of SDH
network protection architectures", ITU-T
Recommendation G.841, October 1998.
[ G873.1
] International Telecommunication Union, "Optical Transport
Network (OTN): Linear protection", ITU-T
Recommendation
G.873.1, July 2011.
[ RFC4427
] Mannie, E. and D. Papadimitriou, "Recovery (Protection and
Restoration) Terminology for Generalized Multi-Protocol
Label Switching (GMPLS)", RFC 4427
, March 2006.
[ RFC5920 ] Fang, L., "Security Framework for MPLS
and GMPLS
Networks", RFC 5920
, July 2010.
Ryoo, et al. Standards Track [Page 30]
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[ RFC6372
] Sprecher, N. and A. Farrel, "MPLS Transport Profile
(MPLS-TP) Survivability Framework", RFC 6372
, September
2011.
Ryoo, et al. Standards Track [Page 31]
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Appendix A
. An Example of an Out-of-Service Scenario
The sequence diagram shown is an example of the out-of-service
scenarios based on the priority level defined in [ RFC6378
]. The
first PSC message that differs from the previous PSC message is
shown.
A Z
| |
(1) |-- NR(0,0) ------>| (1)
|<----- NR(0,0) ---|
| |
| |
| (FS issued at Z) | (2)
(3) |<------ FS(1,1) --|
|-- NR(0,1) ------>|
| |
| |
(4) | (SF on P(A<-Z)) |
| |
| |
| (Clear FS at Z) | (5)
(6) | X <- NR(0,0) --|
| |
| |
(1) Each end is in the Normal state and transmits NR(0,0) messages.
(2) When a FS command is issued at node Z, node Z goes into local
Protecting Administrative state (PA:F:L) and begins transmission
of an FS(1,1) message.
(3) A remote FS message causes node A to go into remote Protecting
Administrative state (PA:F:R), and node A begins transmitting
NR(0,1) messages.
(4) When node A detects a unidirectional SF-P, node A keeps sending
an NR(0,1) message because SF-P is ignored under the PA:F:R
state.
(5) When a Clear command is issued at node Z, node Z goes into the
Normal state and begins transmission of NR(0,0) messages.
(6) But, node A cannot receive PSC message because of local
unidirectional SF-P. Because no valid PSC message is received
over a period of several successive message intervals, the last
valid received message remains applicable, and the node A
continue to transmit an NR(0,1) message in the PA:F:R state.
Ryoo, et al. Standards Track [Page 32]
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June 2014
Now, there exists a mismatch between the selector and bridge
positions of node A (transmitting an NR(0,1) message) and node Z
(transmitting an NR(0,0) message). It results in an out-of-service
situation even when there is neither SF-W nor FS.
Appendix B. An Example of a Sequence Diagram Showing the Problem with
the Priority Level of SFc
An example of a sequence diagram showing the problem with the
priority level of SFc defined in [ RFC6378
] is given below. The
following sequence diagram depicts the case when the bidirectional
signal fails. However, other cases with unidirectional signal fails
can result in the same problem. The first PSC message that differs
from the previous PSC message is shown.
A Z
| |
(1) |-- NR(0,0) ------>| (1)
|<----- NR(0,0) ---|
| |
| |
(2) | (SF on P(A<->Z)) | (2)
|-- SF(0,0) ------>|
|<------ SF(0,0) --|
| |
| |
(3) | (SF on W(A<->Z)) | (3)
| |
| |
(4) | (Clear SF-P) | (4)
| |
| |
(5) | (Clear SF-W) | (5)
| |
| |
(1) Each end is in the Normal state and transmits NR(0,0) messages.
(2) When SF-P occurs, each node enters into the UA:P:L state and
transmits SF(0,0) messages. Traffic remains on the working
path.
(3) When SF-W occurs, each node remains in the UA:P:L state as SF-W
has a lower priority than SF-P. Traffic is still on the working
path. Traffic cannot be delivered, as both the working path and
the protection path are experiencing signal fails.
Ryoo, et al. Standards Track [Page 33]
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June 2014
(4) When SF-P is cleared, the local "Clear SF-P" request cannot be
presented to the PSC Control Logic, which takes the highest
local request and runs the PSC state machine, since the priority
of "Clear SF-P" is lower than that of SF-W. Consequently, there
is no change in state, and the selector and/or bridge keep
pointing at the working path, which has SF condition.
Now, traffic cannot be delivered while the protection path is
recovered and available. It should be noted that the same problem
will occur in the case that the sequence of SF-P and SF-W events is
changed.
If we further continue with this sequence to see what will happen
after SF-W is cleared:
(5) When SF-W is cleared, the local "Clear SF-W" request can be
passed to the PSC Control Logic, as there is no higher-priority
local input, but it will be ignored in the PSC Control Logic
according to the state transition definition in [ RFC6378
].
There will be no change in state or protocol message
transmitted.
As SF-W is now cleared and the selector and/or bridge are still
pointing at the working path, traffic delivery is resumed. However,
each node is in the UA:P:L state and transmitting SF(0,0) messages,
while there exists no outstanding request for protection switching.
Moreover, any future legitimate protection-switching requests, such
as SF-W, will be rejected as each node thinks the protection path is
unavailable.
Appendix C. Freeze Command
The "Freeze" command applies only to the local node of the protection
group and is not signaled to the remote node. This command freezes
the state of the protection group. Until the Freeze is cleared,
additional local commands are rejected, and condition changes and
received PSC information are ignored.
The "Clear Freeze" command clears the local freeze. When the Freeze
command is cleared, the state of the protection group is recomputed
based on the persistent condition of the local triggers.
Because the freeze is local, if the freeze is issued at one end only,
a failure of protocol can occur as the other end is open to accept
any operator command or a fault condition.
Ryoo, et al. Standards Track [Page 34]
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Appendix D. Operation Examples of the APS Mode
The sequence diagrams shown in this section are only a few examples
of the APS mode operations. The first PSC protocol message that
differs from the previous message is shown. The operation of the
hold-off timer is omitted. The Request, FPath, and Path fields whose
values are changed during PSC message exchange are shown. For an
example, SF(1,0) represents a PSC message with the following field
values: Request=SF, FPath=1, and Path=0. The values of the other
fields remain unchanged from the initial configuration. W(A->Z) and
P(A->Z) indicate the working path and the protection path in the
direction of A to Z, respectively.
Example 1. 1:1 bidirectional protection switching (revertive
operation) - Unidirectional SF case
A Z
| |
(1) |<---- NR(0,0)---->| (1)
| |
| |
(2) | (SF on W(Z->A)) |
|---- SF(1,1)----->| (3)
(4) |<----- NR(0,1)----|
| |
| |
(5) | (Clear SF-W) |
|---- WTR(0,1)---->|
/| |
| | |
WTR timer | |
| | |
\| |
(6) |---- NR(0,1)----->| (7)
(8) |<----- NR(0,0)----|
|---- NR(0,0)----->| (9)
| |
(1) The protected domain is operating without any defect, and the
working path is used for delivering the traffic in the Normal
state.
(2) SF-W occurs in the Z to A direction. Node A enters into the
PF:W:L state and generates an SF(1,1) message. Both the
selector and bridge of node A are pointing at the protection
path.
Ryoo, et al. Standards Track [Page 35]
RFC 7271 MPLS-TP LP for ITU-T
June 2014
(3) Upon receiving an SF(1,1) message, node Z sets both the selector
and bridge to the protection path. As there is no local request
in node Z, node Z generates an NR(0,1) message in the PF:W:R
state.
(4) Node A confirms that the remote node is also selecting the
protection path.
(5) Node A detects clearing of SF condition, starts the WTR timer,
and sends a WTR(0,1) message in the WTR state.
(6) Upon expiration of the WTR timer, node A sets both the selector
and bridge to the working path and sends an NR(0,1) message.
(7) Node Z is notified that the remote request has been cleared.
Node Z transits to the Normal state and sends an NR(0,0)
message.
(8) Upon receiving an NR(0,0) message, node A transits to the Normal
state and sends an NR(0,0) message.
(9) It is confirmed that the remote node is also selecting the
working path.
Ryoo, et al. Standards Track [Page 36]
RFC 7271 MPLS-TP LP for ITU-T
June 2014
Example 2. 1:1 bidirectional protection switching (revertive
operation) - Bidirectional SF case - Inconsistent WTR timers
A Z
| |
(1) |<---- NR(0,0)---->| (1)
| |
| |
(2) | (SF on W(A<->Z)) | (2)
|<---- SF(1,1)---->|
| |
| |
(3) | (Clear SF-W) | (3)
|<---- NR(0,1)---->|
(4) |<--- WTR(0,1) --->| (4)
/| |\
| | | |
WTR timer | | WTR timer
| | | |
| | |/
| |<------ NR(0,1)---| (5)
| | |
\| |
(6) |--- NR(0,1)------>|
|<------ NR(0,0)---| (7)
(8) |--- NR(0,0)------>|
| |
(1) Each end is in the Normal state and transmits NR(0,0) messages.
(2) When SF-W occurs, each node enters into the PF:W:L state and
transmits SF(1,1) messages. Traffic is switched to the
protection path. Upon receiving an SF(1,1) message, each node
confirms that the remote node is also sending and receiving the
traffic from the protection path.
(3) When SF-W is cleared, each node transits to the PF:W:R state and
transmits NR(0,1) messages as the last received message is SF-W.
(4) Upon receiving NR(0,1) messages, each node goes into the WTR
state, starts the WTR timer, and sends the WTR(0,1) messages.
(5) Upon expiration of the WTR timer in node Z, node Z sends an
NR(0,1) message as the last received APS message was WTR. When
the NR(0,1) message arrives at node A, node A maintains the WTR
state and keeps sending current WTR messages as described in the
state transition table.
Ryoo, et al. Standards Track [Page 37]
RFC 7271 MPLS-TP LP for ITU-T
June 2014
(6) Upon expiration of the WTR timer in node A, node A sends an
NR(0,1) message.
(7) When the NR(0,1) message arrives at node Z, node Z moves to the
Normal state, sets both the selector and bridge to the working
path, and sends an NR(0,0) message.
(8) The received NR(0,0) message causes node A to go to the Normal
state. Now, the traffic is switched back to the working path.
Example 3. 1:1 bidirectional protection switching - R bit mismatch
This example shows that both sides will interwork and the traffic is
protected when one side (node A) is configured as revertive operation
and the other (node Z) is configured as non-revertive operation. The
interworking is covered in the state transition tables.
(revertive) A Z (non-revertive)
| |
(1) |<---- NR(0,0)---->| (1)
| |
| |
(2) | (SF on W(A<->Z)) | (2)
|<---- SF(1,1)---->|
| |
| |
(3) | (Clear SF-W) | (3)
|<---- NR(0,1)---->|
(4) |<----- DNR(0,1)---| (4)
/|-- WTR(0,1)------>|
| |<----- NR(0,1)----| (5)
| | |
WTR timer | |
| | |
| | |
\| |
(6) |--- NR(0,1)------>|
|<------ NR(0,0)---| (7)
(8) |--- NR(0,0)------>|
| |
(1) Each end is in the Normal state and transmits NR(0,0) messages.
(2) When SF-W occurs, each node enters into the PF:W:L state and
transmits SF(l,l) messages. Traffic is switched to the
protection path. Upon receiving an SF(1,1) message, each node
confirms that the remote node is also sending and receiving the
traffic on the protection path.
Ryoo, et al. Standards Track [Page 38]
RFC 7271 MPLS-TP LP for ITU-T
June 2014
(3) When SF-W is cleared, each node transits to the PF:W:R state and
transmits NR(0,1) messages as the last received message is SF-W.
(4) Upon receiving NR(0,1) messages, node A goes into the WTR state,
starts the WTR timer, and sends WTR(0,1) messages. At the same
time, node Z transits to the DNR state and sends a DNR(0,1)
message.
(5) When the WTR message arrives at node Z, node Z transits to the
WTR state and sends an NR(0,1) message according to the state
transition table. At the same time, the DNR message arrived at
node Z is ignored according to the state transition table.
Therefore, node Z, which is configured as non-revertive
operation, is operating as if in revertive operation.
(6) Upon expiration of the WTR timer in node A, node A sends an
NR(0,1) message.
(7) When the NR(0,1) message arrives at node Z, node Z moves to the
Normal state, sets both the selector and bridge to the working
path, and sends an NR(0,0) message.
(8) The received NR(0,0) message causes node A to transit to the
Normal state. Now, the traffic is switched back to the working
path.
Ryoo, et al. Standards Track [Page 39]
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June 2014
Authors' Addresses
Jeong-dong Ryoo (editor)
ETRI
218 Gajeongno
Yuseong-gu, Daejeon 305-700
South Korea
Phone: +82-42-860-5384
EMail: ryoo@etri.re.kr
Eric Gray (editor)
Ericsson
EMail: eric.gray@ericsson.com
Huub van Helvoort
Huawei Technologies
Karspeldreef 4,
Amsterdam 1101 CJ
The Netherlands
Phone: +31 20 4300936
EMail: huub.van.helvoort@huawei.com
Alessandro D'Alessandro
Telecom Italia
via Reiss Romoli, 274
Torino 10148
Italy
Phone: +39 011 2285887
EMail: alessandro.dalessandro@telecomitalia.it
Taesik Cheung
ETRI
218 Gajeongno
Yuseong-gu, Daejeon 305-700
South Korea
Phone: +82-42-860-5646
EMail: cts@etri.re.kr
Eric Osborne
EMail: eric.osborne@notcom.com
Ryoo, et al. Standards Track [Page 40] ©2018 Martin Webb
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IJERPH | Free Full-Text | Health Literacy and Frailty in Community-Dwelling Older Adults: Evidence from a Nationwide Cohort Study in South Korea
Health literacy is closely associated with poor health outcomes and mortality. However, only a handful of studies have examined the association between health literacy and frailty status. The current study used data from a nationwide sample of Korean adults aged 70–84 collected from 10 cities, each of which represents a different region of South Korea (n = 1521). We used the propensity score matching (PSM) method to minimize the potential selection bias and confounding factors that are present in observational studies. After PSM, demographic and health-related characteristics between the limited health literacy (n = 486) and the nonlimited health literacy (n = 486) groups were not significantly different. Multinomial logistic regression analyses were conducted for the PSM-matched sample to examine the association between health literacy and frailty outcomes, where the robust group was set as a reference. Limited health literacy significantly increased the risk of pre-frailty (RRR = 1.45, p = 0.02) and frailty (RRR = 2.03, p = 0.01) after adjusting for demographic and health-related factors. Our findings underscore the need to foster health literacy programs and provide preliminary evidence to inform tailored intervention programs so that we might attenuate the risk of frailty in the older population.
Health Literacy and Frailty in Community-Dwelling Older Adults: Evidence from a Nationwide Cohort Study in South Korea
Eun-Young Choi 2 ,
Su-Kyung Kim 3 ,
Hee-Yun Lee 4 and
Department of Gerontology, Graduate School of East-West Medical Science, Kyung Hee University, Yongin 17104, Korea
2
Leonard Davis School of Gerontology, University of Southern California, Los Angeles, CA 90089, USA
3
AgeTech-Service Convergence Major, Graduate School of East-West Medical Science, Kyung Hee University, Yongin 17104, Korea
4
School of Social Work, The University of Alabama, Tuscaloosa, AL 35487, USA
*
Author to whom correspondence should be addressed.
Int. J. Environ. Res. Public Health 2021 , 18 (15), 7918; https://doi.org/10.3390/ijerph18157918
Received: 24 June 2021 / Revised: 22 July 2021 / Accepted: 24 July 2021 / Published: 27 July 2021
(This article belongs to the Special Issue Health and Well-Being in Vulnerable Communities )
Abstract
Health literacy is closely associated with poor health outcomes and mortality. However, only a handful of studies have examined the association between health literacy and frailty status. The current study used data from a nationwide sample of Korean adults aged 70–84 collected from 10 cities, each of which represents a different region of South Korea (
n
= 1521). We used the propensity score matching (PSM) method to minimize the potential selection bias and confounding factors that are present in observational studies. After PSM, demographic and health-related characteristics between the limited health literacy (
n
= 486) and the nonlimited health literacy (
n
= 486) groups were not significantly different. Multinomial logistic regression analyses were conducted for the PSM-matched sample to examine the association between health literacy and frailty outcomes, where the robust group was set as a reference. Limited health literacy significantly increased the risk of pre-frailty (RRR = 1.45,
p
= 0.02) and frailty (RRR = 2.03,
p
= 0.01) after adjusting for demographic and health-related factors. Our findings underscore the need to foster health literacy programs and provide preliminary evidence to inform tailored intervention programs so that we might attenuate the risk of frailty in the older population.
Keywords:
health literacy
;
frailty
;
community-dwelling older adults
;
propensity score matching
1. Introduction
Frailty refers to a state of significant physiological decline with aging, and it is characterized by increased vulnerability to stressors and reduced functional reserves [ 1 ]. Frailty is associated with adverse health outcomes, including falls, hospitalization, poor quality of life, and mortality [ 2 , 3 ]. The Fried frailty phenotype [ 4 ] proposed the following five criteria for the diagnosis of frailty: (1) unintended weight loss, (2) fatigue, (3) grip strength, (4) reduced walking speed, and (5) decreased physical ability. People with three or more symptoms are identified as frail, and those with two symptoms are classified as being in the pre-frailty stage [ 4 ]. Previous studies found that frailty status is related to a wide range of sociodemographic characteristics (e.g., education and economic status), physical health conditions, and health behaviors [ 5 , 6 ], as well as psychological risk factors such as cognitive impairment, depression, and emotional frailty [ 7 , 8 , 9 , 10 , 11 ]. Continued research efforts are warranted to identify modifiable preventive and risk factors of frailty, which will contribute to its prevention and management.
A recent growing body of health literature has focused on the role of health literacy. Health literacy is defined as one’s cognitive and social skills for reading, understanding, assessing, and using accurate health information to make informed health-related decisions and to promote good health [ 12 ]. Limited health literacy not only leads to poor recognition and bad management of one’s health condition, but also acts as a barrier to communication with health professionals and to access to medical treatment [ 13 , 14 , 15 ]. Systematic reviews have shown that health literacy is closely associated with poor health outcomes and mortality [ 16 , 17 ].
However, only a handful of studies have examined the relationship between health literacy and frailty status [ 18 , 19 , 20 , 21 , 22 , 23 , 24 ]. For example, in a study of 603 community-dwelling older adults in Taiwan [ 18 ], low health literacy was associated with higher odds of pre-frailty and frailty. The significance remained even after controlling for demographic and health covariates. Shah et al. surveyed 470 adults with an average age of 57 years, and found that those with high health literacy had a lower risk of frailty [ 21 ]. Similarly, according to a study conducted by Yamada et al. older adults with inadequate health literacy were disproportionately higher in the pre-frailty (52.2%) and frailty (65.7%) groups than they were in the healthy group (37.6%) [ 23 ].
Prior studies have provided some initial evidence for the significant role of health literacy in determining frailty status; however, they mainly used small, convenience samples recruited from geographically limited areas, thus limiting the representativeness of the findings. In addition, not all confounders, such as health behaviors, were adjusted in previous research models. Thus, it remains unclear whether health literacy leads to an increased risk of frailty among older adults. To address these research gaps, the current study used data collected from a large nationwide sample of Korean adults aged 70–84, from 10 study centers representing different regions of South Korea. We used the propensity score matching (PSM) method, which is known to minimize potential selection bias and confounding factors that are present in observational studies, and therefore, contributed to the improved internal validity of our findings [
25
].
2. Materials and Methods
2.1. Study Population
We used data from the Korean Frailty and Aging Cohort Study (KFACS), a population-based prospective cohort study of older Koreans [
26
]. The KFACS aims to evaluate and track older adults’ frailty status for 10 years and to identify relevant risk factors or outcomes. The baseline data were obtained between May 2016 and November 2017. As shown in
Figure 1
, ten study centers representing different regions of South Korea were chosen to increase the generalizability of the study and to address geographic variations. In each center, approximately 300 participants were recruited through quota sampling that was based on age and sex. The inclusion criteria for the study were as follows: (a) adults aged 70–84 years, (b) community-dwelling, (c) no plans to move out in two years, (d) no difficulties in communication, and (e) not diagnosed with dementia. Among a targeted total of 3000 people, half of the participants were recruited in 2016 (
n
= 1559) and the other half was surveyed in 2017 (
n
= 1455). The current study focused on those who completed the baseline interview in 2016. We excluded 38 respondents (2.43%) who had missing values in any variables of interest, resulting in a final analytic sample of 1521 participants.
Figure 1. Ten study centers selected for the Korean Frailty and Aging Cohort Study (KFACS).
2.2. Measurement
Frailty status was evaluated with the Korean frailty index (KFI), which was developed by a Korean Geriatrics Society research panel and previously validated among community-dwelling older adults [
27
,
28
]. The KFI consists of the following eight items: (a) a history of hospitalization in the past year (1 = yes), (b) self-rated health status (1 = poor), (c) weight loss in the past year to the extent that one’s clothes fit loosely (1 = yes), (d) polypharmacy (1 = taking four or more medications regularly), (e) depressed mood (1 = experiencing sadness or depressed mood for sometimes or more frequently in the last month), (f) incontinence (1 = experiencing incontinence of urine or feces for sometimes or more frequently in the last month), (g) visual or auditory problems (1 = any problems with decreased visual acuity or difficulties with hearing in daily life), and (h) physical performance measured with the Times Up and Go Test (TUGT) (1 = taking more than 10 seconds). Respondents received 1 point if they reported a positive response for each item. Those with two or fewer points were classified as robust; those with three or four points were considered as pre-frail; those with five or more points were categorized as a frail group.
Health literacy was assessed using the three questions adopted from the Behavioral Risk Factor Surveillance System (BRFSS) questionnaire, developed by the U.S. Centers for Disease Control and Prevention. The questions were as follows: (a) “How difficult is it for you to get advice about health or medical topics if you need it?” (b) “How difficult is it for you to understand information that doctors, nurses, and other health professionals tell you?” and (c) “You can find written information about health on the internet, in newspapers and magazines, and brochures in the doctor’s office and clinic; In general, how difficult is it for you to understand written health information?” The response options were “
very easy
,” “
somewhat easy
,” “
somewhat difficult
,” “
very difficult
,” and “
I do not look for health information
.” Respondents were categorized as having limited health literacy if they answered “
somewhat difficult
,” “
very difficult
,” or “
I do not look for health information
” to one or more questions, based on previous research [
29
].
We included the following sociodemographic characteristics and health-related factors as control variables: gender, age, marital status (married vs. single/divorced/widowed), living arrangements (living alone, living with a spouse only, or living with a spouse and/or children), income status (receiving basic livelihood security or medical benefits vs. not eligible), educational attainment (1 = no formal education, 2 = elementary school, 3 = middle school, 4 = high school, 5 = college or above), working status (yes vs. no), current smoking (yes vs. no), alcohol drinking (yes vs. no), and fall experience in the past year (yes vs. no).
2.3. Statistical Analysis
The main purpose of the current study was to examine whether the limited health literacy and the nonlimited health literacy groups are at different risks of pre-frailty or frailty. As health literacy groups were not likely to be randomly assigned to our study population, we used the propensity score matching (PSM) method to account for potential selection and confounding biases (e.g., demographic characteristics both associated with health literacy and frailty status) [
30
]. The PSM method is known to reduce these biases [
31
], contributing to a more reasonable comparison between groups and improving the internal validity of the study findings. The strength of the PSM has broadened the range of research opportunities because it helps to analyze real-world data—nonrandomized data—with reduced selection bias [
32
]. However, there is criticism that PSM might be blind to the large portion of imbalance [
33
]. Therefore, caution is needed when conducting the PSM and interpreting the findings.
To create propensity score-matched pairs, we performed one-to-one matching using the Stata module of psmatch2 [
34
], where control variables of our study were used (gender, age, marital status, income status, education levels, working status, current smoking, alcohol drinking, and fall experience). The 486 nonlimited health literacy cases were matched with 486 limited health literacy cases, based on the nearest neighbor matching without replacement and conditioning on the common support. The pseudo-R2, an indicator of overall covariate imbalance, was lower after matching than it was before (after; pseudo-R2 = 0.002, mean bias = 2.1, median bias = 2.1,
p
= 0.997 vs. before; pseudo-R2 = 0.143, mean bias = 26.5, median bias = 22.8,
p
< 0.001). These findings suggest an adequate balance of covariate distribution among the matched groups.
Figure 2
shows the standardized differences across covariates in the unmatched and matched samples. As expected, the standardized percent bias shifted toward 0 after matching. Then, we compared the limited and nonlimited health literacy groups in the full study sample (before the PSM;
n
= 1521) and the PS-matched sample (
n
= 972). Chi-square tests for categorical variables and
t
-tests for continuous variables were used to determine significant group differences. Finally, multinomial logistic regression analyses were conducted for the PSM-matched sample to examine the association between health literacy and frailty outcomes, where the robust group was set as a reference. All of the analyses were performed with Stata software version 16.0 (Stata Corporation, College Station, TX, USA).
Figure 2. Visual inspection of standardized differences.
3. Results
3.1. Sample Characteristics of Limited and Nonlimited Health Literacy Groups
Table 1
shows the descriptive characteristics between the limited health literacy (LHL) and nonlimited health literacy (Non-LHL) groups. Of the full study sample (
n
= 1521), approximately 68% had limited health literacy (
n
= 1035). Those in the LHL group were older (76.55), less likely to be married (59%), more likely to live alone (29%), have low household income (9%), and reported lower educational attainment (2.35) than the Non-LHL group. These demographic differences were statistically significant (
Table 1
). In addition, those in the LHL group were less likely to be drinking (46%) and more likely to have fall experience (22%) compared to the Non-LHL group. The results for both groups differed significantly (
Table 1
). The two groups also differed in their frailty status. Approximately 32% of the LHL group fell in the pre-frail category and 16% were in the frail category, which was significantly more than the 21% pre-frail and 5% frail in the Non-LHL group. After propensity score matching, the demographic and health-related characteristics between the LHL (
n
= 486) and Non-LHL (
n
= 486) groups were no longer significantly different. However, the LHL group still included more pre-frail (26%) and frail (8%) individuals than the Non-LHL group (
Table 1
).
Table 1. Sample characteristics of the full study sample and propensity-matched sample.
3.2. Relative Risk Ratio of Pre-Frailty and Frailty
Table 2 shows the relative risk ratios (RRRs) for the risk of pre-frailty and frailty in the propensity-matched sample ( n = 972). We first conducted multinomial logistic regression analyses with a limited health literacy variable only to reduce the potential confounding effects by the treatment variables [ 35 ].
Table 2. Relative ratio of pre-frailty and frailty among propensity-score-matched sample ( n = 972).
After adjusting for demographic and health-related factors, limited health literacy significantly increased the risk of pre-frailty (RRR = 1.45, 95% CI = 1.06–1.98,
p
= 0.02) and frailty (RRR = 2.03, 95% CI = 1.19–3.49,
p
= 0.01). Concerning the covariates, the risk of pre-frailty was significantly associated with age (RRR = 1.07, 95% CI = 1.03–1.12,
p
< 0.001), educational attainment (RRR = 0.81, 95% CI = 0.71–0.94,
p
= 0.01), and fall experience (RRR = 2.01, 95% CI = 1.37–2.95,
p
< 0.001). The risk of frailty was significantly increased by being male (RRR = 2.62, 95% CI = 1.30–5.26,
p
= 0.01) and being of an older age (RRR = 1.10, 95% CI = 1.02–1.18,
p
= 0.01), but decreased by living with a spouse (RRR = 0.15, 95% CI = 0.03–0.64,
p
= 0.01), living with a spouse and/or children (RRR = 0.10, 95% CI = 0.02–0.43,
p
< 0.001), having higher educational attainment (RRR = 0.68, 95% CI = 0.53–0.88,
p
< 0.001), and working (RRR = 0.49, 95% CI = 0.25–0.97,
p
= 0.04).
3.3. Sensitivity Analyses
We also examined the association between frailty status and health literacy among the full study sample. As presented in
Table 3
, the findings remained similar to the propensity-matched sample. Limited health literacy was related to an increased risk of both pre-frailty (RRR = 1.50, 95% CI = 1.13–2.00,
p
= 0.01) and frailty (RRR = 2.31, 95% CI = 1.43–3.73,
p
< 0.001). A few differences were found in the associations between gender, living arrangements, and fall experience in relation to frailty status. In the full sample, being male was not significantly associated with an increased risk of frailty (RRR = 1.06, 95% CI = 0.69–1.62,
p
= 0.81), whereas living with a spouse compared to living alone did not itself decrease the risk of frailty (RRR = 0.72, 95% CI = 0.34–1.55,
p
= 0.40). Fall experience, however, was significantly related to an increased risk of frailty (RRR = 2.17, 95% CI = 1.49–3.17,
p
< 0.001).
Table 3. Relative risk ratio of pre-frailty and frailty among the full study sample ( n = 1521).
4. Discussion
As of 2017, South Korea became an older society in which adults aged 65 and above accounted for over 14% of the total population. By 2025, the nation is expected to become a super-aged society, as the ratio increases to 20.3% [ 36 ]. Older Koreans have approximately 2.7 chronic diseases on average [ 37 ]. Approximately 47% and 8% are estimated to have pre-frailty and frailty, respectively [ 26 , 28 ]. In light of this social context, there is an increasing need to identify preventive and risk factors of pre-frailty and frailty [ 7 , 8 ]. The current study focused on the role of health literacy in determining frailty status among community-dwelling older adults in South Korea.
Our analyses with a nationwide sample found that approximately 32% and 16% of participants with limited health literacy (LHL) fell into the categories of pre-frail and frail, respectively. These rates were significantly higher compared to the 21% of pre-frailty and 5% of frailty in the nonlimited health literacy (Non-LHL) group. The findings from the multiple logistic regression showed that LHL significantly increased the risk of pre-frailty and frailty, even after a propensity score matching for demographic and other health factors. These findings are consistent with previous evidence [ 18 , 21 , 22 , 23 ], suggesting that a health literacy education and intervention program can be an effective strategy to prevent and decrease the risk of frailty. Indeed, systematic research has suggested that improving health literacy can facilitate subsequent health behavior changes, such as better diet quality, increased physical activity, and smoking cessation [ 16 , 38 ]. A recent intervention study targeting older adults with low health literacy [ 39 ] found that an active learning program is effective in promoting a healthier lifestyle (i.e., moderate-to-vigorous physical activity and dietary variety), which is itself a known protective factor against the development of frailty [ 40 ].
Furthermore, we identified different sets of demographic and health-related predictors of pre-frailty and frailty. In line with prior studies [ 41 , 42 ], age and educational attainment were significantly associated with the risk of pre-frailty and frailty. Fall experience had a significant relationship with pre-frailty status only, whereas being male, living alone, and nonworking status were related to an increased risk of frailty. It was notable that factors related to social activities (i.e., living arrangements and working status) were associated with frailty status (vs. robust). These findings generally follow the literature reporting several risk factors of pre-frailty and frailty [ 43 , 44 , 45 ]. Therefore, when planning intervention programs, more attention should be paid to vulnerable groups with limited sociodemographic data. For example, interventions for older adults living alone should involve a connection to local community centers, where a variety type of preventative programs for frailty can be provided.
Some major strengths of our study include the use of a nationwide sample of older Koreans collected from 10 representative cities/provinces of South Korea; this approach addresses the paucity of research on this topic with a large sample of older adults. Additionally, we accounted for potential selection effects and confounding biases between health literacy groups through the PSM method. To the best of our knowledge, this study is the first to examine the role of limited health literacy in frailty outcomes using the PSM method.
It is important to note some limitations of our study when interpreting the findings. The cross-sectional design did not allow us to establish a direct causal relationship between independent variables and frailty. Second, we did not measure participants’ previous experiences with health-related education or programs, which may have influenced the association between health literacy level and frailty status. Lastly, future studies need to address the overmatching problem more carefully by conducting the robustness checks. Future studies would benefit from employing a more comprehensive range of control variables to further clarify the positive effects of health literacy in preventing frailty.
5. Conclusions
The current study showed that limited health literacy is associated with an increased risk of pre-frailty and frailty among community-dwelling older adults. Our findings not only underscore the need to foster health literacy intervention programs, but also to provide preliminary evidence to inform tailored intervention programs by demographic and health-related factors to attenuate the risk of frailty in the older population.
Author Contributions
Conceptualization, H.-R.S. and Y.-S.K.; methodology, H.-R.S. and E.-Y.C.; formal analysis, H.-R.S.; investigation, H.-R.S. and S.-K.K.; resources, Y.-S.K.; data curation, S.-K.K.; writing—original draft preparation, H.-R.S., E.-Y.C. and S.-K.K.; writing—review and editing, H.-Y.L. and Y.-S.K.; supervision, Y.-S.K.; funding acquisition, Y.-S.K. All authors have read and agreed to the published version of the manuscript.
Funding
This research was supported by a grant from the Korea Health Technology R&D Project through the Korea Health Industry Development Institute, which is funded by the Ministry of Health and Welfare, Republic of Korea (Project No. HI15C3153) and a grant from Kyung Hee University in 2017 (Project No. KHU-20170721).
Institutional Review Board Statement
The KFACS protocol was approved by the institutional review boards (IRBs) of the clinical research ethics committees of all 10 participating centers (Kyung Hee University, Seoul National University Hospital, Korea University Guro Hospital, Hallym University Medical Center–Chuncheon, Seoul National University Bundang Hospital, Ajou University Hospital, Gyeongsang National University Hospital, Chonnam National University Hospital, and Jeju National University Hospital), including the coordinating center, Kyung Hee University Hospital, Seoul, Korea (IRB number: 2015-12-103).
Informed Consent Statement
Informed consent was obtained from all subjects involved in the study.
Acknowledgments
The authors would like to thank the study participants and the Korean Frailty and Aging Cohort Study staff for their cooperation in this study.
Conflicts of Interest
The authors declare no conflict of interest.
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Figure 1. Ten study centers selected for the Korean Frailty and Aging Cohort Study (KFACS).
Figure 2. Visual inspection of standardized differences.
Table 1. Sample characteristics of the full study sample and propensity-matched sample.
Full Study Sample ( n = 1521) Matched Sample ( n = 972) LHL ( n = 1035) Non-LHL ( n = 486) LHL ( n = 486) Non-LHL ( n = 486) % Mean % Mean p -Value % Mean % Mean p -Value Demographics Male 41.2 40.9 40.9 40.9 Age 76.55 75.32 <0.001 75.25 75.32 0.79 Married 59.1 76.5 <0.001 78.2 76.5 0.54 Living arrangement Living alone 29.4 16.3 0.005 16.0 16.3 0.69 With a spouse only 44.8 60.1 58.8 60.1 With a spouse and/or children 25.8 23.7 25.1 23.7 Household income Low 9.0 3.5 <0.001 2.9 3.5 0.58 Middle and upper 91.0 96.5 97.1 96.5 Educational attainment 2.35 0.0 3.50 <0.001 3.42 0.0 3.50 0.26 Health-related factors Working 25.2 26.7 0.52 28.0 26.7 0.67 Smoking 5.5 5.1 0.77 6.2 5.1 0.49 Drinking 46.2 56.6 <0.001 57.4 56.6 0.80 Fall experience 21.6 17.3 0.049 16.0 17.3 0.61 Frailty status Robust 52.0 74.3 <0.001 65.6 74.3 0.002 Pre-frail 31.9 20.6 25.9 20.6 Frail 16.1 5.1 8.4 5.1
Note. LHL = limited health literacy; to make comparisons between the health literacy groups, t -test was conducted for continuous variables and chi-square statistics were computed for categorical factors.
Table 2. Relative ratio of pre-frailty and frailty among propensity-score-matched sample ( n = 972).
Pre-Frail ( n = 226) Frail ( n = 66) vs. Robust ( n = 680) vs. Robust ( n = 680) RRR 95% CI p -Value RRR 95% CI p -Value Main variable Limited health literacy 2.21 1.70 2.87 <0.001 4.48 2.88 6.96 <0.001 Main variable Limited health literacy 1.45 1.06 1.98 0.02 2.03 1.19 3.49 0.01 Demographics Male 0.76 0.52 1.12 0.17 2.62 1.30 5.26 0.01 Age 1.07 1.03 1.12 <0.001 1.10 1.02 1.18 0.01 Married 1.19 0.60 2.34 0.62 2.95 0.66 13.13 0.16 Living arrangement (Ref = alone) With a spouse only 0.90 0.42 1.93 0.78 0.15 0.03 0.64 0.01 With a spouse and/or children 0.72 0.37 1.38 0.32 0.10 0.02 0.43 <0.001 Low income 1.31 0.53 3.24 0.56 1.73 0.54 5.53 0.35 Educational attainment 0.81 0.71 0.94 0.01 0.68 0.53 0.88 <0.001 Health-related factors Working 0.85 0.59 1.22 0.38 0.49 0.25 0.97 0.04 Smoking 1.22 0.61 2.44 0.57 1.21 0.46 3.18 0.70 Drinking 0.92 0.67 1.28 0.64 0.60 0.35 1.03 0.07 Fall experience 2.01 1.37 2.95 <0.001 1.71 0.89 3.29 0.11
Note. RRR = relative risk ratio.
Table 3. Relative risk ratio of pre-frailty and frailty among the full study sample ( n = 1521).
Pre-Frail ( n = 430) Frail ( n = 192) vs. Robust ( n = 899) vs. Robust ( n = 899) RRR 95% CI p -Value RRR 95% CI p -Value Main variable Limited health literacy 2.22 1.71 2.87 <0.001 4.66 3.00 7.24 <0.001 Main variable Limited health literacy 1.50 1.13 2.00 0.01 2.31 1.43 3.73 <0.001 Demographics Male 0.76 0.56 1.02 0.07 1.06 0.69 1.62 0.81 Age 1.08 1.05 1.12 <0.001 1.14 1.09 1.19 <0.001 Married 0.94 0.57 1.55 0.82 1.20 0.59 2.41 0.61 Living arrangement (Ref = alone) With a spouse only 1.01 0.59 1.75 0.96 0.72 0.34 1.55 0.40 With a spouse and/or children 0.68 0.45 1.04 0.07 0.55 0.31 0.98 0.04 Low income 1.20 0.75 1.93 0.45 1.15 0.64 2.09 0.64 Educational attainment 0.78 0.71 0.87 <0.001 0.64 0.55 0.75 <0.001 Health-related factors Working 0.83 0.63 1.11 0.21 0.50 0.32 0.77 <0.001 Smoking 0.97 0.54 1.74 0.93 1.78 0.92 3.44 0.09 Drinking 0.95 0.74 1.22 0.67 0.74 0.52 1.05 0.09 Fall experience 1.48 1.10 2.00 0.01 2.17 1.49 3.17 <0.001
Note. RRR = relative risk ratio.
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Antioxidants | Free Full-Text | Activated Histone Acetyltransferase p300/CBP-Related Signalling Pathways Mediate Up-Regulation of NADPH Oxidase, Inflammation, and Fibrosis in Diabetic Kidney
Accumulating evidence implicates the histone acetylation-based epigenetic mechanisms in the pathoetiology of diabetes-associated micro-/macrovascular complications. Diabetic kidney disease (DKD) is a progressive chronic inflammatory microvascular disorder ultimately leading to glomerulosclerosis and kidney failure. We hypothesized that histone acetyltransferase p300/CBP may be involved in mediating diabetes-accelerated renal damage. In this study, we aimed at investigating the potential role of p300/CBP in the up-regulation of renal NADPH oxidase (Nox), reactive oxygen species (ROS) production, inflammation, and fibrosis in diabetic mice. Diabetic C57BL/6J mice were randomized to receive 10 mg/kg C646, a selective p300/CBP inhibitor, or its vehicle for 4 weeks. We found that in the kidney of C646-treated diabetic mice, the level of H3K27ac, an epigenetic mark of active gene expression, was significantly reduced. Pharmacological inhibition of p300/CBP significantly down-regulated the diabetes-induced enhanced expression of Nox subtypes, pro-inflammatory, and pro-fibrotic molecules in the kidney of mice, and the glomerular ROS overproduction. Our study provides evidence that the activation of p300/CBP enhances ROS production, potentially generated by up-regulated Nox, inflammation, and the production of extracellular matrix proteins in the diabetic kidney. The data suggest that p300/CBP-pharmacological inhibitors may be attractive tools to modulate diabetes-associated pathological processes to efficiently reduce the burden of DKD.
Activated Histone Acetyltransferase p300/CBP-Related Signalling Pathways Mediate Up-Regulation of NADPH Oxidase, Inflammation, and Fibrosis in Diabetic Kidney
by
Alexandra-Gela Lazar ,
Mihaela-Loredana Vlad ,
Adrian Manea ,
Simona-Adriana Manea *
Institute of Cellular Biology and Pathology, “Nicolae Simionescu” of the Romanian Academy, 050568 Bucharest, Romania
*
Author to whom correspondence should be addressed.
Antioxidants 2021 , 10 (9), 1356; https://doi.org/10.3390/antiox10091356
Received: 21 July 2021 / Revised: 20 August 2021 / Accepted: 21 August 2021 / Published: 26 August 2021
Abstract
Accumulating evidence implicates the histone acetylation-based epigenetic mechanisms in the pathoetiology of diabetes-associated micro-/macrovascular complications. Diabetic kidney disease (DKD) is a progressive chronic inflammatory microvascular disorder ultimately leading to glomerulosclerosis and kidney failure. We hypothesized that histone acetyltransferase p300/CBP may be involved in mediating diabetes-accelerated renal damage. In this study, we aimed at investigating the potential role of p300/CBP in the up-regulation of renal NADPH oxidase (Nox), reactive oxygen species (ROS) production, inflammation, and fibrosis in diabetic mice. Diabetic C57BL/6J mice were randomized to receive 10 mg/kg C646, a selective p300/CBP inhibitor, or its vehicle for 4 weeks. We found that in the kidney of C646-treated diabetic mice, the level of H3K27ac, an epigenetic mark of active gene expression, was significantly reduced. Pharmacological inhibition of p300/CBP significantly down-regulated the diabetes-induced enhanced expression of Nox subtypes, pro-inflammatory, and pro-fibrotic molecules in the kidney of mice, and the glomerular ROS overproduction. Our study provides evidence that the activation of p300/CBP enhances ROS production, potentially generated by up-regulated Nox, inflammation, and the production of extracellular matrix proteins in the diabetic kidney. The data suggest that p300/CBP-pharmacological inhibitors may be attractive tools to modulate diabetes-associated pathological processes to efficiently reduce the burden of DKD.
Keywords:
diabetes
;
nephropathy
;
epigenetics
;
histone acetylation
;
p300/CBP
;
NADPH oxidase
;
oxidative stress
1. Introduction
Diabetic kidney disease (DKD), the major microvascular complication of both type I and type II diabetes, is a complex multifactorial renal disorder having a detrimental impact on the patient’s quality of life and life-span expectation [ 1 , 2 , 3 ]. Dysfunction of glomerular endothelial cells and podocytes, thickening of the glomerular basement membrane, mesangial cells hypertrophy and proliferation, progressive accumulation of mesangial extracellular matrix (ECM) components, podocyte damage, and disruption of glomerular endothelium fenestrations are the main structural alterations ultimately leading to glomerulosclerosis; a pathological condition that is further responsible for increased intraglomerular capillary pressure, hyperfiltration, and eventually kidney failure [ 4 , 5 , 6 ].
Regardless of major achievements in DKD therapeutics, the current pharmacological strategies that include blood glucose, lipids, and blood pressure control can only delay the progression of renal damage. Consequently, dialysis, and ultimately kidney transplantation, remain the main therapeutic options for kidney failure in end-stage DKD [
7
,
8
]. Thus, the development of additional or supportive, glomerular cell-oriented pharmacological interventions acting in conjunction with standard anti-hyperglycaemic and anti-hypertensive drugs may contribute to formulating novel treatment algorithms to efficiently reduce the burden of DKD than is currently possible.
Hyperglycaemia, the main metabolic abnormality in diabetes, induces glomerular structural-functional dysfunction via multiple mechanisms that broadly include the formation of advanced glycation end products (AGEs), overproduction of detrimental reactive oxygen species (ROS), hemodynamic alterations, metabolic dysfunction, inflammation, phenotypic changes of the glomerular cells, excess synthesis, and accumulation of ECM components [ 7 , 9 , 10 , 11 ].
Studies on human diabetic kidney biopsies and experimental models of diabetes provide reliable evidence that ROS overproduction, typically driven by the up-regulated NADPH oxidase (Nox) family, are the major triggers of the proinflammatory and profibrotic signalling pathways [ 12 , 13 , 14 , 15 , 16 , 17 , 18 ]. Noteworthy, hyperglycaemia-induced metabolic memory via Nox-enhanced ROS production provides a possible explanation of the limitations of the current glucose-lowering therapeutic strategies in diabetic patients [ 19 ]. Consequently, Nox subtypes, and their upstream regulators, may become important candidates as pharmacological targets in DKD.
Accumulating evidence demonstrates that the dysregulation of epigenetic mechanisms, namely, DNA methylation, post-translational modifications of histones, and non-coding RNA, plays a major role in the pathology of cardiovascular disorders (CVD), and potentially in DKD [ 20 , 21 , 22 , 23 ]. Among other epigenetic modifiers, histone acetylation-based mechanisms have emerged as attractive therapeutic targets in experimental CVD. Lysine-specific acetylation of nucleosomal histones is tightly regulated by the coordinated activities of two major enzymatic systems, namely, histone acetyltransferases (HAT) and histone deacetylases (HDAC). Canonically, HAT-mediated histone acetylation induces chromatin relaxation due to electric charge neutralization of the histone tails, a condition that enables DNA-transcription factors interactions and activation of gene expression. Other than histones, several HAT subtypes regulate the function of a range of transcription factors to induce or repress the gene expression [ 24 ].
Abnormal expression levels of both HAT and HDAC subtypes and lysine-specific histone acetylation patterns have been mechanistically implicated in an increasing number of human and experimental models of CVD. Histone acetyltransferase p300/CBP is a ubiquitously expressed transcriptional co-activator and regulates the expression of genes by several interconnected mechanisms comprising histone acetylation-induced chromatin relaxation owing to the intrinsic HAT activity of p300, recruitment of RNA polymerase II, and also serves as a scaffold protein to form active transcriptional complexes within gene promoter and enhancer regions. Moreover, p300 directly regulates the function of several transcription factors (e.g., NF-kB) to enhance the expression of the target genes [
25
,
26
,
27
].
Histone acetyltransferase p300/CBP is an important transcriptional co-activator regulating the expression of oxidative stress- and inflammation-related genes. Previously, we have demonstrated a mechanistic connection among activated histone-acetylation pathways and Nox-derived ROS overproduction in experimental models of diabetes and atherosclerosis [
28
,
29
,
30
]. Yet, the role of p300/CBP in DKD remains elusive. Based on the important functions of the dysregulated histone acetylation-related mechanisms in vascular pathology, we hypothesized that in DKD, p300/CBP may act as an upstream regulator of Nox expression, ROS production, inflammation, and fibrosis. We provide here evidence that activation of p300/CBP mediates the up-regulation of Nox subtypes, ROS overproduction, and increases the expression of proinflammatory molecules and extracellular matrix proteins in the mouse diabetic kidney.
Our data propose p300/CBP-pharmacological inhibitors as attractive tools to modulate molecular and cellular processes mechanistically linked to the pathology of DKD.
2. Materials and Methods
2.1. Materials
Unless specifically mentioned, standard chemicals and reagents were obtained from Sigma-Aldrich (Darmstadt, Germany). C646 {4-[4-[[5-(4,5-Dimethyl-2-nitrophenyl)-2-furanyl]methylene]-4,5-dihydro-3-methyl-5-oxo-1H-pyrazol-1-yl] benzoic acid}, a cell-permeable, highly selective, reversible inhibitor of histone acetyltransferase p300/CBP (purity ≥ 98%, high-performance liquid chromatography analysis) was obtained from Sigma-Aldrich/Calbiochem (Darmstadt, Germany). Primary and secondary antibodies were from Santa Cruz Biotechnology (Heidelberg, Germany), Thermo Fisher Scientific (Vienna, Austria), Abcam (Cambridge, UK), and Diagenode (Seraing, Belgium). The pNF-κB-Luc (#219078), pC/EBP-Luc (#240112), pGAS-Luc (#219091), and pISRE-Luc (#219089)
cis
-reporter plasmids were purchased from Stratagene (La Jolla, San Diego, CA, USA). The American Type Culture Collection (ATCC) (Manassas, VA, USA) derived human embryonic kidney 293 (HEK293) cell line was used.
2.2. Procedure for Induction of Experimental Diabetes and Treatment Strategy in Mice
Male C57BL/6J (Stock No: 000664) mice obtained from The Jackson Laboratory were used. The mice reproduced in our SPF animal facility, were exposed to 12-h of light/dark cycles and had access to a standard rodent chow diet and water ad libitum. At 8 weeks of age, the mice were intraperitoneally (i.p.) injected with 55 mg/kg streptozotocin (STZ), for 5 successive days to induce experimental diabetes [ 9 , 31 , 32 ]. Age-matched C57BL/6J mice injected with citrate buffer (pH 4.5) were employed as non-diabetic controls. The installation of hyperglycaemia in the diabetic animal group was confirmed by measuring the glucose level in the blood collected by tail puncture, one week after the last STZ injection. The animals were further randomized into three experimental groups to receive (i.p.) 10 mg/kg C646 or its vehicle (5% DMSO + 95% PBS, pH 7.4), every other day for 4 weeks: (i) non-diabetic mice + vehicle ( n = 10/group), (ii) diabetic mice + vehicle ( n = 10/group), and (iii) diabetic mice + C646 ( n = 10/group). The chosen dose and the procedure of C646 administration to mice were in good agreement with previous reports [ 33 , 34 ]. At the end of the treatment procedure, the animals were sacrificed and the blood was collected by cardiac puncture. After perfusion of mice with calcium-containing PBS (pH 7.4), the kidneys were surgically harvested. The animal studies were conducted in accordance with the guidelines of EU Directive 2010/63/EU and the experimental protocols were approved by the ethical committee of the Institute of Cellular Biology and Pathology “Nicolae Simionescu” (#11/29.06.2016, #384/09.02.2018, #6/07.04.2021).
2.3. Quantitative Real-Time Polymerase Chain Reaction (Real Time-PCR) Assay
The kidneys were suspended in RNase inhibitor-containing lysis buffer (Sigma) and subjected to glass bead-based (1.0 mm diameter) tissue homogenization (BioSpec, Bartlesville, OK, USA). Total RNA was extracted from the tissue homogenates using a column-based purification kit (Sigma). The synthesis of complementary DNA (cDNA) was performed by reverse transcribing 0.5 μg of total RNA using the MMLV reverse transcriptase enzyme (Thermo Fisher). The relative mRNA transcript levels corresponding to specific Nox subtypes, inflammatory, and fibrotic markers were determined by amplification of the cDNA employing a real-time PCR machine (LightCycler
TM
480 II, Roche, Basel, Switzerland) and quantified by the C
T
comparative method [
35
]. The β-actin mRNA expression level was used for internal normalization. The oligonucleotide primer sequences are shown in
Table S1
in the
Supplementary Materials
file.
2.4. Western Blot Assay
Kidneys derived from each animal were suspended in RIPA lysis buffer containing a protease inhibitor cocktail (Sigma) and subjected to homogenization as indicated above. Protein denaturation was performed in Laemmli electrophoresis sample buffer (Serva) at 95 °C for 20 min. Protein samples (30 μg/lane) were separated by SDS-PAGE and transferred onto nitrocellulose membranes (Bio-Rad). The membranes were incubated for 12 h (4 °C) with primary antibodies against H3K27ac (rabbit polyclonal, C15410174, dilution 1:1000), H3pan (mouse monoclonal, C15200011, dilution 1:1000), Nox1 (rabbit polyclonal, ab131088, concentration 0.5 µg/mL), Nox2 (rabbit polyclonal, PA5-79118, concentration 0.5 µg/mL), Nox4 (rabbit polyclonal, sc-30141, 1:200), or β-actin (mouse monoclonal, sc-47778, 1:500) followed by one-hour exposure (room temperature) to anti-rabbit IgG-HRP (sc-2370, 1:2000) or anti-mouse IgG-HRP (sc-2031, dilution 1:2000) secondary antibodies. Protein bands were detected by chemiluminescence imaging (ImageQuant LAS 4000 system, Fujifilm, Tokyo, Japan). TotalLab
TM
(Newcastle upon Tyne, UK)-based densitometric analysis of the protein levels was carried out using the expression level of β-actin protein as internal normalization.
2.5. Histochemistry and Immunofluorescence Microscopy
After harvesting, the kidneys were fixed overnight at 4 °C in paraformaldehyde 4% solution in phosphate buffer 0.1 M, pH 7.4, cryoprotected in 5%, 10%, 20%, and 50% glycerol solutions in phosphate buffer 0.1 M, pH 7.4, and embedded in optimal cutting temperature compound. Kidney cryosections (5 μm-thick) were mounted onto SuperFrost Plus
TM
microscope slides (Thermo Scientific) and stained with hematoxylin-eosin solution or subjected to fluorescence immunolabeling for Nox1 (rabbit polyclonal, ab131088, dilution 1:250), Nox2 (rabbit polyclonal, PA5-79118, dilution 1:250), Nox4 (rabbit polyclonal, sc-30141, dilution 1:50), collagen IV (rabbit polyclonal, ab6586, dilution 1:80), fibronectin (rabbit polyclonal, ab2413, dilution 1:250) or laminin (rabbit polyclonal, PA5-16287, dilution 1:250). As a secondary antibody, Alexa Fluor
TM
594 goat anti-rabbit IgG (A11037, dilution 1:500) was used. In these experiments, 4′,6-diamidino-2-phenylindole (DAPI) stain was used to detect the cell nuclei in the specimens. Sections were examined and photographed with an inverted fluorescence microscope (Zeiss Axio Observer). Quantitative analysis of the staining was carried out using ImageJ software (NIH Image, Bethesda, MD, USA).
2.6. Detection of ROS In Situ
The redox-sensitive probe, dihydroethidium (DHE)/hydroethidine, was used for in situ detection of ROS on fresh-frozen 5 μm-thick kidney cryosections as previously described [ 17 ]. Briefly, the sections were rinsed for 30 min in PBS (pH 7.4) at room temperature (to remove the OCT) and then incubated with 5 μM DHE in PBS (pH 7.4) at 37 °C for 30 min in a dark humidified chamber slide. After washing in PBS (pH 7.4) to remove the residual DHE, the fluorescence images were taken with an inverted fluorescence microscope (Zeiss Axio Observer). Quantitative analysis of the DHE staining was performed employing ImageJ software (NIH Image, USA).
2.7. Luciferase Reporter Assay
HEK293 cells were employed as the luciferase expression system due to their high efficiency of transfection. Twenty-four hours prior to transfection, HEK293 cells were seeded at 1 × 10
5
cells/well into 12-well tissue culture plates. The Superfect
TM
reagent was used for transient transfection of the cells in accordance with the manufacturer’s protocol (Qiagen). The enhancer element configuration and sequence of the
cis
-reporter plasmids were as follows: pNF-κB-Luc [(NF-κB (5×), (TGGGGACTTTCCGC)
5
], pC/EBP-Luc [C/EBP (3×), (ATTGCGCAAT)
3
], pGAS-Luc [GAS (4×), (AGTTTCATATTACTCTAAATC)
4
], and pISRE-Luc [ISRE (5×), (TAGTTTCACTTTCCC)
5
]. The optimized plasmid concentrations were: 0.9 μg/mL of
cis
-reporter plasmid and 0.1 μg/mL pSV-β-galactosidase expression vector (Promega, Walldorf, Germany). The transcription factor/luciferase activity was calculated from the ratio of firefly luciferase (luciferase assay system/Promega) to β-galactosidase level (o-nitrophenyl-β-D-galactopyranoside-based β-galactosidase enzyme assay/Promega).
2.8. Statistical Analysis
Data obtained from at least three independent experiments were expressed as the mean ± standard deviation. Statistical analysis was performed by two-tailed t -test and one-way analysis of variance (ANOVA) followed by Tukey’s post hoc test; p < 0.05 was considered statistically significant.
3. Results
3.1. In Diabetic Mice Long-Term Pharmacological Inhibition of p300/CBP Has No Effect on Plasma Level of Glucose and Body Weight
STZ-induced diabetic C57BL/6J mice were employed as an experimental model to find out whether p300/CBP has a role in the up-regulation of oxidative stress-, inflammation-, and fibrosis-related gene or protein expression levels in the kidney. As schematically depicted in
Figure 1
A, the animals (
n
= 30) were distributed into experimental groups to receive either C646 pharmacological inhibitor or its vehicle for 4 weeks. We found that after 4 weeks of diabetes, the plasma glucose level was significantly increased (≈4-fold) and the bodyweight reduced (≈20%) in vehicle-treated diabetic mice as compared with vehicle-treated non-diabetic control counterparts. As compared with vehicle-treated diabetic animals, no significant changes in blood glucose levels and body weights were detected following long-term pharmacological blockade of p300/CBP in diabetic mice (
Figure 1
B,C).
Figure 1. ( A ) Schematic depiction of the experimental set-up to induce diabetes in C57BL/6J mice and the duration of C646/vehicle administration to mice. ( B , C ) Plasma glucose levels and body weights were assessed for each animal group at the end of the treatment procedure. n = 5–7, *** p < 0.001. p -values were taken in relation to non-diabetic + vehicle condition.
3.2. Histone Acetyltransferase p300/CBP Mediates the Up-Regulation of H3K27ac Level in the Diabetic Kidney
To investigate the impact of diabetic conditions on p300/CBP-induced histone acetylation in the kidney, we examined the relative level of H3K27ac, an important substrate of p300 biochemical activity and an epigenetic marker of active gene expression [
29
]. Western blot analysis of the whole kidney protein extracts revealed a significant increase (≈1.5-fold) in H3K27ac levels in the diabetic mice group as compared with non-diabetic animals. Importantly, the diabetes-induced increase in the H3K27ac level was suppressed by 4-week administration of C646 pharmacological inhibitor to diabetic mice. The relative expression of the total H3 protein level in the kidney, analyzed in parallel experiments, remained steady in all experimental groups (
Figure 2
).
Figure 2. Pharmacological inhibition of histone acetyltransferase p300/CBP suppresses the up-regulation of H3K27ac level in the kidney of diabetic mice. n = 3–4, * p < 0.05, p -value taken in relation to non-diabetic + vehicle condition; ## p < 0.01, p -value taken in relation to diabetic + vehicle condition. ( A , B ) Densitometric analysis of the Western blot data showing the modulation of overall renal H3K27ac and H3 protein expression levels in each animal group. ( C , D ) Representative immunoblots depicting the relative expression levels of H3K27ac and H3 in the whole kidney protein extracts.
3.3. Diabetes-Activated p300/CBP Signalling Pathways Mediate the Up-Regulation of Renal Nox Expression
ROS overproduction driven by up-regulated Nox enzymes is acknowledged as the main trigger of oxidative stress-induced renal injury in DKD [
12
]. To determine whether p300/CBP is implicated in the regulation of the overall Nox expression, the gene and protein expression levels of the Nox1, Nox2, and Nox4 subtypes, the catalytic subunits of the Nox complex, were assessed in the whole kidney extracts. A significant increase in the mRNA and protein levels of Nox1 (mRNA ≈ 3-fold; protein ≈ 2-fold), Nox2 (mRNA ≈ 2-fold; protein ≈ 2.7-fold), and Nox4 (mRNA ≈ 4-fold; protein ≈ 1.85-fold) isoforms were determined in the kidney of diabetic mice after 4 weeks of hyperglycaemia. Long-term blockade of p300/CBP by C646 suppressed the up-regulation of Nox1, Nox2, and Nox4 transcript levels in the diabetic kidney. Furthermore, the protein expression levels of Nox1 and Nox4 subtypes, except the Nox2 isoform, were significantly diminished in response to C646 administration to diabetic mice as compared to non-treated diabetic animals (
Figure 3
).
Figure 3. Histone acetyltransferase p300/CBP mediates the up-regulation of Nox expression in the kidney of diabetic mice. ( A – C ) Quantitative real-time PCR analysis indicating the suppressive effects of p300/CBP blockade on diabetes-induced enhanced mRNA levels of Nox1, Nox2, and Nox4 subtypes. ( D – F ) Densitometric analysis of the Western blot data showing the relative expression levels of Nox1, Nox2, and Nox4 proteins in each experimental condition. ( G – I ) Representative immunoblots depicting the modulation of Nox proteins expression. n = 3–4, * p < 0.05, ** p < 0.01, *** p < 0.001, p -values taken in relation to non-diabetic + vehicle condition; # p < 0.05, ## p < 0.01, p -values taken in relation to diabetic + vehicle condition.
Previous comprehensive studies provided compelling evidence that the up-regulation of Nox enzymes is a key pathogenic mechanism associated with glomerulosclerosis [
14
,
15
]. Hitherto, the role of p300/CBP in the regulation of glomerular Nox expression in diabetic conditions remains elusive. Thus, we further examined the relative expression of Nox catalytic subunits in the glomeruli by immunofluorescence (IF) microscopy. Compared to controls (non-diabetic animals), enhanced glomerular immunolabeling of Nox1 (≈1.65-fold), Nox2 (≈1.9-fold), and Nox4 (≈1.95-fold) proteins was detected in diabetic mice. Blockade of p300/CBP resulted in a significant decrease in Nox1, Nox2, and Nox4 protein levels in the renal glomeruli of diabetic mice. Noteworthy, there was an apparent increase in Nox4 immunodetection, suggesting that the Nox4 subtype, rather than Nox1 and Nox2, is abundant in the glomeruli. These data are consistent and extend a previous study demonstrating that Nox4-containing Nox, rather than Nox1 or Nox2, is a major source of ROS in the glomeruli and contributes to oxidative stress-induced renal damage in experimental diabetes [
15
]. However, the superior antibody-recognition performance of Nox4 protein as well as the accessibility of the antibody to its specific epitopes in IF microscopy assays should be considered (
Figure 4
).
Figure 4. Pharmacological inhibition of histone acetyltransferase p300/CBP by C646 mitigates the glomerular expression of Nox subtypes in diabetic mice. ( A , C , E ) Quantification of fluorescence immunolabeling for glomerular Nox1, Nox2, and Nox4 subtypes. ( B , D , F ) Representative IF microscopy images taken at 40× magnification depicting the immunofluorescence staining (red) for Nox subtypes. Sections were counterstained with DAPI (blue) stain to detect the cell nuclei in the specimens. Note that the up-regulation of glomerular Nox1, Nox2, and Nox4 protein levels in diabetic mice is blunted following C646 treatment. n = 14–19/condition quantified glomeruli, *** p < 0.001, p -values taken in relation to non-diabetic + vehicle condition; ### p < 0.001, p -values taken in relation to diabetic + vehicle condition.
To further examine the possible association of Nox upregulation with ROS overproduction, the glomerular formation of ROS was assessed by in situ labelling employing the DHE redox-sensitive probe. The results showed that pharmacological blockade of p300/CBP significantly reduced the glomerular ROS production in diabetic mice as compared with vehicle-treated diabetic mice ( Figure 5 ).
Figure 5. Histone acetyltransferase p300/CBP-dependent induction of in situ glomerular production of ROS in diabetic mice. ( A ) Quantification of glomerular intensity of ROS-induced DHE specific fluorescence signal. ( B ) Representative fluorescence microscopy images (40× magnification) depicting the down-regulatory effects of p300/CBP pharmacological blockade on glomerular ROS formation. n = 17–21/condition quantified glomeruli, *** p < 0.001, p -values taken in relation to non-diabetic + vehicle condition; ### p < 0.001, p -values taken in relation to diabetic + vehicle condition.
3.4. Pharmacological Inhibition of p300/CBP Suppresses the Diabetes-Induced Enhanced Expression of Pro-Inflammatory and Pro-Fibrotic Molecules in the Kidney
Multiple pathogenic mechanisms, including Nox-activated redox-sensitive signalling pathways, leading to augmented expression of pro-inflammatory and pro-fibrotic mediators, have been shown to promote and accelerate renal injury in DKD [
16
,
17
,
18
]. Thus, our next query was to uncover the function of histone acetyltransferase p300/CBP as a co-transcriptional regulator of both inflammation- and fibrosis-related genes in the diabetic kidney. To this purpose, we examined the mRNA levels of selective molecules mediating glomerular monocyte/macrophage infiltration and inflammation, as well as ECM components whose enhanced accumulation contributes to glomerulosclerosis in diabetes.
Compared to controls (non-diabetic animals), whole kidney gene expression analysis demonstrated a significant increase in mRNA levels of pro-inflammatory mediators. These are: monocyte chemotactic protein 1/MCP-1 (≈45-fold), tumour necrosis factor α/TNFα (≈12-fold), nitric oxide synthase 2/NOS2 (≈8-fold), intercellular adhesion molecule 1/ICAM-1 (≈4-fold), vascular cell adhesion molecule 1/VCAM-1 (≈8-fold), E-selectin (≈12-fold). In addition, significant augmented mRNA levels of pro-fibrotic mediators [collagen IV (≈4-fold), fibronectin (≈6-fold), and laminin (≈8-fold)] was detected. Interestingly, the latter diabetes-induced up-regulatory gene expression effects were significantly diminished in C646-treated diabetic mice (
Figure 6
).
Figure 6. Quantitative real-time PCR analysis indicating the down-regulatory effects of C646-induced p300/CBP inhibition on diabetes-induced augmented mRNA levels of ( A ) MCP-1, ( B ) TNFα, ( C ) NOS2, ( D ) ICAM-1, ( E ) VCAM-1, ( F ) E-selectin, ( G ) collagen IV/COL4A, ( H ) fibronectin/FN, and ( I ) laminin/LM. n = 3–4, *** p < 0.001, p -values taken in relation to vehicle-treated non-diabetic mice condition; ## p < 0.01, ### p < 0.001, p -values taken in relation to vehicle-treated diabetic mice condition.
3.5. Pharmacological Inhibition of p300/CBP Attenuates the Activity of NF-kB and STAT Transcription Factors
Reportedly, p300 plays a key role in regulating the expression of pro-inflammatory molecules by modulating the function of the NF-kB transcription factor [ 36 , 37 ]. Hence, we questioned the involvement of other transcription factors known to regulate both Nox subtypes and selective diabetes-relevant pro-inflammatory and pro-fibrotic molecules [ 38 , 39 , 40 , 41 , 42 , 43 ]. To this purpose, we analyzed the role of p300/CBP in mediating C/EBP and STAT transcription factor activities employing transient transfection of HEK293 reporter cells, with pNF-κB-Luc, pC/EBP-Luc, pGAS-Luc, and pISRE-Luc cis -reporter plasmids containing highly conserved NF-kB, C/EBP, GAS, or ISRE cis -acting elements. Twenty-four hours after transfection, the cells were exposed for an additional 24 h to 5 μM C646, vehicle (DMSO), or culture medium alone and then subjected to luciferase level detection as described above. The pharmacological blockade of p300/CBP resulted in a significant down-regulation of luciferase level directed by NF-kB, GAS or ISRE elements, except C/EBP. Interestingly, the blockade of p300/CBP virtually abolished the luciferase level directed by GAS elements, the typically bind STAT1/STAT3 heterodimer as compared with ISRE elements that characteristically mediate the transcriptional response of STAT1/STAT2 complex ( Figure 7 ).
Figure 7. P300/CBP-dependent regulation of the luciferase level directed by the activation of ( A ) NF-kB, ( B ) C/EBP, ( C ) GAS, and ( D ) ISRE enhancer elements in HEK293 cells transfected with the corresponding transcription factor cis -reporter plasmids. n = 3–6, ** p < 0.01, *** p < 0.001, p -values taken in relation to vehicle (DMSO)-treated cells condition.
3.6. Activation of p300/CBP-Related Signalling Pathways Mediates Diabetes-Induced Glomerular Hypertrophy and Accumulation of Extracellular Matrix Proteins
Glomerular hypertrophy typically induced by mesangial cell hypertrophy and proliferation, and accumulation of the ECM proteins is the main structural feature associated with the pathology of DKD. Morphometric analysis of the kidney specimens demonstrated that blockade of p300/CBP significantly reduces diabetes-induced (≈1.7-fold) glomerular hypertrophy ( Figure 8 ).
Figure 8. Long-term administration of C646 pharmacological inhibitor of p300/CBP prevents glomerular hypertrophy in diabetic mice. ( A ) Quantification of the relative glomerular area in each experimental animal group. ( B ) Representative hematoxylin-eosin phase-contrast microscopy images taken at 40× magnification depicting the staining of glomeruli. Note that C646 treatment of diabetic mice reduced significantly the relative glomerular hypertrophy to the level of control non-diabetic mice. n = 23/condition quantified glomeruli, *** p < 0.001, p -values taken in relation to non-diabetic + vehicle condition; ## p < 0.01, p -values taken in relation to diabetic + vehicle condition.
Considering the aforementioned findings highlighting that pharmacological blockade of p300/CBP prevents the up-regulation of collagen IV, fibronectin, and laminin transcript levels in the kidney of diabetic mice, we next examined the effect of p300/CBP blockade on the glomerular protein levels. As revealed by IF microscopy, in the diabetic kidney, a significant increase in the glomerular collagen IV/COL4A (≈2-fold), fibronectin/FN (≈1.5-fold), and laminin/LM (≈2.5-fold) was detected. The level of ECM proteins, namely, collagen IV, fibronectin, and laminin was significantly lower in the glomeruli of C646-treated diabetic mice as compared with vehicle-injected diabetic animals (
Figure 9
). Altogether, these data point to p300/CBP as an important component of a complex transcriptional hub that integrates and transduces signals of diabetic factors to induce renal structural and functional alterations in DKD.
Figure 9. Blockade of histone acetyltransferase p300/CBP reduces the glomerular expression of extracellular matrix proteins collagen IV, fibronectin, and laminin in diabetic mice. ( A , C , E ) Quantification of fluorescence immunolabeling for glomerular collagen IV/COL4A, fibronectin/FN, and laminin/LM. ( B , D , F ) Representative immunofluorescence (IF) microscopy images taken at 40× magnification depicting the IF staining (red) for COL4A, FN, and LM. Sections were counterstained with the DAPI stain (blue) to detect the cell nuclei in the specimens. n = 18–23/condition quantified glomeruli, *** p < 0.001, p -values taken in relation to non-diabetic + vehicle condition; # p < 0.05, ### p < 0.001, p -values taken in relation to diabetic + vehicle condition.
4. Discussion
The importance of the complex functional networking among oxidative stress, inflammation, and fibrosis in diabetes-induced renal disorders cannot be overemphasized. Over the past two decades, multiple molecular triggers and signalling pathways of glomerular capillary dysfunction contributing to kidney failure have been determined [ 1 , 2 , 3 ]. Yet, despite the significant advances in clinical and experimental research in diabetes and its complications, the diagnosis and effective treatment of DKD remains challenging [ 4 , 5 , 6 , 7 , 8 ]. Noteworthy, due to the metabolic memory in diabetes (an emergent and rapidly evolving epigenetic-related mechanistic concept) and in spite of the therapeutic control of hyperglycaemia, diabetes pathological long-lasting effects persist and continue to promote systemic cellular detrimental effects [ 44 , 45 , 46 , 47 ]. Consequently, in order to efficiently counteract/attenuate the diabetes-accelerated renal failure, other intrinsic glomerular cell-specific signalling pathways should be considered for drug targeting.
Emerging evidence demonstrates that the diabetes-associated histone acetylation-based epigenetic alterations induce specific transcriptomic instructions in the aorta of mice that regulate important pathological aspects of diabetes-related vascular disorders, including inflammation and oxidative stress [ 30 ]. To further uncover potential culprit epigenetic-based pathways underlying renal damage in DKD, we design experiments to find out whether the transcriptional co-activator p300/CBP is mechanistically implicated in the process of oxidative stress, inflammation, and fibrosis in the kidney of diabetic mice.
The novel findings generated by this study on the diabetic kidney disease are: (i) pharmacological inhibition of p300/CBP reduces the level of H3K27ac, an epigenetic mark of active gene expression; (ii) histone acetyltransferase p300/CBP mediates the diabetes-induced mRNA and protein level of Nox subtypes; (iii) blockade of p300/CBP suppresses diabetes-induced glomerular ROS production in situ; (iv) pharmacological inhibition of p300/CBP reduces the transcript levels of pro-inflammatory (MCP-1, TNFα, NOS2, ICAM-1, VCAM-1, E-selectin) and pro-fibrotic molecules (collagen IV, fibronectin, laminin); (v) blockade of p300/CBP reduces the activity of NF-kB and STAT pro-inflammatory transcription factors in vitro; (vi) diabetes-activated p300/CBP-related signalling pathways induce glomerular hypertrophy and an enhanced level of ECM proteins, key pathological features of mesangial expansion leading to kidney failure in diabetes.
Previous comprehensive studies demonstrated that renal Nox subtypes are up-regulated in the human and STZ-induced diabetic mice, a clinically relevant experimental model of DKD and that pharmacological targeting or genetic manipulation of the expression of different Nox subtypes reduces oxidative stress-mediated renal injury in diabetes [
15
,
16
]. Yet, other than direct targeting of individual Nox subtype function, reducing the up-regulated Nox expression and the ensuing oxidative stress as well as down-regulating the expression of proinflammatory and profibrotic molecules by selective pharmacological targeting of common up-stream regulators may represent attractive therapeutic strategies in reducing the burden of DKD.
Pharmacological blockade of p300/CBP co-transcriptional activator emerged as a potential way to intervene in several human malignancies [
34
,
48
]; however, its possible role in DKD is yet to be determined. Evidence indicates that in addition to histone acetylation-induced chromatin relaxation, p300 activates the function of the NF-kB proinflammatory transcription factor, and consequently may induce the expression of a large number of genes potentially contributing to multiple pathological aspects of CVD such as inflammation and Nox-derived excessive production of ROS [
29
,
37
]. Thus, complex co-operative mechanisms involving epigenetic changes in chromatin conformation and lysine-acetylation of transcription factors are likely to be involved in p300-mediated gene transcription.
Our experiments were intended to uncover new mechanisms responsible for the diabetes-induced renal disease such as the role of p300/CBP in mediating renal oxidative stress, inflammation, and fibrosis. To this purpose, we employed C646, a reversible, cell-permeable pyrazolone-based inhibitor that competes with acetyl-CoA for the histone acetyltransferase p300/CBP-containing Lys-CoA binding pocket. In addition, in accordance with the manufacturer’s specifications (Calbiochem), C646 exhibits high selectivity for p300/CBP activity and less inhibitory effects against other HAT subtypes including aralkylamine
N
-acetyltransferase, p300/CBP-associated factor (PCAF), GCN5, Rtt109, Sas, and MOZ histone acetyltransferases.
Apart from beneficial effects demonstrated in different experimental models of cancer [
49
], it has been increasingly shown that pharmacological targeting of the up-regulated p300/CBP activity with C646 inhibitor represents a promising way to intervene in the progression of metabolic and cardiovascular disorders. Reportedly, C646 reduced skeletal muscle atrophy in
db/db
mice, an experimental model of type 2 diabetes [
50
]. In addition, C646-mediated blockade of p300 improved coronary flow in an experimental model of heart failure [
33
] and reduced cardiac fibrosis in hypertensive mice [
51
].
Considering the fact that the level of H3K27ac was found significantly elevated in diabetic kidneys, indicative of p300/CBP overactivity, the diabetic mice were subjected to C646 treatment in order to attenuate the p300/CBP-induced renal epigenomic alterations and transcription factor activation potentially contributing to up-regulation of pro-oxidant, pro-inflammatory, and profibrotic genes in response to diabetic insults. Noteworthy, whole-kidney analysis revealed that C646-induced pharmacological inhibition of p300/CBP suppresses the up-regulation of global histone acetylation level, namely, H3K27ac, an epigenetic mark of active gene expression, indicating the implication of p300/CBP in mediating these effects.
Previously, we reported that under pro-inflammatory conditions, p300/CBP mediates the up-regulation of Nox1, Nox2, Nox4, and Nox5 expression in cultured human macrophages [
29
]. In addition, we demonstrated that the p300 protein physically interacts with Nox1-5 gene promoters at the sites of active transcription and that a high concentration of glucose induces H3K27ac enrichment at the level of Nox1, Nox4, and Nox5 gene promoters correlated with the up-regulation of both mRNA and protein levels in cultured human aortic smooth muscle cells [
30
]. Considering the fact that p300/CBP mediates the induction of Nox expression in response to pro-inflammatory or diabetic factors, we hypothesized that p300/CBP could become an additional therapeutic target in DKD to attenuate oxidative stress-induced kidney damage.
Whole renal tissue gene and protein expression analysis revealed that p300/CBP-activated signalling pathways contribute to the overall up-regulation of Nox1, Nox2, and Nox4 mRNA expression and protein levels in the diabetic kidney. Consistent with these findings, pharmacological blockade of p300/CBP suppressed the diabetes-induced glomerular ROS production in situ. Regarding the functional significance of Nox subtypes up-regulation, in a previous comprehensive study, it was demonstrated that the induction of Nox4 rather than Nox1 or Nox2 is implicated in ROS overproduction and oxidative stress-induced kidney failure [ 15 ]. Our data are in good agreement and extend this study, and further demonstrate that Nox4, rather than Nox1 and Nox2 subtypes is abundantly expressed in the mouse glomeruli. Yet, as revealed by several in vitro and in vivo studies, the expression of all Nox subtypes and the ensuing ROS overproduction are induced in various cell types in the kidney (i.e., endothelial cells, mesangial cells, podocytes) in response to diabetic conditions by molecular mechanisms that broadly implicate the activation of pro-inflammatory signalling pathways [ 52 , 53 , 54 , 55 , 56 ]. Consistent with this evidence, it was recently demonstrated that ROS overproduction driven by both Nox1 and Nox2 contribute to oxidative stress and kidney injury in diabetic mice [ 18 ]. Collectively, the data of our study suggest that the activation of p300/CBP in response to diabetic conditions induces oxidative stress in the kidney via multiple, Nox subtype-dependent, excessive production of ROS. Moreover, pharmacological blockade of p300/CBP significantly reduced the diabetes-associated inflammatory response in the kidney, as demonstrated by the knock-down effects on MCP-1, TNFα, NOS2, ICAM-1, VCAM-1, and E-selectin transcript levels. We also found that in addition to NF-kB, the function of STAT pro-inflammatory transcription factors is reduced in response to p300/CBP inhibition. Noteworthy, NF-kB and STAT are important transcriptional regulators of Nox expression, a condition that may partially explain the down-regulatory effects of p300/CBP pharmacological blockade on Nox1, Nox2, and Nox4 gene expression and protein levels in the diabetic mice kidney [ 42 , 43 ]. This evidence further supports and expands the potential role of p300/CBP as a key modulator of both oxidative stress- and inflammation-related gene expression levels in DKD.
Glomerular hypertrophy generally caused by mesangial cell proliferation and accumulation of ECM proteins is a reliable index of mesangial expansion and subsequent glomerulosclerosis, the main structural abnormality inducing kidney failure in diabetes [ 1 , 2 , 3 ]. Evidence exists that ROS overproduction, typically generated by activated Nox, and excess production of inflammatory mediators are involved in the mesangial cell phenotypic alterations and increased synthesis of matrix proteins [ 14 ]. We provide evidence that in the diabetic kidney, glomeruli enlargement correlates with increased expression of collagen IV, fibronectin, and laminin at both mRNA and protein levels. Importantly, pharmacological inhibition of p300/CBP significantly reduced the diabetes-associated glomerular enlargement and the expression of profibrotic markers of mesangial expansion. Our data are in good agreement and extend a previous study demonstrating that p300/CBP mediates the function of TGFβ1, an important profibrotic factor in mesangial cells [ 57 ].
There is evidence that HDAC-dependent epigenetic mechanisms are functionally involved in multiple pathological aspects linked to DKD. It was demonstrated that pharmacological inhibition of HDAC attenuates renal oxidative stress, inflammation, and fibrosis, and improves kidney function in experimental diabetes [ 58 , 59 , 60 , 61 , 62 , 63 ]. In line with these studies, we have previously reported that HDAC-related signalling pathways mediate the up-regulation of vascular Nox expression and markers of oxidative stress both in vitro and in vivo experimental models of diabetes [ 30 ]. Interestingly, the pan-HDAC inhibitor trichostatin A activates the ubiquitin-proteasome pathway to induce p300 protein degradation, thus preventing the formation of transcriptional activation complexes [ 64 ]. In sum, these findings could explain the occurrence of similar pharmacological effects driven by HAT or HDAC inhibitors; considering the fact that these enzymatic systems have opposite biochemical functions.
5. Conclusions
In conclusion, we provide here evidence that, in the diabetic kidney, the activation of histone acetyltransferase p300/CBP enhances ROS production (most probable generated by the up-regulated Nox), inflammation, and the production of extracellular matrix proteins. Based on the fact that p300/CBP is an important co-transcriptional activator regulating the expression of a wide range of pro-oxidant, pro-inflammatory, and pro-fibrotic genes, we postulate that pharmacological targeting of p300/CBP could become a promising supportive therapeutic option in DKD. Further preclinical and clinical studies should address the relevance of p300/CBP in the pathophysiological context of human DKD in order to translate these findings to human pathology.
Supplementary Materials
The following supporting material is available online at https://www.mdpi.com/article/10.3390/antiox10091356/s1 , Table S1: Sequences and GenBank ® accession number of oligonucleotide primers used in real-time PCR assays.
Author Contributions
Conceptualization, A.M. and S.-A.M.; methodology, A.-G.L., M.-L.V., A.M. and S.-A.M.; data curation and analysis, A.-G.L., M.-L.V., A.M. and S.-A.M.; manuscript writing and revision, A.-G.L., A.M., M.S. and S.-A.M.; funding acquisition, A.M., M.S. and S.-A.M.; supervision, S.-A.M. All authors have read and agreed to the published version of the manuscript.
Funding
Work supported by grants from the Romanian National Authority for Scientific Research and Innovation, UEFISCDI [PN-III-P2-2.1-PED-2019-2512 (Contract number 265PED/2020), PN-III-P2-2.1-PED-2019-2497 (Contract number 342PED/2020), PN-III-P4-ID-PCE-2016-0665 (Contract number PCE69/2017), PN-III-P4-ID-PCE-2020-1898 (Contract number PCE81/2021)] and the Romanian Academy.
Institutional Review Board Statement
The animal studies were carried out in accordance with the guidelines of EU Directive 2010/63/EU and the animal experimental protocols were approved by the Institutional Animal Ethic Committee of the Institute of Cellular Biology and Pathology “Nicolae Simionescu” (#11/29.06.2016, #384/09.02.2018, #6/07.04.2021).
Informed Consent Statement
Not applicable.
Data Availability Statement
Data is contained within the article or Supplementary Material.
Acknowledgments
The authors are indebted to Nae Sanda and Constanta Stan for the helpful technical assistance.
Conflicts of Interest
The authors declare they have no conflict of interest.
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Figure 1. ( A ) Schematic depiction of the experimental set-up to induce diabetes in C57BL/6J mice and the duration of C646/vehicle administration to mice. ( B , C ) Plasma glucose levels and body weights were assessed for each animal group at the end of the treatment procedure. n = 5–7, *** p < 0.001. p -values were taken in relation to non-diabetic + vehicle condition.
Figure 2. Pharmacological inhibition of histone acetyltransferase p300/CBP suppresses the up-regulation of H3K27ac level in the kidney of diabetic mice. n = 3–4, * p < 0.05, p -value taken in relation to non-diabetic + vehicle condition; ## p < 0.01, p -value taken in relation to diabetic + vehicle condition. ( A , B ) Densitometric analysis of the Western blot data showing the modulation of overall renal H3K27ac and H3 protein expression levels in each animal group. ( C , D ) Representative immunoblots depicting the relative expression levels of H3K27ac and H3 in the whole kidney protein extracts.
Figure 3. Histone acetyltransferase p300/CBP mediates the up-regulation of Nox expression in the kidney of diabetic mice. ( A – C ) Quantitative real-time PCR analysis indicating the suppressive effects of p300/CBP blockade on diabetes-induced enhanced mRNA levels of Nox1, Nox2, and Nox4 subtypes. ( D – F ) Densitometric analysis of the Western blot data showing the relative expression levels of Nox1, Nox2, and Nox4 proteins in each experimental condition. ( G – I ) Representative immunoblots depicting the modulation of Nox proteins expression. n = 3–4, * p < 0.05, ** p < 0.01, *** p < 0.001, p -values taken in relation to non-diabetic + vehicle condition; # p < 0.05, ## p < 0.01, p -values taken in relation to diabetic + vehicle condition.
Figure 4. Pharmacological inhibition of histone acetyltransferase p300/CBP by C646 mitigates the glomerular expression of Nox subtypes in diabetic mice. ( A , C , E ) Quantification of fluorescence immunolabeling for glomerular Nox1, Nox2, and Nox4 subtypes. ( B , D , F ) Representative IF microscopy images taken at 40× magnification depicting the immunofluorescence staining (red) for Nox subtypes. Sections were counterstained with DAPI (blue) stain to detect the cell nuclei in the specimens. Note that the up-regulation of glomerular Nox1, Nox2, and Nox4 protein levels in diabetic mice is blunted following C646 treatment. n = 14–19/condition quantified glomeruli, *** p < 0.001, p -values taken in relation to non-diabetic + vehicle condition; ### p < 0.001, p -values taken in relation to diabetic + vehicle condition.
Figure 5. Histone acetyltransferase p300/CBP-dependent induction of in situ glomerular production of ROS in diabetic mice. ( A ) Quantification of glomerular intensity of ROS-induced DHE specific fluorescence signal. ( B ) Representative fluorescence microscopy images (40× magnification) depicting the down-regulatory effects of p300/CBP pharmacological blockade on glomerular ROS formation. n = 17–21/condition quantified glomeruli, *** p < 0.001, p -values taken in relation to non-diabetic + vehicle condition; ### p < 0.001, p -values taken in relation to diabetic + vehicle condition.
Figure 6. Quantitative real-time PCR analysis indicating the down-regulatory effects of C646-induced p300/CBP inhibition on diabetes-induced augmented mRNA levels of ( A ) MCP-1, ( B ) TNFα, ( C ) NOS2, ( D ) ICAM-1, ( E ) VCAM-1, ( F ) E-selectin, ( G ) collagen IV/COL4A, ( H ) fibronectin/FN, and ( I ) laminin/LM. n = 3–4, *** p < 0.001, p -values taken in relation to vehicle-treated non-diabetic mice condition; ## p < 0.01, ### p < 0.001, p -values taken in relation to vehicle-treated diabetic mice condition.
Figure 7. P300/CBP-dependent regulation of the luciferase level directed by the activation of ( A ) NF-kB, ( B ) C/EBP, ( C ) GAS, and ( D ) ISRE enhancer elements in HEK293 cells transfected with the corresponding transcription factor cis -reporter plasmids. n = 3–6, ** p < 0.01, *** p < 0.001, p -values taken in relation to vehicle (DMSO)-treated cells condition.
Figure 8. Long-term administration of C646 pharmacological inhibitor of p300/CBP prevents glomerular hypertrophy in diabetic mice. ( A ) Quantification of the relative glomerular area in each experimental animal group. ( B ) Representative hematoxylin-eosin phase-contrast microscopy images taken at 40× magnification depicting the staining of glomeruli. Note that C646 treatment of diabetic mice reduced significantly the relative glomerular hypertrophy to the level of control non-diabetic mice. n = 23/condition quantified glomeruli, *** p < 0.001, p -values taken in relation to non-diabetic + vehicle condition; ## p < 0.01, p -values taken in relation to diabetic + vehicle condition.
Figure 9. Blockade of histone acetyltransferase p300/CBP reduces the glomerular expression of extracellular matrix proteins collagen IV, fibronectin, and laminin in diabetic mice. ( A , C , E ) Quantification of fluorescence immunolabeling for glomerular collagen IV/COL4A, fibronectin/FN, and laminin/LM. ( B , D , F ) Representative immunofluorescence (IF) microscopy images taken at 40× magnification depicting the IF staining (red) for COL4A, FN, and LM. Sections were counterstained with the DAPI stain (blue) to detect the cell nuclei in the specimens. n = 18–23/condition quantified glomeruli, *** p < 0.001, p -values taken in relation to non-diabetic + vehicle condition; # p < 0.05, ### p < 0.001, p -values taken in relation to diabetic + vehicle condition.
Lazar A-G, Vlad M-L, Manea A, Simionescu M, Manea S-A. Activated Histone Acetyltransferase p300/CBP-Related Signalling Pathways Mediate Up-Regulation of NADPH Oxidase, Inflammation, and Fibrosis in Diabetic Kidney. Antioxidants. 2021; 10(9):1356.
https://doi.org/10.3390/antiox10091356
Lazar, Alexandra-Gela, Mihaela-Loredana Vlad, Adrian Manea, Maya Simionescu, and Simona-Adriana Manea. 2021. "Activated Histone Acetyltransferase p300/CBP-Related Signalling Pathways Mediate Up-Regulation of NADPH Oxidase, Inflammation, and Fibrosis in Diabetic Kidney" Antioxidants10, no. 9: 1356.
https://doi.org/10.3390/antiox10091356
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Privacy policy: https://www.tappx.com/en/privacy-policy/
Purposes (Consent): Store and/or access information on a device Select basic ads Select personalised ads Measure ad performance Develop and improve products
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Special Features: Use precise geolocation data
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Privacy policy: https://www.adition.com/en/privacy-platform
Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads Measure ad performance Apply market research to generate audience insights Develop and improve products
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Features: Match and combine offline data sources Link different devices Receive and use automatically-sent device characteristics for identification
Special Features: Use precise geolocation data
Your Consent: Consent expiry: 1 year Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies only Show details AcuityAds Inc. Legitimate Interest
Privacy policy: https://privacy.acuityads.com/corporate-privacy-policy.html
Purposes (Consent): Store and/or access information on a device Create a personalised ads profile Select personalised ads
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Privacy policy: https://www.addefend.com/en/privacy-policy/
Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads Measure ad performance
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Privacy policy: https://theadex.com/privacy-platform/
Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads Create a personalised content profile Select personalised content Measure ad performance Measure content performance Apply market research to generate audience insights Develop and improve products
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Features: Match and combine offline data sources Link different devices Receive and use automatically-sent device characteristics for identification
Your Consent: Consent expiry: 90 days Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies and others Show details Adform A/S Legitimate Interest
Privacy policy: https://site.adform.com/privacy-center/platform-privacy/product-and-services-privacy-policy/
Purposes (Consent): Store and/or access information on a device Create a personalised ads profile Select personalised ads
Purposes (Legitimate Interest): Select basic ads Measure ad performance Develop and improve products
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Features: Link different devices Receive and use automatically-sent device characteristics for identification
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Privacy policy: https://www.adition.com/en/privacy-platform
Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads Measure ad performance Apply market research to generate audience insights Develop and improve products
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Features: Match and combine offline data sources Link different devices Receive and use automatically-sent device characteristics for identification
Special Features: Use precise geolocation data
Your Consent: Consent expiry: 1 year Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies only Show details Adnami Aps Legitimate Interest
Privacy policy: https://www.adnami.io/privacy-policy-services
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Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
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Privacy policy: https://adnuntius.com/resources/privacy-policy/
Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads Measure ad performance
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Features: Receive and use automatically-sent device characteristics for identification
Special Features: Use precise geolocation data
Your Consent: Consent expiry: 6 years 295 days 12 hours 19 minutes 24 seconds Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies and others Show details adrule mobile GmbH
Privacy policy: https://www.adrule.net/de/datenschutz/
Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads Create a personalised content profile Select personalised content Measure ad performance Measure content performance
Special Features: Use precise geolocation data
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Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads Measure ad performance Apply market research to generate audience insights Develop and improve products
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Your Consent: Consent expiry: 1 year 30 days 17 hours 13 minutes 20 seconds Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies and others Show details Amobee Inc. Legitimate Interest
Privacy policy: https://www.amobee.com/trust/gdpr/
Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads
Purposes (Legitimate Interest): Measure ad performance Apply market research to generate audience insights Develop and improve products
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Features: Match and combine offline data sources Link different devices Receive and use automatically-sent device characteristics for identification
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Features: Match and combine offline data sources Link different devices Receive and use automatically-sent device characteristics for identification
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Privacy policy: https://www.adup-tech.com/privacy
Purposes (Consent): Store and/or access information on a device Create a personalised ads profile Select personalised ads
Purposes (Legitimate Interest): Select basic ads Measure ad performance Develop and improve products
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Features: Receive and use automatically-sent device characteristics for identification
Your Consent: Consent expiry: 1 year Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies and others Show details bam! interactive marketing GmbH
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Privacy policy: https://bannernow.com/privacy
Purposes (Consent): Store and/or access information on a device Select personalised ads
Purposes (Legitimate Interest): Select basic ads Measure ad performance
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Features: Receive and use automatically-sent device characteristics for identification
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Privacy policy: https://www.bcovery.com/politique-de-confidentialite.html
Purposes (Consent): Store and/or access information on a device Create a personalised ads profile Select personalised ads
Purposes (Legitimate Interest): Select basic ads Measure ad performance Measure content performance Develop and improve products
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Special Features: Use precise geolocation data
Your Consent: Tracking method: Cookies and others Show details Better Ads GmbH Legitimate Interest
Privacy policy: https://www.d3sv.net/privacy/
Purposes (Consent): Store and/or access information on a device Create a personalised ads profile Select personalised ads
Purposes (Legitimate Interest): Select basic ads Measure ad performance Develop and improve products
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Your Consent: Consent expiry: 60 days Tracking method: Cookies only Show details BIDSWITCH GmbH
Privacy policy: https://www.bidswitch.com/privacy-policy/
Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads Create a personalised content profile Select personalised content Measure ad performance Measure content performance Apply market research to generate audience insights Develop and improve products
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Features: Match and combine offline data sources Receive and use automatically-sent device characteristics for identification
Special Features: Use precise geolocation data
Your Consent: Consent expiry: 1 year Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies and others Show details Blis Global Limited
Privacy policy: https://blis.com/blis-privacy-policy-for-online-advertising-and-related-uses/
Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads Measure ad performance Apply market research to generate audience insights Develop and improve products
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Features: Match and combine offline data sources Link different devices Receive and use automatically-sent device characteristics for identification
Special Features: Use precise geolocation data
Your Consent: Consent expiry: 1 year 35 days Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies and others Show details Cloud Technologies S.A.
Privacy policy: https://www.cloudtechnologies.pl/en/internet-advertising-privacy-policy
Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads Create a personalised content profile Select personalised content Measure ad performance Measure content performance Apply market research to generate audience insights Develop and improve products
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Features: Match and combine offline data sources Link different devices Receive and use automatically-sent device characteristics for identification
Special Features: Use precise geolocation data
Your Consent: Consent expiry: 1 year Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies only Show details communicationAds GmbH & Co. KG Legitimate Interest
Privacy policy: https://www.communicationads.net/de-de/ueberuns/datenschutz/
Purposes (Consent): Store and/or access information on a device
Purposes (Legitimate Interest): Measure ad performance
Special Purposes: Ensure security, prevent fraud, and debug
Your Consent: Consent expiry: 90 days Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies and others Show details Confiant Inc.
Privacy policy: https://www.confiant.com/privacy
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Your Consent: Tracking method: Cookies only Show details Criteo SA
Privacy policy: https://www.criteo.com/privacy/
Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads Measure ad performance
Special Purposes: Ensure security, prevent fraud, and debug
Features: Match and combine offline data sources Link different devices Receive and use automatically-sent device characteristics for identification
Your Consent: Consent expiry: 1 year 25 days Tracking method: Cookies and others Show details dataXtrade GmbH
Privacy policy: https://dataxtrade.com/de/privacy.html
Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads Measure ad performance Measure content performance Apply market research to generate audience insights Develop and improve products
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Features: Match and combine offline data sources Receive and use automatically-sent device characteristics for identification
Special Features: Use precise geolocation data
Your Consent: Consent expiry: 1 year Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies and others Show details DEFINE MEDIA GMBH Legitimate Interest
Privacy policy: https://www.definemedia.de/datenschutz-conative/
Purposes (Consent): Store and/or access information on a device Select personalised ads
Purposes (Legitimate Interest): Select basic ads Measure ad performance Apply market research to generate audience insights Develop and improve products
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Your Consent: Tracking method: Cookies and others Show details Delta Projects AB Legitimate Interest
Privacy policy: https://deltaprojects.com/data-collection-policy
Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads
Purposes (Legitimate Interest): Measure ad performance Develop and improve products
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Special Features: Use precise geolocation data
Your Consent: Consent expiry: 1 year Tracking method: Cookies only Show details DoubleVerify Inc. Legitimate Interest
Privacy policy: https://doubleverify.com/privacy-notice/solutions-privacy-notice
Purposes (Legitimate Interest): Select basic ads Measure ad performance Develop and improve products
Special Purposes: Ensure security, prevent fraud, and debug Technically deliver ads or content
Your Consent: Tracking method: Cookies only Show details Dynata LLC
Privacy policy: https://www.dynataprivacy.com/
Purposes (Consent): Store and/or access information on a device Measure ad performance Apply market research to generate audience insights
Features: Match and combine offline data sources Link different devices
Your Consent: Consent expiry: 1 year Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies only Show details EASYmedia GmbH
Privacy policy: https://login.rtbmarket.com/gdpr
Purposes (Consent): Store and/or access information on a device Select basic ads Create a personalised ads profile Select personalised ads Create a personalised content profile Select personalised content Measure ad performance Measure content performance Apply market research to generate audience insights Develop and improve products
Features: Match and combine offline data sources Link different devices Receive and use automatically-sent device characteristics for identification
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Your Consent: Consent expiry: 1 year Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies only Show details Emerse Sverige AB Legitimate Interest
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Privacy policy: https://www.ogury.com/privacy-policy/
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Privacy policy: https://optimise-it.de/datenschutz
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Your Consent: Consent expiry: Session Tracking method: Cookies and others Show details Oracle Data Cloud - Moat
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Privacy policy: https://verve.com/dsp-cookies-privacy/
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Your Consent: Consent expiry: 1 year 30 days 10 hours Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies and others Show details Playhill Limited Legitimate Interest
Privacy policy: https://playhill.com/privacy
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Your Consent: Consent expiry: 90 days Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies and others Show details PubMatic, Inc Legitimate Interest
Privacy policy: https://pubmatic.com/legal/privacy/
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Your Consent: Consent expiry: 90 days Tracking method: Cookies and others Show details Pure Local Media GmbH
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Your Consent: Consent expiry: 300 days Tracking method: Cookies only Show details Readpeak Oy Legitimate Interest
Privacy policy: https://readpeak.com/privacy-policy/
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Your Consent: Consent expiry: 90 days Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies only Show details Reppublika Data Analytics and Technologies GmbH
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Your Consent: Consent expiry: 180 days Tracking method: Cookies and others Show details Roq.ad Inc.
Privacy policy: https://www.roq.ad/privacy-policy
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Your Consent: Consent expiry: 1 year Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies only Show details RTB House S.A.
Privacy policy: https://www.rtbhouse.com/privacy-center/services-privacy-policy/
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Privacy policy: https://www.salesforce.com/company/privacy/
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Your Consent: Consent expiry: 180 days Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies and others Show details Seeding Alliance GmbH Legitimate Interest
Privacy policy: https://seeding-alliance.de/datenschutz/
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Your Consent: Consent expiry: 180 days Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies only Show details Seedtag Advertising S.L
Privacy policy: https://www.seedtag.com/en/privacy-policy/
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Privacy policy: https://www.sharethrough.com/privacy-center/consumer-privacy-notice
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Your Consent: Consent expiry: 30 days Cookie expiry may be refreshed during the lifetime. Tracking method: Cookies and others Show details Showheroes SE Legitimate Interest
Privacy policy: https://showheroes.com/privacy-policy/
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Ten Unforgettable Web Memes | Arts & Culture| Smithsonian Magazine
Cats and failures highlight this list of the memes that have gone mainstream. Which ones did we miss?
ARTS & CULTURE
Ten Unforgettable Web Memes
Cats and failures highlight this list of the memes that have gone mainstream. Which ones did we miss?
Chuck Norris became an Internet sensation when late night host Conan O'Brien featured clips from "Walker, Texas Ranger" on his show. © Cannon / courtesy Everett Collection
Dancing Baby (1996)
(YouTube)
Before high-speed internet connections allowed the transfer of videos and large image files, animated GIFs (graphics interchange format) were how memes spread virally. The lithe dancing baby, alias Baby Cha Cha, was born in mid-1996 and its 10-second set of boogaloo moves became one of the earliest Internet sensations. Created by software publisher Kinetix, the silent animated GIF was re-imagined by some early web developers as a Rastafarian. Other web-savvy surfers designed a version of the baby tossing back a drink while others set the original animation to music. Television executives
took note
and incorporated the baby into the hit-1990s show “Ally McBeal” as a hallucinatory reminder that the title character’s biological clock was ticking—but to that driving
“ooga chacka”
beat from Blue Swede’s cover of “Hooked on a Feeling.” --
JR
Jump the Shark (1997)
(YouTube)
In a 1977 episode of
Happy Days
, Arthur “The Fonz” Fonzarelli strapped on a pair of water skis and went up a ramp to jump over a shark. A decade later, University of Michigan student and future radio personality Jon Hein and some of his friends began debating the point at which their favorite television programs began to decline in quality, deciding that the shark episode epitomized the point when all shows enter a downward spiral. In 1997, Hein launched the website
www.jumptheshark.com
where online readers were invited to continue that same conversation. Fred Fox, the writer of that episode posted a
passionate defense
of the scene, pointing out that the series had continued success for a few more seasons. But the term “jump the shark” was quickly popularized and evolved to describe events in music, politics and sports. In 2006, “jump the shark” was admitted into the
Oxford English Dictionary
. When
Indiana Jones and the Kingdom of the Crystal
hit theaters in 2008, a spin-off of the meme was coined, “nuking the fridge,” describing the moment when Jones implausibly survives an atomic blast by hiding in a refrigerator. --
JR
FAIL (2003)
(FAILBlog.org)
When you screw up on the Internet, there’s nothing quite like the entire world mocking you for it. As with many other memes, “fail”, or the recent derivative “#fail” designating its popularity on Twitter, comes from a poor translation of a Japanese video game. In this case, the 1998 Neo Geo video game
Blazing Star
read “YOU FAIL IT” when the game was over. From there, the meme took off as a
Photoshop activity
with enthusiasts pasting the word over any example of someone, anyone, doing something incorrectly. (Also see:
UR DOING IT WRONG
). For an instance where the mishaps have reached severe circumstances, there is the “epic fail.” The ubiquitous use of “fail” as a noun or one-word declarative statement is yet more proof that the Internet is the perfect home for schadenfreude, having enjoyment out of other people’s misfortune. --
BW
Flash mob (2003)
(Johannes Eisele / Reuters / Corbis)
The flash mob phenomenon, where a large group of people momentarily gathers in a public place to engage in a predetermined act of spontaneity, apparently began in 2003 when Bill Wasik, a senior editor at
Harper
’s magazine, organized the first event. Sending a mass email to friends and colleagues, he instructed them to meet at Macy’s where they were to go to a rug in the back of the store and tell the clerk they were part of a commune and in need of a
“love rug.”
The 200-person event generated a lot of online buzz and soon people all over the world were using the Internet to connect with others and organize their own flash mobs. The meme has since spread to other forms, including
pillow fights
(above) and
fake birthday parties
. The meme has even take a post-modern turn, where advertisers looking for a social buzz hire performers to fake a flash mob. In 2009, as a promotion for a new reality series, a Belgian TV station hired 200 dancers to
perform
the song “Do Re Mi” in an Antwerp train station. --
JR
Chuck Norris Facts (2004)
(© Cannon / courtesy Everett Collection)
After NBC bought Universal in early 2004, late night host Conan O’Brien realized he could play clips from “Walker, Texas Ranger” without having to pay royalties, since the show aired on the Universal-owned USA Network. The comedian would
pull a lever
near his desk, cuing one outlandish Chuck Norris clip after another. When you see Walker taste some dirt off the ground and announce that a plane had crashed in that spot, it seems like less of a cognitive leap to get to the “facts” about Chuck Norris’s super human. In 2005, Ian Spector, then a student at Brown University, created the first site devoted to
Chuck Norris facts
, and
others
have sprung up since. Some personal favorites among the facts include “Chuck Norris counted to infinity—twice” and “When the Boogeyman goes to sleep every night he checks his closet for Chuck Norris.” The actor and martial arts master is a good sport about it. “To say I’m surprised is an understatement. I take it as a compliment,” he told
Time
magazine in 2006. --
MG
LOLcat (2005)
(icanhascheezburger.com)
For some intangible reason, cats are at the center of many of the Internet’s virulent memes, with the LOLcat (pronounced el-oh-el-cat, loll-cat or lull-cat) as the most prominent. Around 2005, 4chan, the Internet message board responsible for many web memes, posted cat photos with captions using “kitty pidgin” instead of proper English. “Kitty pidgin,” or “lolspeak,” can best be described as a combination Internet slang and baby talk. The most famous LOLcat image is “Happy Cat” with the caption, “I can has cheezburger?” In 2007,
icanhazcheezburger.com
gave lolcats a home and more importantly, a platform for the meme to take off. In that same year, Ben Huh discovered the site and eventually purchased icanhazcheezburger.com with a group of investors for $2 million. The LOLcat inspired many other memes, including LOLpresident—featuring amusing photos of politicians—and LOLrus, using the walrus in place of the cat. --
RR
Boom Goes the Dynamite (2005)
(YouTube)
One night in March 2005, the sports anchor for Ball State University’s student-run newscast
NewsLink@9
called in sick, so freshman telecommunications major Brian Collins came out from behind the cameras to fill in. What Collins thought could be his big break quickly turned into an epic breakdown. The teleprompter operator, also new to the job, scrolled through the script too quickly for Collins to keep up. The bumbling sportscaster makes awkward pauses, exasperated sighs and desperate apologies as he attempts to string together some sentences. While attempting a play-by-play of a clip of the Indiana Pacers vs. New Jersey Nets game, he resorted to ad lib: “Later he gets the rebound. Passes to the man. He shoots. And boom goes the dynamite.” The phrase “boom goes the dynamite,” which Collins later admitted was a line he and his friends jokingly used while playing the video game
Mario Kart 64
,
went viral
when Collins’s segment was posted on
eBaumsworld.com
and then YouTube, where it has nearly six million views to date. The catchphrase has since been written into several TV shows and uttered by ESPN SportsCenter anchor Scott Van Pelt, Will Smith at the
2009 Academy Awards
and Stephen Colbert during one of his
“Sport Report” segments
. --
MG
Rickrolling (2007)
(Redferns / Getty Images)
All the hallmarks of a bad-1980s music video are there: Big hair, synthesized chords, bad dancing and desolate urban settings. But even then, no one really knows for sure why the Rick Astley video for “Never Gonna Give You Up” became such an internet sensation. To “rickroll,” is to send someone a link under the auspices that it is something more interesting, only to fool them into watching the music video. The genesis for the prank came from 4chan, where “duck rolling” was the term meant teasing a provocative headline with an image of a duck on wheels. From there, it evolved to a fake
Grand Theft Auto IV
trailer that linked to the Astley video. The meme could have “jumped the shark” when Astley was
given a spot
in 2008’s Macy’s Thanksgiving Day Parade, perhaps the antithesis of sites like 4chan, but the trick still has its moments. When the cache of Wikileaks documents was dumped in late 2010,
a spoof
of the official documents appeared with the lyrics to “Never Gonna Give You Up.” --
BW
Unrelatedly, check out theseadorable lion cub photos!
Three Wolf Moon (2008)
(Amazon.com)
On November 10, 2008, Rutgers University law student Brian Govern was searching Amazon.com for a book he needed for class, when the site suggested he might also like a
Three Wolf Moon T-shirt
. Feeling snarky, he posted a review: “This item has wolves on it which makes it intrinsically sweet and worth 5 starts by itself, but once I tried it on, that’s when the magic happened.” He spun a tale about how the shirt had an uncanny ability to attract women. Once Collegehumor.com and the content-sharing site Digg picked up the review six months later, it spawned commentary so creative (example: “You don’t put this shirt on your torso, you put it on your soul”) that the
New York Times
called it “a new shared literary art form.” Govern’s review inspired video parodies, one by a Brooklyn comedy troupe that sung the Amazon.com comments to the tune of
“Colors of the Wind,”
the theme song of Disney’s
Pocahontas
, and another that bills “Three Wolf Moon” as the next movie in the
Twilight series
. Dwight Schrute of the show “The Office” wore it in an episode, and, thanks to the
wonders of Photoshop
, so did Barack Obama and Steve Jobs. Let us not forget the satire’s “magical” selling power too. In May 2009, the shirt’s New Hampshire-based manufacturer, the Mountain, was selling more than 100 of the shirts an hour, up from a previous two to three a day, making it the number one seller on Amazon.com’s clothing section. It continues to rank in the top 100. --
MG
Keyboard Cat (2009)
(YouTube)
After you’ve plastered the word FAIL over an amusing photograph, the clear next step is take a video pratfall and append the “keyboard cat” to the end. In 1986, performance artist Charlie Schmidt videotaped his pet cat Fatso “playing” a silly ditty on a keyboard and dumped it onto
YouTube
in 2007. Brad O’Farrell discovered the video in February 2009, used it for a mashup of his own, starting the meme
“Play him off, keyboard cat.”
Its usage is similar to the premise of “The Gong Show” or the vaudevillian “giving the hook” cliché – end the audience’s (and performers’) misery with a final authoritative action. Since her virtuoso performance went viral, Fatso has played off
Stephen Colbert
,
Glenn Beck
,
Miss Teen South Carolina
, and other entertainment stars. --
BW
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Characterization of the Calcium‐Binding Contractile Protein Centrin from Tetraselmis striata (Pleurastrophyceae) | Request PDF
Request PDF | Characterization of the Calcium‐Binding Contractile Protein Centrin from Tetraselmis striata (Pleurastrophyceae) | Centrin is a major protein of the contactile striated flagellar roots of the green alga Tetraselmis striata. We present a newly modified procedure... | Find, read and cite all the research you need on ResearchGate
Characterization of the Calcium‐Binding Contractile Protein Centrin from Tetraselmis striata (Pleurastrophyceae)
May 1992
Journal of Eukaryotic Microbiology 39(3):385 - 391
DOI: 10.1111/j.1550-7408.1992.tb01468.x
Authors:
Mayo Clinic - Rochester
Abstract
Centrin is a major protein of the contactile striated flagellar roots of the green alga Tetraselmis striata. We present a newly modified procedure for the preparation of centrin in sufficient quantity and purity to allow for detailed biochemical characterization. We establish that centrin purified by differential solubility, followed by phenyl-Sepharose and DEAE-Sephacel chromatography is identical with the protein extracted directly from striated flagellar roots with regard to molecular weight, isoelectric point, and calcium-dependent behavior in SDS-PAGE. We also compare the biochemical properties of purified centrin with calmodulin isolated from Tetraselmis and calmodulin isolated from mammalian brain. Centrin can be fully distinguished from either algal or mammalian calmodulin on the basis of molecular weight, isoelectric point, calcium-dependent behavior in SDS-PAGE, proteolytic peptide maps, amino acid composition, ability to activate bovine brain phosphodiesterase, and reactivity with specific antibodies.
Focus on centrin in normal and altered human spermatozoa
Mar 2023
SYST BIOL REPROD MEC
Elena Moretti
Daria Noto
Roberta Corsaro
Giulia Collodel
This review provides details on the role of centrin in human spermatozoa and in various forms of male infertility. Centrin is a calcium (Ca2+)-binding phosphoprotein that is located in the centrioles - which are typical structures of the sperm connecting piece and play a key role in centrosome dynamics during sperm morphogenesis - as well as in zygotes and early embryos during spindle assembly. In humans, three different centrin genes encoding three isoforms have been discovered. Centrin 1, the only one expressed in spermatozoa, seems to be lost inside the oocyte after fertilization. The sperm connecting piece is characterized by the presence of numerous proteins including centrin, that deserves particular attention because, in humans, it is enriched during maturation of the centrioles. In normal sperm, centrin 1 is visible as two distinct spots in the head-tail junction; however, in some defective spermatozoa, centrin 1 distribution is altered. Centrin has been studied in humans and animal models. Its mutations may lead to several structural alterations, such as serious defects in the connective piece and, subsequently, fertilization failure or incomplete embryonic development. However, the effects of these abnormalities on male fertility have not been fully studied. Because the presence and the function of centrin in the sperm connecting piece appears important for reproductive success, additional studies are needed to bring medical benefits in resolving some cases of idiopathic infertility.
Basal bodies
Chapter
Jan 2023
Virginie Hamel
Paul Guichard
Masafumi Hirono
Recent advances on the piezoelectric, electrochemical, and optical biosensors for the detection of protozoan pathogens
Article
Oct 2022
TRAC-TREND ANAL CHEM
Mahsa Feiziazar
Mohammad Amini
Ali Jahanban-Esfahlan
Miguel de la Guardia
The important protozoan parasites including Plasmodium, Leishmania, Toxoplasma, Trypanosoma and Giardia have been proved as the main reason initiating and developing different types of disease in humans. Transmission of protozoa from one human to another human commonly occurs via various ways such as arthropod vector, person-to-person contact, water, food, or a bite of sand fly and mosquito. So, specific and fast detection has a crucial impact in the controlling of the disease. Conventional methods such as microscopic, immuno-detection and polymerase chain reaction (PCR) have main disadvantages, for example, low sensitivity and specific or very complex and expensive. Various biosensor technologies can have an important role in the quality of human life via their rapid detection, sensitivity and selective monitoring of protozoa disease. Also, biosensor devices can play a critical role in the assessment of the efficiency of new anti-parasite drugs. In this review, the conventional methods used in the diagnosis of protozoa parasites are briefly introduced and different types of nanomaterial-based biosensors designed between 2001 and 2020 to detect pathogenic protozoa parasites, that are associated with various human diseases, are also discussed in further detail. Considering that one of our goals was to investigate new biosensor methods for diagnosis, we tried to select studies mostly between 2010 and 2020.
The interplay of self-assembly and target binding in centrin 1 from Toxoplasma gondii
Full-text available
Jun 2021
Carolina Conter
Luca Bombardi
Marco Pedretti
Alessandra Astegno
Centrins are conserved calcium (Ca2+)-binding proteins typically associated with centrosomes that have been implicated in several biological processes. In Toxoplasma gondii, a parasite that causes toxoplasmosis, three centrin isoforms have been recognized. We have recently characterized the metal binding and structural features of isoform 1 (TgCEN1), demonstrating that it possesses properties consistent with a role as a Ca2+ sensor and displays a Ca2+-dependent tendency to self-assemble. Herein, we expanded our studies, focusing on the self-association and target binding properties of TgCEN1 by combining biophysical techniques including dynamic light scattering, isothermal titration calorimetry, nuclear magnetic resonance, circular dichroism, and fluorescence spectroscopy. We found that the self-assembly process of TgCEN1 depends on different physicochemical factors, including Ca2+ concentration, temperature, and protein concentration, and is mediated by both electrostatic and hydrophobic interactions. The process is completely abolished upon removal of the first 21-residues of the protein and is significantly reduced in the presence of a binding target peptide derived from the human XPC protein (P17-XPC). Titration of P17-XPC to the intact protein and isolated domains showed that TgCEN1 possesses two binding sites with distinct affinities and Ca2+ sensitivity; a high-affinity site in the C-lobe which may be constitutively bound to the peptide and a low-affinity site in the N-lobe which is active only upon Ca2+ stimulus. Overall, our results suggest a specific mechanism of TgCEN1 for Ca2+-modulated target binding and support a N-to-C self-assembly mode, in which the first 21-residues of one molecule likely interact with the C-lobe of the other.
SAC3B is a target of CML19, the centrin 2 of Arabidopsis thaliana
Dec 2019
BIOCHEM J
Marco Pedretti
Carolina Conter
Paola Dominici
Alessandra Astegno
Arabidopsis centrin 2, also known as calmodulin-like 19 (CML19), is a member of the EF-hand superfamily of calcium (Ca2+)-binding proteins. In addition to the notion that CML19 interacts with the nucleotide excision repair protein RAD4, CML19 was suggested to be a component of the transcription-mRNA export complex 2 (TREX-2) by interacting with SAC3B. However, the molecular determinants of this interaction have remained largely unknown. Herein, we identified a CML19-binding site within the C-terminus of SAC3B and characterized the binding properties of the corresponding 26-residue peptide (SAC3Bp), which exhibits the hydrophobic triad centrin-binding motif in a reversed orientation (I8W4W1). Using a combination of spectroscopic and calorimetric experiments, we shed light on the SAC3Bp-CML19 complex structure in solution. We demonstrated that the peptide interacts not only with Ca2+-saturated CML19, but also with apo-CML19 to form a protein-peptide complex with a 1:1 stoichiometry. Both interactions involve hydrophobic and electrostatic contributions and include the burial of Trp residues of SAC3Bp. However, the peptide likely assumes different conformations upon binding to apo-CML19 or Ca2+-CML19. Importantly, the peptide dramatically increases the affinity for Ca2+ of CML19, especially of the C-lobe, suggesting that in vivo the protein would be Ca2+-saturated and bound to SAC3B even at resting Ca2+-levels. Our results, providing direct evidence that Arabidopsis SAC3B is a CML19 target and proposing that CML19 can bind to SAC3B through its C-lobe independent of a Ca2+ stimulus, support a functional role for these proteins in TREX-2 complex and mRNA export.
Chapter 47 Centrin-Based Contractile Fibers: Chromatographic Purification of Centrin
Dec 1995
METHOD CELL BIOL
Andre T. Baron
Ramesh Errabolu
Jacquelyn Dinusson
Jeffrey Salisbury
Centrin is a component of an assortment of calcium-modulated cytoskeletal fiber systems found associated with flagellar basal apparatus, centrosomes, and mitotic spindle poles of eukaryotic cells. It is an acidic, low-molecular-weight, calcium-binding phosphoprotein that belongs to the EF-hand superfamily of calcium-binding proteins centrin-based systems include striated flagellar roots, transition zone fibers, fibrous bundles, and pericentriolar lattice. Centrin-based fibers play a role in anchoring the flagellar basal apparatus to the nucleus, in positioning of basal bodies and centrioles during the cell cycle, in severing microtubules at the time of flagellar excision, and in coiling the paraflagellar rod of transverse flagella. In this chapter is presented detailed methods for generating milligram quantities of pure centrin. These methods involve expression of a cDNA clone encoding Chlamydomonas centrin in Escherichia coli, and chromatographic purification of the expressed protein. The chromatographic method described works well for the purification of centrin from isolated Chlamydomonas flagella. The chapter discusses the construction of E. coli BL21 pT7-5Cen, induction and lysis of E. coli BL21 pT7-5Cen, phenyl-sepharose CLdB chromatography, superose-12 gel filtration chromatography, mono Q anion-exchange chromatography, and the troubleshooting methods. Problems encountered include inactive ampicillin, which may result in the selection and growth of bacteria that have lost the pT7-Zen plasmid; failure of transcription induction because of inactive Isopropylthio-β-glactoside (IPTG) or T7 promoter; induction of protein products that are larger or smaller than centrin because of improper bacterial transcription and/or translation; inefficient digestion of the bacterial cell wall with lysozyme; and inefficient binding of centrin to a fouled phenylsepharose column. To troubleshoot and assess the efficiency of the purification procedure, it is advised to prepare SDS-PAGE samples of E. coli BL21 pT7-5Cen before and after IPTG induction, whole-cell lysate following sonication, P1, S1, P2, S2, column voids, and column elution fractions.
Calmyonemin: Identification and distribution throughout thecell cycle in Entodinium bursa (ciliate)
Jan 1994
BIOL CELL
Bernard Viguès
Christine David
— The ciliature in most entodiniomorphid ciliates is restricted to the cell apex, forming ciliary crowns that can be rapidly retracted under stress conditions. In a previous study, calmyonemin, a 23 kDa analog of centrin, has been characterized from ciliated cortical zones in Eudiplodinium maggii; its localization in subkinetal myonemes, ie bundles of contractile filaments powering retraction of the ciliature, was demonstrated by immunoelectron microscopy (David and Vigues (1994) Cell Motil Cytoskeleton, 27, 169–179). Here we used immunofluorescence microscopy to determine the distribution of calmyonemin and its variations throughout the cell cycle in Entodinium bursa. Labelling of morphostatic cells with anti-calmyonemin antibody reveals immunoreactivity at the base of the ciliature, in circumciliary lips, around the cytoproct and in an endoplasmic array originating from the post-oral region and extending down to the posterior part of the cell. All arrays of calmyonemin from the parental cell remain unaffected during cell division except the endoplasmic array which undergoes a transient resorption followed by synchronous reassembly in the two future products of division. The assembly of subkinetal myonemes in the sub-equatorial zone is described in relation with the main features of oral morphogenesis previously revealed by others using silver impregnation techniques and light microscopy.
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Proteomic Analysis of the Balance between Survival and Cell Death Responses in Cisplatin-Mediated Ototoxicity
Jun 2008
Samson Jamesdaniel
Dalian Ding
Mohammad Habiby Kermany
Donald Coling
Cisplatin, a widely used anticancer drug, preferentially damages outer hair cells (OHCs) of the inner ear. In this study, an antibody microarray was used to identify early changes in protein expression in the rat cochlea induced by cisplatin. Only small changes in hearing thresholds (4−34 dB elevation) were detected two days after cisplatin treatment (12 mg/kg). OHC function, measured by otoacoustic emissions, was slightly depressed (10 dB), and little or no receptor cell loss was observed. However, cisplatin induced large changes in the expression of 19 proteins involved in apoptosis, cell survival, or progression through the cell cycle. Fifteen of the proteins are novel to the study of the inner ear. Immunoblotting confirmed increases in the levels of the pro-survival activating transcription factor 2 (ATF2), of pro-apoptotic serine-threonine protein kinase, receptor interacting protein, and a 70/75 kDa nitrotyrosine bearing doublet of unknown function. Anti-nitrotyrosine antibodies localized these oxidatively damaged proteins to the stereocilia of OHCs, the Golgi-centrosome region of Hensen’s cells, nuclei of outer pillar cells, and tunnel crossing fibers innervating OHCs. The results of this proteomic analysis reflect the commencement of ototoxic and cell survival responses before the observation of a significant functional or anatomical loss.Keywords: antibody microarray; cisplatin; cochlea; oxidative protein damage; protein tyrosine nitration
Roots1
May 2007
J EUKARYOT MICROBIOL
Jeffrey Salisbury
ABSTRACT Many unicellular eukaryotic organisms possess complex fiber systems that organize and anchor the flagellar basal apparatus in the cell [20, 24]. In 1978 we first published the observation that one of these fiber systems, the striated flagellar root of the quadriflagellate green alga Tetraselmis subcordiformis (=Platymonas subcordiformis), is a contractile organelle [31]. We subsequently found that striated flagellar roots are composed, in part, of the Ca2+-binding protein centrin [30]. Since that time, centrin has been found to be a ubiquitous component of the flagellar basal apparatus, basal bodies and centrioles, and centrosomes and mitotic spindle poles of eukaryotic cells (for general reviews see [28, 34]). While we have learned a great deal about centrin from other organisms, our earliest success in understanding the biology of centrin was in large part due to the extraordinary extent to which Tetraselmis cells have elaborated their centrin-based organelles. In this paper, I will return attention to several unanswered questions concerning Tetraselmis striated flagellar root behavior and I will suggest several new directions that students may wish to pursue in order to tease fresh insights from this fascinating organism.
Centrin in the photoreceptor cells of mammalian retinae
Jan 1995
CELL MOTIL CYTOSKEL
Uwe Wolfrum
Photoreceptor cells of vertebrate retinae are highly specialized ciliary cells. Their non-motile ciliated structure is restricted to the so-called connecting cilium at the joint between the light sensitive outer segment and the metabolically active inner segment. Extensive bidirectional intracellular transport between both segments is forced to occur through this tight connecting cilium. In the present study it is shown that the Ca2+-binding, phospho-protein centrin is present in mammalian retinae. Western blot and immunoprecipitation experiments reveal that anti-centrin antibodies react with purified photoreceptor cell fractions of retinae in bands at a molecular weight of 20 kDa, the molecular weight of centrins found in other cells. Indirect immunofluorescence analysis of cryosections through retinae of different mammalian species show that centrin is present only in centrosomes and basal bodies but also more extensively at the linkage between the inner and the outer segment of the photoreceptor cells. Immunocytological studies on isolated rod cells and immunoelectron microscopy clearly demonstrate a unique presence of centrin in the connecting cilium of photoreceptor cells. High molecular identity between centrins in lower eukaryotes and mammals indicates that centrin may play a role in cellular motility and/or in microtubule severing in the mammalian retina. © 1995 Wiley-Liss, Inc.
Centrins, A Novel Group Of Cat+-Binding Proteins In Vertebrate Photoreceptor Cells
Chapter
Full-text available
Jul 2011
Uwe Wolfrum
Andreas Gießl
Alexander Pulvermüller
Changes in the intracellular Ca2+-concentration affect the visual signal transduction cascade directly or more often indirectly through Ca2+-binding proteins. Here we review recent findings on centrins in photoreceptor cells of the mammalian retina. Centrins are
members of a highly conserved subgroup of the EF-hand super-family of Ca2tbinding proteins commonly associated with centrosome-related structures. In vertebrate photoreceptor cells, centrins are
also prominent components in the connecting cilium linking the light sensitive outer segment with the biosynthetically active
inner segment compartment. Recent findings demonstrate that Ca2+-activated centrin forms a complex with the visual G-protein transducin in photoreceptor cells. This Ca2+-dependent assembly of G-proteins with centrin is a novel aspect of the supply of signaling proteins in sensory cells, and
a potential link between molecular translocations and signal transduction in general.
The adhesive disc in the mobilid ciliate Trichodina pediculus: Evidence for centrin-related, calcium-sensitive filaments
Feb 2012
Bernard Viguès
Raghida Damaj
The adhesive disc is a highly complex apparatus that allows mobilid ciliates to attach to the tissues of a variety of aquatic invertebrates and vertebrates. The disc comprises concentric rings of rigid skeletal pieces interconnected by filamentous material. This study explored the biochemical properties of the filamentous disc material in the trichodinid Trichodina pediculus. Calcium sensitivity of this material was suggested in vitro by the appearance of transverse cross-striation along bundles of filaments following calcium shock, and complete solubilization of the filamentous material in the presence of EGTA. A 23-kDa immunoanalog of centrins was immunoprecipitated from the EGTA extract. The protein binds calcium as indicated by (45) Ca(2+) blot overlay and Ca(2+) -induced shifts in electrophoretic mobility. Using Ca(2+) /EGTA buffers, we demonstrated a direct relationship between extraction of the filaments and solubilization of the protein. Immunofluorescence and immunoelectron microscopy confirmed that the protein localized to the filamentous disc material and revealed cross-reactivity with the spasmoneme, which is the prototype of ion-sensitive, centrin-like contractile systems in ciliates. The possibility that the filamentous disc material may be a novel example of Ca(2+) -sensitive, centrin-based systems found in ciliates is discussed.
Centrin is a component of the pericentriolar lattice
Article
Feb 1992
Andre T Baron
Tammy M. Greenwood
Christopher Bazinet
Jeffrey Salisbury
Here, we use three polyclonal anticentrin antisera designated 08/28, 26/14-1, and 26/14-2 to further characterize the pericentriolar lattice of metazoan cells. All of these antibodies give an indistinguishable localization pattern that consists of a constellation of pericentrosomal spots. In QT6 cells these spots are few in number and closely associated with the centriolar region, whereas in PtK2 cells they are more numerous and distributed further from the point of microtubule focus. In mitotic cells, centrin is localized to the spindle poles and spindle apparatus. We demonstrate here that the pericentriolar lattice of PtK2 and QT6 cells is, in part, composed of proteins characterized by acidic pIs (4.4 to 5.4), low molecular mass (M(r) 18,500-21,000), and calcium-binding; these attributes and the immunoreactivity of these proteins to anticentrin antibodies indicate that they are centrin isoforms of metazoan cells. Finally, we confirm our earlier observation that PtK2 cells contain a centrin-related protein of M(r) 165,000; QT6 cells also contain centrin-related proteins (M(r) 64,000-165,000). We conclude that centrin is a component of the pericentriolar lattice of higher eukaryotic centrosomes.
Salisbury, J.L. Centrin, centrosomes, and mitotic spindle poles. Curr. Opin. Cell Biol. 7, 39-45
Mar 1995
CURR OPIN CELL BIOL
Jeffrey Salisbury
Centrin is a ubiquitous protein component of centrosomes and mitotic spindle poles. cDNA clones encoding centrin have been identified from vertebrate sources, and their sequences demonstrate that centrin is a highly conserved member of the EF-hand superfamily of calcium-binding proteins. Analysis of yeast and Chlamydomonas centrin mutants and experimental studies suggest that centrin has an essential role in the duplication of the centrosomes during the cell cycle, and in microtubule severing.
Calmyonemin: A 23 kDa analogue of algal centrin occurring in contractile myonemes ofEudiplodinium maggii (ciliate)
Feb 1994
Christine David
Bernard Viguès
Myonemes are bundles of thin filaments (3-6 nm in diameter) which mediate calcium-induced contraction of the whole or only parts of the cell body in a number of protists. In Eudiplodinium maggii, a rumen ciliate which lacks a uniform ciliation of the cell body, myonemes converge toward the bases of apical ciliary zones that can be retracted under stress conditions, entailing immobilization of the cell. An mAB (A69) has been produced that identifies a calcium-binding protein by immunoblot, immunoprecipitation experiments and specifically labels the myonemes in immunoelectron microscopy. Solubility properties, apparent molecular weight (23 kDa) and isoelectric point (4.9) of the myonemal protein, are similar to the values reported for the calcium-modulated contractile protein centrin. Western-blot analysis indicates that the 23 kDa protein cross-reacts antigenically with anti-centrin antibodies. In addition, the 23 kDa protein displays calcium-induced changes in both electrophoretic and chromatographic behaviour, and contains calcium-binding domains that conform to the EF-hand structure, as known for centrin. Based on these observations, we conclude that a calcium-binding protein with major similarities to centrin occurs in the myonemes of E. maggii. We postulate that this protein plays an essential role in myoneme-mediated retraction of the ciliature.
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Molecular cloning and evolutionary analysis of the calcium-modulated contractile protein, centrin, in green algae and land plants
Jan 1994
Debashish Bhattacharya
Jutta Steinkötter
Michael Melkonian
Centrin (= caltractin) is a ubiquitous, cytoskeletal protein which is a member of the EF-hand superfamily of calcium-binding proteins. A centrin-coding cDNA was isolated and characterized from the prasinophyte green alga Scherffelia dubia. Centrin PCR amplification primers were used to isolate partial, homologous cDNA sequences from the green algae Tetraselmis striata and Spermatozopsis similis. Annealing analyses suggested that centrin is a single-copy-coding region in T. striata and S. similis and other green algae studied. Centrin-coding regions from S. dubia, S. similis and T. striata encode four colinear EF-hand domains which putatively bind calcium. Phylogenetic analyses, including homologous sequences from Chlamydomonas reinhardtii and the land plant Atriplex nummularia, demonstrate that the domains of centrins are congruent and arose from the two-fold duplication of an ancestral EF hand with Domains 1+3 and Domains 2+4 clustering. The domains of centrins are also congruent with those of calmodulins demonstrating that, like calmodulin, centrin is an ancient protein which arose within the ancestor of all eukaryotes via gene duplication. Phylogenetic relationships inferred from centrin-coding region comparisons mirror results of small subunit ribosomal RNA sequence analyses suggesting that centrin-coding regions are useful evolutionary markers within the green algae.
Centrins, a novel group of Ca2+-binding proteins in vertebrate photoreceptor cells
ADV EXP MED BIOL
Uwe Wolfrum
Andreas Gießl
Alexander Pulvermüller
Changes in the intracellular Ca2+-concentration affect the visual signal transduction cascade directly or more often indirectly through Ca2+-binding proteins. Here we review recent findings on centrins in photoreceptor cells of the mammalian retina. Centrins are members of a highly conserved subgroup of the EF-hand superfamily of Ca2+-binding proteins commonly associated with centrosome-related structures. In vertebrate photoreceptor cells, centrins are also prominent components in the connecting cilium linking the light sensitive outer segment with the biosynthetically active inner segment compartment. Recent findings demonstrate that Ca2+-activated centrin forms a complex with the visual G-protein transducin in photoreceptor cells. This Ca2+-dependent assembly of G-proteins with centrin is a novel aspect of the supply of signaling proteins in sensory cells, and a potential link between molecular translocations and signal transduction in general.
Ca2+-dependent nuclear contraction in the heliozoon Actinophrys sol
Article
Dec 2005
CELL CALCIUM
Mikihiko Arikawa
Akira Saito
Gen Omura
Toshinobu Suzaki
Ca2+-dependent contractility was found to exist in the nucleus of the heliozoon protozoan Actinophrys sol. Upon addition of Ca2+ ([Ca2+]free = 2.0 x 10(-3) M), diameters of isolated and detergent-extracted nuclei became reduced from 16.5+/-1.7 microm to 11.0+/-1.3 microm. The threshold level of [Ca2+]free for the nuclear contraction was 2.9 x 10(-7) M. The nuclear contraction was not induced by Mg2+, and was not inhibited by colchicine or cytochalasin B. Contracted nuclei became expanded when Ca2+ was removed by EGTA; thus cycles of contraction and expansion could be repeated many times by alternating addition of Ca2+ and EGTA. The Ca2+-dependent nuclear contractility remained even after high salt treatment, suggesting a possible involvement of nucleoskeletal components in the nuclear contraction. Electron microscopy showed that, in the relaxed state, filamentous structures were observed to spread in the nucleus to form a network. After addition of Ca2+, they became aggregated and constructed a mass of thicker filaments, followed by re-distribution of the filaments spread around inside of the nucleus when Ca2+ was removed. These results suggest that the nuclear contraction is induced by Ca2+-dependent transformation of the filamentous structures in the nucleus.
Ca 2+ -dependent in vitro contractility of a precipitate isolated from an extract of the heliozoon Actinophrys sol
Mikihiko Arikawa
Akira Saito
Gen Omura
Toshinobu Suzaki
Contraction of axopodia in actinophrid heliozoons (protozoa) is induced by a unique contractile structure, the "contractile tubules structure (CTS)". We have previously shown that a cell homogenate of the heliozoon Actinophrys sol yields a precipitate on addition of Ca2+ that is mainly composed of filamentous structures morphologically identical to the CTS. In this study, to further characterize the nature of the CTS in vitro, biochemical and physiological properties of the precipitate were examined. SDS-PAGE analysis showed that the Ca2+-induced precipitate was composed of many proteins, and that no proteins in the precipitate showed any detectable changes in electrophoretic mobility on addition of Ca2+. Addition of extraneous proteins such as bovine serum albumin to the cell homogenate resulted in cosedimentation of the proteins with the Ca2+-induced precipitate, suggesting that the CTS has a high affinity for other proteins that are not related to precipitate formation. Appearance and disappearance of the precipitate were repeatedly induced by alternating addition of Ca2+ and EGTA, and its protein composition remained unchanged even after repeated cycles. When adhered to a glass surface, the precipitate showed Ca2+-dependent contractility with a threshold of 10-100 nM, and this contractility was not inhibited by colchicine or cytochalasin B. The precipitate repeatedly contracted and relaxed with successive addition and removal of Ca2+, indicating that the contraction was controlled by Ca2+ alone with no need for any other energy supply. From our characterization of the precipitate, we concluded that its Ca2+-dependent formation and contraction are associated with the unique contractile organelle, the "contractile tubules structure".
Metal-Binding Properties of Human Centrin-2 Determined by Micro-Electrospray Ionization Mass Spectrometry and UV Spectroscopy
Sep 2006
Theodore Craig
Linda M Benson
H Robert Bergen
Rajiv Kumar
We analyzed the metal-binding properties of human centrin-2 (HsCen-2) and followed the changes in HsCen-2 structure upon metal-binding using micro-electrospray ionization mass spectrometry (muESI-MS). Apo-HsCen-2 is mostly monomeric. The ESI spectra of HsCen-2 show two charge-state distributions, representing two conformations of the protein. HsCen-2 binds four moles calcium/mol protein: one mol of calcium with high affinity, one additional mol of calcium with lower affinity, and two moles of calcium at low affinity sites. HsCen-2 binds four moles of magnesium/mol protein. The conformation giving the lower charge-state HsCen-2 by ESI, binds calcium and magnesium more readily than does the higher charge-state HsCen-2. Both conformations of HsCen-2 bind calcium more readily than magnesium. Calcium was more effective in displacing magnesium bound to HsCen-2 than vice versa. Binding of a peptide from a known binding partner, the xeroderma pigmentosum complementation group protein C (XPC), to apo-HsCen-2, occurs in the presence or the absence of calcium. Near and far-UV CD spectra of HsCen-2 show little difference with addition of calcium or magnesium. Minor changes in secondary structure are noted. Melting curves derived from temperature dependence of molar ellipticity at 222 nm for HsCen-2 show that calcium increases protein stability whereas magnesium does not. Delta 25 HsCen-2 behaves similarly to HsCen-2. We conclude that HsCen-2 binds calcium and magnesium and that calcium modulates HsCen-2 structure and function by increasing its stability without undergoing significant changes in secondary or tertiary structure.
Peptide mapping by limited proteolysis in sodium dodecyl sulfate and analysis by gel electrophoresis
Jan 1976
Don Cleveland
S. G. Fischer
Marc W Kirschner
Ulrich K. Laemmli
A rapid and convenient method for peptide mapping of proteins has been developed. The technique, which is especially suitable for analysis of proteins that have been isolated from gels containg sodium dodecyl sulfate, involves partial enzymatic proteolysis in the presence of sodium dodecyl sulfate and analysis of the cleavage products by polyacrylamide gel electrophoresis. The pattern of peptide fragments produced is characteristic of the protein substrate and the proteolytic enzyme and is highly reproducible. Several common proteases have been used including chymotrypsin, Staphylococcus aureus protease, and papain.
Basal body reorientation mediated by a Ca2+-modulated contractile protein
Aug 1987
Geoffrey I Mcfadden
A rapid, Ca2+-dependent change in the angle between basal bodies (up to 180 degrees) is associated with light-induced reversal of swimming direction (the "photophobic" response) in a number of flagellated green algae. In isolated, detergent-extracted, reactivated flagellar apparatus complexes of Spermatozopsis similis, axonemal beat form conversion to the symmetrical/undulating flagellar pattern and basal body reorientation (from the antiparallel to the parallel configuration) are simultaneously induced at greater than or equal to 10(-7) M Ca2+. Basal body reorientation, however, is independent of flagellar beating since it is induced at greater than or equal to 10(-7) M Ca2+ when flagellar beating is inhibited (i.e., in the presence of 1 microM orthovanadate in reactivation solutions; in the absence of ATP or dithiothreitol in isolation and reactivation solutions), or when axonemes are mechanically removed from flagellar apparatuses. Although frequent axonemal beat form reversals were induced by varying the Ca2+ concentration, antiparallel basal body configuration could not be restored in isolated flagellar apparatuses. Observations of the photophobic response in vivo indicate that even though the flagella resume the asymmetric, breaststroke beat form 1-2 s after photostimulation, antiparallel basal body configuration is not restored until a few minutes later. Using an antibody generated against the 20-kD Ca2+-modulated contractile protein of striated flagellar roots of Tetraselmis striata (Salisbury, J. L., A. Baron, B. Surek, and M. Melkonian, 1984, J. Cell Biol., 99:962-970), we have found the distal connecting fiber of Spermatozopsis similis to be immunoreactive by indirect immunofluorescence and immunogold electron microscopy. Electrophoretic and immunoblot analysis indicates that the antigen of S. similis flagellar apparatuses consists, like the Tetraselmis protein, of two acidic isoforms of 20 kD. We conclude that the distal basal body connecting fiber is a contractile organelle and reorients basal bodies during the photophobic response in certain flagellated green algae.
A polyclonal antibody (anticentrin) distinguishes between two types of fibrous flagellar roots in green algae
Article
Feb 1988
Horst Robenek
Michael Melkonian
D. Schulze
Geoffrey I Mcfadden
The two main types of fibrous flagellar roots present in the flagellar apparatus of green algae (system I and system II fibers) are immunologically distinct as indicated by the localization of a Ca2+-modulated contractile protein (centrin) exclusively in one type (system II fibers) but not in the other type (system I fibers). A polyclonal antibody generated against the major protein of the striated flagellar roots (system II fibers) of the quadriflagellate green algaTetraselmis striata was used to localize centrin by immunofluorescence and pre- and postembedding immunogold electron microscopy in the flagellar apparatus ofSpermatozopsis similis, S. exsultans, Chlamydomonas reinhardtii, Dunaliella bioculata, Polytomella parva and gametes ofMonostroma grevillei andEnteromorpha sp. Whereas the antibody recognizes centrin in connecting fibers and system II fibers, no labeling occurs in system I fibers in all taxa investigated. This study presents the first evidence that system I fibers lack centrin and indicates that the two main types of fibrous flagellar roots in green algae are biochemically distinct.
High Resolution Two-Dimensional Electrophoresis of Proteins
Article
Jun 1975
Patrick H O'Farrell
A technique has been developed for the separation of proteins by two-dimensional polyacrylamide gel electrophoresis. Due to its resolution and sensitivity, this technique is a powerful tool for the analysis and detection of proteins from complex biological sources. Proteins are separated according to isoelectric point by isoelectric focusing in the first dimension, and according to molecular weight by sodium dodecyl sulfate electrophoresis in the second dimension. Since these two parameters are unrelated, it is possible to obtain an almost uniform distribution of protein spots across a two-diminsional gel. This technique has resolved 1100 different components from Escherichia coli and should be capable of resolving a maximum of 5000 proteins. A protein containing as little as one disintegration per min of either 14C or 35S can be detected by autoradiography. A protein which constitutes 10 minus 4 to 10 minus 5% of the total protein can be detected and quantified by autoradiography. The reproducibility of the separation is sufficient to permit each spot on one separation to be matched with a spot on a different separation. This technique provides a method for estimation (at the described sensitivities) of the number of proteins made by any biological system. This system can resolve proteins differing in a single charge and consequently can be used in the analysis of in vivo modifications resulting in a change in charge. Proteins whose charge is changed by missense mutations can be identified. A detailed description of the methods as well as the characteristics of this system are presented.
Amplification of repetitive DNA for the specific detection of Naegleria fowleri
| https://www.researchgate.net/publication/227896543_Characterization_of_the_Calcium-Binding_Contractile_Protein_Centrin_from_Tetraselmis_striata_Pleurastrophyceae |
Tony Kushner Responds to CUNY Board Decision [incl. Norman Finkelstein] :: Campus Watch
To Chairperson Benno Schmidt and the Board of Trustees: At the May 2 public meeting of the CUNY Board of Trustees, which was broadcast on CUNY television and radio, Trustee Jeffrey S. Weisenfeld delivered a grotesque caricature of my political beliefs
Tony Kushner Responds to CUNY Board Decision [incl. Norman Finkelstein]
To Chairperson Benno Schmidt and the Board of Trustees:
At the May 2 public meeting of the CUNY Board of Trustees, which was broadcast on CUNY television and radio, Trustee Jeffrey S. Weisenfeld delivered a grotesque caricature of my political beliefs regarding the state of Israel, concocted out of three carefully cropped, contextless quotes taken from interviews I've given, the mention of my name on the blog of someone with whom I have no connection whatsoever, and the fact that I serve on the advisory board of a political organization with which Mr. Weisenfeld strongly disagrees. As far as I'm able to conclude from the podcast of this meeting, Mr. Weisenfeld spoke for about four minutes, the first half of which was a devoted to a recounting of the politics of former President of Ireland and UN Human Rights High Commissioner Mary Robinson that was as false as his description of mine.
Ms. Robinson, however, was not on public trial; I was, apparently, and at the conclusion of Mr. Weisenfeld's vicious attack on me, eight members voted to approve all the honorary degree candidates, including me, and four voted to oppose the slate if my name remained on it. Lacking the requisite nine votes to approve the entire slate, the Board, in what sounds on the podcast like a scramble to dispense with the whole business, tabled my nomination, approved the other candidates, and adjourned. Not a word was spoken in my defense.
I wasn't told in advance that my willingness to accept an honorary doctorate from John Jay would require my presence at a meeting to defend myself. As far as I know, no one who might have spoken on my behalf was notified in advance. I'm not a difficult person to find, nor am I lacking in articulate colleagues and friends who would have responded. For all his posturing as a street-tough scrapper for causes he believes in, Mr. Weisenfeld, like most bullies, prefers an unfair fight.
But far more dismaying than Mr. Weisenfeld's diatribe is the silence of the other eleven board members. Did any of you feel that your responsibilities as trustees of an august institution of higher learning included even briefly discussing the appropriateness of Mr. Weisenfeld's using a public board meeting as a platform for deriding the political opinions of someone with whom he disagrees? Did none of you feel any responsibility towards me, whose name was before you, and hence available as a target for Mr. Weisenfeld's slander, entirely because I'd been nominated for an honor by the faculty and administration of one of your colleges?
I can't adequately describe my dismay at the fact that none of you felt stirred enough by ordinary fairness to demand of one of your members that, if he was going to mount a vicious attack, he ought to adhere to standards higher than those of internet gossip. Mr. Weisenfeld declared to you that, rather than turn to "pro-Israel" websites, he'd gleaned his insights into my politics from the website of Norman Finkelstein. I find it appalling that he failed to consider a third option: familiarizing himself with any of the work I've done, my plays, screenplays, essays and speeches, for which, I assume, the faculty and administration of John Jay nominated me for an honor.
It would have taken very little effort to learn that my politics regarding the state of Israel do not resemble Mr. Weisenfeld's account. I don't intend to mount a full defense of myself or my opinions in this letter, an effort on my part which an honorary degree ought not to require. But I can't allow myself to be publicly defamed without responding:
* My questions and reservations regarding the founding of the state of Israel are connected to my conviction, drawn from my reading of American history, that democratic government must be free of ethnic or religious affiliation, and that the solution to the problems of oppressed minorities are to be found in pluralist democracy and in legal instruments like the 14th Amendment; these solutions are, like all solutions, imperfect, but they seem to me more rational, and have had a far better record of success in terms of minorities being protected from majoritarian tyranny, than have national or tribal solutions. I am very proud of being Jewish, and discussing this issue publicly has been hard; but I believe in the absolute good of public debate, and I feel that silence on the part of Jews who have questions is injurious to the life of the Jewish people. My opinion about the wisdom of the creation of a Jewish state has never been expressed in any form without a strong statement of support for Israel's right to exist, and my ardent wish that it continue to do so, something Mr. Weisenfeld conveniently left out of his remarks.
* I believe that the historical record shows, incontrovertibly, that the forced removal of Palestinians from their homes as part of the creation of the state of Israel was ethnic cleansing, a conclusion I reached mainly by reading the work of Benny Morris, an acclaimed and conservative Israeli historian whose political opinions are much more in accord with Mr. Weisenfeld's than with mine; Mr. Morris differs from Mr. Weisenfeld in bringing to his examination of history a scholar's rigor, integrity, seriousness of purpose and commitment to telling the truth.
* I won't enter into arguments about Israeli policy towards the Palestinian people since 1948, about the security fence or the conduct of the IDF, except to say that my feelings and opinions - my outrage, my grief, my terror, my moments of despair - regarding the ongoing horror in the middle east, the brunt of which has been born by the Palestinian people, but which has also cost Israelis dearly and which endangers their existence, are shared by many Jews, in Israel, in the US and around the world.
* My despair is kept in check by my ongoing belief in and commitment to a negotiated conclusion to the Palestinian-Israeli crisis.
* I have never supported a boycott of the state of Israel. I don't believe it will accomplish anything positive in terms of resolving the crisis. I believe that the call for a boycott is predicated on an equation of this crisis with other situations, contemporary and historical, that is fundamentally false, the consequence of a failure of political understanding of a full and compassionate engagement with Jewish history and Jewish existence.
* I am on the advisory board of Jewish Voice for Peace, and have remained there even though I disagree with the organization about a number of issues, including the boycott. I remain affiliated because the women and men of JVP are courageous, committed people who work very hard serving the interests of peace and justice and the Jewish people, and I'm honored by my association with them. I have a capacity Mr. Weisenfeld lacks, namely the ability to tolerate and even value disagreement. Furthermore, resigning from the advisory board of JVP, or any organization, to escape the noisy censure of likes of Mr. Weisenfeld is repellent to me.
* Mr. Weisenfeld attempts to cast me as a marginal extremist, a familiar tactic on this particular issue. It's a matter of public record that this is not the case. I'm co-editor of a volume of essays on the crisis in the middle east, which includes among its 58 contributing authors many rabbis, two US Poet Laureates and two recipients of the Jerusalem Prize. I've had a long and happy affiliation with such organizations as the 92nd Street Y, The Jewish Museum and the Upper West Side JCC. My work has been recognized by such groups as The National Foundation for Jewish Culture, The Shofar Center, The Central Synagogue and Brandeis University (one of fifteen honorary degrees I've received). I state this not to present credentials, but because I refuse to allow Mr. Weisenfeld or any other self-appointed spokesman/guardian to diminish the depth or meaningfulness of my connection to the Jewish community.
I accepted the kind offer of a degree from John Jay College not because I need another award, but because I was impressed with the students and teachers there - as I have always been impressed with CUNY teachers and students - and I wanted to participate in celebrating their accomplishment. I did not expect to be publicly defamed as a result, and I believe I am owed an apology for the careless way in which my name and reputation were handled at your meeting.
I decided long ago that my job as a playwright is to try to speak and write honestly about what I believe to be true. I am interested in history and politics, and long ago I realized that people uninterested in a meaningful exchange of opinion and ideas would selectively appropriate my words to suit their purposes. It's been my experience that truth eventually triumphs over soundbites, spin and defamation, and that reason, honest inquiry, and courage, which are more appealing and more persuasive than demagoguery, will carry the day.
Sincerely,
Tony Kushner
| https://www.meforum.org/campus-watch/18997/tony-kushner-responds-to-cuny-board-decision-incl |
Call for Vote To Dissolve Meridian Library District Is Denied | Library Journal
After two days of hearings in Ada County, ID, on March 29 the Ada County Board of Commissioners decided against putting a question before local voters that could have potentially dissolved the Meridian Library District. The hearings, held on March 20 and March 22, were convened in response to petitions from a politically conservative local group, the Concerned Citizens of Meridian.
Call for Vote To Dissolve Meridian Library District Is Denied
After two days of hearings in Ada County, ID, on March 29 the Ada County Board of Commissioners decided against putting a question before local voters that could have potentially dissolved the Meridian Library District. The hearings, held on March 20 and March 22, were convened in response to petitions from a politically conservative local group, the Concerned Citizens of Meridian.
After two days of hearings in Ada County, ID, on March 29 the Ada County Board of Commissioners decided against putting a question before local voters that could have potentially dissolved the Meridian Library District (MLD).
The hearings, held on March 20 and March 22, were convened in response to petitions from a politically conservative local group, the Concerned Citizens of Meridian, which has been putting pressure on the library for the past year to restrict access to some of its books for children and young adults. Members of the public crammed the board room and another room where they could view a livestream for both hearings.
Support for the library was not the issue. Speakers on both sides expressed their approval of MLD, which serves one of the fastest-growing cities in Idaho. Last year more than 1 million items were checked out of the library, approximately 30,000 people attended events, and more than 700 programs were held. Rather, Concerned Citizens of Meridian felt that their pleas to the library board of trustees had fallen on deaf ears, giving it no recourse but to ask voters to dissolve the district.
Among other demands, the petition called on the county board of commissioners to appoint an interim board of trustees upon the district’s dissolution—which would not have been possible once the district didn’t exist. Even if the county had appointed new trustees, they would need to stand for election in May of the next odd-numbered year.
The petition also called for the newly formed board of trustees to reinstate public comment at board meetings. Idaho open meeting law does not require public comment, but it may be added to a meeting at the discretion of the board chair; the county commission does not have the authority to require it. The board of trustees removed public comment at the end of 2022 because meetings had become unruly.
However, the only item that would have been reflected on the ballot was a measure on whether to dissolve the district. In that case, under Idaho law, the commissioners would have had to sell all the district assets and it would cease to exist. Remaining funds would have been turned over to the county general.
The petition received more than 50 verified signatures, requiring the board of commissioners to hold a hearing. However, the board did not have the power on its own to dissolve the district, only the authority to put the question on the ballot.
“Only voters can create a library district and only voters can dissolve a library district,” Commissioner Rod Beck explained. “We also have no authority to reorganize the district. We cannot appoint new trustees, change bylaws, or anything else. The library district is a separate taxing district, and we have no oversight or control over it.”
“REESTABLISH OUR LIBRARY DISTRICT”
In April 2022, Concerned Citizens of Meridian providedthe library with a listof titles that it felt should be restricted. The reasons listed ranged from “LGBTQIA+ content” to “discussing gender identity and sex education” to promoting “anti-police views.” At least one of the books, the graphic novel Gender Queer, was in the library system’s adult section, said library board chair Megan Larsen during her testimony before the commission.
Library board meetings became contentious, said Larsen, and a police presence was required. The library board removed the public comment period from its agenda at the November 2022 meeting because of previous disturbances. “You have the right to object to an item, and you have the right to recommend a reconsideration of an item that you don’t like,” MLD Director Nick Grove said at the time. “You do not have the right to ban books or segregate access to books that you do not like.”
In February, Concerned Citizens of Meridian submitted the petition, which had garnered more than 90 signatures, to the Ada County Clerk's office. In a Facebook post, the group wrote that “having the petition [initiative] on the ballot will compel the Meridian Library District trustees to work with our group to come up with a simple solution to resolve the direct access, by minors, to sexually explicit material.”
Speaking on behalf of the Concerned Citizens of Meridian, town resident Michael Hon said the group’s number one priority was to protect children by putting the petition initiative on the ballot, giving “the people of Meridian, as part of the democratic process, [the option] to reestablish our library district. All we ask is that you put this decision in the hands of the voters.”
Rather than get rid of the library district, he said, the intention was to “reestablish this library through a democratic process with a trustee board that is in line with community standards.” If the petition initiative had succeeded, he said, the group would have immediately submitted a petition to reestablish the library district.
“The real problem lies with the trustee board and the library director,” Hon continued. “We have a stand-alone taxing district with a trustee board...that has no accountability to the city, county, or state.”
FIRST AMENDMENT AND PARENTAL CHOICE
One of the county commissioners, Ryan Davidson, asked Larsen why the library couldn’t use a rating system like those used for movies and comic books, “to keep adult materials out of the hands of children?”
In response, Larsen and the board referenced First Amendment principles and the right of parents to make choices for their own children, rather than the children of others. “Public libraries are governmental entities and are required to uphold the First Amendment freedom every American—even Americans under 18—enjoy,” she said. “We trustees take our constitutional duties very seriously and stand together in opposition to censorship, but in support of every family having the opportunity to make their own choices for materials.”
She also noted, “We know that the books with sexually related passages are just the beginning. They will continue to demand restrictions of any books that don't fit with their specific worldview and ideology.”
Apart from freedom to read principles, Larsen pointed out the logistical nightmare that would follow on the heels of a successful bid to dissolve the library, which she called a “convoluted, loopy scheme.”
The steps were outlined on Ada County’s website, which states that “Should a dissolution occur, all property and assets of the library district shall be disposed of by the Ada County Board of Commissioners. Any indebtedness must first be retired. Any remainder will be placed in the county general expense fund.” This would include the debt MLD took on in 2019, when Meridian voters gave the district the authority to levy $14 million to renovate, expand, and modernize libraries, including the renovation of the main branch on Cherry Lane. The district’s new Orchard Park branch opened on April 28.
If the Concerned Citizens feel the MLD trustees should be replaced, rather than dissolve the library system, Larsen noted, “they can follow the recall process.”
A CALL FOR COMPROMISE
In its March 29 order, despite concerns raised by the petitioners that “minor children had access to inappropriate material without parental permission,” the county board agreed that MLD “is unique, very popular, provides valuable services to the community, and that no one on either side wanted to see the District dissolved.”
It also ruled that “the time, cost, and uncertainty of dissolution, along with potential absence and reinstatement of a new library district, would be substantial to the public and not in its benefit.” Commissioner Rod Beck added there were 1,072 emails opposed to the dissolution, as opposed to 55 in favor.
At one of the public hearings, Beck pointed out that the Concerned Citizens of Meridian “said there's only a few books that they believe that children shouldn't have access to,” noting that the petitioners “suggested that if they could just make those books only available to a child with a parent’s consent, that they’d be happy.”
“A parent must consent to get their child a library card to begin with,” Larsen said. “We have lots of tools available to parents to monitor what their kids are checking out. They can receive an email every time a book is checked out by their child. They can log into their child's account and see what materials that child has checked out. Every item in our collection is on our catalogs. They can look up a book and see what it's about.”
“I see folks using the library very successfully with their kids or selecting their own materials, participating in programs, the library being that third place where the community can connect and come together,” Larsen told LJ. “To hear folks describing the library in these negative terms, it's surreal, because I’m there all the time and that is not the library that I experience.”
She and her fellow trustees were delighted by the outpouring of support from the community, she said. “It just reaffirmed our experience every day. The library is a beloved institution here in Meridian.”
If the commissioners had decided to put the measure on the ballot, Larsen added, she was confident that “the Meridian community would have just stepped forward and supported [MLD].”
She does, however, see libraries facing challenges from state legislation. Lance McGrath, president of the Idaho Library Association (ILA), mentioned several bills that could have impacted libraries were introduced this year. Lawmakers passed a House bill that would have allowed parents to sue libraries if staff gave their children “harmful” material or failed to take reasonable steps to restrict access to such material. The governor vetoed it, and the veto sustained a challenge vote in the House by one vote.
“We had a lot of turnover in our legislature this last year,” he told LJ. “The folks who gained seats tended to be those who were more extreme in their conservative or right-wing ideology than the traditional conservative Idaho Republicans.”
McGrath said a counter-bill written by ILA and allied organizations would have directed public schools and libraries to limit the potential for minors to access materials parents might determine to be age-inappropriate. It would require those institutions to put in place a process for parents to challenge library books during a public meeting. Parents who consent to their children having a library card would also acknowledge their responsibility for oversight of materials their children access.
“We wrote our own bill that would have codified best practices in librarianship as a countermeasure,” he said. “We kept hearing that what was wanted wasn’t a book ban. They wanted reasonable action to be taken to protect minors from the more challenging material that was intended for an older audience, so children wouldn't accidentally encounter it in libraries, and this would have codified that.”
However, “It died in committee,” he noted. “There was a committee hearing on it, and then there was a motion to adjourn, and it could not be debated.”
Meridian Library District Idaho censorship
| https://www.libraryjournal.com/story/management/call-for-vote-to-dissolve-meridian-library-district-is-denied?subpage=Advocacy%2CImpacts |
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