= e1.head\nand e2.head < e1.tail\n```\n\nNext, the subtree of all the descendants of a node could be found by just restricting the above view with a single table predicate\n\n```sql\nselect e2.ename from emp e1, emp e2\nwhere e2.head >= e1.head\nand e2.head < e1.tail\nand e1.ename = 'SCOTT'\n```\n\nThe ancestor path can be queried symmetrically\n\n```sql\nselect e1.ename from emp e1, emp e2\nwhere e2.head >= e1.head\nand e2.head < e1.tail\nand e2.ename = 'SCOTT'\n```\n\nThere is a subtle problem with the last query, however. Finding all the intervals that cover a given point is difficult. Although there are specialized indexing schemes like R-Tree, none of them is as universally accepted as B-Tree.\n\nCompare this to the descendants query, assuming that the subtree of $SCOTT$’s subordinates is small. The execution path in this case is very efficient: first, $e1$ record is fetched by the unique index, and then all the $e2$ records are fetched by index range scan.\n\nThe details of Nested Intervals encoding are developed in the next sections. The encoding is algorithmic. Given a child node label, the parent encoding can be calculated, not queried. Therefore, the whole path to the root node can be calculated. Hence, if we know tree node encodings for all nodes on the path then, the nodes themselves can be efficiently queried in the database.\n\n3 Interval Halving\n\nThe easiest way to nest intervals is splitting parent interval into two halves. If we start with the points 0 and 1 and continue on halving the intervals iteratively then, what kind of numbers on the interval boundaries would be produced? Clearly, the ones whose denominator is power of 2, or simply dyadic fractions [4].\n\n\n\nFig.1. Dyadic Fractions at Conway tree.\n\nWhen splitting the interval $[head, tail]$ into two, the point on the boundary is the average $(head+tail)/2$. Alternatively, we could have chosen the mediant:\n\n$$\\frac{head\\_numer + tail\\_numer}{head\\_denom + tail\\_denom}$$\n\nIf we start with the points 0 and 1 and continue on, then the Stern-Brocot tree of Farey fractions would be produced.\n\n\n\nFig.2. Farey fractions at Stern-Brocot tree.\n\nThe bijection between Dyadic and Stern-Brocot tree is defined by the following Minkowski Question Mark function $\\mathfrak{M}: [0,1] \\rightarrow [0,1]$ [9].\n\nIf \\( x \\) has binary expansion .00...011...100...011...1..., where there are \\( a \\) zeros in the first block, then \\( b \\) ones in the second, then \\( c \\) zeros, and so on, then \\( ?(x) \\) is the (simple) continued fraction\n\n\\[\n\\frac{1}{a + 1 + \\frac{1}{b + \\frac{1}{c + \\ldots}}}\n\\]\n\nThus, for example, if \\( x = 1/4 \\), its two binary expansions .0100000... and .00111111... yield the two expressions\n\n\\[\n\\frac{1}{1 + 1 + \\frac{1}{1 + \\frac{1}{\\infty}}} = \\frac{1}{2 + 1 + \\frac{1}{\\infty}}\n\\]\n\nTherefore, \\( ?(1/4) = 1/3 \\). Note that the node \\( 1/4 \\) is positioned in the Dyadic tree on Fig.1 in the same place where the node \\( 1/3 \\) is in Stern-Brocot tree on Fig.2.\n\n### 4 Nested Interval Structure\n\nIn previous section we developed two alternative but isomorphic systems how to generate interval boundary points. What intervals should we consider? Clearly, including all possible intervals into our system would be too much. In Farey case (Fig.2), for example, the interval \\([1/3, 1/2]\\) would have at least two parents: \\([1/3, 2/3]\\) and \\([0/1, 1/1]\\).\n\nWhat if we limit the scope to only those intervals that correspond to the edges at Fig.1? If we consider solid and dashed lines, then there still would be too many intervals. Consider the interval \\([1/3, 2/5]\\) (Fig.2). How many siblings does it have? Well, no more than one: \\([2/5, 1/2]\\). Indeed, no other interval has \\([1/3, 1/2]\\) as a parent.\n\nIf we consider solid lines only (with two additional convenience intervals at the top), then we’ll get a system of Nested Intervals shown at Fig.3.\n\nDyadic Nested Interval structure is isomorphic to Fig.3 - we omit the picture in order to save space. The reason why we preferred Farey over Dyadic case would become evident in the last section. It would also become apparent why it’s called “simple”.\n\nThe other possible way to introduce Nested Interval structure is shown at Fig.4, this time with dyadic encoding.\n\nAlgorithms for navigating Dyadic Nested Intervals are almost obvious:\n\n1. **Younger sibling** \\([head, tail]\\) encoding is:\n\n\\[\n\\left[ \\frac{2 \\cdot head\\_numer + 1}{2 \\cdot head\\_denom}, \\frac{2 \\cdot tail\\_numer + 1}{2 \\cdot tail\\_denom} \\right]\n\\]\n\n2. **Older sibling** \\([head, tail]\\):\n\n\\[\n\\left[ \\frac{head\\_numer - 1}{head\\_denom}, \\frac{tail\\_numer - 1}{tail\\_denom} \\right]\n\\]\n\n(Be careful, however, when applying this rule to the first child)\n\n3. Parent of the first child:\n\n\\[\n\\left[ \\frac{\\text{head\\_numer}}{\\text{head\\_denom}}, \\frac{\\text{tail\\_numer} + 1}{\\text{tail\\_denom}} \\right]\n\\]\n\nFarey Intervals are little bit more sophisticated.\n\n5 The Path Matrix\n\nLet’s study simple Farey interval structure (Fig.3) in more detail. Consider the interval \\([5/7, 3/4]\\). It is the first child of \\([2/3, 3/4]\\). Then, \\([2/3, 3/4]\\) is the second child of \\([1/2, 1/1]\\). Finally, \\([1/2, 1/1]\\) is the first child of \\([0/1, 1/1]\\). Therefore, the materialized path encoding of \\([5/7, 3/4]\\) is \\(1.2.1\\). However, we have 4 intervals, i.e. 4 nodes, while materialized path has the length 3. How can that be?\n\nCould interval \\([0/1, 1/1]\\) be considered as somebody’s else child too? Well, yes, and no. The obvious parent candidate is \\([0/1, 1/0]\\). Then, the interval \\([1/1, 2/1]\\) is the second child of \\([0/1, 1/0]\\)! The amended materialized path encoding for \\([5/7, 3/4]\\) is \\(18.104.22.168\\) and, by the way, we also are able to find Farey interval encodings for materialized paths beginning with natural numbers other than 1.\n\nHere is formal procedure converting Farey encoding into materialized path. Start with Farey interval written as 2x2 matrix:\n\n\\[\n\\begin{bmatrix}\n3 & 5 \\\\\n4 & 7\n\\end{bmatrix}\n\\]\n\nNote that we switched the fractions. The purpose is to keep the highest integer in the lower right corner. Next, write\n\n\\[\n5 = 3 * \\lfloor 5/3 \\rfloor + 5 \\mod 3 = 3*1 + 2 \\\\\n7 = 4 * \\lfloor 7/4 \\rfloor + 7 \\mod 4 = 4*1 + 3\n\\]\n\nThe integer division result (which is 1 - the same in both cases) is the first element of the materialized path encoding. We add the column with the remainders to the left\n\n\\[\n\\begin{array}{ccc}\n2 & 3 & 5 \\\\\n3 & 4 & 7\n\\end{array}\n\\]\n\nMatrix on the left\n\n\\[\n\\begin{bmatrix}\n2 & 3 \\\\\n3 & 4\n\\end{bmatrix}\n\\]\n\ncorresponds to the interval \\([2/3, 3/4]\\) - the parent of our original interval.\n\nContinuing to the left we get\n\n\\[\n\\begin{array}{ccccc}\n0 & 1 & 2 & 3 & 5 \\\\\n1 & 1 & 3 & 4 & 7\n\\end{array}\n\\]\n\ntogether with the sequence of integer division results \\(1, 1, 2,\\) and \\(1\\). We stop as soon as zero in the top left corner appears.\n\nNext, we can expand this number wall up. The rule is the same but applied to rows instead of columns. In our example, we write\n\n\\[\n7 = 5 * \\lfloor 7/5 \\rfloor + 7 \\mod 5 = 5*1 + 2 \\\\\n4 = 3 * \\lfloor 4/3 \\rfloor + 4 \\mod 3 = 3*1 + 1 \\\\\n3 = 2 * \\lfloor 3/2 \\rfloor + 3 \\mod 2 = 2*1 + 1 \\\\\n1 = 1 * \\lfloor 1/1 \\rfloor + 1 \\mod 1 = 1*1 + 0\n\\]\n\nAdding the row \\(0, 1, 1, 2\\) at the top results in\n\n\\[\n\\begin{array}{cccc}\n0 & 1 & 1 & 2 \\\\\n0 & 1 & 2 & 3 & 5 \\\\\n1 & 1 & 3 & 4 & 7\n\\end{array}\n\\]\n\nContinuing this process, we get the following number wall\n\n\\[\n\\begin{array}{cccc}\n0 & 1 \\\\\n0 & 1 & 1 \\\\\n0 & 1 & 1 & 2 \\\\\n0 & 1 & 2 & 3 & 5 \\\\\n1 & 1 & 3 & 4 & 7\n\\end{array}\n\\]\n\nNote, that all 2x2 sub-matrices at this wall have determinant 1 or \\(-1\\). This property enforces the unique way of completing the wall to square matrix.\n\nWe refer to the number wall that we just have built as the *Path Matrix*. It enjoys many nice properties.\n\n1. The numbers at the main antidiagonal are all 1s.\n2. The sequence of numbers below the main antidiagonal is materialized path. The path is oriented from right to left.\n3. Adjacent 2x2 sub-matrices can be multiplied as shown on Fig.5\n\n\\[\n\\begin{bmatrix}\n1 & 0 & 1 \\\\\n0 & 1 & 0 \\\\\n1 & 0 & 1 \\\\\n0 & 1 & 2 \\\\\n1 & 1 & 3\n\\end{bmatrix}\n\\cdot\n\\begin{bmatrix}\n0 & 1 \\\\\n1 & 1 \\\\\n1 & 2 \\\\\n4 & 7\n\\end{bmatrix}\n= \\begin{bmatrix}\n3 & 5 \\\\\n4 & 7\n\\end{bmatrix}\n\\]\n\nIterative application of matrix multiplication property gives rise to the following matrix decomposition\n\n\\[\n\\begin{bmatrix}\n0 & 1 \\\\\n1 & 1\n\\end{bmatrix}\n\\cdot\n\\begin{bmatrix}\n0 & 1 \\\\\n1 & 2\n\\end{bmatrix}\n\\cdot\n\\begin{bmatrix}\n0 & 1 \\\\\n1 & 1\n\\end{bmatrix}\n\\cdot\n\\begin{bmatrix}\n0 & 1 \\\\\n1 & 1\n\\end{bmatrix}\n= \\begin{bmatrix}\n3 & 5 \\\\\n4 & 7\n\\end{bmatrix}\n\\]\n\nEach of the matrices on the left side corresponds to an elementary fragment of the materialized path 22.214.171.124. Since these elementary matrices all have determinant -1, their multiple would always have determinant -1 or 1 - the property that we noticed earlier.\n\nThe determinant property allows filling in the numbers in the Path Matrix in the other direction. Suppose we know materialized path and want to calculate corresponding Farey interval. One way is multiplying elementary matrices, by leveraging the above matrix decomposition identity. Alternatively, we can start with partially filled in Path Matrix. By properties 1 and 2 we have\n\n\\[\n\\begin{bmatrix}\n1 & 0 & 1 & 0 & 1 \\\\\n0 & 1 & 0 & 1 & 1 \\\\\n1 & 0 & 1 & 1 & 2 \\\\\n0 & 1 & 2 & 3 & 5 \\\\\n1 & 1 & 3 & 4 & 7\n\\end{bmatrix}\n\\]\n\nFig.5. Multiplying adjacent matrices.\n\nThe matrix identity in the middle case on Fig.5, for example, is\n\n\\[\n\\begin{bmatrix}\n1 & 2 \\\\\n1 & 3\n\\end{bmatrix}\n\\cdot\n\\begin{bmatrix}\n0 & 1 \\\\\n1 & 1\n\\end{bmatrix}\n= \\begin{bmatrix}\n2 & 3 \\\\\n3 & 4\n\\end{bmatrix}\n\\]\n\nMultiplying overlapping matrices, similar to the last case\n\n\\[\n\\begin{bmatrix}\n0 & 1 \\\\\n1 & 1\n\\end{bmatrix}\n\\cdot\n\\begin{bmatrix}\n0 & 1 \\\\\n1 & 2\n\\end{bmatrix}\n= \\begin{bmatrix}\n1 & 2 \\\\\n1 & 3\n\\end{bmatrix}\n\\]\n\nworks for matrices on the main antidiagonal only.\n\nWe fill in empty positions as follows. Select 2x2 matrix that has 3 elements defined and the 4th element empty\n\n\\[\n\\begin{bmatrix}\n1 & 0 & 1 & 0 & 1 \\\\\n0 & 1 & 0 & 1 & 1 \\\\\n1 & 0 & 1 & 1 & 2 \\\\\n0 & 1 & 2 \\\\\n1 & 1\n\\end{bmatrix}\n\\]\n\nFill in the empty position to satisfy the determinant property. The sign of the determinant is alternating. It is negative if the matrix is positioned at even distance from main antidiagonal, and positive otherwise. In our case, the matrix is just one step away from the position at the main antidiagonal. Therefore, the value x at the empty position has to satisfy the equation\n\nhence, \\( x = 3 \\), as expected.\n\nAfter all the empty positions are filled, we can grab 2x2 Farey interval matrix at the lower right corner.\n\nThe final important property of the Path Matrix is that matrix transposition corresponds to materialized path inversion.\n\n6 Continued Fractions\n\n[8] suggests one more perspective into Farey interval encoding. Materialized path \\( 126.96.36.199 \\) can be naturally written as the simple continued fraction\n\n\\[\n\\frac{1}{1 + \\frac{1}{1 + \\frac{1}{2 + \\frac{1}{1 + x}}}}\n\\]\n\nwhich can be simplified into Moebius function\n\n\\[\n\\frac{4 + 3x}{7 + 5x}\n\\]\n\nHere the familiar 2x2 matrix from our example can be recognized.\n\nSimple continued fractions have somewhat irritating feature that increasing any denominator, either increases the value of the number, or decreases it, depending on the parity of the position. Reversed (or additive) continued fractions\n\n\\[\n\\frac{1}{1 + 1 - \\frac{1}{1 + 1 - \\frac{1}{2 + 1 - \\frac{1}{1 + 1 - x}}}}\n\\]\n\nare monotonic. The path matrix theory for the additive continued fractions mimics the classic case described in section 6. One of the distinguished feature of additive continued fractions is that all the matrices have negative entries in the second column, and determinant equal to 1. There is no alternation anymore: interval encoding of the younger child always precedes the older one. (In the simple continued fractions case this was true for the odd levels, and reversely true for the even ones). Finally, additive continued fractions map into monotonic Farey interval structure.\n\nReferences\n\n[1] D. Aioanei, A. Malinaru. General trees persisted in relational databases. http://www.codeproject.com/cs/database/persisting_trees.asp?print=true\n\n[2] J. Celko. Joe Celko’s Trees and Hierarchies in SQL for Smarties. Morgan Kaufmann.\n\n[3] P. Ciaccia, D. Maio, and P. Tiberio. A method for hierarchy processing in relational systems. Information Systems, 14(2):93-105, 1989.\n\n[4] J. Conway. On Numbers and Games. New York: Academic Press, Inc.\n\n[5] J. Roy. 2003. Using the Node Data Type to Solve Problems with Hierarchies in DB2 Universal Database http://www106.ibm.com/developerworks/db2/library/techarticle/0302roy/0302roy.html\n\n[6] V. Tropashko. Trees in SQL: Nested Sets and Materialized Path. http://www.dbazine.com/tropashko4.shtml\n\n[7] V. Tropashko. Nested Intervals with Farey Fractions. http://arxiv.org/html/cs.DB/0401014\n\n[8] V. Tropashko. Nested Intervals Tree Encoding with Continued Fractions. http://arxiv.org/pdf/cs.DB/0402051\n\n[9] L. Vepstas. The Minkowski Question Mark and the Modular Group SL(2,Z). http://www.linas.org/math/chap-minkowski/chap-minkowski.html"}}},{"rowIdx":204871,"cells":{"text":{"kind":"string","value":"Contract between the City of Boston and\nBeverly Street Acquisition Garage Owner Limited Partnership\n\nPursuant to Section 6A of Chapter 121A of the\nMassachusetts General Laws\n\nThis Agreement (\"Agreement\") made this 25th day of November, 2015, under Sections 6A, 10, 15 and 18C of Chapter 121A of the General Laws of the Commonwealth of Massachusetts is by and between BEVERLY STREET ACQUISITION GARAGE OWNER LIMITED PARTNERSHIP, a Massachusetts limited partnership, (hereinafter referred to as the \"Owner\") and the CITY OF BOSTON, a municipal corporation of the Commonwealth of Massachusetts (hereinafter referred to as the \"City\").\n\nWITNESSETH THAT:\n\nWHEREAS, the Owner and Beverly Street Acquisition Residential One Owner Limited Partnership, Beverly Street Acquisition Residential Two Owner Limited Partnership, Beverly Street Hotel Owner Limited Partnership, Beverly Street Garage One Owner Limited Partnership, Beverly Street Retail One Owner Limited Partnership and Beverly Street Retail Two Owner Limited Partnership (collectively, the \"Applicant\") have caused to be filed with the Boston Redevelopment Authority (the \"Authority\") an application dated July 31, 2015 (the \"Application\") under the provisions of said Chapter 121A of the General Laws and Chapter 652 of the Acts of 1960, as amended (collectively, \"Chapter 121A\") for approval of a project (the \"Master Development Project\"), more particularly described in the Application;\n\nWHEREAS, as more particularly described in the Application, the Master Development Project consists of the following: (i) 191 residential units (\"Residential One Component\", which will be located within the \"Residential One Parcel\"); (ii) 48 residential units (\"Residential Two Component\", which will be located within the \"Residential Two Parcel\"); (iii) approximately 220 hotel rooms and improvements related thereto consisting of approximately 146,000 square feet of hotel space (\"Hotel Component\", which will be located within the \"Hotel Parcel\"); (iv) approximately 52,140 square feet of garage space containing 151 parking spaces (\"Residential Garage Component\" which will be located within the \"Residential Garage Parcel\"); (v) approximately 23,826 square feet of garage space containing 69 parking spaces (\"Non-Residential Garage Component\" which will be located within the \"Non-Residential Garage Parcel\"); (vi) approximately 6,000 square feet of retail space (\"Retail One Component\" which will be located within the \"Retail One Parcel\"); and (vii) 4,000 square feet of retail space (\"Retail Two Component\" which will be located within the \"Retail Two Parcel\");\n\nWHEREAS, the Residential One Parcel, Residential Two Parcel, Hotel Parcel, Residential Garage Parcel, Non-Residential Garage Parcel, Retail One Parcel and Retail Two Parcel constitute the entire master project area under the Application (the \"Master Project Area\");\n\nWHEREAS, as noted in the Application, the Master Project Area will, following a conveyance of certain interests now held by Beverly Street Acquisition LLC, an affiliate of the Applicant, be owned in fee by the Massachusetts Department of Transportation (\"MassDOT\");\n\nWHEREAS, prior to construction of one or more Components, MassDOT will ground lease its interest in the Master Project Area to Beverly Street Acquisition LLC (the \"Ground Lease Tenant\"), which Ground Lease Tenant will then enter into a sublease of the Residential Garage Parcel (the \"Project Area\") to Owner (the \"Sublease\") to enable Owner to develop and operate the Residential Garage Component (the \"Project\");\n\nWHEREAS, Owner will enter into a sub-sublease of the Project Area (the \"Sub-Sublease\") to Beverly Street Garage 1B, LLC (\"Sub-Subtenant\");\n\nWHEREAS, the Authority approved the Project, an element of the Master Development Project, and consented to the designation of the Owner as the Owner of the Project by vote on August 13, 2015, adopting a certain Report and Decision on the Project and the Project Developer (the \"Report and Decision\");\n\nWHEREAS, the Mayor of the City approved the Authority’s approval and consent on August 19, 2015;\n\nWHEREAS, the vote of the Authority and the approval of the Mayor of the City were filed with the office of the City Clerk on September 2, 2015 (the \"Approval Date\"), and such approval has become final and binding pursuant to the provisions of Chapter 121A; and\n\nWHEREAS, pursuant to the provisions of Chapter 121A, the City and the Owner have determined to enter into this Agreement with regard to the Project.\n\nNOW, THEREFORE, in consideration of the foregoing recitals and the good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Owner and the City agree, effective as of the January 1 following both the Owner’s acquisition of a leasehold interest in the Project Area pursuant to the Sublease, and the Owner’s entry into the Sub-Sublease with Sub-Subtenant of the Project Area, to allow for the development of the Project (the \"Effective Date\"):\n\n1. The Owner hereby agrees with the City that, subject to Paragraph Section 8 hereof, all activities of the Owner will be undertaken in accordance with the Application, the provisions of Chapter 121A as now in effect, the minimum Standards for the Financing, Construction, Maintenance and Management of the Project set forth in the Application, and the terms and conditions set forth in the Report and Decision of the Authority approving the Project, consenting to the designation of the Owner as a 121A entity and authorizing the Owner to undertake the Project, which are incorporated herein by reference. Such activities of the Owner will include, without limitation, the Ground Lease being executed by MassDOT to the Ground Lease Tenant, the Sublease from the Ground Lease Tenant to the Owner, the Sub-Sublease of the Project Area from the Owner to Sub-Subtenant and the construction and operation of the Project in accordance with the Application.\n\n2. (a) Subject to the provisions and limitations of this Agreement, the Owner will pay to the Commonwealth of Massachusetts Department of Revenue or any successor department or agency (\"DOR\"), for each calendar year during which the Owner is subject to Chapter 121A and has the benefit of the tax exemption provided thereunder, the urban redevelopment excise required under Section 10 of Chapter 121A (the \"Excise Tax\").\n\n(b) Subject to the provisions and limitations of this Agreement, the Owner will pay to the City with respect to each calendar year or portion thereof thereafter during which the Owner is subject to Chapter 121A and has the benefit of the real estate tax exemption provided thereunder, an amount (the \"Differential Amount\") equal to the difference between (i) the amounts set forth on Exhibit A hereto (the \"Contract Amount\"), and (ii) the Excise Tax paid.\n\nFor purposes of calculating the Excise Tax only, the term \"Gross Income\" shall mean only the revenues received by the Owner, and shall not include the income received by any Sub-Subtenant of the Owner.\n\nAll payments to the City shall be made on or before April 1 of each year. Late payments will bear interest at the rate equal to the rate charged for delinquent real estate accounts by the City's Collector-Treasurer pursuant to M.G.L. c. 60. The City shall have all rights and remedies available to it for the collection of the Contract Amount in the event the Owner breaches its duty to pay.\n\nWithout limitation of the foregoing, Sub-Subtenant, tenants and other occupants of the Project, and other persons or entities occupying or using the improvements of which the Project is a part, may pay amounts associated with their use and occupancy (including, without limitation, reimbursements and payments for common area maintenance, management, imposts, operating expenses and related fees) directly to the landlord/licensor under their leases, occupancy agreements or other applicable agreements, which amounts shall not be included in the Gross Income.\n\nAny personal property within the Project that is owned by entities other than the Owner is not subject to this Agreement or the exemption granted pursuant to M.G.L. c. 121A.\n\n(c) Payment of amounts due hereunder shall be equitably prorated for any partial year during the periods set forth in this Section. Payment to the City of any Differential Amount shall be made by no later than April 1 of each calendar year in which such a payment is due.\n\n3. (a) The Owner shall file with the Commissioner of Assessing and the Authority by February 10 following the end of each calendar year during which this Agreement is in effect a computation for such calendar year under the applicable formula set forth in Section 2 above, including, without limitation, the Contract Amount and the Differential Amount certified by an authorized representative of\n\nthe Owner. Further the Owner shall file with the Commissioner of Assessing and the Collector-Treasurer of the City by April 1st of each calendar year during which this Agreement is in effect: (i) a certified copy of the Owner’s urban redevelopment excise tax return for the preceding calendar year as filed with DOR; (ii) a statement of profit and loss, a balance sheet and a statement of receipts and disbursements for the Project for the preceding calendar year; and (iii) audited financial statements for the Owner for the preceding calendar year.\n\n4. The Owner shall allow the Commissioner of Assessing, or a representative of the Commissioner designated in writing, to examine all Excise Tax Returns and all attachments thereto filed by the Owner with the DOR.\n\n5. Any Overpayment (as defined below) by the Owner with respect to any calendar year with respect to the Project shall be refunded by the City to the Owner as soon as practicable after the sending of a written notice to the City by the Owner of the discovery of such overpayment. Provided notice is received as herein stated, in the event that the amount of any Overpayment is not refunded prior to the date on which the next payment by the Owner becomes due under this Agreement, the Owner shall be entitled to offset the amount of such Overpayment against such next payment. For the purposes of this Agreement, an Overpayment by the Owner with respect to any calendar year shall include the following, but only to the extent that the following exceed collectively the Contract Amount for that calendar year: (a) (i) amounts paid by the Owner to the Commonwealth of Massachusetts, the City or the Authority with respect to the Project pursuant to Sections 10, 15, and 18C of Chapter 121A; (ii) any amounts paid by the Owner to the City as real estate or personal property tax pursuant to M.G.L. c. 59, as amended, or any successor statutes, with respect to the Project or the Project Area for any period during which this Agreement is in effect; or (b) amounts paid with respect to the Project or the Project Area as a different or additional tax resulting from the replacement of the current method of assessment of real estate taxes, provided however that such Overpayment shall not include the excise imposed by M.G.L. c. 64G, or any different or additional tax which does not result in the actual reduction of the City’s real estate tax levy; or (c) any amounts paid by the Owner to the City of Boston with respect to the Project in excess of amounts actually due under this Agreement due to calculation error, inaccurate information or other inadvertent mistake after the end of the Owner’s fiscal year on December 31. The notice shall be accompanied by supporting documentation, including but not limited to, ward and parcel number, the date payment was made to the DOR and/or to the City, the Contract Amount and the Excise Tax paid, and copies of both sides of all relevant cancelled checks.\n\nNotwithstanding the foregoing, the City shall not be obligated to refund any Overpayment and/or grant any credit for interest, late fee, penalties or fines that may have been assessed if such Overpayment was due to either the Owner’s failure to provide the financial information required by Section 3 of this 6A Contract or to the Owner’s intentional provision of misleading financial information.\n\nNotwithstanding the foregoing, any taxes assessed pursuant to Chapter 59 prior to the Effective Date shall not be the basis of a claim of Overpayment, e.g. if the Effective Date is January 1, 2016, the first and second quarter tax bills issued by the City shall not be the basis of a claim of Overpayment.\n\n6. The Assessing Department hereby determines, in accordance with the seventh paragraph of Section 10 of Chapter 121A, that the fair cash value of the real and personal property constituting the Project, as of January 1, 2016, and for each succeeding January 1 until and including the year next following the year in which the Owner’s property tax exemption under Chapter 121A shall terminate, shall be an amount which, when used in the computation of the Excise Tax for or with respect to the previous calendar year, would not result in an Excise Tax greater than the Contract Amount due for such prior year. The Assessing Department agrees to certify to DOR and the Owner, pursuant to the second paragraph of Section 10 of Chapter 121A, on or before March 1 of each year a fair cash value calculated in accordance with the preceding sentence. The Assessing Department acknowledges that the Project constitutes all the real and personal property of the Owner for which it is required to establish a fair cash value under the provisions of Section 10 of Chapter 121A.\n\n7. The obligations of the Owner under this Agreement Contract and the Report and Decision are conditioned in all respects upon (i) the acquisition of a leasehold interest in the Project Area by the Owner pursuant to the Sublease; (ii) the issuance of all permissions, variances, permits and licenses which may be required with respect to the construction, maintenance and management of the Project, whether or not the same were specified in the Applications; and (iii) the Project being exempt from taxation under Section 10 of Chapter 121A. The Owner shall not be held in any way liable for delays which may occur in the construction, repair and maintenance of the Project, or otherwise, by reason of scarcity of materials or labor, labor difficulties, damages by fire or other casualty or any other cause beyond the Owner’s reasonable control. The Owner agrees to use reasonable efforts to cause all such permissions, variances, permits and licenses to be secured and all such delays to be overcome.\n\n8. The Term of this Agreement shall commence on the Effective Date and expire on the date that is fifteen (15) years after the Effective Date, subject to any rights of the Owner to seek termination of the status of the Project as a 121A project as provided by law. The expiration dates set forth above shall also be extended by the Effective Date Extension Period (as defined in the Application), for an additional eight (8) year period, if applicable, in accordance with the terms of this Agreement, including Exhibit A hereto, and the Application.\n\nNotwithstanding the foregoing, upon termination of this Agreement the Owner shall pay or cause to be paid a gap payment to cover the time period between the termination date and the date the Project Area becomes taxable pursuant to Chapter 59 of the General Laws. The gap payment shall be equal to the Contract Amount that would have been made for such period if the Project had remained subject to\n\nthis Agreement. The gap payment for the balance of the calendar year during which this Agreement terminates shall be payable on or before March 15 of the year following the year in which the Agreement terminates. Such amount for the first six (6) months of the year following the year in which this Agreement terminates shall be payable on or before June 30 of the year following the year in which this Agreement terminates. After termination, the Project shall not be subject to the obligations of Chapter 121A, enjoy the rights and privileges thereunder, or be subject to the terms, conditions, and obligations of this Agreement as provided in Chapter 121A; provided, however, the deviations and permissions granted by the Authority pursuant to the Report and Decision, shall survive such termination and shall remain in effect.\n\n9. Notwithstanding any language to the contrary in the Application or any other document entered into between the Authority and the Owner, no amendment or modification of the terms and conditions of this Agreement shall be binding on the City without the prior written consent of the City. The Owner and the City further agree that, without mutual consent, any amendment subsequent to the delivery of this Agreement of any of the provisions of Chapter 121A of the General Laws or of Chapter 652 of the Acts of 1960 or of the Rules, Regulations and Standards now applicable to the Project shall not affect this Agreement.\n\n10. All notices required pursuant to this Agreement shall be addressed as follows:\n\nIf to the City: \nCity of Boston Assessing Department \nOne City Hall Square, Room 301 \nBoston, MA 02201 \nAttn: Commissioner\n\nIf to the Owner: \nBeverly Street Acquisition Garage \nOwner Limited Partnership \nc/o Related Beal, LLC \n177 Milk Street \nBoston, Massachusetts 02109 \nAttn: Kimberly F. Sherman Stamler\n\nWith Copy to: \nNutter, McClennen & Fish LLP \nSeaport West \n155 Seaport Boulevard \nBoston, Massachusetts 02210 \nAttn: Mary T. Marshall, Esq.\n\nEach party may designate a different address provided that notice of said change is first given to the other party. Any such notice shall be deemed given as of the date such notice is (i) delivered to the party intended, (ii) delivered to the then designated address of the party intended, (iii) rejected at the then designated address of the party intended, provided such notice was sent prepaid, or (iv) sent by\n\nnationally recognized overnight courier or by United States Certified Mail, return receipt requested, postage prepaid and addressed to the then designated address of the party intended.\n\n11. The provisions of this Agreement shall be binding upon and inure to the benefit of the parties hereto and their permitted successors and assigns. In the case of the Owner no successor shall benefit from the provisions of this Agreement unless it has been approved by the Authority. Each and every obligation and condition contained in this Agreement, in the Report and Decision, in the Application, or in any agreement or undertaking relating to the Report and Decision or the Application, shall be construed to apply only to the Project. The liability of the undersigned shall be limited solely to its interest in the Project, and no partner, member, venture, trustee, beneficiary, shareholder, officer, director, employee, agent, or the like of the Owner or their respective affiliates, successors or assigns (including, without limitation, mortgagees), or any person or entity directly or indirectly holding any interests in any of the foregoing from time to time, shall have or be subject to any personal liability hereunder or under any agreement or undertaking related hereto or required hereby. After any termination under Chapter 121A as to the Project, or authorized transfer of the Project and the Project area to another party, or termination or transfer of any portion thereof, each in accordance with the Report and Decision of the Authority, the Application or as otherwise approved by the Authority, the Owner shall no longer be subject to the obligations hereof and shall have no further liability hereunder with respect to the Project or such portion of the Project, as the case may be, the City agreeing to look solely to such transferee.\n\nThe City acknowledges and agrees that pursuant to the Report and Decision adopted by the Authority for the Owner, in the future, after completion of construction of the Master Development Project, MassDOT may terminate or amend the Ground Lease with the Ground Lease Tenant to the effect that there will be a separate ground lease of the Project Area either (i) to the Ground Lease Tenant or (ii) directly to the Owner.\n\n12. If any provision of this Agreement or the application thereof to any person or circumstance shall be invalid or unenforceable to any extent, the remainder of this Agreement and the application of such provisions to the other persons and circumstances shall not be affected thereby and shall be enforced to the greatest extent permitted by law, provided that the substantive economic terms of this Agreement are not materially altered.\n\n13. In order to facilitate potential separate ownership and financing of the Master Project Area, the Owner of each Component of the Development shall be liable only for those obligations hereunder that relate to such Component. Notwithstanding anything contained herein to the contrary, any non-compliance by any Component of the Development with respect to its particular Project or the terms of its respective Agreement in accordance with the terms of Section 6A of M.G.L. c. 121A shall not affect the compliance of any other Parcel.\n\nExecuted as a sealed instrument the day and year first above written.\n\nAPPROVED AS TO FORM: CITY OF BOSTON\n\nBy: [Signature]\nMayor\n\nBy: [Signature]\nCommissioner of Assessing\n\nBEVERLY STREET ACQUISITION\nGARAGE OWNER LIMITED\nPARTNERSHIP\n\nBy: Beverly Street Acquisition Garage GP, LLC, its general partner\n\nBy: [Signature]\nName: Kimberly Sherman Stamler\nTitle: Vice President\n\nLimited Joinder\n\nThe undersigned, being the Sub-Subtenant of the Ground Lease Tenant joins in the foregoing Agreement solely for the purpose of agreeing to submit to the Owner and to the Commissioner of Assessing the information required by Sections 2, 3 and 4 of the foregoing Agreement, as and when required by said Sections 2, 3 and 4. By the execution of this Agreement the City acknowledges and agrees that neither such joinder, nor the performance of the undertaking made herein, shall subject the undersigned to the provisions of Chapter 121A, including without limitation the Regulatory Agreement, and that only the Owner is an entity subject to said Chapter 121A with respect to the Project.\n\nThis Limited Joinder shall be binding upon and inure to the benefit of the City, the Owner and Sub-Subtenant and their respective successors and assigns.\n\nBEVERLY STREET GARAGE 1B, LLC\n\nBy: RB Garage Manager 1B, LLC, its Managing Member\n\nBy: [Signature]\nName: Kimberly Sherman Stamler\nTitle: Vice President\n\n| | Year 1 * (2016) | $0.00, provided, however, that if the Project has received a final Certificate of Occupancy and is fully operational, the Owner shall pay an amount equal to three and three quarters percent (3.75%) of Garage gross revenue attributable to the portion of the year from the later of the date the Project receives a final Certificate of Occupancy or is fully operational to December 31** |\n|---|-----------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| 2. | Year 2 (2017) | $0.00, provided, however, that if the Project has received a final Certificate of Occupancy and is fully operational, the Owner shall pay an amount equal to three and three quarters percent (3.75%) of Garage gross revenue attributable to the portion of the year from the later of the date the Project receives a final Certificate of Occupancy or is fully operational to December 31 |\n| 3. | Year 3 (2018) | $0.00, provided, however, that if the Project has received a final Certificate of Occupancy and is fully operational, the Owner shall pay an amount equal to three and three quarters percent (3.75%) of Garage gross revenue attributable to the portion of the year from the later of the date the Project receives a final Certificate of Occupancy or is fully operational to December 31 |\n| 4. | Year 4 (2019) | An amount equal to three and three quarters percent (3.75%) of Garage gross revenue |\n| 5. | Year 5 (2020) | An amount equal to seven and one half percent (7.50%) of Garage gross revenue |\n| 6. | Year 6 (2021) | An amount equal to eleven and one quarter percent (11.25%) of Garage gross revenue |\n| 7. | Year 7 (2022) | An amount equal to fifteen percent (15%) of Garage gross revenue |\n| 8. | Year 8 (2023) | An amount equal to fifteen percent (15%) of Garage gross revenue |\n| 9. | Year 9 (2024) | An amount equal to fifteen percent (15%) of Garage gross revenue |\n\n* A “year” for the purposes of this Agreement shall run from January 1 through December 31. Year 1 shall mean January 1, 2016 through December 31, 2016.\n\n** For purposes of this exhibit “Garage gross revenue” means for any period of reference, the gross revenues derived from parking operations at the Residential Garage Component by either Owner or Sub-Subtenant as determined on an accrual basis of accounting. For purposes of determining the “Garage gross revenue”, the operator of the Residential Garage Parcel shall provide the Owner and the Commissioner of Assessing with evidence of all parking revenue actually received by the Sub-Subtenant for the Project, including without limitation any parking charges added to the charges for any occupant, visitor, or invitee of any occupant of the Master Development for the right to use and occupy spaces in the Residential Garage Component.\n\n| | Year 10 (2025) | An amount equal to fifteen percent (15%) of Garage gross revenue |\n|---|----------------|---------------------------------------------------------------|\n| 11.| Year 11 (2026) | An amount equal to fifteen percent (15%) of Garage gross revenue |\n| 12.| Year 12 (2027) | An amount equal to fifteen percent (15%) of Garage gross revenue |\n| 13.| Year 13 (2028) | An amount equal to fifteen percent (15%) of Garage gross revenue |\n| 14.| Year 14 (2029) | An amount equal to fifteen percent (15%) of Garage gross revenue |\n| 15.| Year 15 (2030) | An amount equal to fifteen percent (15%) of Garage gross revenue |"}}},{"rowIdx":204872,"cells":{"text":{"kind":"string","value":"Wireless Communication Facilities: Siting for Sore Eyes\n\nLaurie Dichiara\n\nFollow this and additional works at: https://digitalcommons.law.buffalo.edu/belj\n\nPart of the Land Use Law Commons\n\nRecommended Citation\nLaurie Dichiara, Wireless Communication Facilities: Siting for Sore Eyes, 6 Buff. Envtl. L.J. 1 (1998).\nAvailable at: https://digitalcommons.law.buffalo.edu/belj/vol6/iss1/1\n\nThis Article is brought to you for free and open access by the Law Journals at Digital Commons @ University at Buffalo School of Law. It has been accepted for inclusion in Buffalo Environmental Law Journal by an authorized editor of Digital Commons @ University at Buffalo School of Law. For more information, please contact firstname.lastname@example.org.\n\nWireless Communication Facilities: Siting For Sore Eyes\n\nLaurie Dichiara*\n\nTable of Contents\n\nI. The Basics of Wireless Communication Technology ........ 3\n A. Radiofrequency and the Electromagnetic Spectrum .. 3\n B. Cellular Communication ................................. 4\n C. Personal Communications Services ..................... 6\n\nII. Limitations on Local Authority to Regulate the Siting of Wireless Facilities .................. 8\n A. Omnibus Budget Reconciliation Act of 1993 .......... 9\n B. New York Case Law .................................... 11\n C. Telecommunications Act of 1996 ...................... 11\n\nIII. Local Concerns Remain .................................. 13\n\nIV. Municipal Control Over the Siting of Wireless Facilities ........................................... 16\n A. Paradigm Incentive System: Special Permits and Site Plans ........................................ 18\n B. SEQRA .................................................. 21\n C. Putting the Incentive Layers Together ............... 24\n D. Moratoria ............................................... 25\n E. Other Municipal Tools .................................. 27\n\nV. Cooperation and a Proactive Approach ..................... 29\n A. Model Approach: The Town of Greenburgh .......... 31\n\nVI. Conclusion .................................................. 33\n\n* Laurie Dichiara is the former law clerk to the Honorable George A. Yanthis, United States Magistrate Judge for the Southern District of New York. She received her J.D. from Pace University School of Law in 1997. Admitted to the New York Bar, she practices Real Estate Law in Middletown, New York.\n\nThe siting of wireless transmission facilities often generates significant controversy within a community. Residents oppose the erection of wireless towers and antennas based on concerns about the health effects of radio frequency emissions as well as aesthetics. This poses a dilemma for local officials who are delegated the authority to review applications for the installation of wireless facilities, since state and federal law prohibit municipalities from wholly excluding such infrastructure, and from withholding permits for these facilities because of their possible health impacts. Despite these limitations, local governments retain substantial control over the placement, construction and modification of wireless facilities, which may be exercised through reasonable moratoria and other traditional zoning techniques, as well as through more creative avenues. Nevertheless, local officials often struggle within the parameters of their legal authority to accommodate the concerns of their constituents. The purpose of this article is to summarize the current federal and state law regarding wireless transmission facilities, to explore the extent of local discretion in acting on permit applications for siting this infrastructure, and to provide local officials with guidance in making these difficult decisions.\n\nPart one explores the basics of wireless communication technology, and explains the differences between traditional cellular communication and the emerging personal communications services technology. Part two discusses relevant state and federal law, focusing on the provisions of the Telecommunications Act of 1996, its preservation of traditional local zoning authority, and its limitations on local discretion in siting wireless facilities. Part three acknowledges residents’ ongoing opposition to wireless facilities because of their adverse visual impacts and possible unknown health impacts, and the fact that the proliferation of wireless facility sites is one of the most significant contemporary land use challenges facing local communities. Part four demonstrates that municipalities may exercise significant control over the siting of wireless facilities, within the confines of the law, by carefully structuring traditional zoning tools into incentive systems which will encourage wireless carriers to choose sites which have been identified by the community.\n\nas the most desirable locations for such facilities. Finally, Part five discusses the importance and benefits of a proactive local approach to the siting of wireless infrastructure, and emphasizes that compromise between local officials and wireless providers is the optimum solution.\n\nI. The Basics of Wireless Communication Technology\n\nA. Radiofrequency and the Electromagnetic Spectrum\n\nAll energy emitted as waves is called “radiation.” These waves have different lengths, and are typically classified by frequency; longer wavelengths are lower frequency, while shorter wavelengths are higher frequency. The frequency of a wave, measured in hertz (Hz), determines its location along the electromagnetic spectrum. Visible light, for instance, is located approximately in the middle of the spectrum, and acts as the dividing line between “non-ionizing” and “ionizing” radiation.\\(^1\\) Ionizing radiation is high-frequency radiation, which produces enough energy to alter the atomic structure of cells.\\(^2\\) Antennae used for wireless communication\\(^3\\) emit radiofrequency radiation, which is low-frequency, non-ionizing radiation, incapable of changing atomic structures.\\(^4\\)\n\n---\n\n\\(^1\\) See Louis Slesin with Matthew Connelly, American Planning Association, Electromagnetic Fields and Land-Use Controls 1 (1991) [hereinafter SLESIN].\n\n\\(^2\\) One of the most easily recognizable emitters of high frequency, ionizing radiation is an X-ray machine.\n\n\\(^3\\) Antennae and their supporting electronic equipment are the “facilities” proposed for local siting.\n\n\\(^4\\) See SLESIN, supra note 1, at 1. Other common sources of radio-frequency emissions include radio and television antennae, computers and radar. Id. Power lines, on the other hand, produce extremely low-frequency electromagnetic fields, located at the bottom end of the non-ionizing side of the spectrum. Id. Consumer satellite antennae differ entirely in that they do not send signals, but are merely receivers.\n\nB. Cellular Communication\n\nIn 1981, the FCC established rules and procedures for developing a wireless cellular phone system.\\textsuperscript{5} The FCC licensing rules created 734 cellular markets within the United States, its territories and possessions, and \"set aside 50 MHZ of spectrum in the 800 MHZ frequency band for two competing cellular systems in each market.\"\\textsuperscript{6} Licensees in the top thirty markets were selected using comparative hearings, while those in the remaining markets were determined by lottery.\\textsuperscript{7} Each licensed cellular carrier operates its own system, utilizing its designated 25 MHZ of spectrum, consisting of 395 voice channels and 21 control channels.\\textsuperscript{8}\n\nA cellular system is made up of numerous, contiguous, individual \"cells,\" each covering a specific broadcast area ranging from one urban block or less to ten square miles or more. Each cell has its own \"base station,\" consisting of antennae and associated electronic equipment, which sends and receives information to and from mobile phones.\\textsuperscript{9} \"A typical base station utilizes either several omnidirectional antennas that look like poles or whips, [ten] to [fifteen] feet in length, or a number of sector antennas that look like rectangular panels. The dimensions of a sector antenna are typically [one] foot by [four] feet.\"\\textsuperscript{10} Base station antennae may be supported\n\n\\textsuperscript{5} See Wireless Telecommunications Bureau, FCC, Cellular Radio Fact Sheet 1 (Feb. 1997) [hereinafter CELLULAR FACTS].\n\n\\textsuperscript{6} Id. The 734 markets consist of 306 Metropolitan Statistical Areas (MSAs) and 424 Rural Service Areas (RSAs). Id. In New York, the FCC has granted cellular telephone service licenses to two companies: Bell Atlantic NYNEX Mobile Communications and AT&T Wireless. The frequencies set aside for cellular communications were formerly used for UHF-TV broadcasting. Wireless Telecommunications Bureau, FCC, Cellular Telephony Facts 1 (Dec. 1994) [hereinafter TELEPHONY FACTS].\n\n\\textsuperscript{7} See CELLULAR FACTS, supra note 5, at 1.\n\n\\textsuperscript{8} See id.\n\n\\textsuperscript{9} A base station is also called a \"cell site.\" The base station's electronic equipment is housed in a basic equipment shelter.\n\n\\textsuperscript{10} TELEPHONY FACTS, supra note 6, at 1 (emphasis in original).\n\nby towers (either lattice type or monopole, and typically 50 to 200 feet high), or may be mounted on tall structures such as water towers or rooftops. Height is a crucial factor in siting and designing these facilities, since wireless communication requires a clear \"line-of-sight\" for effective transmission and reception.\\textsuperscript{11}\n\nCellular systems are generally analog systems, which can accommodate one user per frequency (or channel), per cell.\\textsuperscript{12} Each cell is allocated a specific set of the system's channels, with adjacent cells assigned a different set of channels in order to avoid interference. A base station uses its set of channels to relay calls to and from mobile phones, and constantly monitors the strength of the signal between it and each individual mobile phone. As a mobile phone user drives from one cell to another and the signal between the phone and the base station weakens, his call is automatically \"handed off\" to a base station nearer to him, and his call is unnoticeably switched to a frequency assigned to that cell. Each cell is also connected via land line or microwave to a \"switching office,\" which in turn is connected to the regular land line public telephone network. This combination of radiofrequency, microwave and land line connections provides the link between mobile phone users and land line telephone network users.\n\n\\textsuperscript{11} Line-of-sight communication \"does not necessarily mean a visible line of sight, but a straight line that passes through many obstructions, each one attenuating more and more of the signal.\" Arthur Makosinski, \\textit{Tutorial: Exploring Personal Communication Services}, MOBILIS, Sept. 1995, at 4.\n\n\\textsuperscript{12} \"Frequency Division Multiple Access\" (FDMA) is the technique used by most cellular systems to allow system accessibility to multiple users at the same time. \\textit{See} Arthur Makosinski, \\textit{Tutorial: Exploring Cellular and Personal Communication Services}, MOBILIS, Aug. 1995, at 4. FDMA is a simple analog technology, which allocates \"a single channel to one user at a time. When the transmission path deteriorates, the controller switches the system seamlessly to another channel.\" \\textit{Id}.\n\nC. Personal Communications Services\n\nPersonal Communications Services (PCS) represents the \"state of the art\" in wireless communication. While cellular's analog technology accommodates only one user per frequency at any given time, PCS systems are digital and can accommodate multiple users of a single frequency simultaneously.\\(^{13}\\) Additionally, unlike analog cellular systems which can transmit only voice, digital PCS systems are capable of transmitting voice, data and video transmissions. \"PCS is a broad term describing a number of systems and services which enable a user to communicate anytime, anywhere, and in any form . . . . The basic idea is based on the notion of allocating a single ID called a Universal Personal Telecommunication (UPT) number to a device . . . . analogous to a Social Security number for communication!\"\\(^{14}\\)\n\nPCS systems operate independently of traditional cellular systems, and are governed by a separate set of FCC licensing rules. The FCC designated two types of PCS service areas: 51 Major Trading Areas (MTAs), each approximately the size of a mid-sized state, and 493 Basic Trading Areas (BTAs), each the size of several counties.\\(^{15}\\) These service areas do not correspond to, nor do they necessarily overlap, the traditional cellular markets. The FCC also allocated a total of 120 MHZ of spectrum for PCS systems, which it divided into three 30 MHZ blocks (blocks A through C) and three 10 MHZ blocks (blocks D through F).\\(^{16}\\) \"The [PCS] licenses in frequency blocks A and B are awarded on an MTA basis; the licenses\n\n---\n\n\\(^{13}\\) PCS systems use \"Code Division Multiple Access\" (CDMA), a \"digital spread spectrum technique which allows transmission from several users to overlap synchronously in time and frequency using complex binary codes which must correlate at the transmitter and the receiver, thereby keeping the two in synchronization.\" *Id.*\n\n\\(^{14}\\) *Id.* at 1.\n\n\\(^{15}\\) See R. Michael Senkowski & Clifford M. Sloan, *PCS Preferences in the Wake of Adarand*, 39 How. L.J. 505, 512 (1996).\n\n\\(^{16}\\) *See id.*\n\nin frequency blocks C, D, E, and F are awarded on a BTA basis.\\textsuperscript{17}\n\nPCS technology requires a cell system of facilities structured very much like traditional cellular systems, since both technologies are premised on the idea of reusing frequencies over and over again in cells throughout their systems, although PCS systems operate on a much higher frequency band (1850-2200 MHZ).\\textsuperscript{18} The main differences between traditional cellular systems and PCS systems stem from PCS’ use of microcellular and digital technology. PCS microcells, as the name implies, are much smaller than traditional cells. “While regular cellular telephone systems typically locate cells eight miles apart, some microcells, particularly those in urban areas, may be as small as a city block or the floor of an office building.”\\textsuperscript{19} PCS systems, then, are made up of a larger number of smaller cells.\n\nPCS systems are also more cost effective than cellular systems. Installation costs for PCS systems average around $5,000 per cell, while an average cellular system cell installation may cost anywhere from $50,000 to one million dollars.\\textsuperscript{20} In addition to lower average installation costs per cell, costs to consumers are generally lower, since “[t]he cost of using PCS can be shared by a larger number of consumers because PCS systems will have the capability of serving almost twenty times as many people as cellular systems.”\\textsuperscript{21} The cost benefits of PCS systems, both to carriers and consumers,\n\n\\textsuperscript{17} \\textit{Id.}\n\\textsuperscript{18} See Michelle Gregory with Douglas Martin, \\textit{Cellular Facilities: A Survey of Current Zoning Practices}, \\textit{ZONING NEWS}, Apr. 1996, at 1 [hereinafter Gregory, \\textit{Survey}].\n\\textsuperscript{19} Senkowski & Sloan, \\textit{supra} note 15, at 507.\n\\textsuperscript{20} See Makosinski, \\textit{supra} note 11, at 2.\n\\textsuperscript{21} Jennifer Pia Brovey, \\textit{Personal Communications Services: Crossing the Line from Regulation to Implementation}, 2 COMMLAW CONSPECTUS 67, 68 (1994).\n\ncoupled with PCS' facilitation of increased mobility and service options, indicate that PCS is the current ideal in wireless communication.\\textsuperscript{22}\n\nII. Limitations on Local Authority to Regulate the Siting of Wireless Facilities\n\nThe New York State Legislature has delegated significant authority to local municipalities to regulate land use in the interest of protecting the public health, safety and general welfare. Pursuant to this delegated police power, local legislatures have adopted zoning regulations and have specified the local administrative bodies responsible for implementing and enforcing the regulations. Local municipalities, therefore, traditionally have plenary authority over the siting of structures and facilities in their communities.\n\nAlthough the particulars may vary depending on the locality, the general decision making process regarding facilities siting is substantially similar in most municipalities. The first step is usually an application for a building permit, submitted to the local building inspector or department. If the proposed construction does not comply with the zoning ordinance's use or dimensional requirements,\n\n\\textsuperscript{22} Industry analysts expect enormous growth in PCS subscribers over the next few years, and a correlative decrease in the number and rate of new cellular subscribers. There were an estimated 800,000 PCS subscribers as of Jan. 1, 1997; the wireless industry anticipates an additional 58.7 million new PCS subscribers by the end of the year 2001: 4.7 million new PCS subscribers in 1997, 8.5 million in 1998, 11.7 million in 1999, 14.8 million in 2000, and 19 million new PCS subscribers in the year 2001. \\textit{See} INSIGHT RESEARCH CORPORATION: PCS DEMAND FORECAST, \\textit{in} PERSONAL COMMUNICATIONS INDUSTRY ASSOCIATION (PCIA): WIRELESS MARKET PORTFOLIO, at 5 (available at http://www.pcia.com/portfoli.htm). In comparison, the wireless industry anticipates an additional 35.5 million new cellular subscribers by the end of the year 2001: 10 million new cellular subscribers in 1997, 8.9 million in 1998, 6.8 million in 1999, 5.4 million in 2000, and 4.4 million new cellular subscribers in the year 2001. \\textit{See} PAUL KAGAN ASSOCIATES, INC.: 5-YR CELLULAR TELECOM PROJECTIONS, \\textit{in} PCIA: WIRELESS MARKET PORTFOLIO, at 8 (available at the same internet address).\n\nthe permit must be denied. This denial may be appealed to the Zoning Board of Appeals, which may grant a variance in conformance with state law. Local regulations may also require site plan, subdivision, special permit or other approval, in which case the applicant must be referred to the appropriate administrative agency for its review. Additionally, mitigation requirements are routinely imposed as reasonable conditions for the granting of a variance or the approval of an application for a site plan, subdivision or special permit. Finally, most local land use decisions are subject to SEQRA,\\textsuperscript{23} which requires local agencies to assess the potential environmental impacts of their actions and to disapprove applications that would result in negative environmental impacts, or to condition their approval upon the implementation of mitigation measures designed to prevent such negative impact.\n\nWireless communication facilities are land uses, much like other land uses; for this reason, local municipalities’ discretion in siting wireless communication infrastructure was initially unrestricted. As consumer demand for wireless services grew, however, Congress and the courts stepped in to limit local “interference.” As a result, the siting of wireless communication infrastructure remains a local land use decision, but subject to the limitations of federal law.\n\nA. Omnibus Budget Reconciliation Act of 1993\n\nThe first significant limitation on local municipalities’ discretion in siting wireless communication infrastructure was contained in the Omnibus Budget Reconciliation Act of 1993.\\textsuperscript{24} Several provisions of the Act affected the wireless telecommunications industry; key among them was the creation of a\n\n\\textsuperscript{23} SEQRA refers to the State Environmental Quality Review Act, codified in N.Y. ENVTL. CONSERV. LAW art. 8, and the accompanying regulations found in N.Y. COMP. CODES R. & REGS. tit. 6, sec. 617 (1995).\n\n\\textsuperscript{24} Pub. L. No. 103-66, tit. VI, 107 Stat. 379 (1993) (codified at 47 U.S.C., ch. 5, sec. 332).\n\nnew category of wireless services, \"Commercial Mobile Service\" (CMS), intended to facilitate regulatory parity among providers.\\textsuperscript{25} \"Commercial Mobile Service\" is defined as any wireless service for profit that provides service to the public interconnected to the landline telephone network.\\textsuperscript{26} Pursuant to its responsibilities under the act, the FCC promulgated a new regulatory structure for CMS providers, which reflected its determination that all CMS services are \"substantially similar\" and must be regulated in a similar, equitable fashion.\\textsuperscript{27} The FCC adopted this approach to ensure \"that the forces of the marketplace and not the existing or future unequal regulatory regimes, will determine the services and pricing structures that consumers enjoy.\"\\textsuperscript{28} Most importantly, the FCC exercised its authority under the act to preempt state regulations over entry of wireless service providers.\\textsuperscript{29} Congress gave the FCC this authority \"[i]n order to protect wireless service providers from the potential of numerous states undertaking to impose different regulatory structures on a local level . . . .\"\\textsuperscript{30} Cumulatively, these provisions create a general federal policy that discourages state and local regulation of the wireless industry.\n\n\\textsuperscript{25} See Lawrence J. Movshin, \\textit{Developments in the Wireless Communications Marketplace: The Year in Review and a Look to the Year Ahead}, in \\textit{TELECOMMUNICATIONS: POLICY AND REGULATION 1994}, at 97 (PLI Pat., Copyrights, Trademarks, and Literary Prop. Course Handbook Series No. G4-3930, 1994). \\textit{See} 107 Stat. at 393. The act also authorized the FCC to issue licenses to wireless service providers via auction. \\textit{See} 107 Stat. at 387. A byproduct of the act was the finalization of the FCC's rules governing PCS, due to a \"Congressional mandate to begin the licensing process for PCS by May, 1994.\" Movshin, \\textit{supra}, at 116. PCS licenses were the first awarded under the act's competitive bidding method. \\textit{See} Brovey, \\textit{supra} note 21, at 67.\n\n\\textsuperscript{26} \\textit{See} 107 Stat. at 395-96.\n\n\\textsuperscript{27} \\textit{See} Movshin, \\textit{supra} note 25, at 105-06.\n\n\\textsuperscript{28} \\textit{Id.} at 107.\n\n\\textsuperscript{29} \\textit{See id.} at 110. \\textit{See} 107 Stat. at 394.\n\n\\textsuperscript{30} \\textit{See} Movshin, \\textit{supra} note 25, at 110.\n\nB. New York Case Law\n\nIn New York, wireless service providers are classified as public utilities for purposes of local zoning and, as such, are entitled to a more lenient standard of review pursuant to an application for a use variance. The Court of Appeals, in *Cellular Telephone Co. v. Rosenberg*, held that a cellular telephone company is a public utility and that the construction of a cellular antenna tower is a public utility building. Following *Rosenberg*, a wireless service provider, in an application for a use variance, must show only that the proposed use \"is a public necessity in that it is required to render safe and adequate service, and that there are compelling reasons, economic or otherwise,\" as to why the variance should be granted. Further, \"where the intrusion or burden on the community is minimal, the showing required by the utility should be correspondingly reduced.\"\n\nC. Telecommunications Act of 1996\n\nThe Telecommunication Act of 1996 (TCA) completely revised telecommunication and broadcasting regulation in the United States. The act \"was intended to remedy what were seen as inhibitors in the broadcasting and telecommunications markets.\" The TCA specifically states that its purpose is \"to promote competition and reduce regulation in order to secure lower prices and higher quality services for American telecommunications consumers and encourage the rapid deployment of new telecommunications technologies.\"\n\n---\n\n31 624 N.E.2d 990 (N.Y. 1993).\n32 See id. at 993.\n33 Id. at 994 (quoting Matter of Consolidated Edison Co. v. Hoffman, 374 N.E.2d 105 (N.Y. 1978)).\n34 Id.\n35 Pub. L. No. 104-104, 110 Stat. 56 (1996) (amending Communications Act of 1934, 47 U.S.C. sec. 151 (1934)).\n36 Robert A. Heverly, Dealing with Towers, Antennas, and Satellite Dishes, LAND USE LAW, Nov. 1996 3, 4 (1996).\n37 110 Stat. at 56.\n\nSection 704 sets forth the framework for the exercise of local zoning authority regarding the siting of all wireless facility infrastructure. Most importantly, section 704(a) preserves local zoning authority over the placement, construction and modification of wireless service facilities, subject to the following limitations.\\textsuperscript{38} Local zoning cannot prohibit or effectively prohibit wireless facilities, and may not unreasonably discriminate among providers of functionally equivalent services.\\textsuperscript{39} Section 704(a) requires local authorities to respond to applications from wireless carriers within a reasonable period of time, and mandates that if a wireless provider’s application is denied, the decision must be in writing and supported by substantial written record evidence.\\textsuperscript{40} Further, municipalities may not regulate wireless facilities on the basis of the health effects of radiofrequency emissions, providing that the facilities comply with FCC emission standards.\\textsuperscript{41}\n\nSection 704 also contains directives aimed at federal agencies and the federal government. Section 704(b) requires the FCC to promulgate and make effective new rules regarding the environmental effects of radiofrequency emissions, within 180 days of the TCA’s enactment.\\textsuperscript{42} Section 704(c) states that the federal government must\n\n\\textsuperscript{38} See id. at 151.\n\n\\textsuperscript{39} See id. at Section 704(a)(7)(B)(i)(I), (II). “The [conference committee] report confirms that discrimination among ‘functionally equivalent services’ is limited to those services directly in competition with one another, and is intended to prevent a community from unreasonably favoring one competitor over another.” Heverly, supra note 36, at 6. The committee stated, “the conferees do not intend that if a State or local government grants a permit in a commercial district, it must also grant a permit for a competitor’s 50-foot tower in a residential district.” Telecommunications Act of 1996, Conference Report 104-458, at 208 (1996). The committee’s statement “reinforce[s] the idea of local flexibility in addressing the different concerns that arise from siting towers, such as aesthetics and safety.” Heverly, supra note 36, at 6.\n\n\\textsuperscript{40} See 110 Stat at 152.\n\n\\textsuperscript{41} See id.\n\n\\textsuperscript{42} Id. The FCC’s new radiofrequency emissions standards will go into effect on September 1, 1997. Telephone Interview with Neil McNeil, FCC Office of Engineering and Technology (Mar. 10, 1997). In the interim, cellular\n\nmake publicly owned land under federal control available for wireless facilities siting, and requires the FCC to provide technical support to the states to encourage them to make property under their jurisdiction available for the same purpose.\\textsuperscript{43}\n\nClearly, section .704 balances traditional local control over land uses with the need to ensure the full development of wireless services in a competitive market. Under the TCA, then, local governments' zoning authority over the placement, modification and construction of wireless facilities is protected, and limited only by specific provisions designed to enable carriers to provide for adequate coverage.\n\nIII. Local Concerns Remain\n\n\"[Residents] don't care what the law says -- they know what they're concerned with.\"\\textsuperscript{44} These words succinctly summarize the feelings of community residents who are faced with the prospect of siting yet another wireless facility. Given that wireless facilities are typically designed with function, not appearance, as the primary goal, residents often oppose the siting of wireless facilities based on aesthetic concerns. Obviously, \"[t]heir imposing height and conspicuous appearance do not easily allow the [wireless] facility to blend in with more traditional surrounding land uses.\"\\textsuperscript{45} Cellular industry representatives, in response, point out that as the wireless communication industry shifts toward using \"state of the art\" PCS technology, communities will see a proportional decrease in the height of proposed antenna towers and an increase in building-\n\n\\textsuperscript{43} 110 Stat. at 152.\n\n\\textsuperscript{44} Catherine Lederer-Plaskett, Greenburgh resident, Remarks at Pace University's Conference on Wireless Communications (Mar. 9, 1996).\n\n\\textsuperscript{45} Cleary Consulting, Town of Mamaroneck Cellular Antenna Siting Study, Sec. 3: Local Concerns, Jan. 1995 [hereinafter Cleary].\n\nmounted antennas.\\textsuperscript{46} Critics of this reasoning, however, argue that \"[t]his may be true for urban areas, which have the requisite density for this to happen, but the rural landscape will always lack the tall buildings that can serve as support devices.\"\\textsuperscript{47}\n\nAesthetics, however, are not the only concern. Despite the TCA's mandate that municipalities may no longer regulate wireless facilities based upon health concerns, residents nevertheless remain unconvinced that the FCC radiofrequency emission standards provide an adequate safeguard. \"The radio frequency emissions associated with the installation of cellular equipment often represent an unseen threat to neighbors who are bombarded by the technical jargon used by the industry to explain potential impacts. Unlike effluent discharging from the end of a pipe or smoke curling from the top of a chimney, radio frequency emissions are invisible, and are therefore suspect.\"\\textsuperscript{48}\n\nLocal officials and community residents are understandably most concerned about the seemingly inevitable proliferation of wireless communication sites. As of December, 1994 there were 17,920 wireless facility sites in the United States, representing a substantial increase from the 384 sites in place ten years prior.\\textsuperscript{49} By April, 1996 the number of sites had increased to more than 22,000.\\textsuperscript{50} Even more intimidating is the prospect of accommodating the 100,000 wireless facility sites which industry analysts predict will be the minimum number needed by the year 2003.\\textsuperscript{51} Wireless service providers are faced with two ongoing problems which necessitate siting additional facilities: capacity and coverage. Each cell, whether it operates using analog or digital technology, can accommodate only\n\n\\begin{itemize}\n\\item \\textsuperscript{46} See Gregory, \\textit{Survey}, supra note 18, at 2.\n\\item \\textsuperscript{47} \\textit{Id.}\n\\item \\textsuperscript{48} Cleary, \\textit{supra} note 45, at § 3.\n\\item \\textsuperscript{49} See Michelle Gregory, \\textit{Local Planning Issues in Siting Cellular Towers}, \\textit{ZONING NEWS}, June 1995, at 1.\n\\item \\textsuperscript{50} See Wireless Telecommunications Bureau, FCC, Fact Sheet: New National Wireless Tower Siting Policies, at 14 (Apr. 1996) [hereinafter Tower Siting Facts].\n\\item \\textsuperscript{51} See Gregory, \\textit{Survey}, supra note 18, at 1.\n\\end{itemize}\n\na finite number of users at one time. Once that number is reached, additional users who attempt to get on the system will be denied access. As more subscribers are added, more users will demand access; the system's capacity is therefore increasingly stretched. In addition to capacity problems, coverage problems arise from \"dead spots\" inherent in the \"line of sight\" technology. In order to maintain adequate service in light of these problems, cells must be \"divided\": what was once one cell now becomes, for example, four cells, each requiring its own base station. The effective radiated power of each of these cell sites is then reduced, so that frequencies may be reused at closer intervals without interference.\n\nDue to the enactment of the TCA, municipalities may no longer directly or indirectly prohibit the provision of wireless communication services. In other words, as cells are divided in response to capacity or coverage problems, and additional base stations are required, municipalities must accommodate the siting of these facilities. Remember, however, that localities are dealing with multiple systems: traditional cellular carriers and PCS providers. Under the current licensing systems, municipalities may have to deal with as many as seven separate systems.\\(^{52}\\) And each of these systems will inevitably be \"dividing.\"\\(^{53}\\)\n\nThe difficulty of coping with wireless facility proliferation is\n\n\\(^{52}\\) See Rachelle Chong, FCC Commissioner, Remarks of, To the Cellular Telecommunications Industry Association in New Orleans at 4 (Feb. 1, 1995).\n\n\\(^{53}\\) In addition to proliferation concerns, the overlap of cellular and PCS service areas presents another potential problem for municipalities: cellular sites may become antiquated in light of the more advanced PCS technology. The concern is that carriers will switch to PCS technology and abandon old cellular sites, without removing the now-useless cellular equipment. Ordinances which require that abandoned or unused wireless facilities be removed after a period of time are difficult to enforce since, at most, failure to remove would only be a violation. A better alternative would be to require carriers to post a bond, or other comparable security, prior to wireless facility siting approval and sufficient to cover the cost of future removal. Such a provision would arguably be upheld as analogous to requiring performance bonds or other security as an alternative to the installation of infrastructure and improvements, prior to subdivision approval. See N.Y. TOWN LAW § 277(9).\n\nillustrated by the attempts of some municipalities to require co-location. Co-location is obviously an attractive and valuable option for municipalities, but there are limitations to this strategy. One concern is that the grouping of antennas may impact performance standards. Also, “[r]equiring competitors to share towers may inhibit competition [in contravention of one of the TCA’s main goals], in that each competitor’s geographic coverage would be similar, if not identical, and would thus decrease the potential for competition among and between them. Additionally, technology itself may preclude co-location . . . . Finally, unless a municipality owns a particular tower, . . . it may be difficult to require that owner to allow others on the tower.”\\textsuperscript{54} In short, co-location should be encouraged, but cannot be counted on as the solution to the proliferation problem.\\textsuperscript{55}\n\nIV. Municipal Control Over the Siting of Wireless Facilities\n\nIt is important to remember that the TCA specifically preserves local zoning authority over the siting of wireless communication facilities. Under the TCA, the primary limitation on this local authority is that municipalities cannot prohibit a wireless carrier from providing adequate service. Admittedly, this limitation may pose some concerns under the traditional zoning system.\n\nFor example, suppose under the local ordinance a wireless facility site is not permitted, either as of right or as a special use. In that case, a variance would be needed in order to site the facility. Although the variance application process generally affords a\n\n\\textsuperscript{54} Heverly, \\textit{supra} note 36, at 8.\n\n\\textsuperscript{55} It is interesting to note that the PCIA publishes a “Co-Location Guide,” which “is intended to be a resource for helping wireless communication service providers implement an effective co-location strategy through identifying the primary professional site management companies that offer properties, sites, towers, or structures suitable [for] basing antennas, transmitters, and base stations.” \\textit{See} The PCIA Co-Location Guide, (visited Oct. 13, 1998) available at <http://www.pcia.com/soma.htm>.\n\ntremendous amount of control to localities, they have less discretion in denying variances to wireless providers. In addition to the more lenient standard of review afforded to wireless providers as public utilities, review of their variance applications must take into account whether a \"gap\" in service would result if the application was denied. If so, denial of the variance may be considered a prohibition; if denial of a variance results in a \"gap\" in service, the TCA may thus require that the variance issue.\\textsuperscript{56} Similarly, while localities may certainly impose reasonable restrictions attendant to most local permitting decisions, some restrictions may not be upheld under the TCA. If, for example, requiring co-location as a condition of approval effectively prohibits service, then such requirement is preempted under the TCA.\n\nMunicipalities, however, can maximize their control over the siting of wireless facilities, and yet comply with the TCA mandates, by utilizing traditional zoning mechanisms to create a system of incentives. Although municipalities cannot prohibit wireless communication siting, local officials may certainly identify the best and worst places for these facilities and structure an incentive system which would guide wireless carriers to preferred locations. Logically, if municipalities structure their zoning ordinances to make it less burdensome for wireless carriers that choose preferred sites, while making it more burdensome for those who choose less preferable sites, carriers will likely choose the \"path of least resistance.\" In addition to enticing carriers to opt for the most preferable sites, an incentive system enables maximum control over aesthetics, and may be used to encourage co-location in order to minimize the proliferation of wireless communication sites.\n\n\\textsuperscript{56} See Heverly, \\textit{supra} note 36, at 7.\n\nA. Paradigm Incentive System: Special Permits and Site Plans\n\nSpecial uses are those authorized by the zoning ordinance, but subject to the imposition of special conditions imposed to mitigate negative impacts on the surrounding community. These conditions must be reasonable, and directly related to and incidental to the special use permit.\\textsuperscript{57} One possible, and very efficient, incentive system may be structured using the traditional special permit process.\\textsuperscript{58} What follows is an illustration of how this process could be structured.\n\nThe first step under this special permit incentive system requires local officials to initiate a study to identify potential wireless facility sites and to “rank” them according to their suitability. Residential areas and other “sensitive” properties (perhaps schools or hospitals)\\textsuperscript{59} would generally be the least favorable sites, while existing wireless facility sites would be the optimum location at which to co-locate additional facilities. Other examples of possible preferred sites include industrial and commercial areas, locations along major thoroughfares, and existing towers and other tall structures in non-residential areas. One commentator suggests additional considerations which should not be overlooked in deciding\n\n\\textsuperscript{57} See N.Y. Village Law § 7-725-b(4); N.Y. Town Law § 274-b(4); N.Y. Gen. City Law § 27-b(4).\n\n\\textsuperscript{58} A note of caution: a special permit use may be construed as a legislative declaration “that the permitted use is in harmony with the general zoning plan and will not adversely affect the neighborhood.” North Shore Steak House, Inc. v. Village of Thomaston, 30 N.Y.2d 238, 243 (1972). Therefore, municipalities that regulate wireless facilities as special permit uses must counter this presumption by including specific language in their ordinances: that the municipality acknowledges its responsibilities under the TCA; that the classification of wireless facilities as a special use is solely in recognition of the carriers’ obligation to provide service consistent with the mandates of the TCA; that no presumption should be derived that this use is harmonious with the general zoning plan and will not adversely affect neighborhood character.\n\n\\textsuperscript{59} “Sensitive” properties are found in areas where the design integrity is such that to site wireless facilities within them would be inconsistent with maintaining their existing neighborhood character.\n\nwhich sites are the best and worst possibilities:\n\nIf existing structures are lacking, look for opportunities to blend antennas into existing blight. If monopoles are a necessity, then siting them in industrial areas, utility substations, sewer and water facilities, power plants, and similar locations may spare [sensitive] neighborhoods. . . . Not to be overlooked are highway rights-of-way . . . [since] monopole variants exist that mimic light poles and blend into freeway environments. Existing support structures for large highway signs essentially are monopole sections. They can be extended to hoist antennas, as can lighting towers at school athletic fields and communications poles at fire stations.\\(^{60}\\)\n\nNext, the local legislature should specify the conditions to be imposed on the grant of special permits to wireless providers. The type and number of conditions imposed must vary depending on the preferability or sensitivity of the location chosen by the carrier. The “heaviest” conditions would naturally be imposed on special permits for the siting of wireless facilities in residential and other sensitive areas. Less burdensome conditions may accompany special permits for siting facilities on preferred sites. The least conditioned special permits, it follows, generally would issue when permitting co-location on an existing wireless facility.\n\nMunicipalities, of course, are free to specify the extent and type of conditions required to address the individual needs of their communities. While no two zoning ordinances may be exactly alike, these conditions are generally based on aesthetic concerns, and are designed to minimize the adverse visual impacts of wireless facilities. For example, a special permit could be conditioned on approval of the\n\n\\(^{60}\\) Paul M. Rosa, *Launching Landscapes into the Wireless*, LAND TRUST ALLIANCE EXCHANGE, Spring 1995, at 7.\n\ngeneral design of the facility, specifying that it must be aesthetically and architecturally compatible with the surrounding neighborhood. Or, more specifically, municipalities may require that wireless towers be camouflaged or screened so that they blend in with the surrounding landscape and uses.\\textsuperscript{61} Other examples of conditions which may be imposed are those specifying landscaping, lighting and setback requirements. Conditioned special permits may also be used to encourage co-location. A special permit could be conditioned, for instance, upon a showing of a good faith effort on the carrier’s part to co-locate on existing facilities. Or a municipality could arguably go even further and issue a special permit for the construction of a new base station only on the condition that there is no other technically suitable space available on an existing tower. Regardless of the extent and type of conditions imposed, however, local officials must keep in mind not only that all conditions must be reasonable and incidental to the special use permit, but also that they must not result in an interference with the provision of service, or they will be seen as an effective prohibition and thus will be preempted.\n\nThe final step in this paradigm incentive system entails a determination of the circumstances under which site plan approval will be required for siting wireless facilities; where a site plan is required, the special permit for a wireless facility would not issue until the site plan has been approved. State law does not require localities to adopt site plan regulations, but instead allows them to do so, subject to compliance with state law. If site plan regulations are adopted, they must “specify the land uses that require site plan approval and the elements to be included on plans.”\\textsuperscript{62}\n\n\\textsuperscript{61} \\textit{See id.} There are several companies which specialize in the manufacture of camouflaged towers; one of the largest of these is Arcnet, Inc., in Holmdel, N.J. Stealth Network Technologies, an Ohio company, offers materials that function as screening devices but are designed to blend in with existing architecture. The materials are radiofrequency neutral, allowing radio waves to pass through without significant loss of signal strength.\n\n\\textsuperscript{62} N.Y. VILLAGE LAW § 7-725-a(2)(a); N.Y. TOWN LAW § 274-a(2)(a); N.Y. GEN. CITY LAW § 27-a(2)(a).\n\nPursuant to this authority, then, localities may choose to require site plan review only in certain circumstances; conversely, localities may instead require site plan review in all cases, except as specifically exempted. In either case, the imposition of a site plan requirement on a wireless provider should take into account the preferability or sensitivity of the site chosen. To this end, municipalities should identify sites which are exempted from site plan review, in accordance with their previously established hierarchy of preferred and sensitive sites. In contrast, similar to imposing heavier conditions on special permits for siting wireless facilities in sensitive areas, siting wireless facilities in sensitive areas should also require site plan approval. Additionally, reasonable conditions and restrictions may also be imposed on a site plan approval, provided they are directly related to and incidental to the proposed site plan.\\(^{63}\\) So, by requiring site plan approval for less desirable sites, and by exempting designated preferred sites, the municipality provides further incentive for a wireless carrier to choose a more desirable site.\n\n**B. SEQRA**\n\nAn additional layer of incentives may be applied by using the municipality’s legal authority under SEQRA. Since determinations regarding special permit and site plan applications are “actions” under SEQRA,\\(^{64}\\) wireless facility sites which require these approvals will also require SEQRA review. This presents another opportunity for municipalities to influence a wireless carrier’s site selection, accomplished by building incentives into different stages of the SEQRA review process.\n\nThe first step requires the local legislature to adopt a resolution in order to provide guidance to its local agencies, usually\n\n\\(^{63}\\) See N.Y. Village Law § 7-725-a(4); N.Y. Town Law § 274-a(4); N.Y. Gen. City Law § 27-a(4).\n\n\\(^{64}\\) See N.Y. Envtl. Conserv. Law § 8-0105(4); N.Y. Comp. Codes R. & Regs. tit. 6, sec. 617.2(b). See also Weok Broadcasting Corp. v. Planning Bd. of Town of Lloyd, 79 N.Y.2d 373 (1992).\n\nthe Planning Board or the Zoning Board of Appeals, that are potential lead agencies in a SEQRA review of an application to site a wireless facility. The legislature should first make findings, based on credible studies, as to the negative effect of the proliferation of wireless facility sites and infrastructure on the general welfare and environment of the community, explaining that proliferation threatens the integrity of the community character, and potentially impairs existing neighborhood conditions.\\textsuperscript{65} Then, based upon these findings, the legislature should issue regulations governing local agency SEQRA review. These regulations should require local agencies to consider the effects of wireless infrastructure proliferation when reviewing potential sitings under SEQRA. For instance, the regulations could include a provision requiring wireless carriers to anticipate and disclose all potential sitings of wireless facilities within the community, and to list all possible methods of mitigating the identified negative impacts, including co-location.\n\nNext, local agencies should designate the siting of wireless facility infrastructure as a Type I action under SEQRA. Under current SEQRA regulations, wireless facilities are unlisted, although the regulations expressly state that construction or expansion of a wireless facility may not be considered a Type II action.\\textsuperscript{66} The regulations also specify that local agencies may adopt their own lists of additional Type I actions, in addition to those enumerated, provided that the newly-designated Type I action is not listed in the regulations as a Type II.\\textsuperscript{67} Local agencies are therefore authorized to\n\n\\textsuperscript{65} These findings should also make clear the legislature’s recognition of the importance of wireless service, and that the legislature does not intend to interfere with the TCA’s purpose of encouraging an effective, efficient wireless communication system.\n\n\\textsuperscript{66} See N.Y. COMP. CODES R. & REGS. tit. 6, § 617.4, 617.5(c)(7) (1995). Note that the criteria for determining the significance of the impact of an action on the environment includes “the creation of a material conflict with a community’s current plans or goals as officially approved or adopted.” N.Y. COMP. CODES R. & REGS. tit. 6, § 617.7(c)(1)(iv)(1995). The proposed siting of a wireless facility on a sensitive site would constitute a material conflict.\n\n\\textsuperscript{67} See id. § 617.4(a)(2).\n\ndesignate the siting of wireless facilities as a Type I action, which carries with it the presumption that such siting will have a significant adverse environmental impact, and thus requires a wireless provider to provide a full Environmental Assessment Form (EAF). Local agencies may choose to designate wireless facility siting as a Type I action in every instance, or instead may designate it as such only if sited in certain specified zones or locations. If the local agency does not make such a designation, or designates wireless facility siting as a Type I action only in certain cases, the agency may still mandate that wireless providers submit a full EAF, which would include all the required disclosures.\\(^{68}\\)\n\nThe next step is key: pursuant to the legislative requirements previously discussed, the local lead agency should structure its EAF so that wireless providers are required to anticipate and disclose their anticipated future needs and siting requirements which may involve the locality. Although wireless providers frequently argue that local officials are restricted to considering only the impact of the application before them, the SEQRA regulations expressly state otherwise. The regulations mandate that the lead agency, in evaluating the potential adverse environmental impacts of an action, \"must consider reasonably related long-term, short-term, direct, indirect and cumulative impacts, including other simultaneous or subsequent actions which are: (1) included in any long-range plan of which the action under consideration is a part . . . \"\\(^{69}\\) Obviously, wireless providers do not plan their systems in a vacuum, and in light of predictable capacity and coverage problems it is reasonable to think that they have at least some idea of their future system requirements. Pursuant to the SEQRA regulations, and perhaps in accordance with a legislative directive as discussed above, local agencies should require wireless providers to disclose this\n\n\\(^{68}\\) See id. sec. 617.6(a)(3) (unlisted actions).\n\n\\(^{69}\\) See id. sec. 617.7(c)(2) (emphasis added). The long-range plan of the community in this context is the combination of all of the actions discussed above which, when taken together, create the municipality’s approach to fulfilling the mandates of the TCA.\n\ninformation in the EAF. The agencies may then use this information to monitor the proliferation of wireless services, to track locations which are chosen by wireless providers, to shift incentive-structured zoning ordinances accordingly, and to revisit and restructure their long-range plan accordingly.\n\nC. Putting the Incentive Layers Together\n\nThe following examples illustrate some possible results stemming from an application to site a wireless facility, where the local system is structured as discussed above. An application to site a wireless facility in a residential area, for example, would impose the greatest burden on carriers. The special permit would be heavily conditioned and site plan review would be required, the approval of which would also be conditioned. The site plan review would trigger SEQRA, under which the siting would be designated a Type I action, carrying a presumption of significant adverse environmental impact and requiring submission of a full EAF. The EAF would require that the carrier fully disclose all potential future system requirements in the community, and a Draft Environmental Impact Statement (DEIS) will also be required.\n\nCompare, for example, how an application for siting a wireless facility on certain municipal property may impose less of a burden on a wireless provider, thus providing the incentive for a wireless provider to choose that location. In this case, the special permit may issue quickly and with minimal conditions. Site plan review may still be required, but site plan approval would also be less conditioned. SEQRA review would again be necessary, but in this case the action is unlisted. While a full EAF may still be necessary, including full disclosure, siting a wireless facility in this particular location would more likely result in a negative declaration, allowing the carrier to forego submission of a DEIS, thereby providing a powerful incentive for the carrier to choose this site.\n\nOn the furthest end of this hypothetical spectrum, for example, may be an application to co-locate wireless infrastructure on an existing facility on municipal property. The approval process\n\ncould be set up so as to impose the least burden on a wireless provider that opted to site a facility in this manner. In this case, the special permit could be the least conditioned, or could issue with no conditions attached, and site plan review may not be required. While SEQRA review is still necessary, the action is unlisted and does not require a full EAF. Most importantly, siting a wireless facility in this particular location would even more likely result in a negative declaration, allowing the carrier to escape submission of the time consuming, and costly, DEIS.\n\nIn sum, traditional local zoning tools may be utilized in such a way as to maximize local control over the siting of wireless facilities. Special permits, site plan review and SEQRA may be combined, for example, in such a way as to create a system of incentives. This incentive system creates a \"path of least resistance,\" leading wireless providers to opt for locations which the municipality has deemed most suitable, while not eliminating other sites that carriers may deem necessary for adequate service to the community.\n\nD. Moratoria\n\nAnother traditional zoning tool which has retained its vitality under the TCA is the use of reasonable moratoria on applications for wireless siting. Enactment of a moratorium \"will be considered a valid stopgap or interim measure where it is reasonably designed to temporarily halt development while the municipality considers . . . comprehensive zoning changes.\" To be upheld, a moratorium must be enacted for a valid, reasonable purpose and for a reasonable period of time. A reasonable moratorium on wireless facility siting, then, may be enacted while a municipality creates, or restructures, its approach to accommodating wireless providers.\n\n70 Cellular Telephone Co. v. Village of Tarrytown, 624 N.Y.S.2d 170, 176 (2d Dep't 1995).\n71 See id.\n\nOne such reasonable moratorium was recently upheld in *Cellular Telephone Co. v. Town-Village of Harrison*.\\(^{72}\\) There, the municipality’s existing zoning did not address wireless facilities siting. Harrison officials enacted a ninety-day moratorium on the review or approval of wireless antenna facilities, to enable the town to address the comprehensive zoning of wireless antennas and to develop adequate criteria for the review process. The moratorium was upheld as a legitimate exercise of municipal power. According to the court, the moratorium constituted a reasonable measure designed to give the town an opportunity to enact zoning changes to rationally meet the need to address the increasing number of wireless provider applications.\\(^{73}\\)\n\nAdditionally, at least one federal court has upheld reasonable moratoria as consistent with the mandates of the TCA. In *Sprint Spectrum v. City of Medina*,\\(^{74}\\) Sprint argued that Medina’s enactment of a moratorium violated the “reasonable time” provision of the TCA.\\(^{75}\\) The court held that the moratorium was not a prohibition, nor did it have a prohibitory effect. It was instead a reasonable suspension of permit-issuing, consistent with the TCA’s affirmation of local zoning authority.\\(^{76}\\) One commentator cautions, however, that while *Sprint* may be persuasive in other jurisdictions, its particular circumstances should be heeded.\\(^{77}\\) Particularly noteworthy may be\n\n---\n\n\\(^{72}\\) N.Y. L.J. Nov. 30, 1995 (col. 3), Supreme Court, Westchester Co. (Nov. 30, 1995).\n\n\\(^{73}\\) Of even greater importance is what followed. The resulting ordinance restricts wireless facility siting to approximately five percent of available land. AT&T’s pending challenge in federal court alleges that this restriction is effectively a prohibition and, as such, violates the mandates of the TCA. *Cellular Telephone Co. v. Town-Village of Harrison*, No. 96 Civ. 135 (S.D.N.Y., filed Feb. 23, 1996). The outcome of this case will be crucial in defining the parameters of local discretion in determining which, and how much, of its land it is required to make available to wireless providers.\n\n\\(^{74}\\) 924 F. Supp. 1036 (D. Wash. 1996).\n\n\\(^{75}\\) Section 704(a) of the TCA requires local authorities to respond to applications from wireless carriers within a reasonable period of time.\n\n\\(^{76}\\) See 924 F. Supp. at 1040.\n\n\\(^{77}\\) See Heverly, *supra* note 36, at 7.\n\nthe fact that the moratorium was enacted only five days after the TCA went into effect, and while no applications were pending.\\textsuperscript{78} Additionally, \"the resolution was careful not only to address local concerns, but also to mention ensuring competition as part of the basis for its moratorium; the inclusion of such language was certainly a reflection of the city's understanding of the driving force behind the federal legislation, and was related to the need to study the issues raised by tower development.\"\\textsuperscript{79} One further caution: \"[a] moratorium that ignores the possible losses to a facilities developer due to regulatory pressures to complete its network may not be viewed in the same deferential light as the city of Medina's temporary measure was in the \\textit{Sprint Spectrum} case.\"\\textsuperscript{80}\n\nE. Other Municipal Tools\n\nOne additional method of addressing and controlling the proliferation of wireless facility sites is municipal property leasing. A municipality may encourage the siting of wireless facilities on land already being used for a public purpose, providing the new use does not frustrate or interfere with the existing public use of the land.\\textsuperscript{81} Besides stemming the proliferation of wireless facilities sites, municipal property leasing also provides a stream of revenue and may be used to negotiate reduced or no-fee wireless service contracts for the community. As with co-location, however, municipal property leasing should be encouraged but not required; an ordinance mandating that wireless facilities be sited on municipal lands constitutes a prohibition if those properties are not sufficient to allow carriers to provide adequate service, and thus would be preempted under the TCA.\n\nThe New York State Legislature is moving in this direction,\n\n\\textsuperscript{78} See id.\n\\textsuperscript{79} Id.\n\\textsuperscript{80} Id.\n\\textsuperscript{81} See Matter of Town of North Castle v. Planning Bd. of White Plains, No. 95-03946 (Supreme Court, Westchester Co. Aug. 17, 1995).\n\nexhibiting a new attitude toward the proliferation of wireless facilities: \"If you can't beat them, bill them.\"82 State Assembly Majority Leader Michael Bragman \"has introduced a bill that would force state agencies to inventory where towers have already been built and to propose a list of potential sites on state property -- rest stops along the state Thruway, state Department of Transportation facilities, state office complexes and the like -- where New York can profit by leasing the towers to communications companies.\"83 Bragman estimates that providing such locations to wireless providers could generate four million dollars a year in revenues for New York State.84\n\nMunicipal property leasing's revenue-raising potential makes it an attractive option for local officials, but it also may serve to balance residents' general opposition to wireless facilities in their communities. Very often, residents object to these facilities on the ground that their neighborhood bears all of the burden while receiving none of the benefits. If local officials are able to show that siting a wireless facility will generate revenues which will be directly applied to the community surrounding the site, then perhaps at least some residents will object a little less strenuously.\n\nSome municipalities have approved wireless facilities sites in exchange for the carrier's provision of a particular service to the community. The Town of Bedford, for example, had ongoing problems with their emergency communication systems. The entire town was, in the words of former Town Supervisor Lawrence E. Dwyer, Jr., a \"notorious dead spot.\"85 When NYNEX approached local officials about siting wireless facilities in the town, residents supported a compromise and cooperative effort: NYNEX assisted in a study of the entire area in order to identify all \"dead spots,\" it assessed the visual impacts of the proposed site and let the town\n\n---\n\n82 Joel Stashenko, Albany Sees Profit in Cell Phone Towers, TIMES HERALD RECORD, Feb. 24, 1997, at 37.\n83 Id.\n84 See id.\n85 Remarks of Lawrence E. Dwyer, Jr., at Pace University's Conference on Wireless Communications, Mar. 9, 1996.\n\nchoose the design and, most importantly, made cellular radios available for every emergency vehicle in the town. The town, therefore, took advantage of the situation and used the new technology to remedy what had been a serious public safety concern. Other communities have taken a more direct *quid pro quo* approach. For instance, a PCS carrier “won permission to install an antenna at Langley High School in McLean, Virginia, in exchange for lighting the baseball field.”\\(^{86}\\) The same carrier, in fact, “leased a pole site for $1,200 a month from the Brandywine Swim Club, a neighborhood pool that can now replace its cracked decks and 25-year-old filter.”\\(^{87}\\)\n\nV. Cooperation and a Proactive Approach\n\n“Fear often leads to knee-jerk responses on the part of communities, and that’s the wrong way to go.”\\(^{88}\\)\n\nRegardless of whether a municipality utilizes traditional zoning methods or whether local officials opt to incorporate a more creative approach, the key to maximizing local control over the siting of wireless facilities is for local officials to adopt a proactive approach. Many local ordinances still do not address wireless facility siting; other ordinances may address it, but they may not be structured so as to provide incentives, and thus do not maximize local control. It is crucial for local officials to structure an effective system for dealing with wireless facilities, so that municipalities may avoid hasty, reactionary legislation which may not best serve the community’s long-term interests.\n\nThe inevitability of the need for smaller and smaller cells means that most communities eventually will face the controversy. The wireless industry estimates that carriers will need to add 15,000 new cellular sites and 100,000 additional PCS sites over the next ten\n\n\\(^{86}\\) Mike Allen, *Wireless Systems Put Out Their Antennas*, N.Y. TIMES, May 27, 1996, at 29.\n\n\\(^{87}\\) *Id.*\n\n\\(^{88}\\) Remarks of Patrick Cleary, Cleary Consulting, at Pace University’s Conference on Wireless Communications, Mar. 9, 1996.\n\nyears.\\textsuperscript{89} In fact, FCC Commissioner Rachelle Chong bluntly predicted “that local and state governmental agencies will become completely overwhelmed by the sheer number of site applications . . .”\\textsuperscript{90} Communities that have mapped out an effective strategy for dealing with these applications, however, will be less overwhelmed. Perhaps more importantly, residents will likely view a proactive approach as evidence that local officials are safeguarding community interests to the greatest extent possible.\n\nIronically, municipal officials tend to overlook the one resource which could be most valuable to communities who wish to proactively address the issue: wireless providers. While the natural instinct may be for communities and wireless providers to adopt adversarial positions, that approach serves neither party. In light of the mandates of the TCA, municipalities that fight vigorously to prohibit wireless infrastructure will fight a losing battle. The reality is that “[m]unicipal impediments to network and service development are likely to be viewed with extreme hostility on the part of the developers, who will generally not hesitate long to take the pertinent issues to court for determination.”\\textsuperscript{91} Wireless providers, however, are motivated to avoid contention -- if at all possible -- so as to provide service as quickly and efficiently as possible. Contested zoning procedures are costly: contested sites may cost more than five times that of a non-contested site.\\textsuperscript{92} Additionally, companies incur large revenue losses and loss of goodwill when networks are delayed. Municipalities must remember that wireless providers have a right to locate in their communities; wireless providers must recognize that communities continue to have a role in regulating and permitting land uses such as wireless facilities. Given that the TCA very clearly reinforces this balance of power, “[a]n informed municipality will likely decide to work with the companies to identify sites appropriate\n\n\\textsuperscript{89} See Remarks of FCC Commissioner Rachelle Chong to the Cellular Telecommunications Industry Association, New Orleans, Feb. 1, 1995.\n\n\\textsuperscript{90} Id.\n\n\\textsuperscript{91} Heverly, \\textit{supra} note 36, at 9.\n\n\\textsuperscript{92} See Rosa, \\textit{supra} note 60, at 6.\n\nto the needs of both the wireless service provider and the community.\"93\n\nA. Model Approach: The Town of Greenburgh\n\nThe Town of Greenburgh's ordinance governing the siting of wireless facilities, effective September 12, 1996,94 was the result of a cooperative effort between town residents, local officials and NYNEX:\n\nWe recognized that wireless communication is here to stay,\" said Catherine Lederer-Plaskett, a resident who worked on the issue for the last three years. \"We tried to take the fight out of it by sitting down and reaching compromises. What we have is a law that protects neighborhoods while allowing companies to improve their service.\"95\n\nGreenburgh and NYNEX began working together after the town instituted a moratorium to which NYNEX's attorney strongly objected. Ms. Lederer-Plaskett recently explained how the town enlisted NYNEX's help, in lieu of battling over the validity of the moratorium in court: \"We said, 'but we want you to help us [create an ordinance].'\" And he stuttered, and then he did.\"96 The resulting ordinance, and the cooperative effort from which it was produced, is considered by many in the region to be the model approach for communities who address the wireless facility siting issue.\n\nGenerally, Greenburgh's ordinance utilizes what may be\n\n---\n\n93 Id. at 9.\n94 Town of Greenburgh, Local Law No. 7 (Sept. 12, 1996) (amending sec. 285 of the Greenburgh Town Code).\n95 Jonathan Bandler, Town Group Presents Proposal Regulating Cellular Antennas, REPORTER DISPATCH, Sept. 14, 1995.\n96 Remarks of Catherine Lederer-Plaskett at Pace University's Conference on Wireless Communications, Mar. 9, 1996.\n\ndescribed as a tiered approach, imposing \"placement conditions\" on the siting of all wireless facilities. Wireless providers are required first to attempt to place facilities near major thoroughfares and other specified preferred locations, then to consider other nonresidential areas, and then to look at residential locations. As a last resort they may locate wireless infrastructure within 350 feet of schools, parks, playgrounds, day care centers and health care facilities. Each step requires proof that the previous option would not be sufficient to provide adequate service.\\textsuperscript{97}\n\nThe ordinance classifies wireless infrastructure as a special permitted use in most cases, but does allow wireless facilities to be sited as-of-right in specified preferred areas, and then only if a tower is not needed and if maximum height requirements are satisfied.\\textsuperscript{98} All antenna towers, and monopoles except when permitted as-of-right, require special permits and are subject to further conditions, including those designed to minimize the \"aesthetic intrusion\" to the greatest extent practicable.\\textsuperscript{99} Additionally, co-location is encouraged by requiring that the carrier prove that a reasonable attempt to co-locate was unsuccessful due to enumerated technological, structural or engineering limitations, or due to an inability to secure a lease agreement at a reasonable cost.\\textsuperscript{100}\n\nThe ordinance also provides for periodic review of its provisions by an \"Antenna Advisory Board,\" whose members are appointed by the Town Board. Antenna Advisory Board members must be \"knowledgeable of Federal Communications Commission rulings, communications law and Town-wide planning objectives,\" since their job is to \"review ongoing advancements in antenna technology, zoning code compliance with [FCC] rulings, and offer recommendations to the Town Board regarding subsequent amendments and enforcement.\"\\textsuperscript{101}\n\n\\begin{itemize}\n\\item \\textsuperscript{97} See Town of Greenburgh Local Law No. 7, sec. 14(9).\n\\item \\textsuperscript{98} See id. sec. 14(8).\n\\item \\textsuperscript{99} See id. sec. 14(10).\n\\item \\textsuperscript{100} See id. sec. 14(11).\n\\item \\textsuperscript{101} Id. sec. 2.\n\\end{itemize}\n\nVI. Conclusion\n\nThe Telecommunications Act of 1996 did not undermine local control over the siting of wireless facilities. To the contrary, the TCA protects local governments' zoning authority over the placement, modification and construction of these facilities, limited only by specific provisions designed to enable carriers to provide adequate coverage. Pursuant to these provisions, local zoning must not prohibit or effectively prohibit wireless facilities, and may not unreasonably discriminate among providers of functionally equivalent services. Municipalities, however, may use traditional zoning tools to create incentive systems that will encourage wireless carriers to choose preferred sites over sensitive sites. The problem lies in the fact the many local ordinances still do not address wireless facility siting, or do not maximize local control over the siting of these facilities. Local officials will inevitably be faced with the controversy. Municipalities, then, must structure effective systems for addressing wireless facilities siting in order to avoid hasty, reactionary legislation which may ultimately be contrary to the community's long-term interests. This article suggests one way to structure an effective incentive system; given that the TCA clearly reinforces the balance of power between communities and wireless carriers, however, a cooperative effort between local officials and wireless providers is the optimum approach to producing an ordinance which will serve the needs of both the wireless carrier and the community.\n\n•"}}},{"rowIdx":204873,"cells":{"text":{"kind":"string","value":"2000 WORLD BAREFOOT WATER SKIING CHAMPIONSHIPS\nCommemorative Program\n\n12th World Barefoot\nFergus Falls, MN USA\nWater Skiing Championships\n\nAugust 22 - 27\nFergus Falls, Minnesota USA\n\nOtter Tail Power Company\nLRH Lake Region Hospital Corporation\nCoca-Cola\nCity of Fergus Falls\nFergus Falls Medical Group, P.A.\nQuality Care With A Kinder Touch\n\nCity Hall\n112 West Washington - P.O. Box 868\nFergus Falls, MN 56537\n218-739-2251\n\nVisit us at our websites\nCity of Fergus Falls\nwww.ci.fergus-falls.mn.us\nConvention & Visitor's Bureau\nwww.visitfergusfalls.com\n\n2000 World Barefoot Competition\n\nWelcome to Fergus Falls, MN, USA\n\nAs Mayor of the City of Fergus Falls, I am honored to welcome you to our city for this spectacular event. We are very proud of this community and pleased to share its beautiful river, lakes, neighborhoods and retail areas with you.\n\nDuring your stay here, please take time to walk along the paved trail that follows the Otter Tail River through downtown. Visit our specialty and antique shops. Enjoy a meal at our many restaurants. Stroll around Lake Alice, surrounded by historic homes and stately shade trees. Visit our historic Fergus Theater on Lincoln Avenue. Golf at our outstanding Pebble Lake Golf Course.\n\nWe have over 500 acres of parks within the city limits, including playgrounds, softball fields, tennis courts, beaches and camping facilities. As our guests, your enjoyment, comfort and convenience are our top priorities. Have a great time in Fergus Falls during this exciting event!\n\nSincerely,\n\nKelly Ferber\nKelly Ferber, Mayor\n\nOn behalf of the Upper Midwest Barefoot Water Skiing Association, and the World Barefoot Water Ski Championships Tournament Organizing Committee, we wish to extend a warm welcome to spectators, skiers and their families and friends, IWSF World Council Members, tournament Officials and members of the media. It is truly an honor to once again host this premiere event. We hope you will enjoy all that our city has to offer. We also ask that you take opportunities to support the businesses recognized in this program, and through tournament announcements. Without their support, this event would not be possible. And, finally, we wish all the competitors the best of luck!\n\nSincerely,\nDoug Koch & Pete Beithon, Tournament Coordinators\n\nParticipating Countries\n\nBelgium New Zealand\nCanada Netherlands\nFrance Norway\nGermany South Africa\nItaly Sweden\nAustralia United Kingdom\nAustria United States\nGreece\n\nTUESDAY\nAugust 22\n7:00 PM - OPENING CEREMONIES\nFeaturing the American Gold Gymnastics Elite Competitive Team\n\nWEDNESDAY\nAugust 23\n8:00-10:30 am Site Familiarization\n11:00am-6:00pm Elimination Round\nGroup D Male Tricks\nGroup C Male Slalom\nGroup B Female Jump\nGroup D Male Jump\n\nTHURSDAY\nAugust 24\n8:00 am-6:00 pm Elimination Round\nGroup B Male Slalom\nGroup D Male Slalom\nGroup B Male Tricks\nGroup C Male Jumps\nGroup B Female Slalom\nGroup C Male Tricks\nGroup A Female Jump\n\nFRIDAY\nAugust 25\n8:00 am-6:00 pm Elimination Round\nGroup A Female Tricks\nGroup B Male Slalom\nGroup B Male Jump\nGroup A Male Tricks\nGroup B Female Tricks\nGroup A Male Jump\n\nSATURDAY\nAugust 26\n8:00 am-5:00 pm Semi-Final Round\nFemale Slalom\nMale Slalom\nFemale Tricks\nMale Tricks\nFemale Jump\nMale Jump\n7:00 pm Little Crow Ski Show\n\nSUNDAY\nAugust 27\n8:00 am-6:00 pm Final Round\nFemale Slalom\nMale Slalom\nFemale Tricks\nMale Tricks\nFemale Jump\nMale Jump\n\nWe Can Keep You Connected!\n\nThe Midweek and The Heartland Shopping News are FREE circulation papers that are distributed weekly with 100% market coverage in 58 communities of west central Minnesota and southeastern North Dakota.\n\nwww.themidweek.com\n\nThe Midweek’s Vacation Guide is published monthly throughout the summer and is a FREE valuable source of information on where to go and what to do while you’re enjoying the area. You will also find a very useful map inserted in each issue to help you get where you want to go.\n\nSo you really liked the area! Pick up a copy of our Todays Home and find an excellent source for real estate. You may also view this publication online at: www.todayshome.net\n\nAGRI-GUIDE\nA bi-weekly publication reaching over 43,000 farmers and ranchers in a 5 state area!\nOnline at: www.agguide.com\n\nOur professional Web designers and programmers bring audio, visual and full color elements together to get the results you need, and want! For more information visit us online at: www.mnwww.com\n\n831 East Vasa, Fergus Falls, MN • 218-739-3308 • 800-950-2006\n\n2000 World Barefoot Competition\n\nFROM THE EAST ...\n\nTHESE ARE THE TEAMS, DISPLAYED WITH THEIR RESPECTIVE FLAGS, AND INDIVIDUALS WHO HAVE EARNED WORLD TITLES SINCE THIS TOURNAMENT ORIGINATED IN 1978.\n\nAUSTRALIA\n\n| | MEN | WOMEN |\n|----------------|--------------|----------------|\n| SLALOM | Brett Wing | Colleen Wilkinson |\n| STARTS | Brett Wing | Colleen Wilkinson |\n| TRICKS | John Stekelenberg | Gillian Shipp |\n| JUMP | Greg Adams | NA |\n| OVERALL | Brett Wing | Colleen Wilkinson |\n\nAUSTRALIA\n\n| | MEN | WOMEN |\n|----------------|--------------|----------------|\n| SLALOM | Ron Scarpa | Kim Lampard |\n| STARTS | Gavin O'Mahoney | Kim Lampard |\n| TRICKS | Mike Seipel | Debbie Pugh |\n| JUMP | Peter Wellham| NA |\n| OVERALL | Mike Seipel | Kim Lampard |\n\nUNITED STATES\n\n| | MEN | WOMEN |\n|----------------|--------------|----------------|\n| SLALOM | Ron Scarpa | Jennifer Calleri |\n| TRICKS | Rick Powell | Lori Powell |\n| JUMP | Rod Trevillian | Steffi Herman |\n| OVERALL | Rick Powell | Lori Powell |\n\nUNITED STATES\n\n| | MEN | WOMEN |\n|----------------|--------------|----------------|\n| SLALOM | Brian Fuchs | Jennifer Calleri |\n| TRICKS | John Pennay | Jennifer Calleri |\n| JUMP | Brett Fritsch| Sharon Stekelenberg |\n| OVERALL | John Pennay | Jennifer Calleri |\n\nUNITED STATES\n\n| | MEN | WOMEN |\n|----------------|--------------|----------------|\n| SLALOM | Keith St. Onge | Nadine DeVilliers |\n| TRICKS | Ron Scarpa | Sharon Dodgson |\n| JUMP | Brett New | Nadine DeVilliers |\n| OVERALL | Ron Scarpa | Sharon Dodgson |\n\n... TO THE WEST\n\nREDWOOD CITY\nMEN\nSLALOM 8\nSTARTS 0\nTRICKS 2\nJUMP 6\nOVERALL 8\n\nWOMEN\nKim Lampard\nDebbie Pugh\nKim Lampard\nNA\nKim Lampard\n\nAUSTRALIA\n8 0\n\nACAPULCO\nMEN\nMike Seipel\nBrett Wing\nBrett Wing\nRon Scarpa\nBrett Wing\n\nWOMEN\nKim Lampard\nLori Powell\nDebbie Pugh\nNA\nKim Lampard\n\nUNITED STATES\n8 6\n\nKELHEIM\nMEN\nRon Scarpa\nMike Seipel\nGavin O’Mahoney\nMike Seipel\n\nWOMEN\nKim Lampard\nKim Lampard\nMichelle Dougherty\nKim Lampard\n\nUNITED STATES\n9 0\n\nJACKSONVILLE\nMEN\nBrett Sands\nRon Scarpa\nMike Seipel\nRick Powell\n\nWOMEN\nJennifer Calleri\nAmy Lawler\nJennifer Calleri\n\nUNITED STATES\n9 2\n\nTHURROCK\nMEN\nRon Scarpa\nRon Scarpa\nLane Bowers\nRon Scarpa\n\nWOMEN\nJennifer Calleri\nJennifer Calleri\nBeth Leboff\nJennifer Calleri\n\nUNITED STATES\n9 6\n\nFERGUS FALLS\nMEN\nBrett Sands\nRon Scarpa\nMario Moser\nRon Scarpa\n\nWOMEN\nJennifer Calleri\nSharon Dodgson\nJennifer Calleri\n\n* Photographs on these pages from the Water Ski Museum/Hall of Fame Archives\n2000 World Barefoot Competition\n\nOn April 20, 2000, at a banquet in Winter Haven, Florida, the American Water Ski Educational Foundation made Mike Seipel the 44th inductee into the Water Ski Hall of Fame.\n\nFor fans of water skiing, Mike Seipel’s name is synonymous with barefoot water skiing. The Wisconsin native played a major role in transforming barefooting from a curiosity into today’s sophisticated sport. While recreational barefooting was still relatively unknown, Seipel foresaw its potential. He gave the young sport the spark it needed, pioneering as competitors, promoter, instructor, and product developer.\n\nSkier: The Seipel story contains many firsts. His meteoric rise to the top of the barefoot world began in 1970, when he learned to barefoot at the age of 10. Barefooting then was a stunt performed by daredevils in ski shows. During the 70’s, Seipel honed his footing skills as he performed in a Wisconsin show ski club, the Waterbugs. Although many people ridiculed Seipel’s relentless effort to learn then unheard-of maneuvers, he persisted, exhibiting the determination that became his trademark.\n\nCompetitive barefooting was in its infancy in the late nineteen seventies. Seipel’s youthful exuberance, dedication and skill could not have come at a better time for the growth and development of the sport. In 1978, Seipel, with 41 other athletes, attended the first U.S. National Barefoot Championship in Waco, Texas. Seipel joined the United States Barefoot Team and competed at the first world barefoot championships ad Canberra, Australia, in November 1978.\n\nPromoter: Seipel made his debut on the national media stage in 1980, when he made two appearances on the popular ABC television show, That’s Incredible. His demonstrations of sophisticated maneuvers such as toe turns and barefoot jumping showed the public, for the first time, barefooting’s best moves. Seipel went on to demonstrate high-level barefooting on other national programs, including PM Magazine, You Asked For It, and MTV Sports.\n\nCompetitor: In the early 80’s, when barefoot tricks were often done in a rough-and-tumble way, Seipel gave the sport needed elegance as he perfected many maneuvers in a clean, upright style. This sophisticated technique allowed him to set world records in the trick event. He was the first footer to do the one-foot 360 turn and a stepover back-to-front feet-to-feet in competition. He was the first U.S. footer to accomplish the toe turn.\n\nSeipel destroyed the competition in jumping when he pioneered the inverted style. Before Seipel developed the arresting style - in 1990, every competitor jumped in the “chair” position. The only one to use the laid-out position, he easily won the 1990 national and world jump titles along with setting national and world jump records.\n\nWhen Seipel retired from competition in 1995, after 17 years on the grueling circuit, he had accumulated 11 national titles, four event world titles, two overall world titles, and none world records. An omnipotent competitor, Seipel had been named to the U.S. team nine times.\n\nInstructor: In the early 80’s, when specialized schools for barefooting did not exist, Seipel began the first year-round school for barefoot water skiing. The school, in Lantana, Florida, drew both first-time learners and a “Who’s Who” from the competitive scene. Students trekked to Seipel’s\n\n(... continued on the top top of the next page ...)\n\nschool from every corner of the planet. To spread his knowledge throughout the country, he set up branches of his Barefoot International school in Byron, California, and Milwaukee, Wisconsin, seizing the moment, Seipel hit the road, conducting coaching clinics for eager students throughout North America, Europe, Australia, Africa and Asia.\n\nProduct Developer: Without argument, the tool most responsible for taking barefooting from a stunt to a mainstream activity is the horizontal boom. Though a few skiers used makeshift booms in earlier years, Seipel became the first, in 1981, to manufacture and market a boom for consumers. The aircraft-aluminum bar, which dramatically reduces the time needed to learn barefooting, became the cornerstone product of his family-run company in Milwaukee, Barefoot International, Ltd. Other products quickly followed.\n\nToday: Following retirement from competition, Seipel has continued his zeal and focus on instructing students at his south Florida school, as well as developing and promoting his product line.\n\nThe EAGLES ARIE NO. 2339 of Fergus Falls\n\nProud Sponsor of the 12th World Barefoot Water Skiing Championships!\n\nA warm welcome to competitors and spectators from around the world!\n\nWelcome to Fergus Falls!\n\nBest Western of Fergus Falls is pleased to be a sponsor of the 2000 World Barefoot Championships.\n\nWe hope you enjoy your stay!\n\nBEST WESTERN\nI-94 & Highway 210 West\nFergus Falls, MN 56537\n218-739-2211\n\nWORLD'S TOP 20 - MEN\nas of 4/22/00\n\nMEN'S SLALOM\n1 Keith St.Onge-USA 21.2\n2 Brett Sands-AUS 20.0\n3 Joe Valenti-USA 19.0\n4 Jason Lee-USA 18.8\n4 Ron Scarpa-USA 18.8\n6 Warren Fine-RSA 18.6\n7 Jon Kretchman-USA 18.5\n8 Lane Bowers-USA 18.4\n8 William Farrell-USA 18.4\n10 Paul Stokes-USA 18.2\n11 Nicola Saracco-ITA\n12 Patrick Wehner-FRA 17.9\n12 Philippe Renoux-FRA 17.9\n14 Greg Meyer-USA 17.8\n15 Peter Fleck-USA 17.7\n16 Evan Berger-AUS 17.6\n16 Terry Gregory-GER 17.6\n18 Massimo Mastelli-ITA 17.5\n19 Grahm Ransom-RSA 17.4\n20 Brett New-AUS 17.2\n\nMEN'S TRICKS\n1 Lane Bowers-USA 7290\n2 Keith St.Onge-USA 7140\n3 Ron Scarpa-USA 6970\n4 Patrick Wehner-FRA 6590\n5 Warren Fine-RSA 6500\n6 Jon Kretchman-USA 6340\n7 Jason Lee-USA 5790\n8 Brett Sands-AUS 5740\n9 Jan Baillien-BEL 5440\n10 William Farrell-USA 5190\n11 Evan Berger-AUS 5140\n12 Paul Stokes-USA 4920\n13 Massimiliano Colosio-ITA 4860\n14 John Stekelenburg-AUS 4830\n15 David Small-GER 4490\n16 Brett New-AUS 4460\n17 Ross Astrup-RSA 4390\n18 Philippe Renoux-FRA 4090\n19 Bevan Kelly-NZL 4020\n20 Jerry Kanawyer-USA 3820\n\nMEN'S JUMP\n1 Brett New-AUS 92.9\n2 Massimiliano Colosio-ITA 90.6\n3 Patrick Wehner-FRA 90.3\n4 Keith St.Onge-USA 89.3\n5 Paul Stokes-USA 89.0\n6 John Stekelenburg-AUS 86.7\n7 Evert Aartsen-NED 86.0\n7 Jan Baillien-BEL 86.0\n9 Don Baker-CAN 83.4\n10 Jon Kretchman-USA 82.4\n11 Matt Wright-USA 81.1\n12 Jason Lee-USA 80.8\n12 Peter Fleck-USA 80.8\n14 Evan Berger-AUS 79.8\n15 Peter Oniell 79.4\n16 Land Bowers-USA 78.8\n16 Ron Scarpa-USA 78.8\n18 Jaco Dittmar-RSA 78.5\n18 Brett Sands-AUS 78.1\n19 Terry Gregory-GER 78.1\n\nWe usually wear shoes to do our job, but NOBODY can tell the story like The Daily Journal.\n\nCall 800-726-1781 to subscribe and get the BEST daily newspaper in the lake region.\n\nThe Daily Journal\nHeadquartered in Fergus Falls\n\nWorking for the Rural Self-Employed Since 1972\n\n• money savings benefits\n• legislative advocacy\n• international exchange program\n• affordable health insurance\n\nJOIN CA online for FREE!\nhttp://www.selfemployedcountry.org\n\nWhen Jon Kretchman hit the road to head for Houston and the U.S. Barefoot Nationals two weeks ago, he could never have known how rewarding his trip would turn out to be. Not only did he better 84 feet to capture the jumping title, but he was also named National “Barefooter of the Year.”\n\nWhen asked how he felt about the reception of such a significant honor, an award which recognizes the complete scope of one’s contributions to the barefoot community, Jon was, again, humbled. “My acceptance speech was oriented around my support system,” he said. “I told those in attendance I would not accept the award myself, but that I would accept it on behalf of that support system.\n\nWithout those people, I would not be here.”\n\nJon referred to a number of people as he considered the significant influences in his life. He thanked the barefoot fraternity in general for the comradery and support they have provided throughout the years. He mentioned several of the sponsors who have afforded both opportunities and assistance as he has pursued his goals in the sport. Jon also shared his gratitude for the many members of the Upper Midwest Barefoot Water Ski Association who have been such an important part of his life, and for the late Ed Buhr, a long time advocate of barefooting in the state of Minnesota.\n\nThose who know Jon understand the overwhelming importance his family; those present, such as his Dad, his wife and his daughter, and those “no longer present,” holds in his life. Last but not least, Jon cited His thankfulness to God, “the source of my strength.”\n\nCommunity First is proud to sponsor the USA Barefoot Water Ski Team. Good luck in the upcoming competition. We’re with you all the way!\n\nStop into Community First today and check out our other extraordinary “feets.”\n\nShoreMaster waterfront equipment is not just an alternative product but a solution to all your lakeshore challenges and needs. Waterfront equipment can be a major investment, so it is imperative that you consider the quality, the integrity and service ShoreMaster can offer. We manufacture only the highest quality products and sell them only through select dealers. We stand behind our quality with strength and durability. Since 1972 lakeshore owners have trusted ShoreMaster to provide them with outstanding products and service. ShoreMaster truly is a world class waterfront equipment company.\n\nFantastic, isn't it! Take a look around. The site for the 2000 World Barefoot Championships is a beautiful setting. It wasn't always this functional, of course, as this photo suggests. This is what the site used to look like, before guys like Mark Cory (left - a Shoremaster employee who was actually one of the original members of the Upper Midwest Barefoot Water Ski Association), Otter Tail Power's Jason Westholter (center), Craig Wilberts (right), and countless others toiled long and hard to make this a comfortable, clean place to watch this exciting event. Sit back and enjoy the fruits of their labor. They did this for you!\n\nWestholter, Steve Ness and Jim Fish chaired the Venue Committee which has coordinated all of the site preparations. Westholter said the site has \"almost doubled in size from '96 to make it more comfortable for the spectators.\" He also said workers have created \"new on-site parking\" for footin' fans, as well. Jim Fish is an active member of the Fergus Falls City Council and his assistance in this process has been invaluable. He has done a great service to the event by maintaining clear lines of communication between the city and the committee. Steve Ness (along with Target and Walmart!) is the guy responsible for the monitors. Thanks, Venue Crew!\n\nGregg, a 16 year old competitor, calls Lichfield, England his home. He has been skiing since he was 12 years old, and began competing at age 13. “Paul Rivers, of the Fairford Water-ski Club in England is the person I give credit for introducing me to this sport,” recalls Meehan, and he goes on to say his parents are his greatest support as he continues to compete. Just two of Gregg’s accomplishments include being the British Junior Champion as well as bronze medalist at the Junior Europeans. His hobbies include water skiing, rugby and football and he plans to continue his education.\n\nDavid is now in his 4th year of competitive skiing, getting his start at age 13. His interest in the sport began with the help of his parents, and he quickly had a number of titles to his credit, including World and European Junior Barefoot Champion as well as a 2nd place honor in Open Men at the 2000 European Championships. David gives credit not only to his parents, but to Clive Wilsdon, as well. “They all gave me their time..and the training advice,” said Small. While David is only in grade 12, his future ambitions are to become an airline pilot. His hobbies include water skiing, and rugby. He makes his home in Burntwood, England.\n\nClive, who makes his home in Walton-On-Thames, England, is a stunt rider by trade and a barefoot skier since the age of 25. He credits his partner, and soon to be his wife, Lesley, for being his biggest supporter. “She gives me lots of time out to barefoot,” said Wilsdon. Clive and Lesley have actually chosen the Otter Tail River banks as the site for their wedding, which will take place during this tournament!\n\nWhen asked about his first visit to Fergus Falls in 1996, he responded, “I remember what a warm welcome the local people gave us!” Clive lists his hobbies as motorcycling and high diving, and his future plans are to become a millionaire! Clive and Lesley have one child, Charlotte.\n\nPETER HAMMINK\nHolland - Age 40\n\nPeter has been skiing since the age of 24 and skiing competitively since age 25. He credits his girlfriend, Natalie for being the person who has been the most supportive of his career, and lists tricks as his greatest challenge in the sport. Peter, a sports instructor, enjoys tennis, traveling, and people and says his future career plans are to enjoy life as much as possible. One of the things Peter has enjoyed is a previous visit to Fergus Falls during the World Competition in 1996. “I remember the non-stop hospitality,” said Hammink.\n\nIRENE STAAL-BOVEN\nHolland - Age 38\n\nIrene, the mother of one child, Sebastiaan, has been skiing since age 27, and competitively, since age 28. She gives credit to Michel Staal and teammate, Peter Hammink, as the people who have been most supportive of her skiing career. She participated in the world competition in Australia in 1998. Irene enjoys tennis as a hobby and she, too, looks forward to a return visit to Fergus Falls.\n\nEDDIE SMIT\nHolland - Age 38\n\nEddie, also known as “Steady Eddie,” has been skiing since the age of 28, and skiing competitively, since age 30. Eddie’s wife, Adriana is the person who has been most supportive of his career as a skier. “She’s the best boat driver around,” said Smit. When he’s not skiing, he enjoys mountain biking as a hobby. He looks forward to his visit to Fergus Falls, hearing the tournament was well organized, and the hospitality was second to none! Eddie has previously appeared in a world tournament in 1998 in Australia, and is also the Dutch Trick Champion.\n\nEVERT AARTSEN\nFinland - Age 32\n\nEvert, known to many as “The Flying Dutchman,” has been skiing since age 14, competitively, since age 15. Evert gives credit to his parents and his wife for their continued support of his sport. “I give credit to my parents for their support and financial help, and to my wife for letting me travel the world, and never complaining,” explains Aartsen. Evert is a boat builder and Water-skier by trade and has future career plans of event organization and foreign trade. Like many other skiers, Aartsen participated in the 1996 World competition in Fergus Falls. “The great hospitality, I will never forget,” says Aartsen, “it’s one of the reasons I’m still skiing!” Evert and his wife, Akki have two children, Chantal and Evert Jr.\n\nWARREN BRADLEY FINE\nSouth Africa - Age 26\n\nWarren took up the great sport of barefoot skiing at the age of 13, also the age at which he began to compete. He credits his friend, Rael Nurik for the introduction to the sport and his family and friends for their continued support. The greatest challenge for Warren? “The inverted jump,” he says, and future career plans? “To get married!” Warren makes his home in Bedfordview, South Africa.\n\nGRAHAM RANSOM\nSouth Africa - Age 17\n\nGraham began his barefooting career at the early age of 11, and one year later at age 12, began to ski competitively. Like Nadine, Graham credits his father with having introduced him to barefooting. He, too, says his family is a huge part of the support it takes to train and compete. When asked about other accomplishments, this is how Graham responded: “White water rafting down the Zambezi river and skiing with hippos!” He is currently a student, and makes his home in Bedfordview, South Africa.\n\nNADINE DE VILLIERS\nSouth Africa - Age 18\n\nNadine, also known in the skiing world as “Spikes,” has been a competitor since age 12. “My Dad is the one who got me started…and my family is the one who shows me the support to continue,” said Nadine. There are so many awards and records behind Nadine’s name…so we’ll highlight just a few: Junior Girls World Champion in 1997 & 1999. European (EAME) Open Women’s Champion in 1997 & 2000. and 2 Time World Championships Event Champion in 1998. Fergus Falls will be happy to have Nadine visit again, and she says she looks forward to that, too. “I remember the friendly community support,” says De Villiers, “It will be nice to make a return trip.” In addition to skiing, Nadine also plays hockey and has future plans of a career in marketing.\n\nTHEODOROS LEONTIADIS\nGreece - Age 28\n\nTheodoros, known as “Theo,” is making his first World Championships appearance in Fergus Falls. He’s been skiing since age 24, but only as a competitive skier for the last year. Theo says it was his coach who originally got him interested in the sport of barefoot skiing, and credits him with supporting his career. That career has included appearances in the Green Nationals and other Competitions. His hobbies include water skiing and alpine skiing. Theo is an alpine ski instructor and lives in Athens, Greece.\n\nRON SCARPA\nUSA - Age 37\n\nScarpa, probably better known as “The Raging Bull,” has been skiing competitively since the age of 12. “I was introduced to barefooting at a ski show at Cypress Gardens,” recalls Scarpa, “and then later by Jim Grew at McCormicks Ski School.” While Ron enjoys hobbies that include all sports, plus gardening and cooking, his first love is also his occupation. Ron is the owner/operator of Ron Scarpa’s Barefoot Training Center. Ron has stacked up many honors over his skiing career, including these World Titles: 1st Overall in 1992, 1996 and 1998…2nd Overall in 1982, 1984, 1986, 1988, 1990 and 1994…plus 3rd Overall in 1980. “My wife has been my biggest supporter over the years,” says Scarpa, “even when just motivating myself to remain dedicated to training seems to be a real challenge.” Many will remember Scarpa from his previous visit to Fergus Falls, and he remembers it fondly, as well. “I’ll never forget winning the Overall title and the awesome community support,” recalls Scarpa, “That’s what I remember about Fergus Falls.” Ron and his wife have two children, Sydneey and Alessandra, and make their home in Winter Haven, Florida.\n\nJON KRETCHMAN\nUSA - Age 28\n\nJon, otherwise known as “The Bear,” has been skiing since the age of 8 when his brother, Len first introduced him to the sport. He began to ski competitively at age 13. Jon has many honors to his credit, including being a part of the USA team as they won the World Titles in 1992, 1994, 1996, and 1998. Jon was also recently named “National Barefooter of the Year.” Even though that’s quite an honor, Jon feels strongly about one other accomplishment…being a Dad. “My family is very important, and my wife, Amanda is a great support,” says Jon, “she happily gives up her vacation time to travel with me to tournaments.” While Jon enjoys a career in banking, his hobbies include hunting, fishing and all sports. He and his wife, Amanda, have one daughter, Alya Janet and make their home on the Otter Tail River in Fergus Falls, Minnesota.\n\nKEITH ST. ONGE\nUSA - Age 22\n\nKeith St. Onge is yet another skier making a return visit to Fergus Falls. He has been skiing since age 9, competitively, since age 10 and makes his home in Clermont, Florida. Keith has received a long list of honors over his years of skiing, including being the 1997 National Overall Champion and the 1999 National and U.S. Open Champion. Keith also participated in world competitions in both 1996 and 1998. “What do I remember about my visit to Fergus Falls?” asked St. Onge, “I remember the great water conditions, great support from the community and the TV monitors in the trees!” Keith says his parents, Claude and Jackie, are the ones who introduced him to the sport, along with help from Gary “Swampy” Bouchard. Who has been most supportive to him? “There are too many to name,” says St. Onge, “So many people have supported me by pulling me up and down the lakes and rivers!” Other accomplishments of Keith include holding the World Tricks Record and being named athlete of the year in 1999. Keith is self employed for now, but has dreams of owning the “best barefootin’ school ever!”\n\nLANE BOWERS\nUSA - Age 36\n\nLane, perhaps better known as “Lane Dawg,” is from Winter Haven, Florida, where he is a Barefoot Ski Instructor and Entrepreneur. Lane has been skiing since age 21 and was introduced to the sport by Lou “Dawg” Mansell. Support for Lane has come from a variety of people including Richard Gray. “He taught me how to train to be a winner,” says Bowers. Lane participated in the 1998 Worlds in Australia and was also a visi-\n\nWILLIAM FARRELL\nUSA Independent - Age 45\n\nBest known as “Willie P., or West Coast Willie” William Farrell has been skiing since the age of 18, and competitively, since age 22. He gives credit to Ed Finley, John Hacker and Mike Seipel for his start in the sport. “And…it’s my wife and Mike Seipel and their continuous constructive criticism of performances that serves as support for me in this sport,” explains Farrell. Willie has participated in the last three World Competitions, Western Regionals, and many other competitions. His hobbies include cross-training, and spectator sports, while his career is in sales. His goal in the future? “To become a P.T.A. parent,” says Willie. Willie is married to another well known barefooter, Dawn Hartman Farrell, and they, along with their two children, Byron (5) and Graerne (10weeks), live in West Sacramento, California.\n\nPETER FLECK\nUSA Independent - Age 36\n\nPeter is another skier who began at an early age. While he started skiing at 10, his competitive career began at age 11 with help and encouragement from his uncle. He appeared in the 1998 World Competition where he holds a world record in the jump event and was also a two-time X-Games Gold Medalist in 1997 and 1998. Peter and his wife, Kari, have three children and make their home in Windermere, Florida.\n\nOther Individual Event(s) Qualifiers\nJoe Valenti\nGreg Meyer\nKay Wiser\n\nPaul is another skier who began at a relatively early age. Footin' fever began for Paul at age 9 and he began skiing competitively at age 14. He credits his friend Chad Baxter for having introduced him to the sport and says his parents and his wife have been most supportive of that career. \"They've all been a great source of motivation for me, and have supported me financially, too,\" says Stokes. Paul was a competitor in the 1996 and 1998 World Competitions and holds the title of Overall Champion from the 1994 Nationals. \"I'm looking forward to coming back to Fergus Falls,\" says Stokes, \"the Worlds in '96 made quite an impression...the friendly people is what I really remember.\" When he's not on the water, Paul makes his living as a Designer/Drafter and has an educational background in graphic design and business. His hobbies include hunting and mountain biking, and he and his wife, Heather, make their home in Cleburne, Texas.\n\nJason has made a career of skiing since he was 12 years old. After just one year of the sport, he began to ski competitively and has a number of honors to his credit. Including being the 1997 Jr. Worlds Champion. He also has participated in the Jr. World Competition in 1995 and the Elite World Competition in 1998. Jason gives credit to his friend, \"Boomer,\" for having introduced him to the sport, and to his family for supporting him as he continues to train and compete. What does Jason remember about his 1996 visit to Fergus Falls? \"I remember a LOT of people...and huge water fights,\" recalls Lee. Hobbies for Jason include tennis and golf and his future career plans are to become an Electrical Engineer.\n\nMatt has been a competitive barefooter skier since age 8, and his Dad is the one who shared the sport with him. Matt \"Madd Dawg\" Wright was a participant in the Junior World Competition in 1999, taking a 1st place in the Jump event. \"I've skied with Jon Kretchman in Fergus Falls, so I'm looking forward to the World Competition there,\" said Wright. Matt graduated from high school this past June and has future career plans to be a private business owner. Matt lives in Green Cove, Florida.\n\nRachel George learned the art of barefoot skiing at age 10, and began skiing competitively at that age. \"My Dad, Richard George, is the one who introduced me to barefooting,\" said George, \"and my Parents along with Lane \"Dawg\" Bowers are the ones who keep me going by being my ski partners.\" Rachel has previously skied in Fergus Falls in the Midwest Regionals and the 1996 Worlds. Currently, Rachel is a senior at Florida Southern College, majoring in Athletic Training. Her hobbies include ballet, snow skiing, and swing dancing. While Florida is home while in school, her real home is located in Alliance, Ohio.\n\nTeam Manager: DARLENE LEE\n\nEvents Qualifiers\n\nNickole Soubliere\nJerry Kanawayer\nKatie Begell\nSherri Morse\nAshley Shewmaker\nAndrea Eggert\nDawn Farrell\n\n**New Zealand**\n\nTeam Manager: CLIVE STEPHENS\n\n**ANTHONY HAWES**\nNew Zealand - Age 25\n\nAnthony has been a barefooter since the age of 17, and credits his family with the support needed to compete in this sport. Anthony was a competitor in the 1991 AA Tournament and looks forward to participating in the 2000 World Competition in Fergus Falls. He and his wife, Rachelle, make their home in New Zealand.\n\n**BEVAN KELLY**\nNew Zealand - Age 27\n\nBevan, a barefooter since the age of 8, is making a return trip to Fergus Falls, and remembers his 1996 visit fondly. “It’s a great place,” recalls Kelly, “I look forward to another world competition in your community.” Bevan has also been a competitor in the 1992, 1994, and 1998 world competitions, and the New Zealand Nationals, where he was the New Zealand Open Champion in 1999 and 2000. In addition to skiing, Bevan enjoys mountain biking. He and his wife, Jodie, make their home in Wellington, New Zealand.\n\n**FRED GROEN**\nNew Zealand - Age 38\n\nFred, who comes from Wellington, New Zealand has been skiing since age 14, competitively, since age 15. Fred says his family is responsible for introducing him to this great sport, but Clive Stephen is the person who has been most supportive. “Without him,” Fred explains, “I would never have accomplished the inverted jumping style.” He has quite a list of records, including being the New Zealand Champion in 1982, 1985 and 1988. He has also participated in world competitions since 1982. Fred enjoys mountain biking and water sports. He makes his living as a company director, and eventually hopes to carry on the family business. Fred and his wife, Brenda, have four children.\n\n**TONY CARNE**\nNew Zealand - Age 27\n\nTony has been skiing competitively since the age of 8 and was introduced to the sport by his parents. “My Dad has been the most supportive person of my career,” said Carne. That career has included appearances in every world competition since 1992, and the title of New Zealand Champion in 1998. When he’s not on the water, Tony makes his living as a Policeman in New Zealand.\n\n---\n\n**Australia**\n\nEvan Berger \nBrett New \nPeter O’Neill \nBrett Sands \nGizella Halasz \nNicole Wood \nClare Angilley \nGordon Angilley, Team Manager\n\n**Independent Qualifiers**\n\nJohn Stekelenberg \nDesmene Fielding \nCharise Hassey\n\n---\n\n**Belgium**\n\nJan Baillien \nPeter Mous \nMrs. Inez Vandewinkel, Team Manager\n\n---\n\n**France**\n\nAlban Gouilliart \nFlorent Pigeat \nPhilippe Renoux \nChristian Trannoy \nPatrick Wehner \nAlexandra Vigoureaux\n\nCanada\n\nTeam Manager: BIRTE HOLTER\n\nDON BAKER\nCanada - Age 25\n\nDon began a career in barefooting at age 10 when he started skiing competitively. He actually took to the sport two years earlier at age 8, when friend Neil Wilson introduced him to barefooting. Since that time, Don has added many honors to his list of accomplishments. Included, are the following: 3-time Canadian Overall Champion and national record holder in slalom and jump events. He is also a six-time National Team Member. Perhaps those credits could be the reason for his nickname, “The Legend.” His career is in film and he makes his home in Winnipeg, Manitoba.\n\nRICHARD GRAY\nCanada - Age 35\n\n“I’ve been to 8 Worlds Competitions…and the best ever was in Fergus Falls, MN,” recalls Richard Grey, “I really look forward to coming back!” Richard has been involved in barefoot skiing since age 18, and began skiing competitively at age 21. While his uncle was the one to introduce him to the sport, first at age 7, he credits his Mom with having provided the necessary support over the years. “She’s always packing me a lunch,” says Grey. Richard is the Owner of The Barefoot Company and makes his home in Winter Haven, Florida.\n\nMIKE TERRY\nCanada - Age 31\n\nIt all began at summer camp for Mike Terry. That’s where he was introduced to barefooting…and he began his competitive career at age 18. “My wife, Don Baker and Richard Gray are the people that support me in this sport,” says Terry. He also adds to his list of accomplishments this record: A high school basketball coaching record of 76 wins and only 11 losses, plus winning the State title in 1999. Mike and his wife, Ronnalee live in West Palm Beach, Florida, and await the birth of their first child, whom they expect to arrive around September 21st.\n\nGermany\n\nTerry Gregory\nChristian Kurz\nDirk Neimeyer\nDirk Siekmann\nFrank Zinn\nSvenja Hempelmann\nJulia Nette\nChris Lappe, Team Manager\n\nItaly\n\nMassimiliano Colosio\nMassimo Mastelli\nNicola Saracco\nSimone Zucchetti\nElisa Valerio\nMassimo Crespi, Team Manager\n\nOther Canadian Participants\n\nGordie Croteau\nPaul MacDonald\nDanny Kolasko\nKim Hall\nKaryn Scarpa\nMike Terry, Team Manager\n\nTobben has been skiing for 10 years, beginning his competitive career at age 24. A well known figure in the sport is responsible for Tobben’s love of barefooting, and his name is Banana George Blair. Yet another well known name is the person he credits for offering support as he trains and competes and that person is Ron Scarpa. “I train with Ron every winter…and have since 1994,” said Maerde, and it’s obviously paid off. He is the Norwegian Nationals Champion in 2000 and also participated in the World Competition in Australia in 1998. Tobben’s list of hobbies include snowboarding and snow skiing in addition to building his house. He is an electrician by trade and makes his home in Brummunndal, Norway. What does Tobben say about his upcoming trip to Fergus Falls? “Lots of Scandinavians make a good world competition!”\n\nWhile snowboarding and snow skiing seem to be hobbies the Norwegians enjoy, barefooting is fast becoming a favorite, too! Kirsten picked up this sport at the age of 17 and began to ski competitively one year later. “Hogne Furuset is the person who got me started,” recalls Groenvik, “and many have helped coach me and see that I am entered in competitions.” Although this will be Kirsten’s first visit to Fergus Falls, MN, she is eager to make the trip. “I’ve heard great things about the competition there in 1996,” said Groenvik. Credits to her name include being the European Overall Champion in 1999 and the Norwegian Champion in 2000. Kirsten, too was a competitor in the 1998 Worlds in Australia. Although she is currently a student, her career plans include a future in marketing.\n\nJim is making his second trip to Fergus Falls, after having participated in the World Competition in 1996. He has held the honor of being the Swedish National Champion and Swedish National record holder in a number of events. Jim began his skiing career at age 10, and entered competition at age 16. He enjoys climbing, snow skiing and sky surfing…and of course, trips to Fergus Falls.\n\nOTHER COMPETITORS FROM SWEDEN\nDennis Andersson\nNicklas Hedstrom\nDennis Andersson, Team Manager\n\nHERE IT IS ... NOW PAINT IT RED!\n\nFergus Falls, MN USA\n\n2000 World Barefoot Championships\n\nProud to be the Printer & Designer of the 2000 WORLD BAREFOOT WATER SKIING CHAMPIONSHIP Commemorative Program\n\nServing the businesses of Fergus Falls and the surrounding area.\n\n• Four Color Printing\n Flyers\n Magazines\n Envelopes\n Labels\n Catalogs\n Brochures\n Post Cards\n Newsletters\n Posters\n Letterhead\n Business Cards\n\n• Design Services\n• Film Output From Your Files\n• Bindery Services\n• Mailing Services\n\n615 2nd st. n. e. • n. e. industrial park\np.o. box 69 • perham, mn 56573\nweb site: www.adaprinting.com\ne-mail: firstname.lastname@example.org\n218-346-7020 • 800-930-4823 • fax: 218-346-7021\n\nWORLD’S TOP 20 - WOMEN\nas of 4/22/00\n\nWOMEN’S SLALOM\n1 Nadine DeVilliers-RSA 17.8\n2 Ashley Shewmaker-USA 14.0\n2 Sherri Morse-USA 14.0\n4 Charise Hassey-AUS 13.8\n5 Donna Schmidt-AUS 13.6\n6 Gizella Halasz-AUS 13.2\n7 Rachel George-USA 13.0\n8 Katie Begell-USA 12.3\n9 Christine Winslow-USA 12.1\n10 Desmene Fielding-AUS 11.1\n11 Dawn Farrell-USA 11.0\n12 Nikole Soubliere-USA 10.8\n13 Maryne Van Wyk-RSA 9.7\n14 Natasha Reid-USA 9.6\n15 Andrea Eggert-USA 8.9\n15 Irene Staal-Boven-NED 8.9\n17 Francoise Dunod-FRA 8.8\n17 Gina McKee-USA 8.8\n19 Kellie Stumbles-AUS 8.7\n20 Elisa Scarpa-USA 8.5\n\nWOMEN’S TRICKS\n1 Nadine DeVilliers-RSA 3490\n2 Gizella Halasz-AUS 3020\n3 Rachel George-USA 2020\n4 Charise Hassey-AUS 2010\n5 Ashley Shewmaker-USA 1970\n6 Christine Winslow-USA 1880\n7 Katie Begell-USA 1640\n8 Lorraine Piskura-USA 1590\n9 Sherri Morse-USA 1580\n10 Donna Schmidt-AUS 1540\n10 Maryne Van Wyk-RSA 1540\n12 Andrea Eggert-USA 1490\n13 Dawn Farrell-USA 1480\n14 Karyn Scarpa-CAN 1460\n15 Kellie Stumbles-AUS 1440\n16 Natasha Reid-USA 1420\n17 Kay Wiser-USA 1390\n18 Gina McKee-USA 1320\n19 Isabelle Verreault-CAN 1290\n20 Kirsten Gronvik-NOR 1280\n\nWOMEN’S JUMP\n1 Nadine DeVilliers-RSA 67.6\n2 Natasha Reid-USA 41.0\n3 Alexandra Vigoureaux-FRA 40.4\n4 Rachel George-USA 40.4\n5 Kirsten Gronvik-NOR 39.7\n6 Nikole Soubliere-USA 39.1\n7 Irene Staal-Boven-NED 38.7\n8 Ashley Shewmaker-USA 37.1\n9 Donna Schmidt-AUS 36.4\n10 Maryne Van Wyk-RSA 36.1\n11 Gizella Halasz-AUS 35.1\n12 Andrea Eggert-USA 33.2\n13 Karyn Scarpa-CAN 32.5\n14 Claire Angilley-AUS 32.2\n15 Nicole Wood-AUS 30.9\n16 Francoise Dunod-FRA 30.2\n17 Sherri Morse-USA 29.9\n18 Jan Honsinger-USA 28.9\n18 Kellie Stumbles-AUS 28.9\n20 Lorraine Piskura-USA 28.2\n\nNorwest and Wells Fargo are teaming up.\n\nWith a tradition of personal service and local decision making, Norwest and Wells Fargo are committed to the communities we serve. We will continue this commitment as we tap unparalleled resources and innovation as a national financial services leader to help our customers and communities achieve their dreams.\n\nA SENSATIONAL SOUTH AFRICAN...\n\nShe has won a total of twenty-one medals at world championships since 1995, yet she is genuinely humble. She is the number-one ranked female barefooter in the world in tricks, slalom and jumping, yet she still displays a daily drive to be better. She is favored to win the overall title at the 12th World Barefoot Water Skiing Championships in Fergus Falls, yet her first priority is to make a \"contribution to possibly put our team into the medals.\" She is Nadine De Villiers.\n\nDe Villiers, a seasoned veteran at the youthful age of 18, is from South Africa, and her list of activities and accomplishments leads one to believe she is fond of precious \"medals\" ... primarily those cast in gold and silver. 18 of the medals Nadine has accumulated in world competitions are either gold or silver. For those who did not get a chance to see her display her considerable talents when she was in Fergus Falls for the '96 Worlds, prepare to be amazed. For those who have valiantly embraced the unenviable task of \"doing battle\" with De Villiers, you had better be amazingly prepared! She appears to be confident and comfortable in her quest for more gold.\n\n\"I am very excited to return to Fergus Falls,\" De Villiers shared in an e-interview. \"I had a memorable stay in 1996. I experienced brilliant water ski conditions, and the hospitality of America and the Fergus Falls community was unforgettable. My Mom and Dad joined me and shared the joy of my achieving third place in my first appearance at a world championships.\" de Villiers did not win any individual event golds at the '96 tournament, but the experience she gained has led to stunning levels of success. At the Sydney Worlds in '98, Nadine won both the slalom and jump portions of the competition, and her tricks passes resulted in a strong second in that discipline. In her pursuit of the overall title, however, de Villiers settled with silver for second, as Sharon Dodgson prevailed by a very narrow margin. Will we see this sensation wearing shiny gold after the 12th Worlds? Could be. Nadine De Villiers is definitely driven.\n\nSpeaking of exceptional athletes who continue to pursue excellence at every turn, here comes Ron Scarpa! The two-time defending world overall champion (and let us not forget his title in '92) is 37 years old, but he is coming off a sensational U.S. Barefoot Open performance in Houston. After a rather \"unscarpalike\" performance in the U.S. Nationals, Scarpa went wild in the Open and set a pending world tricks record with 7,540 points. A number like that suggests the steady, salty Scarpa, already the most competitive, battle-tested warrior on the water, will be more than ready for Fergus Falls. It has been 20 years since the \"Raging Bull\" finished lower than second overall at a world championships (1980-3rd). What do you think?\n\nYou cannot overlook the talent St. Onge, Bowers, Kretchman, Sands, Wehner, New and the rest of the crew bring to the beach. This should be fun. Are you ready? Hang on! Welcome to our Worlds!\n\nAND A SUPER, SALTY SCARPA\n\nThe Best Barefoot Training & Equipment on the Planet\n\nTRAIN WITH LANE \"DAVG\" BOWERS\nTHE USA BAREFOOT TEAM'S #1 TRICKER\n\nTAKE YOUR FOOTIN' TO THE NEXT LEVEL\nAND BOOK YOUR SESSION TODAY\n\n110 MIN INSTRUCTIONAL VIDEO\nTHE ONLY ONE YOU WILL EVER NEED\n$39.95\n\nORDER YOUR COPY TODAY!\n\nFULL LINE OF\nBAREFOOT GEAR\n• BETSOUTS\n• BETSOUTS\n• BANGLES\n• HOOPS\n• BOOMS\n• SKYLONS\n• NECK BRACES\n• GEARBAGS\n• SPORTSWEAR\n• DINGY PAW SLIDE SKIS\n• VIDEOS & MORE!\n\n800.665.3188\nOUTSIDE THE USA 941.325.8445\nFax: 941.318.0052\nwww.thebarefootcompany.com\n\nHe’s hard to miss….and impossible to forget!\n\nPete Beithon, Gary Johnson, Doug Koch and Banana George at the 1996 Worlds in Fergus Falls\n\nThe Local Organizing Committee, Competitors, and fans will all enjoy another visit from the colorful “Banana George” Blair. Even in a large crowd, he’s easy to spot! Just look for laughs an a splash of yellow!\n\nWelcome to our Country...\n\nVFW Post # 612\n\nThe members of both VFW Post 612 and American Legion Post 30 are pleased to be a part of this exciting community endeavor. We welcome visitors to our city, and applaud the dedication to excellence displayed by these elite athletes.\n\nAmerican Legion Post # 30\n\nOffice DEPOT.\nTaking Care of Business\n\n\"Supplies... Technology... Service\"\n\nOr visit our store online!\nOfficeDEPOT.com\nTaking Care of Business\n\nViking Coca-Cola\n\nContinuing Our Tradition of Outstanding Community Support\n\nLook for COCA-COLA CLASSIC in these stores and REGISTER TO WIN a summertime COCA-COLA INFLATABLE!\n\nM & H\n204 CASCADE STREET\nLakeway Market\nCOUNTY ROAD 1 EAST\n\nBJ's\n1040 EAST FIR\nPebble Lake Take 5\nS. PEBBLE LAKE RD.\nHoliday Sunmart\nHWY 210 WEST\nOlson Oil\n1425 W. LINCOLN AVE.\nStop-N-Go South\nPEBBLE LAKE ROAD\nStop-N-Go North\nUNION AVENUE NORTH\nHoliday South Union\n305 UNION STREET\n\nEnjoy Coca-Cola CLASSIC\n\nNAME ___________________________\nADDRESS _________________________\nPHONE ___________________________\n\nEnjoy Coca-Cola CLASSIC\n\nNAME ___________________________\nADDRESS _________________________\nPHONE ___________________________\n\nUnited States Austria South Africa\n\nCanada\n\nFrance\n\nBelgium\n\nAustralia\n\n12th World Barefoot Water Skiing Championships\nFergus Falls, MN USA\n2000 World Barefoot Competition\n\n12th World Barefoot Water Skiing Championships\nFergus Falls, MN USA 00\n\nGermany\nNetherlands\nNew Zealand\nNorway\nSweden\nUnited Kingdom\nItaly\nGreece\n\nAutographs\n\n2000 World Barefoot Competition\n\nFOOTIN’ 101\n\nCOMMON RULES FOR EVENTS\n\n* Two 15-second passes for both wake slalom and tricks events\n* Timing buoys at each end of course - skier must start pass or a penalty is incurred\n* 3 judges in boat - each judge times pass and writes shorthand codes of what skier is doing\n* Skiers choose own boat speeds - 40-47 mph range\n* All skiers use the same boat and driver is assigned\n\nTEAM SCORING\n\n* Maximum 6 members on a team plus 2 reserve skiers\n* A full team must have both a male and female competitor\n* The best 3 scores out of a possible 6 will be used to compute team scores in all 3 events\n\nWAKE SLALOM EVENT\n\n* Object is to cross back and forth across the boat wake as many time possible in time allowed\n* Most commonly see 1 forwards skiing pass and 1 backwards pass to maximize points\n* A cross on 1 foot is worth more on 2 feet, all skiers use the same handle and a 75 foot rope\n\nTRICKS\n\n* Skiers choose tricks to perform with assigned point values and different degrees of difficulty\n* Skiers package combinations of tricks to get the most points possible during their tricks run\n* Skiers provide their own equipment and chose their rope length\n\nJUMP\n\n* 18” high ramp for both male and female competitors and all wear safety helmets and other safety equipment\n* No style points - purely for distance only - and jumper must ski past designated marker for the jump to credit\n\nTournament Officials\n\nChief Judge: Franz Kirsch\nAsst. Chief Judge: Dale Stevens\nHomologator: Geoff Davis\n\nDRIVERS (Chief)\nTim Pellaton\nGerdy Bongaerts\nBarry DeLaporte\nDoug Jordan\n\nRESERVE JUDGES\nDawn Farrell\nAndy Harris\n\nJUDGES\nBrian Heeney\nOscar \"Foot\" Mann\nDoug Rufenacht\nAndy Harris\nSue Carne\nJohn Price\nClaire Willard\n\nSCORERS (Chief)\nBrian Price\nSteffi Kirsch\nJanet Wright\nLinda Heeney\n\nGermany\nUSA\nAustralia\n\nUSA\nBelgium\nAustralia\nUSA\n\nUSA\nGreat Britain\n\nUSA\nUSA\nUSA\nGreat Britain\nNew Zealand\nAustralia\nNew Zealand\n\nAustralia\nGermany\nUSA\nUSA\n\nPublic Relations\nJon Kretchman\n\nHospitality\nPam Bice & Pat Koch\n\nVolunteers\nWard Uggerud & Gary Johnson\n\nConcessions\nDoug Koch & Brad Russell\n\nFinance & Fundraising\nChuck Kretchman\nMike Smith\n\nTournament Directors\nPete Beithon & Doug Koch\n\nTournament Operations\nDerek Koch\nDawn Farrell\nRon Spangler Jr.\n\nSafety\nTim Pellaton\n\nWebmaster\nBrian Heeney\n\nVenue\nJason Westholter\nJim Fish\nSteve Ness\n\nTelecommunications Experts\n\nYour local team of highly skilled staff\n\nWe give the Barefoot Waterski Championship On-Line Coverage it's speed!\n\nThe Local Choice. The Better Choice.\n\nOTTER TAIL TELCOM\n\nPARK REGION Mutual Telephone Co.\n\nMain Street Underwood & Fergus Falls\n218-826-6161 or 1-800-247-2706\n\n230 West Lincoln Fergus Falls\n218-998-2000 or 1-888-716-8837\n\nwww.parkregion.com\n\nAn event of the magnitude of the 2000 World Barefoot Championships would not, could not, take place without significant involvement from a wide variety of people. We begin by thanking the tens of thousands of footin’ fans who have come from near and far to participate in the success of a truly unique mix of culture and sport. Next, we say thank you to the corporate contributors who had the vision to support an event which will provide tremendous exposure for and have a positive financial impact on, our region. Lastly, we thank the volunteers who have poured heart and soul into thousands of hours of preparation and service to make this a memorable event for people of all ages!\n\nMerci Tukk Danke Schoen Grazie\n\nOLSON OIL COMPANY IS PROUD TO BE A SPONSOR OF THE 12TH WORLD BAREFOOT WATER SKIING CHAMPIONSHIPS! ENJOY THE SHOW!\n\nPick up a FREE bag of ice with this coupon at either of our stores!\n\nOlsen Oil Spur 1425 W. Lincoln (Next to K-mart) OR Frontier Amoco 515 Frontier Drive (Next to Perkins)\n\ncoupon expires 9/4/00\n\nLAKES Radio\nOfficial Media Sponsor of the World Barefoot Championships\n\n103.3 \"The Heart of Rock & Roll\"\nTune in for special feature reports Wednesday, Thursday and Friday at 4:20 pm on KBRF AM 1250 and 4:50 pm on Lakes 99.5\n\nKBRF AM 1250 \"Good Neighbor Radie\"\n\nDaily news features & updates on all 5 stations!\n\nTo Your Hi-Tech Care Health\n\nLRH Lake Region Healthcare Corporation\n712 S. Cascade • Fergus Falls, MN\n218 736-8000 (V/TDD) www.lrhc.org\n\nPeople who simply don’t know how to give less than their best.\n\nExecution that redefines the possible.\nCommon sense that makes safety a standard of excellence.\nWhat’s true for our employees who work in extreme and dangerous conditions is true for the participants in this extreme and extraordinary sport. When safety wins, we all win.\n\nHere’s to the 2000 Barefoot Ski World Champions. Have fun. Be safe.\n\nOtter Tail Power Company"}}},{"rowIdx":204874,"cells":{"text":{"kind":"string","value":"UNIX GATHERS SPEED\nAS THE FEUD GOES ON\nPAGE 54\n\nDOS\n\nUI\n\nOSF\n\nBUT IT STILL MUST SOLVE SOME MARKETING PROBLEMS\nPAGE 57\n\nA MODULAR UNIX OPENS THE OFFICE DOOR\nPAGE 64\n\nLooking\nWe m\n\nfor lower NRE? Make it Tiny.\n\nHere's How To Develop Analog/Digital ASICs In Less Time, For Less Money.\n\nNow, for an absolutely tiny price, you can partition complex mixed mode ASICs and separately design and verify the critical segments through fabrication. Cost of fab will no longer stop you from a divide and conquer methodology. Use Tiny Chips and go a step at a time. Tiny Chips, available on Foresight multi-project wafer runs, reduce NRE costs and help you move confidently from prototypes into production.\n\nTwelve packaged parts are available at a cost of just $1,500. And Foresight runs are regularly scheduled, so development can be pipelined; some segments can be in design, some in fab, while others in test and debug ... all at the same time.\n\nForesight runs support larger die sizes for characterization of completed designs prior to production.\n\nAs you might expect from the only foundry to guarantee quick turnaround, Tiny Chips are available in a mere 20-25 working days from CMOS runs supporting:\n\n- 1.2, 1.5 and 2.0 micron feature sizes\n- 2.0 micron buried channel CCDs\n- a 40 pin Tiny Chip pad frame supplied by Orbit\n- the DoD 2/1.2 micron CMOSN standard cell library with RAM and ROM generators\n\nGetting started is easy as getting design rules and process information in our newly published Foresight User Manual.\n\nIf you are trying to build complex ASICs, without building up time and cost, Orbit's new Tiny Chip service may be the biggest news yet. To get more information in a hurry, contact Technical Marketing, Orbit Semiconductor, 1230 Bordeaux Drive, Sunnyvale, CA. Or call (408) 744-1800 or (800) 331-4617. In CA (800) 647-0222. FAX (408) 747-1263.\n\nWhat others promise, we guarantee.\n\nREGIONAL REPRESENTATIVES: East Coast (609)428-6060, - Midwest (303)530-4520 West Coast (408)248-5300\n\nINTERNATIONAL REPRESENTATIVES: Canada (514)481-3313 - U.K. Phone (0372) 377779, Th 897628 S.G. U.K.-G. Fax (0172) 376848 - Europe Phone (06031) 61676, Tha 0031 948, FAX (06031) 61788 Australia Phone (8) 223 5802, Tha UNIVAD AA89141, Fax (8) 224 0464\n\nCIRCLE 207\n\nAccess powerful graphics from your programs and reduce your development time.\n\n- **interactive interface** for prototyping and graphics development\n- **programmatic interface** allows complete integration into your programs\n- **integrates** with your file formats, 4GL report writers and databases\n- many **advanced features** — curve fitting, text formatting, multiple chart composition, full axes control, and more\n- supports **publication quality output** on hardcopy devices\n- Since 1983, Grafit has been used in hundreds of visualization applications\n\n---\n\n**SUN-4 SPECIAL INTRODUCTORY PRICE. CALL FOR DETAILS**\n\n206-828-4691\n\n---\n\n**graphicus**\n\n150 Lake Street, Suite 206\nKirkland, WA 98033 USA\nTelephone: 206-828-4691\nFAX: 206-828-4236\n\n---\n\n**CIRCLE 185**\n\nELECTRONICS • SEPTEMBER 1990\n\n---\n\n**EDITOR**\nJonah McLeod\n\n**MANAGING EDITOR**\nHoward Wolff\n\n**SENIOR EDITOR**\nLawrence Curran\n\n**EDITOR-AT-LARGE**\nSamuel Weber\n\n**ASSISTANT MANAGING EDITOR**\nJacqueline Damian\n\n**DEPARTMENT EDITORS**\nCommunications:\nJack Shandle\n\nSystem Technology:\n(San Jose) Jonah McLeod\n\n**EDITORIAL PRODUCTION MANAGER**\nApril Messina\n\n**BUREAUS**\nBoston: Lawrence Curran, Manager\nMidwest Correspondent: Francis J. Lavoie\nLos Angeles: Lad Kuzela\nMid-Atlantic: Jack Shandle, Manager\nFrankfurt: John Gosch, Manager\nFrance Correspondent: Bradford Smith\nItaly Correspondent: Andrea Rosenbaum\nJapan: Shin Kumagai, Consultant,\nNippon Research Institute\nUK Correspondent: Peter Fletcher\nElectronics Index: Mark Parr\nEditorial Intern: Amy Rosewater\n\n**VICE PRESIDENT-EDITORIAL**\nPerry Pascarella\n\n**GROUP EDITORIAL DIRECTOR**\nLeland Teschler\n\n**COMPUTER SYSTEMS ADMINISTRATOR**\nAnne Gillo Turtoro\n\n**GROUP ART DIRECTOR**\nPeter Jeziorski\n\n**EDITORIAL ADMINISTRATION**\nBradie S. Guerrero\nTina A. Montone\n\nNational Sales Manager: John French\nVice President of Circulation: Gloria Adams\nManager of Circulation: Nancy Schlachet\nReader Service Manager: Mary Lou Allerton\n\n**PRODUCTION**\nProduction Manager:\nRobert D. Scofield\n(201) 393-6253/6254\nFAX: (201) 393-0410\nProduction Assistant:\nLucrezia Hlavaty\nOrder Entry:\nBeverly Desbiens\n\n**PUBLISHER**\nJames C. Uhl\n\nSeptember 1990 Volume 63, Number 9\n\nElectronics (ISSN 0013-4375) is published monthly by Penton Publishing, Inc., 1100 Superior Ave., Cleveland, OH 44114. Second class postage paid at Cleveland, OH, and additional mailing offices.\n\nEditorial Offices: 1100 Superior Ave., Cleveland, OH 44114; 811 Route #46 West, Hasbrouck Heights, NJ 07604. Telephone (201) 393-6253/6254. Facsimile (201) 393-0410. Telex 24-4060. Cable Electronics 441-0500. Circulation (1100 Superior Ave., Cleveland, OH 44114): (416) 696-7000.\n\nTax registered with US Patent Office. Printed in U.S.A. Copyright © 1990 by Penton Publishing, Inc. All rights reserved. No part of this publication may not be reproduced in whole or in part without the consent of the copyright owner.\n\nPermission is granted to users registered with the Copyright Clearance Center Inc. (CCC) to photocopy any article, with the exception of those for which separate permission must be obtained, provided that the fee stated in the article, for a base fee of $1 per copy of the article plus 50¢ per page paid directly to CCC, 27 Congress St., Salem, MA 01970, (Code No. 0013-4375/90 $1.00 + .50).\n\nSubscriptions free to qualified managers. All others: $60 for one year in the U.S.; $70 for two years. Canadian and foreign rates: $75. Subscriber change of address and subscription inquiries, call 216-696-7000.\n\nPOSTMASTER: Please send change of address to ELECTRONICS, Penton Publishing, Inc., 1100 Superior Ave., Cleveland, OH 44114.\n\nIn a single 8-hour shift, the PR®-950 from Photo Research can inspect nearly 1,000 units—if it works through lunch. Simply program your specifications for brightness, color and geometry. The PR-950 applies precisely those standards to every monitor, terminal or television it checks, over and over and over again…with unprecedented accuracy and repeatability.\n\nIt can be used on-line for production applications—enabling an operator to adjust and align units. Or, it can be used as a final inspection tool—providing a detailed test report for each unit before shipment.\n\nAnd the PR-950 keeps track of everything—for Statistical Process Control or trend analysis.\n\nSpeed. Accuracy. Repeatability. Flexibility. Traceability. All in a day’s work for the PR-950.\n\nPHOTO RESEARCH®\nThe Light Measurement People®\nDivision of KOLLMORGEN\n9330 DeSoto Avenue, P.O. Box 2192, Chatsworth, CA 91313-2192 USA\n(818) 341-5151 FAX: (818) 341-7070 TLX: 69-1427 Cable: SPECTRA\n\nAll trademarks are property of Kollmorgen.\n\nCIRCLE 212 FOR SALES CALL\nCIRCLE 213 FOR LITERATURE\n\nIn their dazzling push to the top of international markets, Japanese electronics companies have had the advantage of government sanctions that nourish the large *keiretsu*—societies of business. The *keiretsu* are groups of diverse companies with common interests that pool resources and cooperate to win market share. Detractors claim such government involvement wouldn’t work in the U.S.—that it would simply transfer public funds into the hands of large, inefficient companies already well entrenched in the industry. The real key to success is unfettered market competition, they say. But the reality as practiced by the Japanese makes room for both.\n\nIn the July–August issue of the *Harvard Business Review*, Charles H. Ferguson, research associate at the Massachusetts Institute of Technology, explains that a *keiretsu* is usually built around a central company, typically a bank or supply company, that resembles the U.S. conglomerate of the 1960s and 1970s—a central holding company such as ITT that controlled a number of companies in other industries. Members of the *keiretsu* have ownership in one another and interlocking directorates, so top management cooperates for mutual benefit. Thus *keiretsu* can minimize risk and develop strategic technologies for the long term. Through mutual ownership, member companies have access to capital, complementary technology, and guaranteed markets. For example, Ando Electric, 51.2% owned by NEC Corp., sells its test equipment to the NEC *keiretsu*.\n\nConventional wisdom would suggest that the *keiretsu* would be self-defeating, that member companies assured of long-term financing and a guaranteed customer base would grow complacent. What keeps this from occurring is that one *keiretsu* competes with several others: Ferguson points out that nine companies and their associated *keiretsu* compete in the semiconductor and electronics markets.\n\nThis fierce competitiveness ensures that each enclave of companies is highly efficient and world class competitive.\n\nSuch forms of cooperation are anathema in the U.S. However, several examples suggest ways that U.S. electronics companies are enjoying similar synergy. Harris Semiconductor Corp. along with four other companies pooled resources in 1986 to jointly fund the company that later became Cadence Designs Systems Inc. of San Jose, Calif. All five investors contributed technology, which Cadence used to develop new products that were made available to the investors and also sold commercially. Jon Cornell, vice president of semiconductors at Harris in Melbourne, Fla., says that not only has Harris profited handsomely from the investment, it has also helped direct tool development at Cadence and gained access to these tools much sooner than it would have by developing them in-house.\n\nSuch cooperative ventures can also be applied to the manufacture of almost any product. For example, a consortium of chip makers could invest in a semiconductor production equipment company. A group of computer system houses could invest in a semiconductor company to produce RAM memory and ASICs. If U.S. companies do not take actions such as these, the *keiretsu* of Japan will certainly outperform them in every aspect of electronics, from systems to chips.\n\nJONAH McLEOD\nEDITOR\n\nMarket windows open. Unfortunately, they also close.\n\nThat's why \"Not Invented Here\" can be the three most expensive words in business.\n\nGetting new products into rapidly emerging markets quickly enough is tough. Fast, effective design is imperative. Designing, debugging and building your product's embedded computer can slow you down. Today, when design agility carries straight to the bottom line, Ampro can offer profitable alternatives to putting your engineers in the computer business.\n\nJump-start your product. Ampro's proven line of Little Board single board systems and MiniModule expansion boards allow you to snap an embedded IBM-compatible computer into a space just 5.75\" x 8\". XT, 286 or 386, it's your choice. No computer development or manufacturing headaches. And Ampro can deliver in quantity. At highly competitive prices.\n\nFocus your product team. With Ampro, your product design and manufacturing team can concentrate on your product. Not the computer. And our engineers will work closely with your engineers throughout the design phase.\n\nSimplify software development. There's a vast body of IBM-compatible software ready to run. Operating systems. Languages. Applications. That's another jump-start. For your software.\n\nProven answers. Today, Little Boards are at the heart of thousands of successful systems. Worldwide. Systems designed with the concept that the product window is more important than the NIH Factor.\n\nAnswers. Fast. If your business is solutions, not computers, we can offer cost-effective alternatives to designing your own microcomputers for your new products. Call today for information on how Little Boards and MiniModules can shorten your design cycle. We can help you run through the window. Not into it.\n\nCall toll free at the number below. Or, send for our free brochure: \"Not Invented Here - the three most expensive words in business.\"\n\nCIRCLE 217\n\nCall Toll Free:\n\n1-800-966-5200\n\nAMPRO\nSINGLE BOARD SYSTEMS\n\nAmpro Computers, Inc.\n1130 Mountain View/Alviso Road, Sunnyvale, CA 94089.\nTel: (408) 734-2800. FAX: (408) 734-2939. TLX: 4940302\n\n54\n\nCOVER STORY: UNIX\nUnix makes good on its promise\nThe AT&T developed operating system now penetrates all classes of computers—and it's growing fast\n\n57\n\nUnix takes a hand in the PC tug-of-war\nMarket share will elude the up-and-coming OS until it solves some mundane marketing problems\n\n59\n\nA single Unix? Don't hold your breath\nThere's OSF and there's UI, and the pundits predict that never the twain shall meet\n\n62\n\nMerging real-time processing and Unix V\nNixdorf's Hybrid System lets Unix run concurrently with its real-time Nicos on the same chip\n\n64\n\nA modular Unix opens the office door\nChorus makes it easy to add on-line transaction processing without creating a proprietary operating system\n\n67\n\nFast, faster, fastest: ATE chases speed\nWith time to market the chip makers' battle cry, the burden is on test-equipment vendors to slash test time\n\n71\n\nA radical architecture trims test time\nSchlumberger's new ITS 9000 offers vast flexibility and direct links with simulation data\n\n## NEWS ROUNDUP\n\n### 23 News Front\n- The future is bright for open systems\n- Ferroelectric memory maker Ramtron Corp. gets a new home\n- Siemens, SGS-Thomson are still talking about a possible merger\n- Silicon-on-insulator ICs go commercial\n\n### 27 Products to Watch\n- Radius adds TV to the Macintosh's bag of tricks\n- Acculink IC outruns sample-and-hold chips and hybrids\n- Matrox does Windows—with gusto\n- AT&T packs six DSPs on a VMEbus board\n\n### 41 European Observer\n- East Germany to start making computers\n- Philips will thin out its IC range\n- Siemens and Bosch strengthen auto business in North America\n- AEG comes to the rescue of Siliconix\n\n## WORLDWIDE NEWS\n\n### 29 Displays\nTexas Instruments and MIT seek applications developers for truly 3-d systems\n\n### 30 Trade\nWhen doing business with the Russians, U.S. companies are discovering, it pays to be flexible\n\n### 37 Graphics\nHere's a low-cost way to boost PC graphics beyond VGA level\n\n### 39 Power ICs\nSiemens sees a big power push in the 1990s, especially in Europe\n\n## EXECUTIVE BRIEFING\n\n### 43 LCDs\nTwo U.S. innovators struggle against the tide as Japan takes over in LCDs\n\n### 51 Microcontrollers\nThere's a lot of life left in the 4-bit controller, as Eurosil's new family proves\n\n## COMPANIES COVERED IN THIS ISSUE\n\n| Company | Page |\n|----------------------------------------------|------|\n| Acculink Inc. | 27 |\n| Advantest | 67 |\n| AEG AG | 41, 51 |\n| Analog Devices Inc. | 37 |\n| Ando Electric | 4 |\n| Apple Computer Inc. | 27, 43, 57 |\n| AST Research Inc. | 57 |\n| AT&T Co. | 54, 57, 59 |\n| AT&T Microelectronics | 27 |\n| Autodesk Inc. | 37 |\n| BIS | 30 |\n| BIS Mackintosh Ltd. | 54, 57 |\n| Cable & Wireless plc | *36J |\n| Cadence Design Systems Inc. | 4 |\n| Chorus Systems Inc. | 64 |\n| Compaq Computer Corp. | 57 |\n| Computer Elektronik Dresden GmbH | 41 |\n| Concurrent Computer Corp. | 62 |\n| Copris | 30 |\n| Dataquest Inc. | 16, 54, 57 |\n| Digital Equipment Corp. | 54, 59 |\n| Edsun Laboratories Inc. | 37 |\n| Electronic Trend Publications | 23 |\n| Encore Computer Corp. | 59 |\n| Eurosil Electronic GmbH | 51 |\n| Exabyte Inc. | 16 |\n| Ferranti Creditphone Ltd. | *36J |\n| Ferranti International plc | *36J |\n| GenRad Inc. | 67 |\n| Giant Electronics Technology Corp. | 43 |\n| Hambrecht & Quist | 67, 71 |\n| Harris Semiconductor | 4 |\n| Hewlett-Packard Co. | 67 |\n| IBM Corp. | 30, 54, 59 |\n| ICAR | *36A |\n| Institute for Time-Measuring Technology | 51 |\n| Intel Corp. | 62 |\n| Interactive Systems Corp. | 57 |\n| International Data Corp. | 54 |\n| JV Dialogue | 30 |\n| Kopin Corp. | 23 |\n| Laser Magnetic International Co. | 16 |\n| Lotus Development Corp. | 37 |\n| Maci Industries Group | 41 |\n| Macromind Inc. | 27 |\n| Magnascreen Corp. | 43 |\n| Market Intelligence Research Co. | 67 |\n| Massachusetts Institute of Technology | 29 |\n| Matrox Electron Systems Ltd. | 27 |\n| Megatest Corp. | 67 |\n| Mentor Graphics Corp. | 67 |\n| Mercury Communications Ltd. | *36J |\n| Microsoft Corp. | 27, 30, 54, 57, 59 |\n| Motorola Inc. | 71 |\n| NEC Corp. | 4 |\n| Nixdorf Computer AG | 62 |\n| Novatel Communications Ltd. | 41 |\n| NTT Corp. | 71 |\n| Open Software Foundation | 54, 57, 59 |\n| Philips International NV | 8, *36A, *36H, 41 |\n| Prairietek Inc. | 16 |\n| Radius Inc. | 27 |\n| Ramtron Corp. | 16, 23 |\n| Ready Systems | 62 |\n| Robert Bosch GmbH | *36A, 41 |\n| Rockwell International Corp. | 27 |\n| Santa Cruz Operation | 54, 57 |\n| SAS Institute | 30 |\n| Schlumberger Technologies | 67, 71 |\n| SecureWare | 59 |\n| SGS-Thomson Microelectronics | 23 |\n| Siemens AG | 23, 41 |\n| Silicon General Semiconductor Inc. | 23 |\n| Siliconix Inc. | 41 |\n| Simtek Corp. | 16 |\n| Stanford Resources Inc. | 43 |\n| Sun Microsystems Inc. | 27, 54, 57, 59, 71 |\n| Tandon Corp. | 30 |\n| Tektronix Inc. | 43, 67 |\n| Telefunken Electronic GmbH | 51 |\n| Telephone Rentals Ltd. | *36J |\n| Televideo Inc. | 30 |\n| Teradyne Inc. | 67 |\n| Test Systems Strategies Inc. | 67 |\n| Texas Instruments Inc. | 29 |\n| The Yankee Group | 54, 57 |\n| Thinking Machines Inc. | 29 |\n| Unix International Inc. | 57, 59 |\n| Western Digital Corp. | 27, 30 |\n| Westinghouse Electric Corp. | 43 |\n\n* International only\n\n© 1990 Hewlett-Packard Co. TMT&M029\n\nDid you hear about the optical attenuator that fell from the sky?\n\nIt hit the ground running.\n\n\"Roger, Falcon 20, you're cleared for landing. Braking action advisory. Ice on the runway.\" The veteran pilot of the cargo plane had landed at Link Field before, but the tower's report was a cold reminder that the airstrip ended in a 75-foot cliff.\n\nOn touchdown, the jet skidded out of control. Within seconds, it shot off the cliff like a ski jumper and tumbled down the steep embankment, cargo flying in all directions.\n\nMinutes later, rescue teams were helping the pilot and co-pilot from the wreckage. The pungent smell of jet fuel filled the air, so crews sprayed fire-retardant foam on everything. Including an HP optical attenuator which was on its way to a customer.\n\nTwo days later, our customer received the instrument. Fostering little hope, their engineers ran routine tests anyway. The optical attenuator not only survived, it passed all specifications.\n\nStories like this underscore why engineering managers give HP the highest rating for reliability. And we're always improving. Our Total Quality Control program has increased the quality of our products ten-fold over the last 10 years.\n\nSo, when design and manufacturing productivity are at stake, rely on HP. Because you never know when you'll have to hit the ground running.\n\nThere is a better way.\n\nHewlett Packard\n\nGet the Facts\n\nWhen evaluating RISC processors for embedded applications, you need real benchmark data from independent sources. The *R3001 Performance Comparison Report* is a collection of the original third-party data used in the graph below.\n\nBenchmark Your Code\n\nOf course, we know that published data can’t give you all the information. You’d prefer to perform benchmarks for your specific application, and our six technology centers are equipped to do just that — bring us your code and we’ll run your benchmarks!\n\nYou Can Count On Us\n\nIDT offers a full array of complementary high-performance system building blocks for all your applications. Contact us today and get the facts: an R3001 Data Pak and R3001 Performance Comparison Report.\n\nIDT Corporate Marketing\nP.O. Box 58015\n3236 Scott Blvd.\nSanta Clara, CA 95052-8015\n\n(800) 345-7015\nFAX: 408-492-8454\n\nWhen cost-effective performance counts\n\nIntegrated Device Technology\n\nCAE Industry Undergoing Major Changes\n\nThe leader of the CAE industry, Mentor Graphics, has projected a drop in revenue for the second quarter of 1990. Inasmuch as this has concerned some analysts, it is only a reflection of the transition to a new generation of CAE tools required by the technologies of the 90s. As part of this transition, CAE tools are evolving from single operation programs to concurrent design tools where several tasks can be worked on in parallel. This requires a shift from batch compilation to incremental compilation—a major undertaking for any CAE vendor.\n\nXILINX development tools have been recently complemented by the powerful SUSIE/PGA ($1,995) from ALDEC which allows simulation of XILINX parts in real-time. SUSIE is closely integrated with XILINX development tools and allows concurrent cell editing and simulation and instantly emulates new cell placement. Circle 105\n\nIC Modelling Becomes More Reliable\n\nMost CAE vendors are making a strong commitment to the VHDL standard. With this and because VHDL compilers are less prone to human error, the new generation of IC models should be much more reliable than their predecessors. ITEX (805-499-6860) is specializing in selling VHDL IC modelling tools and IC models for the SUSIE logic simulator. ITEX contracts modelling work to independent developers, then verifies models and resells them over its own BBS network. This process will result in an abundance of IC models for users of the SUSIE logic simulator. Circle 104\n\nACTEL™ Programmable Gate Arrays Grow Stronger\n\nACTEL's market share will grow quickly now that new and easy-to-use design development tools are available. Two VHDL-based products for concurrent design and simulation of ACTEL programmable gate arrays have been released by ALDEC. SUSIE/ACT ($1,995) is a turn-key system for single chip development and simulation. The second product, ACT Library ($995), allows for development of ACTEL parts in a PC board environment. The ACT Library requires SUSIE-CD ($5,990). The major feature of both products is concurrent design modification and simulation without any compilation. No software knowledge is required to use either product.\n\nCircle 103\n\nNow XILINX™ Parts Are Easier to Use\n\nNobody could envision a few years ago that field programmable gate arrays (FPGAs) would do away with discrete logic so quickly. However, FPGAs offer major advantages: easy system level design, quick modifications and large PC board space savings. The most widely used FPGAs are XILINX parts.\n\n* SUSIE is a trademark of ALDEC, Inc.\nTelephone: (805) 499-6867, Fax: (805)498-7945\nMentor Graphics, XILINX, ITEX, and ACTEL are trade names or registered trademarks of their respective holders.\n\nAnalog Devices can meet your needs, no matter what your market is.\n\nWhether your market is a few thousand or a few million, there's one customer demand for your product that'll always remain high – the demand for high performance.\n\nThe best way to meet this demand is to follow what the leaders in the medical, military and instrumentation markets have been doing for 25 years, and what the leaders in consumer electronics have been doing for several years now. Call Analog Devices.\n\nThese companies call us because we offer a complete line of high-performance linear, digital signal processing and mixed-signal components. ICs that allow them to achieve higher levels of system integration, greater reliability, and...\n\nMeet your mixed-signal volume you're dealing in.\n\nDigital Audio Converters – The SOUNDPORT™ family of data converters comes complete with output amplifier, reference and digital logic interface. These mixed-signal ICs for high fidelity digital audio and multimedia applications achieve SNRs as high as 108 dB and THDs as low as 0.0025%.\n\nbetter performance in their products.\n\nAnd as a global operation, we're able to respond to calls from any corner of the earth. In fact, international sales account for half of our $450 million in revenues. And three of the top five Japanese electronics companies rely on us for their mixed-signal needs.\n\nSo call 1-800-262-5643 and request a free copy of our recent white paper on Mixed-Signal Technology. Or speak to an applications engineer by asking for Extension 101. You'll see that no matter how big or small your mixed-signal needs are, we're in the best position to help.\n\nAnalog Devices, Inc., One Technology Way, P.O. Box 9106, Norwood, MA 02062-9106. Headquarters: (617) 329-4700. Offices and applications support available worldwide.\n\nAre your ASIC product deadlines\n\nWith IKOS, your organization can meet the most amazing deadlines.\n\nThat’s because IKOS is the high-speed, hardware-assisted logic and fault simulator that streamlines your ASIC design process.\n\nSo you can improve your time to market dramatically.\n\n**Fully Compatible with Your EDA Environment**\n\nIKOS is the ideal simulator for large designs. That’s why leading EDA companies such as Mentor Graphics now incorporate IKOS as part of their complete systems design product line.\n\nAnd, you’ll find IKOS fits easily into your own design environment.\n\nPlus, we give you the ability to design with virtually any ASIC vendor’s technologies, because IKOS has the most extensive certified library support and library development tools of any hardware-assisted simulation system.\n\nIKOS simulators can be used with VHDL, logic synthesis, and hardware modeling tools for concept-to-system simulation.\n\nbecoming a little hard to believe?\n\nGreater Accuracy and Faster Simulation\n\nWith IKOS, your designers will achieve better ASIC design integrity, faster than you ever thought possible. That's because the superior accuracy of your IKOS Simulation System ensures confidence that first silicon performance will match the simulation results.\n\nAnd they'll be getting these results in seconds and minutes instead of hours and days. Because IKOS delivers the fastest simulation performance available today.\n\nDiscover how easily IKOS can help you and your design group meet those impossible deadlines. Ask for more information and a free demonstration of the IKOS Simulation System. Call 800/223-3987.\n\nOr write IKOS Systems Inc., 145 N.Wolfe Road, Sunnyvale, California 94086.\n\nON SILICON MOUNTAIN, DATA STORAGE IS THE KEY\n\nNEW OPTIMISM IN THE ROCKIES\n\nBY FRANCIS LAVOIE\n\nBusiness hasn't been great among the high-tech companies in the Colorado Springs, Colo., area. Defense cutbacks have hurt, and there are scores of stories about engineers arriving in the area full of hope, only to find jobs driving cabs or waiting tables.\n\nStill, there is a new feeling of optimism in the area these days. Nowhere was it more evident than at the fifth Silicon Mountain Symposium, an annual gathering designed to burnish the images of the electronics companies clustered there. Much of the good feeling can be traced to the promise of a bright future for the data-storage business, and for Colorado's part in it.\n\nAt the symposium, representatives of a dozen or so companies came mostly from Colorado Springs and its environs, but they brought a breadth of expertise that was global in scope. And they provided a grand tour of the state of the art in semiconductor memory technology.\n\nPerhaps the most interesting—and significant—discussions centered around the future of nonvolatile memories. Most of the speakers agreed with Simtek Corp. president Richard Petritz that nonvolatility \"is the next dimension in semiconductor memory.\" But if that was the general agreement, there was no such consensus on how best to achieve it. Some manufacturers are adapting established technology, aiming to solve some of the limitations of current nonvolatile memories. For example, Simtek is relying on its proprietary Novcel technology to lower cost and raise reliability.\n\nPerhaps the most interesting—and, some say, promising—technology discussed at the symposium was the use of ferroelectric materials. One champion of ferroelectronics is Ramtron Corp. of Colorado Springs (see p. 23).\n\nAlthough much of the symposium was devoted to semiconductor memory, magnetic-disk and tape memory came in for their share of attention. According to Dataquest Inc.'s Phil Devin, associate director of the San Jose, Calif., market researcher's computer storage industry service, both markets are still growing. In the case of tape drives, that growth will take place in the 8-mm, 4-mm, and DC-2000 sectors.\n\nOne company that has tied its wagon to the 8-mm tape star is Exabyte Inc. of Boulder. Founded in 1985, Exabyte has already seen its revenues grow to $89 million in 1989, with $175 million forecast for 1990.\n\nIn magnetic disks, although the 5.25-and 3.5-in. sizes are expected to dominate in the near term, there's considerable interest in the 2.5-in. size. PrairieTek Inc., a four-year-old Longmont company, is one that believes in the future of the 2.5-in. disk. Its 20-Mbyte, 60-oz. Prairie 120, the first 2.5-in. disk drive, was designed for notebook and laptop computers.\n\nDevin offers a few caveats in the face of his generally optimistic outlook. He feels that there is confusion in the marketplace, with too many vendors competing. This will lead to a shakeout, says Devin, with the survivors being the service-oriented vendors. Also, there is the threat of competing technologies, mainly optical.\n\nAccording to Devin, the rewritable optical-disk business will continue to expand, with the 5.25-in. size growing from about 30,000 shipped in 1989 to more than 600,000 in 1994. By then, the 3.5 in. will have reached 250,000 units.\n\nThe \"bright and shining star\" in optical-disk drives is the CD-ROM, which, says Devin, will account for some 40 million units by the end of the decade. Today, most optical disks are WORM drives—write-once, read-many. These disks are widely used to provide nonvolatile, high-density storage. But with WORM drives, the user cannot erase and rewrite data.\n\nSo manufacturers three years ago introduced rewritable optical drives based on magneto-optic technology, and the battle was joined between the two approaches, with each having its unique advantages and limitations. Now, says Al McDowell of Laser Magnetic International Co., Colorado Springs, there is a third option—LMI's new Laser Drive 520, a 5.25-in. optical drive that combines both write-once and rewritable capabilities. The multifunction drive was introduced at the symposium.\n\n2 GIGS-A-CHANNEL!\n\nNow get real-time sampling at up to 2 gigasamples/second using 8-bit ADCs on each channel. The 7200 is the digital oscilloscope with an analog personality – simply easy to use. Display your data in seconds instead of hours via instant auto-setups and built-in help.\n\nAdd real-time waveform math, over 50 pulse parameters and a statistics package…all standard. You can analyze data with the insight of an expert. An MS-DOS floppy drive makes mass data storage a snap!\n\nOf course, standard GPIB, RS-232-C and parallel interfaces let you communicate anyway you want.\n\nWhy wait? The 7200 is the only digital scope that gives you all the answers. And you already know how to use it. Call (800) 553-2769 to try one on your bench.\n\nLeCroy Corporation, 700 Chestnut Ridge Road, Chestnut Ridge, NY 10977.\n(914) 578-6072 direct, (914) 578-5985 FAX.\n\nOnly the 7200 samples at:\n\n- 2 GS/sec on 2 ch. for transients\n- 1 GS/sec on 4 ch. for transients\n- 20 GS/sec on 4 ch. repetitive\n\n...If You Value Performance\n\nInnovators in Instrumentation\n\nWe supply our clients with a wide array of connector parts, even when they go to parts unknown.\n\n- Lyn Bresnen\n Multi-National Account Executive\n\nSome big names in electronics are making big plans for global expansion.\n\nBut even the international date line can't stop Amphenol people like Antonia, Donna and Dennis from speaking your language when it comes to on-time delivery and zero defects. Now Amphenol has new facilities in Scotland, Mexico, Spain, and soon in Thailand, Korea and Australia.\n\nIn most cases, we're right next door to major customers. So no matter how far away you go, people like Efrain and Normand won't be far away. That's what makes us a world class connector manufacturer, and second to none when it comes to customer service.\n\nAmphenol\nWe're all connected.\n\nPIONEERS IN MEASUREMENT\n\nTiny Glitches Lead to Giant Wobbles\n\nWe take it for granted that the Earth rotates stably on its axis and that the stars are fixed in the sky above us.\n\nYet, Hipparchus discovered more than two millennia ago that there were very slight discrepancies in the measured positions of stars over the years. Compelled to look further, he found the difference to be greater than what could be attributed to error and analyzed it.\n\nHipparchus realized that the position of the stars was actually shifting at a constant rate, year after year. This was later shown to be caused by the Earth slowly wobbling like a top as it turned on its axis.\n\nStabilizing Today’s Communications\n\nThe slightest deviations can be extremely important. In high-speed communications, tiny errors can garble the whole message.\n\nAnritsu specializes in the highest levels of measuring accuracy for all types of communications. Anritsu supplies reliable test equipment for sophisticated R&D, as well as daily maintenance, in wire, radio and optical communications systems.\n\nAdvancing on the leading edge of these technologies, Anritsu provides practical answers for any testing need.\n\nContinue the tradition of pioneering with Anritsu.\n\nMP1608A 5GHz Pulse Pattern Generator\n\nAnritsu\nANRITSU CORPORATION\n10-27, Minamiazabu 5-chome, Minato-ku, Tokyo 106, Japan\nPhone: Tokyo 03-446-1111, Telex: 0-242-2353 ANRITU J\n\nDigital, analog, in-circuit, functional... now one tester does it all.\n\nHere's your answer for complete testing of today's complex boards. The HP 3070 AT-Series combinational tester.\n\nIts advanced pin electronics means high-performance testing... including testing of fast microprocessors with clock rates to 40 MHz. A flexible system architecture delivers hundreds of thousands of test vectors without segmenting or reloading. And allows easy expansion to more than 2500 nodes. An integrated fixturing system helps lower your fixturing costs. And the HP IPG Test Consultant software speeds test development.\n\nCall 1-800-752-0900 today. Ask for Ext. 501D and we'll send you more details on the tester that does it all.\n\nThere is a better way.\n\n©1989 Hewlett-Packard Co. TMMTD917D/E\n\nPlease see us at The ITC Show Sept. 10, 11 & 12 in Washington, D.C. Booth #1212\n\nFUTURE BRIGHT FOR OPEN SYSTEMS\n\nIllustrating the truth of the adage that if you build a better mousetrap the world will beat a path to your door, the players in the market for open computer systems can contemplate a future of unalloyed growth. That's the word from Electronic Trend Publications, the Saratoga, Calif., market-research company.\n\nIn fact, the report, \"Open Systems' Impact on the Computer Industry,\" forecasts growth for open systems hardware and software that will outstrip that of the total computer market. By 1993, open systems' growth will be from $14.6 billion to $42.7 billion, a compound annual rate of nearly 31%, says the study. At the same time, open systems' share of the market will swell from 15% to 31%.\n\nGreatest growth will be in the smallest computers, says the report. Sales of micros will zoom 275% in the period; workstations, 220%; mid-range units (those selling for more than $50,000 to commercial and engineering users), nearly double; and mainframes and supercomputers, 54%. The largest computers will be slowest to open because proprietary firms dominate.\n\nFERROELECTRIC MEMORY MAKER GETS A NEW HOME\n\nIf there still are any doubts about the staying power of ferroelectric memories, they should be dispelled by the opening of the first plant built especially to make the nonvolatile devices. Ramtron Corp.'s 69,000-ft² facility in Colorado Springs, Colo., can turn out 6,500 6-in. wafers a month and is equipped for pilot production of memories up to 4 Mbits with sub-micron features and boasts a Class I clean room. In addition, the new headquarters building can house up to 220 employees, more than double today's staff of 90.\n\nRamtron, which was founded in 1984, is currently turning out 256-Kbit memories in its ferroelectric family. It has dubbed the parts FRAM, for ferroelectronic random access memory.\n\nSIEMENS, SGS-THOMSON ARE STILL TALKING MERGER\n\nThose rumors of a merger between Siemens and SGS-Thomson Microelectronics have surfaced again, this time in a weekly trade tabloid. Here's the story: Siemens AG confirms that it has been talking to a number of potential partners, among them SGS-Thomson Microelectronics. The idea is to make Europe stronger in semiconductors, \"something more immediate and substantial than Jessi,\" according to company insiders. Jessi is the European Community-sponsored Joint European Submicron Silicon Initiative.\n\nFor Siemens, two models of cooperation with SGS-Thomson are feasible. First, efforts to work together in specific fields, as is already being done in microcontrollers [Electronics, May 1990, p. 5+], may be intensified and extended to encompass other semiconductor devices such as memories, the field.\n\nMeanwhile, Europeans, despite rosy forecasts, worry about the future of their chip industry. A Siemens official declares, \"It must be Europe's goal to concentrate its forces. Something must be done.\"\n\nSILICON-ON-INSULATOR ICs GO COMMERCIAL\n\nWhat are believed to be the first commercially available high-performance ICs made with a silicon-on-insulator material have reached the market in the form of two diode arrays manufactured by Silicon General Semiconductor Inc. Garden Grove, Calif. The devices are fabricated on SOI wafers made by Kopin Corp., Taunton, Mass., and are the first SOI-based components to receive the Joint Army-Navy MIL-S-19500/474 qualification from the Defense Electronics Supply Center.\n\nBecause of their sturdy insulation layers, SOI substrates allow much higher voltage, higher density, and better radiation resistance in the active devices fabricated in them than are possible with conventional silicon substrates. Kopin grows a thermal oxide on silicon, deposits a polycrystalline layer, then recrystallizes the poly layer into a single-crystal silicon thin film.\n\nFDDI.\n\nFrom deskwork to network.\n\nGood news for networks!\n\nThe X3T9.5 Task Group, under the procedures of ANSI Accredited Standards Committee X3, has reaffirmed approval of the Media Interface Connector (MIC) for the proposed FDDI (Fiber Distributed Data Interface) Physical Layer Medium Dependent (PMD) document.\n\nMore good news! AMP has the complete fiber optic interconnection system—the AMP OPTIMATE Fixed Shroud Duplex System—that meets all FDDI PMD requirements. And includes all the physical components you need to make your fiber optic network a reality.\n\nOf special note: the transceiver is capable of operating at data rates up to 125 Mb/s. Available in standard or raised (+5v) ECL logic, it gives you a compact, board-mount data link in an industry-standard 22-pin package. Reliable duplex mating and electro-optic conversion are now easier than ever.\n\nAll system components, in fact, are easy to install and reconfigure. Our field termination kit makes short work of attaching duplex connectors to fiber cable. And because all interconnections use a floating interface, you get consistent, low-loss mating (0.6 dB typical) throughout.\n\nYou can also order complete, custom-built cable assemblies from us. Either way, you’ll have the assured compatibility that comes from dealing with only one supplier for all your FDDI interconnection components. A supplier whose capability in fiber optic technology is everything you’d expect from the world’s largest connector company.\n\nFor technical literature and more information, call 1-800-522-6752. AMP Incorporated, Harrisburg, PA 17105-3608.\n\nTHIS IS AMP TODAY.\n\nThe Highest Density, Fastest, VME-Compatible Memory\n\nClearpoint, of course!\n\nAdvanced Chip Technology and Design\nGet up to 64 MB of fast, VME-compatible memory in a single slot. Designed with state-of-the-art 4 Mb DRAM technology, Clearpoint's VMERAM-FP1 assures higher reliability through lower component count. Each of Clearpoint's VME-compatible boards supports all VMEbus addressing and data transfer types—block mode (BLT), unaligned (UAT), and address only (ADO).\n\nThe Fastest Byte Parity\nThe VMERAM-FP1, available in 4 to 64 MB, provides the fastest sustained block transfer timing available. Typical operating speeds boast 100 ns read and 74 ns write.\n\nError Detection and Correction Options\nClearpoint offers several EDC boards for the VMEbus and the VSB subsystem bus. Our proprietary second generation EDC chip set allows for reduced chip count while providing advanced EDC logic.\n\n- **VMERAM-EC1**: Featuring Clearpoint's exclusive \"extra bit\" technology, 24- and 32-bit addressing, and 8-, 16-, and 32-bit data transfers, VMERAM-EC1 is available in 2 to 64 MB densities.\n\n- **VMERAM**: The VMERAM is the low-cost alternative for EDC memory, with pricing comparable to parity memory. The VMERAM is available in 2 to 16 MB densities.\n\n- **VSBRAM-EC1**: Features include \"extra-bit\" EDC and dual 64-bit caches for simultaneous transfer capabilities. Dual-ported for the VMEbus and VSB subsystem bus, the VSBRAM-EC1 is available in 2 to 64 MB densities.\n\nThe Clearpoint Difference\nClearpoint is a leading vendor in the VME marketplace, with the most comprehensive service program available. All Clearpoint memory products are covered by a lifetime warranty and a toll-free technical support hotline. Dedicated inventory in multiple locations worldwide support our 24-hour replacement program.\n\nCall or write to receive the facts:\n- Product/Services Catalog\n- Designer's Guide\n- Spec Sheets\n- Newsletter\n- Applications Video\n- Quality Assurance Information\n\nClearpoint Research Corporation\n35 Parkwood Drive\nHopkinton, MA 01748\n1-800-CLEARPT\n(1-800-253-2778)\n\nRADIUS ADDS TV TO THE MAC\n\nThe convergence of the computer and the TV has won another convert: San Jose, Calif.-based Radius Inc., a leading manufacturer of high-res display monitors and software.\n\nUsing Apple Computer Inc.'s Macintosh II as its platform, the RadiusTV System lets users display broadcast TV, videotape, or videodisk signals in a window. Digitized video resolution is 640 by 480 pixels, while the audio component is handled through the Mac's sound system.\n\nVideo images can be saved and manipulated with 15 special effects. Lingo, a multimedia authoring language from Macromind Inc., San Francisco, Calif., provides overall system control. Available now, RadiusTV prices start at $3,000 including software.\n\nBy integrating video and audio into a single system, Radius makes multimedia development easier.\n\nACCOLIN IC OUTRUNS SAMPLE-AND-HOLD CHIPS AND HYBRIDS\n\nAcculin Inc.'s monolithic, 12-bit sample-and-hold amplifier's 7.5-ns acquisition time for 8-bit samples establishes a new performance standard, claims the Natick, Mass., startup.\n\nThe closest monolithic IC competitor runs at just 25 ns, while the closest hybrid competitor offers 20 ns, says Acculin. At 8-bit accuracy, the chip delivers 100 megasamples/s. At 12-bit accuracy, it handles 50 megasamples/s.\n\nFabricated in a complementary bipolar process, the AL1220 targets high-speed flash analog-to-digital converters in data-acquisition systems for radar and intermediate-frequency imaging.\n\nThe price for commercial-grade devices will be $95 each in quantities of hundreds when production volumes become available later this month.\n\nMATROX DOES WINDOWS—WITH GUSTO!\n\nPersonal computers running graphical applications under X Windows or Microsoft Corp.'s Windows 3.0 or Presentation Manager can boost display speed, as well as color and resolution performance with Matrox Electronic Systems Ltd.'s M-WIN Series of graphics boards.\n\nThe accelerator boards basically offload window manipulation from the host microprocessor for any standard-architecture IBM-compatible microcomputer. Matrox has developed state-of-the-art software drivers for each of the three windowing environments.\n\nThe hardware is built around Western Digital Corp.'s 8514/A chip set. The M-WIN 1280 displays up to 256 screen colors from a palette of 16.7 million colors and contains a 2-Kbyte-by-2-Kbyte frame buffer for onboard storage of fonts, icons, and cursor bit maps.\n\nApplications compatible with IBM Corp.'s 8514A standard—such as Lotus 1-2-3 and WordPerfect—can display screens at a resolution of 1,024 by 768 pixels and still execute much faster than if the host had to perform windows rendering.\n\nMatrox has included driver switches that can boost the resolution to 1,280 by 1,024 pixels. The Dorval, Canada, firm says that, priced at $2,495, the board offers performance similar to that of products based on the Texas Instruments Inc.'s popular 34020 graphics chip at about half the cost.\n\nROCKWELL MODEM ICs CALL ON EUROPE\n\nThe latest version of Rockwell International Inc.'s innovative 2,400-bit/s modem chips adds European call-progress and blacklisting to the Newport Beach, Calif., company's chips with CCITT-endorsed data compression and error detection.\n\nThe RC2324AC-E complies with the CCITT V.42bis standard and provides effective speeds up to 9,600 bits/s. Samples are available.\n\nAT&T PACKS SIX DSPs ON A VMEBUS BOARD\n\nAT&T Microelectronics has teamed six of its WE DSP32C floating-point digital-signal processor chips on a board to create a development system to simulate leading-edge processing applications in graphics, imaging, audio, and other real-time uses.\n\nTogether, the DSPs can achieve 150 million floating-point operations/s. The board's architecture calls for a VMEbus interface. Sun Microsystems Inc. Sun 3 or Sun 4 workstations are the development platforms.\n\nThe VMEbus board costs $9,998. DSP support software—including a C compiler, source-code debugger, and host file server—for the Sun 3 or Sun 4 workstations costs $3,800 and a standard library of application programs costs $1,000.\n\nMil/Pac™ high-density military power supplies.\n\nIntroducing NDI DC-to-DC converters that meet an unprecedented combination of military design demands. Plus having the highest power-to-volume ratios of any full-mil qualified products.\n\nMil/Pacs come in 20W, 35W and 50W configurations, with single (5, 12, 15, 24, 28V) and dual (+12V; ±15V) outputs. They handle a wide 14V to 31V range of input. And operate at temperature extremes from −55°C to +100°C.\n\nMil/Pacs are designed with a field-proven topology that's been verified by rigorous environmental stress screening. They're available with MIL-STD-2000, or without. Either way, the specs are worth reading.\n\nJust write us at 2727 S. La Cienega Bl., Los Angeles, CA 90034. Or call (213) 936-8185.\n\nAbbott\n\nWHEN RELIABILITY IS IMPERATIVE.\n\nTI AND MIT SHOW PROTOTYPES OF SYSTEMS THAT TAKE DIFFERENT APPROACHES\n\nIT'S HERE! REAL 3-D!\n\nBY JACK SHANDLE\n\nTHE TECHNOLOGY OF true three-dimensional displays—not simply 2-d images viewed with special eyeglasses—has now advanced beyond the laboratory and is looking for applications developers.\n\nThree 3-d systems that display computer-aided-design data—but use radically different technologies—made news last month. Texas Instruments Inc. is seeking business partners to develop the OmniView system it demonstrated as a prototype during the Siggraph show in Dallas. Also in Dallas, Dimension Technologies Inc. of Rochester, N.Y., showed a more conventional autostereoscopic monitor.\n\nMeanwhile, in Cambridge, Mass., Massachusetts Institute of Technology researchers unveiled the prototype of a real-time holography system that they have constructed from existing optical and electronic technologies. TI is already developing custom prototypes of its system for military clients, says R. Don Williams, a development engineer in TI's Computer Systems Laboratory in Dallas. Other opportunities exist in medical imaging, CAD, and entertainment, he says, as well as niche markets where TI would need a partner to supply applications expertise. \"We are delivering prototypes to specs now,\" says Williams, \"and we will be fielding [completely operational] systems in the next two years at the latest.\"\n\nAt MIT's Media Lab in Cambridge, Mass., the system being developed by a team headed by Prof. Stephen Benton is still in the research phase, says team member Mark Lucente.\n\nMIT links classical holography techniques with a Connection Machine supercomputer from Thinking Machines Inc. to produce images that measure about 1.5 in. on each side. The Connection Machine is needed to create real-time images from CAD data because each point in the image has a theoretical relationship with every other point. To simplify the calculations, the hologram accounts only for horizontal parallax—viewers lose the 3-d effect if they shift their angle of vision in the horizontal plane.\n\nTI's OmniView offers several advantages but also suffers at least one defect. The 3-d volume is created by rotating a translucent disk around an axis perpendicular to the disk's center at 600 revolutions/min. A low-power laser beam modulated 10,000 times/s creates points of light on the disk. The persistence of the light source in the viewer's eye fuses the points into an image, says Williams. By contouring the disk's surface in the shape of a double helix—instead of a simple plane—the TI engineers have managed to double the refresh rate.\n\nAlthough the system prototype has a bandwidth of 3,000 points, that limitation is placed on it by computer system memory and can easily be scaled up. Red, green, and blue lasers can be mixed to produce a full-color display, and the display volume can be varied by the size and shape of the rotating disk. The prototype is 21 in. in diameter and 4 in. high. \"We could use very large disks,\" says Williams. \"People are already building centrifuges that rotate much faster.\"\n\nUnlike the MIT system, TI's OmniView is not compute-intensive. The data is generated by a Sun Microsystems Inc. workstation. The prototype has about a 1-s delay now but real-time performance is easily obtainable. OmniView also lives up to its name by letting a number of viewers see the image simultaneously from any vertical or horizontal angle, and there is no loss of the 3-d effect. But this advantage also means that one side of the object does not occlude the other. In other words, the objects appear to be made of glass.\n\n\"We are looking for applications in which transparency is not a disadvantage,\" says Williams. In some applications, such as medical imaging, transparency is actually a desired characteristic, he notes.\n\nAn ideal application is air-traffic control. The system could show several controllers the positions of aircraft relative to one another and to ground-based reference points. Color coding could identify protected airspace and provide an index of altitude levels. A controller might use a laser pointer to select a plane for radio contact.\n\nWhen doing business with the Russians, you have to come up with some unusual plans.\n\nIn the USSR, wing it\n\nBY MARTIN BANKS\n\nAre you ready to do business in the USSR? Then you had also better be ready to wing it. \"There is a definite need for creativity in doing business with the Russians, and it will be those with the best business deal that will win, not the best products. To some extent, the technology is irrelevant for the moment,\" says K. Philip Hwang, chairman and CEO of Televideo Inc. of San Jose, Calif.\n\nHwang was one of a large contingent representing U.S. and European computer systems and software suppliers that made the journey this summer to Moscow's huge VDNH Exhibition Park for the first PC World Forum conference and exhibition. They ranged from IBM Corp. to software companies on their first visit trying to establish formal business links with the well-established Soviet user groups.\n\nInto this category fell the producer of data-management and analysis software, SAS Institute of Cary, N.C. \"The exhibition has been very useful for us,\" says the company's European vice president, Art Cooke. \"We now know that the street price of the PC SAS system is up to the 10,000-ruble mark. Now we need to establish ways of formalizing business with these people.\" At the official exchange rate, 10,000 rubles is about $15,000; on the black market, it is about $600.\n\n\"It is a problem marketing product in a command-led, layered organizational structure,\" says Harrijs Buss, the Latvian chairman of one of the unofficial Soviet user groups. \"There is good communication across the country within each layer—for example, data-processing people or scientists—but little communication between the layers. It is also a problem dealing in hard currency, but legal distribution of the SAS system also means payment.\"\n\nAt present, Cooke favors the idea of dealing with the Soviet market as a separate entity and in the local currency. This has some problems because bank accounts in the USSR can only be opened by Soviet nationals. \"However, we have had discussions with the Lithuanian authorities,\" he says, \"and we have been told it will be legal for us to open an account there. We are still investigating the situation.\"\n\nThis was just one type of creative business thinking evident at much of the exhibition. Televideo, for example, has three joint ventures running, and two of them have led CEO Hwang into\n\nSpectators at the Moscow fair check out the U.S. pavilion. American companies are finding innovative ways to do business.\n\nsome interesting deals, especially for a computer company.\n\n\"One is a partnership venture in a leather-producing factory with the Ministry of Agriculture,\" he says. \"This should have a maximum production capacity of 300,000 skins per month. There is a strong market in the West for leather, which this factory aims to service, for hard currency earnings.\" Those earnings would then be used to buy Televideo products. The same arrangement applies to work with the Moscow City Council on the construction of a hotel.\n\nThe U.S. pavilion at the show included both the largest and the smallest from the U.S. computer business. That included IBM, which has had a Moscow office since 1974. It was, however, left to the special marketing group based at Boca Raton, Fla., with manager Robert Lohman in charge, to represent the company.\n\n\"I am cautiously optimistic about the Russian market,\" he says, \"though the situation is still highly fluid. IBM trades in dollars, like most others, and accepts that this can't be the way to do business in the long run.\"\n\nA surprising find at the show was Western Digital Corp. of Irvine, Calif. The company's disk controller, disk drive, and video controller chips are normally sold into the aftermarket for PC users as well as to PC manufacturers and assemblers. But according to Ken Larsen, the company's vice president of operations for Eastern Europe, based in Epsom, England, it is trying to work with other suppliers and manufacturers looking to set up factory installations in the USSR.\n\n\"We are trying to become involved with other manufacturers that have exment of indigenous businesses. Not only are there Soviet companies growing and forming partnerships and ventures with Western companies, but totally local businesses are starting to appear as well.\n\nSoftware is their obvious target and one of the first such companies is the BIS cooperative, based in Donetsk in the Ukraine. Founded in 1988, it has now produced a wide range of applications and utilities, with most of the emphasis being on the latter. According to the co-op's marketing manager, Valery Lukashin, some of its biggest sellers are antivirus and copy-protection programs.\n\nAcknowledging the ironic necessity, given the way the Soviet software market has developed, Lukashin says that existing relationships here,\" he says. \"In particular, we are looking to work with some of the Korean companies, which are starting to do good business.\" One reason for this, he suggests, is that they are large conglomerate companies that can trade Soviet raw materials such as timber for equipment, rather than deal directly in hard currency.\n\nThe need for flexibility in creating business opportunities in the USSR is well demonstrated by PC-compatible manufacturer Tandon Corp. The company is exploiting its facility in the Andheri free trade zone of Bombay, India, as its route into the Soviet marketplace.\n\n\"There is a bilateral trade agreement between India and the Soviet Union,\" says Shrikant H. Joshi, Tandon's general manager of business development in Bombay, \"and this has established a rate of exchange between the ruble and the rupee. There is currently an imbalance of trade between the two countries, and our ability to provide PCs, paid for in rupees, is an opportunity for the Soviets to redress this balance. With the recent relaxation of the Cocom rules, it also means that our full range of systems can be made available to them.\"\n\nThe Apple Macintosh is starting to see some penetration of the Soviet market, partly because its user interface makes it easier to work with for those with limited English [Electronics, August 1990, p. 12]. A full Cyrillic version of the Mac interface was displayed.\n\nAlthough the majority of exhibitors was American or European, perestroika is having its effects on the development of indigenous businesses. Not only are there Soviet companies growing and forming partnerships and ventures with Western companies, but totally local businesses are starting to appear as well.\n\nSoftware is their obvious target and one of the first such companies is the BIS cooperative, based in Donetsk in the Ukraine. Founded in 1988, it has now produced a wide range of applications and utilities, with most of the emphasis being on the latter. According to the co-op's marketing manager, Valery Lukashin, some of its biggest sellers are antivirus and copy-protection programs.\n\nAcknowledging the ironic necessity, given the way the Soviet software market has developed, Lukashin says that\n\nYou get fast hardware and software support for all the popular languages. A software library and time saving utilities are included that make instrument control easier than ever before. Ask about our no risk guarantee.\n\nthe co-op copy-protects all its products. \"The copy-protection program is also one of our best sellers,\" he says. It is outsold only by its networking package, BISLAN 2.03, which is a combined hardware and software product using a three-wire bus, RS-232C connections, and a 115-Kbaud transmission rate.\n\nBIS is looking to start exporting its software products, and has therefore published a price list of its offerings in dollars. The comparisons with local pricing are quite striking. For example, BISLAN 2.03 costs 1,990 rubles, but just $79. The copy protector, more likely to be an individual purchase, costs 390 rubles—but the export price is just $49.\n\nAs well as exporting its products, BIS is seeking import opportunities, and Lukashin feels it could offer Western software companies a specific advantage. \"We can apply our copy protection package to any software product,\" he says, \"so we can offer this service to Western software companies. We can sell their products in the Soviet Union protected by our package.\"\n\nSoftware generally is a strong suit for the Soviet Union. Copris, for example, is a Moscow company that not only acts as distributor-agent for hardware companies such as Rasterex and Houston Instruments, but also specializes in CAD applications software that exploits these hardware products.\n\nPerhaps one of the best-known Soviet-American joint ventures is JV Dialogue, which now has Microsoft Corp. of Redmond, Wash., as a leading business partner. It has recently launched Version 4.01 of MS-DOS, which is a complete rewrite of the package in Russian that was carried out by JV Dialogue under the direction of Nikolay D. Lioubovniy.\n\n\"This is already selling well,\" Lioubovniy says, \"and we hope to have a Russian version of Microsoft Works Version 2 available later this year.\" More long term, he is also considering the potential of Windows 3.0 as a target for conversion.\n\nJV Dialogue is also moving strongly into the manufacture of its own hardware, says Alexander I. Berest, distribution group manager. \"We have so far produced only AT- and XT-compatible machines,\" he says. \"We have a 12 MHz 286 machine, and a 16-MHz version just coming.\"\n\nTEXAS INSTRUMENTS\n\nA PERSPECTIVE ON DESIGN ISSUES:\n\nCreating systems with an analog edge\n\nIN THE ERA OF\n\nMegaChip TECHNOLOGIES\n\nHelping you implement your designs in a changing world.\n\nAn increasing share of the total analog market is being captured by mixed-signal devices. As they gain more widespread acceptance, they are driving the expansion of the overall analog market (see above).\n\nChanges such as this are the order of the day in the IC marketplace. Texas Instruments continues to provide not only the high-performance circuits you need but also the depth of experience, support, and service fundamental to successful completion of your designs.\n\nExperience: Building on three decades in ICs\n\nWe at TI can successfully meet your requirements for mixed-signal devices because we have acquired the necessary knowledge from 30 years of experience in developing both analog and digital functions. We have also drawn upon our digital ASIC strengths in developing our LinASIC capabilities.\n\nSupport: Speeding our chips to you\n\nThe faster we move new products through our design cycles, the faster you can get through yours.\n\nWe employ a wide variety of design-automation tools and sophisticated software to speed our development process.\n\nService: Providing a surety of supply\n\nHowever advanced our circuits may be, they are of little value if they are inaccessible to you. TI operates on the principle of global coverage, local service. We manufacture semiconductors in 13 countries and operate support centers in 22. We have product and applications specialists, designers, and technicians around the world. They are linked by one of the world's largest privately owned communications networks so that we can bring you our best — circuits and support — from wherever they may be to wherever you are.\n\nKeeping our communications open\n\nThe relationship between you as customer and us as vendor is vital: You are our chief source for firsthand information that can help guide us in developing the circuits you will need for your future designs. We at TI welcome your comments and your suggestions.\n\nTI's Leadership Analog Processing Technologies\n\nLinBiCMOS — Combines Advanced LinCMOS, digital ASIC CMOS, and up to 30-V bipolar technologies to allow the integration of digital and analog standard cells and handcrafted analog components on a monolithic chip.\n\nLinEPIC — One-micron CMOS double-level metal, double-level polysilicon technology, which adds highly integrated, high-speed analog devices to the high-performance digital EPIC process.\n\nAdvanced LinCMOS — An N-well, silicon-gate, double-level polysilicon process featuring improved resistor and capacitor structures and having three-micron minimum feature sizes.\n\nPower BIDFET — Merges standard linear bipolar, CMOS, and DMOS processes and allows integration of digital control circuitry and high-power outputs on one chip. Primarily used for circuits handling more than 100 V at currents up to 10 A.\n\nMulti-EPI Bipolar — A very cost-effective technology that utilizes multiple epitaxial layers instead of multiple diffusion steps to reduce mask steps by more than 40%. Used to produce intelligent power devices that can handle loads as high as 20 A and voltages in excess of 100 V.\n\nExcalibur — A true, single-level poly, single-level metal, junction-isolated, complementary bipolar process developed for high-speed, high-precision analog circuits providing the most stable op amp performance available today.\n\nIf you would like a more detailed explanation of our Advanced Linear process technologies, please call 1-800-336-5236, ext. 3423. Ask for a copy of our Advanced Linear Circuits brochure.\n\n™ Trademark of Texas Instruments Incorporated\n©1990 TI 08-0082\n\nSqueeze out board problems.\n\nFlexible solutions to match your schedule.\n\nFluke’s functional testers offer the most efficient troubleshooting options available today. With all the flexibility needed for high-volume production schedules, our economical and effective Fluke ATE solutions can be used in test facilities wherever you need them.\n\nThe fastest µP-board tester on the market\n\nOur testers are the most efficient way to find difficult, dynamic faults in µP-based boards. In high-volume manufacturing, they quickly troubleshoot and resolve problems, help you ensure successful board testing, with all the training and application support you need.\n\nSo squeeze the board problems out of your production line. Just call your local Philips sales office for full information.\n\nFor further information, call your local supplier:\n\nAustria (0222) 7413/772, Belgium (02) 5266832/94, Denmark (31) 572222,\nFinland (0) 3023517, France (1) 493000, Germany (56) 501496,\nGreat Britain (0) 92224058, Ireland (0) 280232, Italy (039) 3635240/8/9,\nNetherlands (0) 309812, Norway (21) 7400, Portugal (0) 682221,\nSpain (1) 4047205, Sweden (0) 5930100, Switzerland (0) 4882290.\n\nFor countries not listed, write to: Philips I&E T&M Department,\nBuilding TD II/1, 5600 MD Eindhoven, The Netherlands\n\nADVANCED TECHNOLOGY MADE TO TEST\n\nXEROX and Bayer – two heads\n\nare better than one!\n\nGetting to the top – and staying there – is never easy. It requires dedication, commitment and a young, dynamic workforce determined never to be satisfied with anything less than the very best. New products combining genuine functional efficiency with market success are rarely the result of a flash of inspiration. In the final analysis, product performance depends on attention to detail – and it’s here that the materials supplier can often play a vital role. In the high-tech environment in which Xerox operates, the expertise of a company like Bayer can prove invaluable.\n\nSometimes, satisfied customers are moved to show their appreciation of the innovative thermoplastics supplied by Bayer. And the “AWARD OF EXCELLENCE” from Xerox is an honour we are both pleased and proud to accept. Proof that – day in and day out – two heads really are better than one.\n\nBayer.\nCommitted to quality the world over.\n\nBayer\nPlastics Business Group\n\nCIRCLE 177\n\nSAMSUNG Electronics\n\nSamsung’s Semiconductor Collection.\nWe’re Adding to it All the Time.\n\nPRODUCT LINE-UP\n\n| DISCRETE | I C |\n|----------|-----|\n| S/S TR | FULL CUSTOM |\n| SOT-23 | GATE ARRAY |\n| TO-92S | STD CELL |\n| LTO-92 | PLD |\n| J-FET | |\n\n| INDUSTRIAL | DATA CONVERSION |\n|------------|-----------------|\n| COMPARATOR | A/D |\n| OP AMP | D/A |\n| REGULATOR | A/D + D/A |\n| REFERENCE | RAM DAC |\n\n| CONSUMER | TELECOM |\n|----------|---------|\n| AUDIO | TELEPHONE |\n| VIDEO | INTERFACE |\n| CDP | EXCHANGE |\n| | COMBO-CODEC |\n\n| CONSUMER | LOGIC |\n|----------|-------|\n| TIME PIECE | HCT/AHCT |\n| CALCULATOR | AC/ACT |\n| MELODY | CPL |\n| VOICE SYN.| |\n| DOT. MATRIX | |\n\n| FUNCTIONAL | MEMORY |\n|------------|--------|\n| Z.V.S. | DRAM |\n| TOY | SRAM |\n| G.F.D. | EEPROM |\n| DIMMER | MASK ROM |\n| OTHERS | VIDEO RAM |\n| | FIFO MODULE |\n\nArbitrary waveform generator, AG series\n\nPrecise Waveform Evaluation.\n\nGenerate simulation signals for any desired waveform.\nYOKOGAWA's arbitrary waveform generator, AG series.\n\nSimulation is a major element for minimizing risks during product development. Yokogawa's arbitrary waveform generator, AG series, meets this requirement by making possible the evaluation of virtually any desired waveform. Waveforms with noise or distortion as well as perfect waveforms are easily generated using this new instrument! With these and other capabilities, the AG series offers evaluation and analysis that will help you to avoid risk. The AG series reveals a whole new world of simulation.\n\n- Clock rate max.: 100MHz (changeable with a 1Hz resolution)\n- Output bandwidth of analogue signals: 50MHz\n- Resolution of output signals: 10bits\n\nAG2100A\n\n- Clock rate max.: 200MHz (changeable with a 1Hz resolution)\n- Output bandwidth of analogue signals: 100MHz\n- Resolution of output signals: 8bits\n\nAG2200\n\nCall for complete information:\n\nYOKOGAWA\n\nEUROPEAN HEADQUARTERS\nYokogawa Europe B.V.\nP.O. Box 163, 3800 AD Amersfoort\nThe Netherlands\nTel.: 033-641.611\nTelex: 79118, Telefax: (033) 631.202\n\nWest Germany\nNBN Elektronik Gmbh\n(08152) 39111\n\nThe Netherlands\nKoning en Hartman\n(015) 609906\n\nSpain\nAtaio Instrumentos\n(01) 7330562\n\nSwitzerland\nNBN Elektronik Gmbh\n(01) 4932144\n\nItaly\nVianello Spa\n(02) 89200162\n\nPortugal\nDecada Espectral\n(01) 4101844\n\nAustria\nNBN Elektronik Gmbh\n(0316) 402506\n\nUnited Kingdom\nMartron Instruments\n(0494) 459200\n\nFrance\nMB Electronique\n(01) 39568131\n\nFinland\nFinn Metric OY\n(90) 423911\n\nNorway\nMetric AS\n(02) 611070\n\nSweden\nMetric Teknik AB\n(468) 7646300\n\nCIRCLE 174\n\nRAM DAC ALSO INCLUDES DSP ELEMENTS\n\nVGA PLUS AT A BARGAIN\n\nBY LAWRENCE CURRAN\n\nIBM CORP.'S WIDELY used Video Graphics Array standard that governs personal computer displays had hardly become entrenched before PC users started pushing for screen resolution greater than VGA's 640 by 480 pixels and 256 colors [Electronics, July 1989, p. 66].\n\nNow two Boston-area companies have teamed to develop a CMOS VLSI device that delivers an apparent resolution of 1,600 by 1,280 pixels and 792,000 colors on a standard VGA monitor.\n\nTwo simple and inexpensive system changes are all that is required to upgrade and extend the life of perhaps millions of these low-end monitors: replace the conventional random-access memory/digital-to-analog converter (RAM DAC) on the VGA controller board with the pin-compatible new component, and modify the driver software so that the display data can be prepared in a slightly different format.\n\nThe unique device is a CEG RAM DAC monolithic integrated circuit that also includes a digital signal processor. CEG stands for continuous edge graphics, a technique that eliminates the jagged edges typical of computer-generated images. CEG enables the eye to perceive much higher resolution and smoother color gradations than are possible using a conventional VGA graphics board.\n\nGraphics controller add-in boards are often retrofitted to a PC system after it's sold. One market-research organization estimates that of the total of some 16.2 million video DACs to be sold this year, more than 5 million will go onto such add-in boards—a nice market even if only half of those sockets are candidates for the new CEG RAM DAC.\n\nThe CEG feature is made possible by an algorithm developed by Edsun Laboratories Inc., Waltham, Mass., and the chip is fabricated by Analog Devices Inc., Norwood, Mass. Analog Devices is the exclusive licensee for Edsun's CEG algorithm. Both companies will sell the chip, which might add about $100 to the price of a VGA board—a minimal increment when it is compared with the $2,000-to-$3,000 cost of a high-resolution monitor.\n\nBesides the algorithm, Edsun, a startup graphics firm, also worked out the device's system-level architecture and provides application software driver expertise. To date, only drivers for Lotus Development Corp.'s 1-2-3 spreadsheet and Autodesk Inc.'s AutoCad computer-aided design programs are available with the chip; others are now being developed.\n\nAnalog Devices designed the mixedUp To 600 Watts Per Inch\n\nOur expanding family of compact, configurable, power systems combine the flexibility of a custom supply with the availability of standard catalog products... in low profile, compact packages that let you pack the most power into the least amount of space. And they meet the specialized input voltage, noise and transient requirements of major worldwide markets. Think of them as a universal solution for most of your system power requirements... AC or DC input... in computer, telecom or vehicular applications... up to 600 Watts.\n\nFlatPAC™ is the industry benchmark for power density in off-line applications. And now, ComPAC™ sets the standard for DC input supplies... in a package less than one inch tall! Both offer unprecedented flexibility in configuration along with instant availability... in a fraction of the space required by conventional switchers. Just define your requirements... we utilize our high frequency, high power-density converters to quickly configure a FlatPAC or ComPAC specific to your needs.\n\nYou benefit from the proven field performance, high efficiency and inherently high reliability of our component-level power converters, without sacrificing any of the features you need: off-line inputs for worldwide application; nominal DC inputs from 24 to 300 VDC; surge limiting; safety agency recognition; EM/RFI to FCC/VDE, British Telecom, Bellcore or MIL-STD-461; totally isolated and trimmable outputs; AC OK and DC OK status signals... and more.\n\nYou don't have to choose between costly and risky custom development or bulky catalog supplies. Call us to discuss FlatPAC and ComPAC... the new standards that make customs obsolete.\n\nDoes your power supply measure up?\nCall VICOR EXPRESS for a free ruler at 1-800-735-6200 or 508-470-2900 at ext. 265\n\nVICOR\nComponent Solutions For Your Power System\n23 Frontage Road, Andover, MA 01810\n\nCIRCLE 204\n\nEAST GERMANY TO MAKE COMPUTERS\n\nWhile many companies in the West see East European countries simply as markets, West Germany's Siemens AG is one of the few that actually seem to want to manufacture equipment in that technology-starved region. In line with this action plan, Siemens's Data and Information Systems Division will cooperate with the newly founded Computer Elektronik Dresden GmbH in Dresden, East Germany, in the development of hardware as well as production.\n\nThe effect will be not only to create jobs in East Germany's fragile and hard-pressed economy, but also, through technology transfer, to raise that country's high-tech national product. As for Computer Elektronik Dresden, an offshoot of the formerly state-owned Robotron computer combine, it will turn out $250 million worth of equipment annually by 1992. It has already received its first development contracts from Siemens and will start building Unix- and MS-DOS-based systems in October.\n\nIncluded in the Dresden company's product output will be personal computers, multiuser Unix systems, and medium-performance central-processing units—with a Cocom-allowed computing power of up to 20 mips. Deliveries of the first systems to come off the line, within East Germany as well as to other East European countries including the Soviet Union, will start before yearend.\n\nSIEMENS AND BOSCH STRENGTHEN NORTH AMERICAN AUTO BUSINESS\n\nTwo West German electronics powers that want to harvest larger shares of the lush North American markets for automotive systems and mobile telecommunications equipment have purchased Canadian companies. Munich-based Siemens AG has acquired the Maci Industries Group in London, Ont., and Robert Bosch GmbH of Stuttgart has purchased a 50% share of Novatel Communications Ltd. in Calgary, Alta.\n\nWith the addition of Maci, whose 1,200 workers produce fractional horsepower motors and related components for the Canadian and U.S. auto industries, Siemens now has over 3,000 persons, out of 11,000 worldwide, working in the auto market in North America. Siemens did nearly $900 million in auto business during the first nine months of the fiscal year ending Sept. 30.\n\nBosch wants to strengthen its position as one of the world's leading suppliers of mobile communication systems and prepare for activities in integrated navigation, communication, and entertainment systems in vehicles. Novatel, in Canada as well as in the U.S., the UK, and Norway, employs about 1,600 people with sales of $250 million last year.\n\nPHILIPS TO THIN OUT ITS IC RANGE\n\nIn an effort to nudge its loss-ridden Components Division back on the road to profitability, Philips NV of the Netherlands will take measures more drastic than many industry observers originally anticipated. For starters, in restructuring its components activities, the company will reconsider the extent of the division's involvement in ICs.\n\nDetails are hard to come by, but top management has decided to cut back the IC business and concentrate on selected product lines, emphasizing parts related to Philips's consumer and professional equipment.\n\nIn addition, expenditures for chip-related research and development will be curtailed. Further, to get better returns on its R&D investments, the Dutch company will keep seeking strategic alliances with other IC makers.\n\nStill a matter for speculation among industry watchers: will the cut in IC spending mean that Philips might also cut back its role in Jessi, the Joint European Submicron Silicon Initiative?\n\nAEG COMES TO THE RESCUE OF SILICONIX\n\nOne of Silicon Valley's oldest semiconductor firms, Siliconix Inc., which has sought protection from creditors under Chapter XI of the bankruptcy laws, has found a financial rescuer: the West German electronics giant AEG AG, which has offered to waive some $2 million owed it by Siliconix, inject a further $13 million in cash, and wind up owning 80.1% of the firm.\n\nNow AEG has to submit its plans for the restructuring of the company to the U.S. Bankruptcy Court for confirmation by Oct. 31. AEG has also agreed, at Siliconix's option, to provide either a $6 million loan for working capital, or, at the least, a guarantee that funds for day-to-day operations can be secured from a third party.\n\nAnother International Reputation Bites The Dust.\n\nThe best source for high-quality semiconductors may not be where you think it is.\n\nTake UMC. In 1989, we started production at the most advanced chip manufacturing facility in the world. In Taiwan.\n\nOur leading-edge manufacturing technology allows us to produce a wide variety of semiconductors.\n\nSRAMs, for example. We make them in sizes up to 1 Mb, and speeds from 120 to 20 nsec. We can easily handle high volume production runs. And we're a long-term supplier.\n\nBest of all, we do all this at very, very attractive prices.\n\nIf you'd like to find out why UMC is building a reputation among leading electronics manufacturers worldwide, call us today: 408-727-9589.\n\n| Capacity | Part Number | Organization | Speed(ns) |\n|----------|---------------|------------------|-----------|\n| 16K | UM6116 | 2K x 8 | 90/120 |\n| 64K | UM6164 | 8K x 8 | 20/25 |\n| 64K | UM6188 | 2 x (4K x 8) | 25/35/45 |\n| 64K | UM61164 | 4K x 16 | 25/35/45 |\n| 64K | UM61165 | 2 x (2K x 16) | 25/35/45 |\n| 64K | UM6264AL | 8K x 8 | 70/100/120|\n| 128K | UM61168 | 8K x 16 | 25/35/45 |\n| 256K | UM62256AL | 32K x 8 | 70/100/120|\n| 1Mb | UM621024 | 128K x 8 | 70/65/100 |\n\nSRAMs include DIPs, SDIPs, and SOs. 1Mb available 4th qtr.\n\n©1990 United Microelectronics Corporation.\n\nCIRCLE 190\n\nTWO U.S. INNOVATORS STRUGGLE AGAINST THE TIDE AS JAPAN TAKES OVER IN LCDS\n\nKILLED BY ACCOUNTING\n\nBY WESLEY R. IVERSEN\n\nMANY SEE ACTIVE-MATRIX liquid-crystal displays as a classic case of another key American-born technology frittered away through shortsightedness. T. Peter Brody is one of them.\n\n\"The Japanese don't do discounted cash-flow analyses and then kill out their really important projects because the numbers don't come out right,\" says Brody, an active-matrix pioneer whose startup company, Magnascreen Corp., is at work on a new \"tiled\" approach to the technology. \"When they have an important new product, they will develop it and put money into it until it's capable of standing on its own two feet. We don't do that. We get all these ideas killed by the accountants.\"\n\nBrody speaks from first hand. The Hungarian-born, English-educated physicist headed the design team at Westinghouse Electric Corp. that conceived and demonstrated the first active-matrix flat-panel displays in the late 1960s and 1970s, only to see the technology taken over by Japan in the 1980s. \"Westinghouse decided to drop the technology in 1979 because it wasn't the right product for them, and I can't quarrel with that,\" says the 70-year-old Brody today. \"But I do quarrel with the rest of U.S. industry for not recognizing that this was going to become a very important technology.\"\n\nIn some ways, Thomas S. Buzak today finds himself in the same spot that Brody was in 10 years ago. Buzak, 37, is the inventor of a new \"plasma-addressing\" scheme for flat-panel displays that some think has potential to one day supplant the active-matrix methods pioneered by Brody's crew, especially for larger screen sizes. But like Brody in 1979, Buzak faces the fact that his employer—Tektronix Inc.—has no current plans to put up the big investment needed to commercialize his technology. \"We don't do high-volume manufacturing. That's not our bag,\" says Buzak, who is principal scientist and manager of the advanced display technology group at Tektronix Laboratories in Beaverton, Ore.\n\nInstead, Tektronix a few months ago began looking for a partner or partners with volume distribution and manufacturing experience to pursue the plasma-addressing technology. And so far, among those that have expressed interest, \"the largest companies, and the companies with the most resources, are all Japanese,\" Buzak says. Unlike Brody, who professes an aversion to seeking out Japanese funding for his projects, Buzak says neither he nor Tektronix would have a problem with a Japanese partner. But Buzak does see some similarities between his situation and that of Brody 10 years ago. \"Has anything really changed? Maybe not. I just don't know,\" Buzak muses.\n\nThere's no doubt about one thing. After a decade of research and infrastructure development, Japan today dominates flat-panel, active-matrix LCD technology. Japan's vertically integrated electronics giants regard control of color flat-panel displays as a strategic key to leadership in a range of 1990s systems products. This includes a potentially huge market in portable computers and small desktop machines, military and avionics displays, and later markets for wall-size high-definition TV and computer displays. And unlike their U.S. counterparts, Japanese firms have been willing to make the big, long-term investments needed to gain the upper hand.\n\nIn the late 1980s, Japanese firms created a new market for hand-held color TVs based on high-quality 2-to-5-in. diagonal active-matrix LCD flat screens. Now the action is shifting to 10-in. screen sizes and larger. And the Japanese are spending enormous amounts of money to keep the momentum going.\n\nSince last October alone, Japanese companies have announced plans to invest some $2 billion in new active-matrix LCD manufacturing plants, says Larry Tannas, an Orange, Calif., consul-\n\nWith Darpa funding, T. Peter Brody (inset) is developing at Magnascreen Corp. a modular active-matrix LCD scheme.\n\nIN THE ERA OF MegaChip™ TECHNOLOGIES\n\nYOUR DSP: ALL THERE\n\nThere is a big difference. Only Texas Instruments brings it all together for you in DSPs, from software to silicon... and we have 10,000 users to prove our point.\n\nDesigners are applying TI's single-chip TMS320 DSPs (digital signal processors) in more systems around the world than any other. In fact, leading manufacturers in most market segments — including telecommunications, computers and computer peripherals, automotive, industrial controls, consumer products, and military systems — use TMS320 DSPs.\n\nThese designers choose our DSPs because they know there is a big difference between all there and almost. With TI, they know they are getting the most complete DSP solution in the business — (1) performance, (2) support, and (3) broad choice. These important factors are worth careful consideration as you evaluate DSPs:\n\n- **Yes 1.** Am I assured of access to the top-performance devices in the field?\n- **No**\n\nNaturally, performance is a high priority for any DSP-based system. The TMS320 family consistently sets the performance standards for the industry. Among the newest additions are the highest performance fixed- and floating-point single-chip DSPs, both with clearly defined road maps for future performance upgrades. Multiprocessing DSPs offer even higher performance.\n\n- **Yes 2.** Is world-class support in place to help speed my design to market?\n- **No**\n\nFew if any DSP vendors equal the level of support that TI offers. Industry-standard high-level language optimizing compilers (ANSI C and Ada), HLL debuggers, the SPOX™ multitasking DSP operating system, and scan-based emulators provide you with a development environment similar to that traditionally enjoyed in general-purpose microprocessor design.\n\nLow-cost evaluation modules allow you to accurately evaluate and benchmark a TMS320 processor for your application.\n\nSuch leading-edge tools are only the beginning of our comprehensive support. Other TMS320 support includes:\n- A hot line staffed with DSP personnel ready to answer your technical questions\n- An on-line bulletin board service\n- More than 2,000 pages of application notes and DSP code\n- More than 100 third parties and consultants\n- Hands-on workshops\n- University program with more than 100 universities participating\n\n- **Yes 3.** Is the choice of devices broad enough that I can closely match a DSP to my price/performance needs?\n- **No**\n\nOur TMS320 family spans five generations — more than 20 members offering a price/performance range from $4.00 to 40 MFLOPS. Your choice includes:\n- EPROM DSPs that shorten your time to market\n- DSPs optimized for specific applications\n- Military versions\n- Single-chip devices offering 40-MFLOPS performance\n- Multiprocessing DSPs\n- Low-cost DSP solutions for cost-sensitive applications\n- Compatibility to protect your software investment\n\nAt TI, we have it all, and we are ready to help you put it all together.\n\nGet your free three-volume TI DSP Applications Library; call 1-800-336-5236, ext. 3528. Or complete and mail the return card and we'll send you our three-volume TMS320 DSP Applications Library. If you prefer, we'll send you our TMS320 product overview and support brochure. We feel sure you will soon be one of the thousands around the world achieving design success with the leadership TMS320 family.\n\n---\n\n**WHAT'S AHEAD FOR TI's TMS320 FAMILY**\n\n- **FLOATING**\n- **FIXED**\n\n- **$4**\n- **320C3X**\n- **320C2X**\n- **320C4X**\n- **40 MFLOPS**\n\n---\n\n*™ MegaChip is a trademark of Texas Instruments Incorporated.*\n*SPOX is a trademark of Spectrum Microsystems, Inc.*\n\n© 1990 TI 08-0081\n\nElectronics\n\nThe magazine that gives its readers the best perspective on vital issues and trends is also the place to communicate every month with engineers who manage their companies.\n\nAnd the right place to reach those successful engineers who are overseeing their company's technology-related functions.\n\nFor more details on the Electronics subscriber, contact the publisher or your local representative.\n\ntant and immediate past president of the Society for Information Display. And in a project launched this year, Japan's Giant Electronics Technology Corp. aims to develop by the end of 1996 the manufacturing techniques needed to build active-matrix LCD flat panels up to 1 meter diagonal in size. That project is sponsored by the Ministry of International Trade and Industry, with 17 companies participating.\n\nIn the U.S., by contrast, not a single high-volume active-matrix LCD factory exists. Some groups recently have proposed raising money for such a plant from among U.S. computer makers, who would receive an assured source of LCD supply for their investment. But such an effort would require $100 million or more, and many around the industry doubt the money can be found.\n\nAs part of an effort to stem the Japanese tide, Magnascreen joined recently with a group of U.S. makers of flat panels to file a dumping complaint against Japanese manufacturers. The complaint, filed with the International Trade Administration and the International Trade Commission, covers a variety of flat panel types, including active-matrix LCD, electroluminescent, and conventional plasma displays, and cites specific instances of alleged U.S. sales of flat panels by Japanese firms at unreasonably low prices.\n\nAlthough he denies any dumping in terms of price cuts—\"the evidence just doesn't support it\"—an executive at one of the Japanese firms named in the complaint concedes that the U.S. companies have a legitimate gripe in the question of \"material retardation.\" That means, simply put, that the Japanese have such a head start in LCD technology, production, and R&D that it's all but impossible for a U.S. firm to catch up. \"It's as if you wanted to build Hondas in your garage and got $1 million in venture capital to do it; it would cost you $100,000 per car,\" says the executive.\n\nHowever, he adds, the U.S. industry must consider the long-term repercussions of a dumping surcharge on imported LCDs. The advanced-technology color LCD used in a laptop computer represents 40% of the machine's materials cost, he says. A surcharge will either send computer prices skyrocketing or force systems houses to assemble their machines offshore to avoid the added cost—with a loss of American jobs.\n\nFor Tektronix's part, Tom Long, technology group vice president and general manager, says his firm has neither the high-volume manufacturing experience nor the consumer distribution channels to go it alone in bringing Buzak's invention to market. Unlike Westinghouse with active matrix, however, Tektronix has no plans to drop plasma-addressing technology. \"We consider this development to be pretty important,\" says Long. \"So we're going to bring some partners and some know-how to the table that will accelerate the program, as opposed to letting it come at its own pace.\"\n\nRecent financial problems at Tektronix played a role in the decision to look for partners, Long concedes. But if the company is unable to cut the kind of deal that it wants, Tektronix would consider commercializing the technology itself, he says. \"If this thing works out the way I think it will, and plasma addressing is the technology for large-scale panels, we may very well prove that the Westinghouse people were right,\" he adds.\n\nAfter Westinghouse dropped active-matrix technology in 1979, Brody secured a license on the key patents and set out on his own to commercialize the concepts. But he ended up spending much of the 1980s scrambling unsuccessfully for money. Brody's first company, Panelvision Corp., was founded in 1981 and ultimately attracted about $13.5 million in funding. But Panelvision was sold by investors in 1985 after Brody was unable to raise an additional $5 million needed for capacity expansion. Some 70 U.S. companies and investment groups turned him down, he says.\n\n\"We started the world's first commercial company. We had customers. We had products,\" Brody relates. \"But we didn't have enough capacity, and we just couldn't raise the money in 1985 to build up to a break-even level of sales. So when the Japanese started...\"\n\nTektronix Inc. is looking for partners to commercialize the plasma-addressing approach invented by Thomas S. Buzak (inset).\n\nmoving in, my investors bailed out as quickly as they could.\"\n\nBut Brody didn't give up. By 1988, he had scraped together about $650,000 in seed money to start another company, Magnascreen, in Pittsburgh. The company has since raised an additional $1.4 million in equity investment, including some money from Apple Computer Inc.'s president and chief executive officer, John Sculley. And in January, Magnascreen won a $1 million contract from the Defense Advanced Research Projects Agency to pursue some new ideas Brody has for so-called tiled active-matrix LCDs.\n\nBrody sees current Japanese active-matrix LCD technology extendable up to 20-in. diagonal screen sizes. That will be big enough to find enormous markets in computers, workstations, and entertainment systems, he figures. \"But we ourselves feel that you cannot just extend the technology linearly up to 40-to-50-in. sizes.\" Thus the tiled approach. \"Simply put, we have developed a way of making a large display out of modules that fit together seamlessly, so that you will not see a gap between the partial images. And we can do this at quite high resolution,\" Brody says. Under the Darpa contract, Magnascreen will develop a small \"proof of concept\" panel by the middle of next year. If additional Darpa money is forthcoming, the company will develop manufacturable 40- and 50-in. sizes by 1992.\n\nActive-matrix display technology relies on arrays of thin-film transistors (TFTs) formed on a glass substrate to drive display pixels or subpixels directly on a one-on-one basis. Brody's team at Westinghouse worked with cadmium selenide, but mainstream Japanese displays today are built with amorphous silicon TFTs. When employed in LCDs, direct TFT addressing produces rich colors, wide viewing angles, and smear-free videorate imaging that rivals the performance of cathode-ray tubes.\n\nBut as active-matrix LCDs are made larger, yield and cost hurdles go up disproportionately, since the TFTs must be deposited over increasingly large glass display substrates. It may take a million transistors or more for a 10-to-14-in.-diagonal display, for example. And since a bad transistor means a\n\ndead pixel, defect-free panels are few and far between. The manufacturing challenges will only get worse for larger screens. What's more, lithography equipment for handling glass substrates larger than 18-in. diagonal is not currently available.\n\nWhile Brody would attack the problem with tiled displays built from smaller, higher-yielding LCD modules, Buzak is proposing an entirely new scheme that relies on the properties of an ionized gas to address liquid-crystal pixels directly while eliminating the need for large arrays of TFTs. \"We aren't trying to do this wafer-scale type of integration on a large piece of glass like all the TFT guys are trying to do, so we think our approach has some inherent manufacturability advantages,\" Buzak says. \"I can have the same functionality as a piece of glass with a million TFTs on it without having to fabricate a single transistor,\" he says, \"and without having to use any integrated-circuit-type processes whatsoever.\"\n\nBuzak's plasma-addressing method works by replacing each row of TFTs found in a conventional active-matrix array with an etched channel in a glass substrate. The channel is used to contain a plasma, such as helium or neon. In its ionized state, the gas is conducting, but when deionized it's nonconducting and controllable with an electrical strobe. \"Since the plasma that resides in each of these lines is capable of changing between a conducting and a nonconducting state, we can effectively make it act like an array of switches,\" Buzak explains.\n\nBuzak first disclosed the plasma-addressing scheme at last May's SID show in Las Vegas, where he demonstrated a working, full-color 150-by-150-pixel LCD built with the technology. The next step is to sign up a development partner to produce a product prototype—a 16-in.-diagonal, 640-by-480-pixel, full-color unit, for example. Such an effort might take about two years, Buzak figures, after which point the technology could be ready to move to production.\n\nAs an alternative to TFT-based LCDs, plasma addressing probably won't offer big benefits in capital investment or materials cost, says Buzak. But it has clear advantages in high yield, and the ability to make displays in very large sizes.\n\nMany industry watchers give Buzak high marks for inventiveness. But they caution against too much optimism. If Tektronix does find development partners, they will probably be Japanese, says Joseph Castellano, president of Stanford Resources Inc., a San Jose, Calif., market research firm. \"The Japanese have the competence and expertise to take something like this and make it into a production process,\" he notes. \"But whether they have the desire to do that now that they've put all this other money into TFTs, I don't know.\"\n\nTannas, the former SID chief, agrees. \"Buzak's activity is important from a research standpoint. But it is so minuscule in the context of the active-matrix LCD activity going on in Japan,\" he says. \"Americans have this John Wayne attitude where they think some inventor is going to invent something in the garage and it's going to turn into Ford Motor Company,\" Tannas says. \"But the world is too complicated now. You have to have teams of hundreds of people working for tens of years before you make significant things. And the Japanese have already done that.\"\n\nBrody, for his part, is impressed with the Buzak invention. \"I really think it's an excellent idea. Even though it is ostensibly produced to make my active-matrix technology obsolete, I don't think it's going to do that. But I do think it should be developed further.\"\n\nLike others, Brody is generally downhearted about prospects for U.S. high-technology competitiveness in the 1990s. \"I blame the [Bush] administration for generating an atmosphere that totally discourages the private investors. And I am really quite bitter about that,\" Brody says. \"We need to protect our basic high-technology infrastructure, which is all going to go away, and we will become a Japanese colony. It's happening before our noses, bit by little bit, and the administration refuses to see it, because it doesn't agree with their ideology of complete, unfettered world free trade.\"\n\nSittin' on the dock of the bay.\n\nWasting time.\n\nYour loading bays are empty. Product isn't shipping. You're losing credibility with your customers and the chance to be first to market.\n\nContract manufacturers have to deliver on time. If they consistently miss deadlines, maybe it's time you switched to a company that consistently makes on-time deliveries.\n\nAVEX built its business by delivering SMT and through-hole products on time, to specifications and within budget. Our team of technical professionals are flexible, responsive and dedicated to completing your product. They make your emergencies their emergencies and do whatever it takes to get your job delivered on schedule.\n\nSwitch to a reliable contract manufacturer. Switch to AVEX\n\nCONTRACT MANUFACTURING AND ENGINEERING SERVICES\n\nHuntsville, Alabama ■ San Jose, California ■ Singapore\n■ Nashua, New Hampshire ■ East Kilbride, Scotland\n\n4807 Bradford Drive ■ Huntsville, AL 35805 ■ Telephone (205) 722-6340 ■ FAX (205) 722-6232\n\nTHERE'S A LOT OF LIFE LEFT IN THE 4-BIT CONTROLLER, AS EUROSIL'S FAMILY PROVES STILL HOPPING\n\nBY JOHN GOSCH\n\nWITH THE TREND IN microprocessor technology going from 16 to 32-bit devices, you might think that 8-bit versions are on their way out and 4-bit parts are already museum pieces. Far from it. According to Dataquest Inc., 4-bit microcontrollers are still enjoying substantial growth. Some estimates put the world's consumption of such controllers at more than 300 million units for this year, with applications especially in fields where requirements for device intelligence and computing performance are not too stringent—telephones, household appliances, timers, and the like.\n\nIt's at these markets that West Germany's Eurosil Electronic GmbH is aiming a new family of 4-bit applications-oriented microcontrollers. Combining the flexibility of standard cells with the best features of a microprocessor, the MARC4, Eurosil says, is the first low-power single-chip CMOS microcomputer programmable in the high-level language Forth. \"Its systems performance compares well with that of most 8-bit microcontrollers on the market,\" says Gerhard Göttle, leader of the MARC4 development group.\n\nIn the new family, Eurosil employs a building-block approach for integrating modular components to suit customers' needs. Furthermore, a stack-oriented architecture, together with the modular Forth programming language, yields a device that is ideal for real-time applications in low-power environments.\n\nForth compares with C or Pascal, but Eurosil has optimized the language so it can be used in real-time embedded control applications. The language is easy to learn and, because of its modularity, suited for structured programs. \"Using Forth means more programming efficiency compared with assembler programs normally employed with 4- and 8-bit microprocessors and microcontrollers,\" says Heinrich Storz, who is responsible for software development for the device.\n\nOf particular note is the MARC4's low power requirements. After the device has performed all its tasks, it automatically switches to its Sleep mode. Current consumption then drops to typically 3 µA for a 1.5-V supply. That, Göttle says, makes the MARC4 one of the least power-hungry 4-bit microcontrollers of its class: it has an average instruction cycle time of + µs at 1.5 V.\n\nWith its MARC4, Eurosil, with headquarters in Eching, near Munich, continues its decades-long tradition of developing low-power CMOS parts. The firm—a subsidiary of Telefunken Electronic GmbH (which, in turn, belongs to the Frankfurt-based AEG AG group)—has 30% of the world market and 60% of the European market for low-power ICs for clocks and watches.\n\nThe MARC4 is already available in Western Europe. \"What appeals to us is the high clock frequencies—500 MHz and more—the MARC4 delivers at low voltage levels,\" says Manfred Schubert, an engineering manager at the Institute for Time-Measuring Technology in Stuttgart, West Germany. \"In addition to the combination of speed and device features, there's the low power consumption.\"\n\n(Continued on page 53)\n\nUse the postage-paid card on the facing page; circle the number of each company you would like to know more about.\n\n**ACCOMMODATIONS**\n1 - Best Western—Sprucing up hotels from coast to coast.\n\n**ASICs**\n223 - Fujitsu—Get the power-based support of ASICOpen.\n195/196 - Silicon Systems—\"MSICs\"—the new ASIC direction. Circle 195 for product info, 196 for career info.\n\n**CAE CAD SOFTWARE**\n103 - Aldec—The leading electronic breadboarding environment: SUSIE.\n218 - Ikos Systems—The fault simulator that streamlines ASIC design.\n180 - Zycad—XP 100 runs it 50 to 100 times faster for simulating on a Sun.\n\n**COMMUNICATIONS**\n144 - Cermetek—A complete low-power, low-cost modem.\n182 - Fujitsu—EtherStar Ethernet chipset.\n\n**COMPONENTS**\n191 - Data Delay Devices—The PWC-30 pulse-width controller.\n224 - Fujitsu—Before we could make it big, we had to make it small.\n179 - Matsuo—Surface-mount tantalum chip capacitors.\n221 - NDK—The new CP21B Advanced Crystal Unit. Just 1.3 mm thin.\n225 - Nippon Chemi-con—Helping miniaturization, low cost, high reliability, and performance.\n206 - Pico—Ultra-miniature power inductors.\n123 - Precision Filters—New, tougher specs for filter modules.\n\n**COMPUTERS**\n187 - White Technology—68020 based supercomputer in a 180-pin flatpack\n3 - Zenith Data Systems—The No. 1 laptop brand in America.\n\n**COMPUTER BOARDS**\n217 - Ampro—Profitable alternatives to going into the computer business.\n178 - CEC Capital Equipment—Control any IEEE-488 device.\n175 - Integrated Device Technology—High-performance building blocks.\n\n**COMPUTER I/O DEVICES**\n176 - Itac Systems—MouseTrak: the best cursor control in the world.\n\n**CONFERENCES**\n238 - Electronica 90—Where you make the right contact, Munich, Nov. 6-10\n173 - Midcon/90—10,392 reasons to come to Midcon/90, Dallas, Sept. 11-13.\n\n**CONNECTORS**\n172 - AMP—Complete fiber-optic interconnection system for FDDI.\n227 - Amphenol—A wide array of connector parts.\n184 - Huber + Suhner—Super miniature connector Series MMCX.\n\n**MAGNETIC MATERIALS**\n210 - Krupp Widia—Permanent and soft magnetic materials.\n\n**MANUFACTURING**\n188 - Avex—Surface-mount and through-hole products on time, to spec, within budget.\n219 - Wafos—For manufacture of single- and multilayer coils and chokes.\n\n**MANUFACTURING TOOLS**\n189 - Brian R. White—Contact-free soldering and desoldering.\n\n**MATERIALS**\n177 - Bayer—Innovative thermoplastics.\n\n**MEMORY BOARDS**\n193 - Clearpoint—The highest-density, fastest VME-compatible memory.\n\n**MEMORY ICs**\n203 - Epson—An advanced CMOS process provides fast access times, low power dissipation, high capacity.\n222 - NMB Semiconductor—Development, production of fast DRAM.\n192 - Oki—Submicron production in full swing for the new age of 4-Mbit DRAMs.\n222 - United Memories—Challenges new high-performance and high-speed DRAM design and technology.\n190 - United Microelectronics—The best source for high-quality semiconductors may not be where you think it is.\n\n**MICROWAVE COMPONENTS**\n226 - Murata—High-frequency microwave filters.\n\n**OPTOELECTRONICS**\n208 - Kodenshi—Earning worldwide attention for achievements in sensor technology.\n\n**POWER SUPPLIES**\n194 - Abbott—Mil/Pac high-density military power supplies.\n206 - Pico—AC-DC power supplies.\n204 - Vicor—Our expanding family of compact, configurable power systems.\n\n**SEMICONDUCTORS**\n216 - Analog Devices—Meeting your mixed-signal needs, no matter what volume you're dealing in.\n197 - Samsung—Samsung's semiconductor collection. We're adding to it all the time.\n\n**SOFTWARE**\n185 - Graphicus—Access powerful graphics from your programs.\n\n**TEST INSTRUMENTS**\n171 - Anritsu—The highest levels of measuring accuracy for communications applications.\n201 - GenRad—A board tester that thrives on big boards with jumbo ASICs.\n209 - Graphitec—Recording the past, plotting the future.\n199 - Hewlett-Packard—HP rates highest for reliability among managers.\n202 - LeCroy—Real-time sampling at up to 2 gigasamples/s using 8-bit ADCs on each channel.\n198 - Pearson—Wideband, precision current motor.\n212/213 - Photo Research—The PR-950 can inspect nearly 1,000 units in 8 hours. 212 for a salesman; 213 for literature.\n211 - Rohde & Schwarz—Test stations for automating production.\n174 - Yokogawa—Precise waveform evaluation.\n186 - Yokogawa—DMMs that put the data in your pocket.\n\n**WAFER PROCESSING**\n207 - Orbit—Develop analog/digital ASICs in less time, for less money.\n\n**WORKPLACE**\n215 - Metro—Innovative ways to transport products more efficiently, safely.\n\nFREE INFORMATION\n\nUse this card to receive free information on the products featured in this issue.\n\nFREE SUBSCRIPTION APPLICATION\n\nFor FREE Subscription to ELECTRONICS complete this entire form affix proper postage and mail.\n\nName ____________________________________________\nTitle _____________________________________________\nCompany Name ______________________________________\nCompany Address ____________________________________\nCity/State/Zip ________________________________________\n\nCIRCLE NUMBERS FOR MORE INFORMATION\n\n1 21 41 61 81 101 121 141 161 181 201 221 241 261 281 301 321 806\n2 22 42 62 82 102 122 142 162 182 202 222 242 262 282 302 322 807\n3 23 43 63 83 103 123 143 163 183 203 223 243 263 283 303 323 808\n4 24 44 64 84 104 124 144 164 184 204 224 244 264 284 304 324 809\n5 25 45 65 85 105 125 145 165 185 205 225 245 265 285 305 325 810\n6 26 46 66 86 106 126 146 166 186 206 226 246 266 286 306 326 811\n7 27 47 67 87 107 127 147 167 187 207 227 247 267 287 307 327 812\n8 28 48 68 88 108 128 148 168 188 208 228 248 268 288 308 328 813\n9 29 49 69 89 109 129 149 169 189 209 229 249 269 289 309 329 814\n10 30 50 70 90 110 130 150 170 190 210 230 250 270 290 310 330 815\n11 31 51 71 91 111 131 151 171 191 211 231 251 271 291 311 331 816\n12 32 52 72 92 112 132 152 172 192 212 232 252 272 292 312 332 817\n13 33 53 73 93 113 133 153 173 193 213 233 253 273 293 313 333 818\n14 34 54 74 94 114 134 154 174 194 214 234 254 274 294 314 334 819\n15 35 55 75 95 115 135 155 175 195 215 235 255 275 295 315 335 820\n16 36 56 76 96 116 136 156 176 196 216 236 256 276 296 316 801 821\n17 37 57 77 97 117 137 157 177 197 217 237 257 277 297 317 802 822\n18 38 58 78 98 118 138 158 178 198 218 238 258 278 298 318 803 823\n19 39 59 79 99 119 139 159 179 199 219 239 259 279 299 319 804 824\n20 40 60 80 100 120 140 160 180 200 220 240 260 280 300 320 805 825\n\nI wish to receive/continue receiving ELECTRONICS FREE □ Yes □ No\n\nSignature ____________________________ Date _______________\n\n1. Your Principle job function (circle one code only)\n 01 Corporate & Operating Management\n 04 Purchasing Management\n 07 Engineering Management\n 05 Marketing & Sales Management\n 03 Manufacturing Management\n\n2. What is the PRIMARY end product or service performed at this location? (circle one code only)\n 01 Computers, Computer Systems\n 02 Computer Peripherals\n 03 CAE/CAD CAM Systems\n 04 Software Manufacturer/Developer\n 05 Office/Systems Integrator\n 06 Office/Business Machines\n 07 Communications Systems/Equipment\n 08 Controls, Systems, Equipment, Robotics\n 09 Electronic Instruments, ATE Systems, Displays/Test Equipment\n 10 Medical Electronic Equipment\n 11 Avionics, Marine, Space, Military Electronics\n 12 Government, Military\n 13 Automotive, Other Ground Vehicles\n 14 Consumer Electronics, Appliances\n 15 ICs, Semiconductors\n 16 Components, Materials, Hardware, Supplies N.E.C.\n 17 Electronic Sub-assemblies\n 18 Products incorporating Electronics, N.E.C.\n 19 R&D Labs., Institute/Academic\n 21 Industrial Users of Electronic Equipment\n 22 Commercial User of Electronic Equipment\n 23 Distributors, Manufacturers Representatives, Import-Export\n\n3. Please indicate TOTAL number of employees in your entire organization. (circle one code only)\n 1 10,000 or more\n 2 1,000-9,999\n 3 100-999\n 4 Less than 100\n\n5a. Are you regularly involved in the selection of vendors or in the purchase of products?\n 1. □ YES 2. □ NO\n\n5b. If YES, what roles do you play in the purchasing/specification process. (circle all that apply)\n 1 Determine the need to buy a product or select a vendor\n 2 Establish the product specifications\n 3 Evaluate products\n 4 Specify products\n 5 Evaluate vendors\n 6 Negotiate prices, terms, and availability\n 7 Approve vendor\n 8 Approve purchase.\n\nElectronics\nA Penton Publication\n1100 SUPERIOR AVENUE\nCLEVELAND OH 44197-8058\n\nElectronics\nA Penton Publication\n1100 SUPERIOR AVENUE\nCLEVELAND OH 44197-8118\n\nElectronics\nA Penton Publication\n1100 SUPERIOR AVENUE\nCLEVELAND OH 44197-8058\n\n(Continued from page 51)\n\ntion that makes the controller an attractive buy.\" The family is now being introduced into the U.S., with AEG Corp. in Somerville, N.J., responsible for sales and distribution. The device will sell for $1 to $4, depending on supply-voltage range, package, and volume ordered.\n\nThe MARC4—the name stands for modular architecture 4-bit microcontroller—is a true computing system on a chip, comprising a central processing unit, program memory, data memory, and input/output ports, as well as peripherals such as liquid-crystal-display driver, counter/timer, and similar modules. They are all integrated on a single chip so that a complete system can be configured without any added components.\n\nThe CPU divides up into four functional blocks: the program read-only memory, data random-access memory, arithmetic logic unit, and microprogrammed control logic. The CPU is based on the Harvard architecture, which means that the ROM and RAM are physically separate and are addressed independently. A major advantage of this architecture is that both memory areas can be accessed at the same time. This way, the next instruction can be prefetched from ROM while the current one is being executed.\n\nA separate peripheral interface bus is used so that peripheral components such as LCD driver, counter/timer, analog-to-digital converter, and EEPROM modules can easily be integrated on-chip. Right from the start, Eurosil has developed various processor versions that differ from one another in the number of I/O lines, interrupts, prescalers, and timers. One version, Göttle says, is designed to control LCDs with up to 80 segments.\n\nHow powerful is the controller? Considering that it's a complete computer system with all necessary components on-chip—and also taking into account the fast instruction cycles—the MARC4 stands up to an 8-bit CPU and costs less. The CPU's instruction cycle time, which is derived from the internal resistance-capacitance oscillator clock frequency, varies with the supply voltage. It is about 2 µs at 3 V and 8 µs at 1.2 V.\n\nThe CPU is built around a stack-oriented processor core. One advantage of a stack is its dynamic properties. This makes efficient use of the memory space and supports the MARC4's multilevel preemptive interrupt capability.\n\nBecause the Forth language is implemented with the MARC4 hardware, it is possible to generate highly optimized code without any loss of efficiency. A software simulator simulates individual program modules, while an emulator tests the complete program under real-time conditions. The menu-driven software-development system—which also includes an editor and a Forth compiler—runs on IBM PC or compatible.\n\nThe MARC4 was originally designed for Eurosil's 3.0-µm p-well CMOS process for 1.5-V applications. Last year, the technology was altered to a 1.5-µm n-well CMOS process. The basic MARC4 core was converted also into Telefunken's n-well biCMOS technology.\n\nAll told, Eurosil's MARC4 is a 4-bit microcontroller that can operate with minimal currents from a single 1.5-V battery. The device, Eurosil predicts, has a great future in many applications.\n\nLIKE A BASEBALL PLAYER who has outgrown a reputation for unfulfilled potential, Unix is coming into its own. The operating system developed more than 20 years ago at AT&T Co. is becoming pervasive in all classes of computers and applications. Hardware running Unix now accounts for more than 10% of the value of worldwide computer shipments annually—a figure that will more than double by 1994.\n\nOnce regarded as almost exclusively suited for technical and scientific computing, Unix's broader success is built on several factors. Chief among them is that Unix has achieved the status of a de facto standard in the computer industry's swelling push for open systems, in part because it readily accommodates networking in enterprise-wide client/server computing.\n\nAnother plus is that Unix has found a home on workstations—the fastest-growing computer market segment—and it matches up naturally with reduced-instruction-set-computing workstations, which are catching on fast.\n\nFurther, new graphical user interfaces, which make Unix easier to use by presenting menus and/or function icons on the screen, make the operating system less intimidating for nontechnical personal computer users.\n\nAs a result, Unix is finding its way into an increasing number of low-end systems (see p. 57). Two of the leading graphical user interfaces are the Open Software Foundation's Motif and Sun Microsystems Inc.'s Open Look.\n\nIn fact, although Unix will continue to face competition on PCs from MS-DOS, OS/2, and the Apple Macintosh operating system, its strong move downward to smaller platforms is one of the most convincing testimonials to its widespread acceptance. Some 45% of the Unix-based single-user systems shipped by U.S. vendors in 1989 were PCs, while 55% were workstations, according to International Data Corp., of Framingham, Mass. And in a June report, the Yankee Group projects that the largest number of Unix-based computer shipments through 1994 will be PCs. The Boston-based market research and consulting organization forecasts that the installed base of PCs running Unix will zoom from 1.3 million last year to more than 5 million in 1994.\n\nImportantly, that burgeoning PC base is a relatively new market for Unix, which also continues to thrive on engineering workstations, its historic stronghold. The Yankee Group estimates that the greatest compound annual growth rate for Unix on any class of computer—36%—will continue to be in workstations, which will soar from an installed base of 225,000 last year to 1.03 million in 1994. By then, 80% of all installed workstations will run Unix, up from 50% last year, Yankee reports.\n\nAt Dataquest Inc., the San Jose, Calif., market research organization, analyst Paul Cubbage says the value of Unix-based machines shipped last year grew about 50%—to some 820,000 units worth $14 billion. \"That's a step function in growth,\" Cubbage says, and a trend that will continue. By 1994, he estimates that Unix-based shipments will reach 2.8 billion units and $47 billion.\n\n\"Unix is beginning to dominate certain segments,\" Cubbage adds. \"The supercomputer market is almost totally Unix. The workstation market is all Unix plus [Digital Equipment Corp.'s] VAX. The small-to-medium\n\nminicomputer segment is becoming dominated by Unix systems, starting with SCO Xenix on 386 boxes and working up from there. That leaves mainframes and PCs not dominated by Unix,\" Cubbage concludes. (Xenix is the Microsoft Corp. version of Unix for 8086/80286/80386-based PCs that's sold under license by the Santa Cruz Operation, Santa Cruz, Calif.)\n\nThis voracious demand for Unix is coming despite the ongoing hassle between Unix International Inc. and the Open Software Foundation, the two main bodies backing different versions of the operating system. UI touts AT&T's System V Release 4; OSF champions OSF/1, which is derived from the Mach operating system from Carnegie Mellon University in Pittsburgh (see p. 59).\n\nIn their push for open systems—networked hardware and software from various vendors that must work together—computer users have forced vendors away from sole reliance on proprietary hardware architectures and operating systems. No longer are users voiceless while computer giants like IBM Corp. and Digital Equipment offer only proprietary designs that couldn't communicate with one another in multivendor environments.\n\n\"The real key to openness is to provide interoperability between systems, regardless of their heritage or technological underpinnings,\" says Paul Zagaeski, senior analyst for distributed systems at the Yankee Group. \"This is what users have begun to demand, and operating systems are only one part of this call for standards,\" he says. \"Unix is, however, the core of open-systems technology.\"\n\nIn fact, \"I know of no company entering the business in the last few years that is building an operating system of its own, with the exception of PCs and IBM mainframe clones,\" declares Mike DeFazio, vice president for Unix System V software at AT&T's Unix Systems Laboratories in Morristown, N.J., where Unix was spawned.\n\nAnother push for open systems comes from the U.S. government, says David Sandel, vice president for marketing at Unix International in Parsippany, N.J. \"The government has been telling vendors for the past few years that it doesn't want to be tied to a specific hardware vendor.\" That push, he says, has led to Posix—portable operating system interfaces, in which portability is achieved through application programming interface guidelines. Those guidelines are now being generated by the IEEE. Posix, says Sandel, is the core of Unix and the key to its broad compatibility. \"Vendors, seeing tens of billions of dollars of [government] procurements per year, are concluding they have to have a Unix implementation,\" he says.\n\nNor is there much question about the open-system status of Unix in the United Kingdom. The word is synonymous with open systems in the minds of UK information-systems managers, says consultant Caroline Weinstein of BIS Mackintosh Ltd., a market analysis firm in Luton, England. \"And they like the open-systems concept because it gives them power over their suppliers,\" she maintains. Most of them, she adds, have worked with IBM-compatible PCs and know the benefits that a standardized operating system such as MS-DOS can bring. \"These people regard Unix as a more sophisticated equivalent to MS-DOS,\" she says.\n\nBIS Mackintosh estimates that the value of Unix-based systems shipped in the UK will jump from $600 million last year to $2.5 billion by 1994—an average annual growth rate of 32%. That compares with a predicted growth rate of 10% for the same period for the entire UK computer market.\n\nBack in the U.S., however, IBM—which bid its own Unix variant, AIX, to the Open Software Foundation for incorporation into OSF/1 before Mach was chosen—isn't ready to acknowledge Unix as the alpha and omega of open systems. \"We don't regard Unix as a four-letter word, and we're very strong behind it, with AIX as a strong part of our product line,\" says Bill Filip, assistant general manager of marketing for personal systems and advanced workstations at IBM in Somers, N.Y. \"But we're\n\nlooking to achieve interoperability and application portability with other operating systems as well.\"\n\nFilip points out that the IEEE's definition of open systems, which will be proposed to the International Standards Organization as the U.S. position, leaves room for more than one operating system. The IEEE under Posix defines an open-systems environment as one that \"supports a comprehensive and consistent set of international information-technology standards and functional standards profiles that specify interfaces, services, and supporting formats to accomplish interoperability and portability of applications, data, and people.\"\n\nFilip acknowledges that Unix fits that definition. But, he says, so will several other operating systems, including DOS, OS/2, VMS, MVS, and VM, because of their developers' stated intentions to have them comply with the Posix push.\n\nThe client-server computing model that will dominate the 1990s forces vendors to provide computers and software that will communicate readily over a worldwide network linking the desktop with the data center, and every computing resource in between. That's an environment in which Unix thrives, because it accommodates multitasking, network communications, and application software transportability.\n\n\"Networking is one of Unix's strongest features,\" says AT&T's DeFazio, \"especially in relation to DOS, OS/2, and proprietary systems. Its NFS [Network File System] file-sharing capability is a natural for networking.\" Indeed, \"Unix system users can run all their DOS applications on the network in a distributed computer system under Unix, even though the original DOS idea is of a stand-alone machine,\" says Sri Rajeev, Sun/OS product manager at Sun Microsystems in Mountain View, Calif. (Sun/OS is Sun's version of Unix System V.)\n\nThe communications features of Unix are also attractive to Joe Menard, marketing manager for Digital Equipment's Unix variant, Ultrix, in Nashua, N.H. But Unix has a lot more going for it than that, he says. \"You get a lot of functionality with Unix—multitasking, multiprocessing, and advanced memory support, as well as a solid communications interface.\"\n\nAnd now, with a good graphical user interface, such as OSF's Motif, \"Unix will catch on in PCs, because you can run both it and DOS in a 386-based machine.\"\n\nAs for the apparent domination of Unix on RISC architectures, some industry observers see the two as mutually supportive, and most agree that RISC workstations have become a prime Unix market driver. Rajeev at Sun maintains that the operating system's portability \"is an excellent reason Unix and RISC are so closely tied. Unix is so portable that you need only port the C compiler, because Unix is machine-independent.\" In fact, Rajeev says flatly that today's Sparc and MIPS RISC chips \"wouldn't have become a market nearly as fast as they have without Unix.\"\n\nDigital's Menard seconds the view that the portability of Unix made it simple to move to RISC machines, mainly because the operating system is written in C. \"Unix was ported quickly because of its design; it's written in a high-level language and is therefore easy to port to a new platform.\" But Menard is also quick to point out that Digital continues to sell \"a significant number\" of workstations that run the company's proprietary VMS operating system.\n\nNor will IBM rely solely on AIX/Unix for its RISC products, although Filip too sees a natural tie between RISC and Unix. \"One of the things that's been driving the popularity of Unix in the last few years is the trend toward exploiting RISC architectures, but both IBM and Microsoft have said that OS/2 is likely to be important\" on future RISC platforms, he says.\n\nWhile the success of Unix has forced most major vendors to add Unix-based systems to their proprietary product offerings, the operating system still needs more features. \"When Unix International was formed,\" says UI's Sandel, \"we developed a five-year plan for the evolution of open systems, with System V, Release 4 as anchor.\" And while non-UI members may not support AT&T's System V, few would argue with the functions Sandel says are lacking, but coming.\n\nFirst among those is security. \"If Unix is to be used in the banking industry,\" Sandel says, \"it needs better security features.\" The other important features he lists are better provision for multiprocessing, real-time transaction processing for mission-critical applications, and distributed system administration and network management. \"I think you will see them all—but not too quickly.\" Additional reporting by Peter Fletcher, Jack Sbandle, and Samuel Weber\n\nUNIX TAKES A HAND IN THE PC TUG-OF-WAR\n\nMARKET SHARE WILL ELUDE THE UP-AND-COMING OS UNTIL IT SOLVES SOME MUNDANE MARKETING PROBLEMS BY JACK SHANDLE\n\nTHE PENETRATION OF UNIX into the world of personal computers now dominated by the DOS and Macintosh operating systems could be described as a daisy chain of \"ifs.\"\n\nIf mission-critical applications move to networked PCs, and if shrink-wrapped Unix software really takes off, and if Microsoft Corp.'s OS/2 languishes, then Unix will gain significant market share in the desktop market.\n\nMany industry watchers would readily change the \"ifs\" into \"whens\" and suggest that the real question is how much Unix will displace the entrenched PC operating systems from Microsoft and Apple Computer Inc. But for the time being, at least, many PC companies have opted for the wait-and-see mode. Their problem is familiar enough: keeping all technology bases covered while still maximizing profit at the end of each quarter. So far, that means watching Unix closely but not embracing it. \"We look at Unix as a strategic element—not as a strong market presence now,\" says Greg Young, systems marketing manager at AST Research Inc., a leading PC vendor based in Irvine, Calif.\n\nYoung estimates that the penetration of Unix on AST platforms is roughly proportional to the company's sales of 32-bit platforms—anywhere from 6% to 10%. AST's estimates fall in the same ballpark as Compaq Computer Corp.'s, according to Lorie Strong, director of product marketing for the Houston-based PC giant.\n\nBut although these percentages seem small, they are far from insignificant in unit numbers: a mere 10% or less of the PC market accounts for the largest percentage of units shipped in\n\nthe much smaller Unix market. That's why Unix software companies are salivating over the PC world's growing interest in the operating system. \"Compaq alone sells more machines in a month than [workstation heavyweight] Sun sells in a year,\" says Pat Bellamah, OS/2 product manager at Microsoft in Redmond, Wash. The Yankee Group confirms that the largest number of Unix unit shipments in coming years will occur in the PC market. The Boston market analyst forecasts an installed base of 5 million PC/Unix systems by 1994—up from 1.3 million in 1989 (see p. 54).\n\nEven as sales grow, market analysts offer diverse opinions as to just how much Unix will penetrate the PC market, running either on a stand-alone PC or as part and parcel of a low-end workstation. Weighing in on the bullish side is San Jose, Calif.-based Dataquest Inc. Analyst Paul Cubbage sees the price/performance ratios of Unix workstations making them strong candidates to displace PCs for corporate desktop computing. \"You can run PC applications on certain Unix workstations as fast as you can on a PC,\" he says.\n\nBut for the non-power user, there is a big question: why purchase a $700 operating system when DOS seems to be working just fine? \"There is no big advantage in running Unix on a standalone PC,\" says consultant Caroline Weinstein of the London market research house BIS Mackintosh Ltd.\n\nUnderlying the arguments on both sides is an unstated assessment of Unix's strengths versus DOS, OS/2, and the Mac. But a straightforward technology assessment does not tell the whole story, says Microsoft's Bellamah. Unix on a PC platform is sold overwhelmingly as a multiuser system—typically two or three terminals running on a 386 PC. Microsoft's strategy, on the other hand, keeps the PC on the desktop running OS/2 with data or task calls to the server. \"OS/2 is still outselling Unix on PC platforms by a substantial margin,\" she says. \"We know, because PC Unix licenses go through Microsoft to AT&T Co.\"\n\nThe migration of mission-critical applications such as payroll, inventory, and financial data from mainframes and minicomputers to distributed computing environments could be a boon to Unix. Such applications could simply outgrow a DOS network, says Maury Domengeaux, a product marketing manager at Interactive Systems Corp. Based in Santa Monica, Calif., Interactive Systems is a leading vendor of AT&T Unix for PCs.\n\nPlatform independence provides another reason for migrating to Unix. Applications written for mainframes or minicomputers can move to local-area networks with little recoding, says AST's Young. Platform independence also makes for cost-effective program development on PCs for applications that will eventually run on mainframes.\n\nTwo other features that have long helped the Mac and the PC—and that have been lacking in Unix—are readily available software in shrink-wrapped packaging and a friendly user interface. Unix is fighting back on both fronts. The Open Software Foundation's Motif and Sun Microsystems Inc.'s Open Look are gaining ground as graphical user interfaces. And great strides are being made in the availability of commercial—rather than scientific/engineering—software. \"One important phenomenon with Unix today is the advent of shrink-wrapped software,\" says David I. Sandel, vice president of marketing for Unix International Inc., Parsippany, N.J. \"It will be a major market opportunity over the next few years for independent software vendors.\"\n\nMeanwhile, software companies specializing in Unix—such as Interactive Systems and the Santa Cruz Operation in Santa Cruz, Calif.—have steadily added to the list of applications. SCO's catalog lists over 3,000 applications, 90% of them of the commercial variety, such as spreadsheets, word processors, and database programs, says Charles Watkins, SCO's Unix product manager.\n\nFor the most part, PC makers have little at risk from Unix running on their platforms. But a separate and distinct Unix challenge to the desktop is the low-end Unix workstation—machines like Sun's new Sparcstation IPC, which is built around the reduced-instruction-set Sparc chip instead of an Intel Corp. or Motorola Inc. microprocessor. Priced at $9,995 and offering performance of 15.8 million instructions/s, the IPC is being positioned as offering better performance at a lower price than many full-function PCs with color monitors. And while the IPC can handle technical applications such as computer-aided design, the Mountain View, Calif., company expects strong demand from the financial community, where analysts could use it to execute complex financial modeling and portfolio management programs. The IPC also runs traditional PC personal productivity applications, including spreadsheets, database management, word processing, and desktop publishing.\n\nInteractive Systems' Domengeaux does not see the IPC as a direct competitor to Unix running on PCs. Since it has a RISC processor, he says, the IPC's performance slumps when it runs DOS applications. \"It is really geared to the engineering market,\" he says. \"It is Sun's answer to the IBM System/6000 and Hewlett-Packard's low-end workstations.\" Additional reporting by Lawrence Curran and Peter Fletcher\n\nA SINGLE UNIX? DON'T HOLD YOUR BREATH\n\nTHERE'S OSF AND THERE'S UI, AND THE PUNDITS PREDICT THAT NEVER THE TWAIN SHALL MEET BY LAWRENCE CURRAN\n\nUnix support has divided into two primary camps: the Open Software Foundation and Unix International Inc., each with a host of member companies. Here we sample the views of some of them regarding the ongoing Unix debate. On the following two pages, senior OSF and UI executives offer their opinions on the merits of the two groups' respective versions of Unix.\n\nIF YOU'RE A DEVELOPER OF application software for the Unix operating system, don't hold your breath waiting for one \"standard\" Unix to emerge. It looks like the parallel paths on which the Open Software Foundation and Unix International Inc. are traveling will not converge in the foreseeable future.\n\nOSF, based in Cambridge, Mass., was spawned in early 1988, in part as a hedge by its members against the possibility of Unix being shaped too closely to the proprietary wishes of developer AT&T Co. and Sun Microsystems Inc. AT&T invested in Sun, which has backed AT&T's Unix System V since its inception. Then, in December 1988, Unix International sprang up, settling in Parsippany, N.J., with a mission to direct the evolution of Unix System V in response to member recommendations.\n\nSince their inception, the two groups have held occasional meetings aimed at resolving their differences, leading to expectations that the organizations would merge and a true U.S. standard Unix would result. This phantom Unix, industry watchers hoped, would embody the best features of System V and the soon-to-be-released OSF/1. But the latest talks fizzled last April, leaving two main versions of the operating system.\n\nStill, two beats 200: many in the computer industry regard today's situation as far better than in the pre-OSF days, when more than 200 Unix variations caused considerable confusion in the marketplace. \"Just about all the MIS managers in the U.S. now know that they need Unix. Furthermore, there are now two versions instead of more than 250,\" says Sri Rajeev, product marketing manager for Sun Microsystems' SunOS version of Unix. What's more, he says, the lively debate between OSF and UI \"has focused attention wonderfully on Unix.\" At the same time, he allows, the lack of agreement between the two bodies \"buys more time for proprietary operating systems.\"\n\nBut the two Unixes are unlikely to merge in the next few years simply because their backers are too heavily committed to their respective directions. That's the realistic view of Jan Silverman, manager of system software and communications at the Apollo Systems Division of Hewlett-Packard Co., Chelmsford, Mass., which backs OSF.\n\n\"From a business point of view, a number of vendors have crystallized behind one of the two camps and have a significant investment\" in one version of Unix, Silverman points out. \"If there were a merger between the two tomorrow,\" he adds, \"the backer of the 'losing technology' would be one or two years behind. I see no such merger in this generation of products.\"\n\nCaroline Weinstein, a consultant with BIS Mackintosh Ltd., a market analysis and forecasting firm in Luton, UK, thought the recent discussions between the two bodies \"might lead somewhere, but the likelihood of there being one Unix is remote at present. But at least two Unixes are better than all the proprietary systems.\"\n\nThe industry appears divided over whether the brouhaha is good or bad for the computer industry. Like Sun's Rajeev, Cory Devor, Bull HN Information Systems' director of marketing for open systems and Unix, believes the debate is healthy because it focuses attention on Unix and rejuvenates sharper competition than was typical in the days when proprietary systems were dominant. \"A perfect world would run on 110-V power,\" Devor says.\n\nFor his part, senior analyst Paul Zagaeski of the Yankee Group, a Boston market research firm, is not so sure. Zagaeski doesn't see the OSF/UI debate as healthy for the computer industry over the short haul, although he believes competition between the two may have long-term positive results. For now, however, \"it's draining enerOSF/1: BLENDING INNOVATION AND COMPATIBILITY\n\nThe OSF/1 operating system offers the innovative operating-system technology that the industry requires today while preserving the industry's previous investment in existing software. The innovations that are found in OSF/1 meet the needs for high-performance, high-reliability computing in networked and multiprocessing environments. At the same time, OSF/1 is compatible with standards and existing operating-system implementations, thus preserving application portability and interoperability with other systems.\n\nThree sources contribute to the innovation of OSF/1.\n\nFirst, OSF/1 uses Mach, a next-generation operating system developed at Carnegie Mellon University, as its base kernel technology. Today, thousands of Mach-based systems have been shipped by a number of commercial suppliers. Mach has been thoroughly tested over the past five years by university, commercial, and industrial research centers. The OSF/1 operating system combines this Mach base with OSF enhancements, Berkeley Software Distribution Unix, System V Unix, and compliance with all relevant industry standards.\n\nMach gives OSF/1 symmetric multiprocessing; demonstrated portability to diverse hardware architectures; a versatile memory-management subsystem; \"threads\" that allow multiple instruction streams to run concurrently in a single address space; and a fully compatible path to a simplified microkernel that can provide a trusted computing base for higher security levels.\n\nSecond, OSF/1 draws upon leading-edge Unix implementations from industry and universities. This includes contributions from IBM Corp.'s AIX operating system, Encore Computer Corp.'s implementation of Mach, security features from SecureWare, and the latest Berkeley Unix.\n\n- AIX provides, among other features, a logical volume manager that lets storage volumes span multiple physical media (hard disks, for example) and also supports disk mirroring. The logical volume manager is essential for applications, such as data-base management systems, that create large files which exceed the capacity of a single external storage device.\n\n- Encore's implementation of Mach, along with joint Encore and OSF development, provides full parallelization of many key features of the operating system, including the file system and networking code.\n\n- The Berkeley 4.4 release provides a newly designed network file system compatible with NFS from Sun Microsystems Inc. This release also provides a framework for the addition of other file systems by means of its virtual file-system switch.\n\n- OSF's advanced, highly extensible program loader operates in user space. It supports position-independent shared libraries and dynamic linking, and enables the loading of new or existing object-file formats.\n\nThe third source of innovation is an industry-wide open process that merges the best new technology into the OSF/1 environment. The process demonstrated its value with the selection of the OSF graphical user interface, OSF/Motif. In less than one year, OSF Motif has become a de facto industry standard.\n\nOSF/1 is compliant with applicable standards and specifications such as Posix and X/Open Portability Guide, issue 3 (XPG-3). What's more, OSF/1 is compatible with the existing Unix implementations. Through incorporation of portions of AIX, it merges the Berkeley and System V command sets. Users familiar with either system will have no trouble making the transition to OSF/1. In addition, the extensible nature of OSF/1 enables vendors to provide binary compatibility for their existing Unix applications. This backward compatibility provides a migration path for users and independent software vendors moving to an OSF/1 base while preserving previous software investments.\n\nThe combination of software innovation and broad standards compatibility makes OSF/1 uniquely valuable. For system vendors, it presents a lower cost, more functional, and more extensible platform for meeting all their customers' needs. For software vendors, it supplies innovation, standards compliance, backward compatibility, and new application-building tools. For end users, it provides the right foundation for computing in the 1990s. The OSF/1 operating system combines the innovative features required to support diverse hardware architectures and business applications, along with the compatibility required for preservation of current software investments.—Grace Perez, business area manager, the Open Software Foundation\n\ncol Internet Protocol for communications, the Network File System for networking, and compliance with Posix. \"This is a disaster in the industry and plays right into the hands of proprietary system vendors, such as IBM and Microsoft.\"\n\nIBM Corp.'s Bill Filip voices the hopes of many about the OSF-UI conflict. Neither group is a standards body, notes Filip, the assistant general manager of marketing for personal systems and advanced workstations in Somers, N.Y. Rather, \"they're both sources of standards-based technology for the vendor community. We'd like the source to be vendor neutral, but we're not uncomfortable with two versions of Unix,\" he says. \"We hope the debate takes a low profile—and our ears are always open to a merger of the two.\"\n\n**SYSTEM V, RELEASE 4: A CLEAR ROAD TO THE FUTURE**\n\nAN OPERATING SYSTEM is a foundation product for the information-technology business. A well-constructed operating system can serve as the basis not merely for interesting and important products, but as the cornerstone for a business—indeed, for entire industries. Witness the growth in DOS-based applications in the 1980s and the consequences in terms of desktop computing.\n\nThe world of the '90s is very different than that of the '80s, both in technology and in the structure of business. Thus, while assessing an operating system today may start with the code itself—the product's technical excellence—the assessment must extend far beyond that narrow focus. In the open-systems market, an operating system must meet five key criteria.\n\n- The product must incorporate advanced technology that meets the needs of the information-technology market of today and tomorrow. The industry's requirements keep changing, mandating the constant development of new releases.\n- It must be proven technology, backed by an experienced development organization with a track record of shipping \"industrial-strength\" products and the ability to maintain an aggressive development program.\n- It must help foster the success of users, who create the demand for the underlying operating system. In the open-systems market, this means protecting the installed base of some 10 million Unix System V users through full forward binary compatibility.\n- It must provide a clear path to the future so that product-development planners and corporate strategists can make informed decisions.\n- And it must be under the control of the industry at large, not a small group of vendors. Otherwise the majority of the companies committed to that operating system will be hostage to the needs and whims of the few.\n\nIn terms of the product, System V, Release 4 in many ways represents a \"merger release,\" providing full binary compatibility for software written for the major Unix system variants while incorporating highly advanced features unique to each of these products. These are expanded by features specifically developed for System V, Release 4. Moreover, the operating system complies with important internationally accepted standards. Among its key features are:\n\n- Source portability, establishing a common computing environment across multivendor systems.\n- An application binary interface defining the set of interfaces that allow application software to be ported in binary form across different vendors' systems that share a specific processor architecture.\n- An enhanced set of networking services to support the development of distributed applications, along with a well-defined plan for the creation of a mature distributed computing environment in future releases.\n- The \"Streams\" input/output capabilities, which offer unprecedented modularity and portability for all I/O processing done inside the kernel.\n- A third-generation virtual file system that lets several different types of file systems exist simultaneously.\n- An advanced memory-management architecture that lets processes access files and devices as ranges of bytes within the virtual address space of the process.\n- Real-time enhancements such as user-controlled process scheduling, higher resolution timers, and enhanced memory locking to facilitate process-control and OLTP applications.\n- Advanced internationalization features, such as support for multibyte characters (required for alphabets such as Japanese kanji).\n\nIn developing the latest version of System V, one fundamental, unalterable principle was to maintain full binary compatibility with the installed base of System V, Xenix, SunOS, and BSD users. This was no simple task, but those users represent some 80% of the more than 10 million System V users worldwide and had to be protected. At the same time, System V, Release 4 represents a bridge to the technologies of the future—fully distributed computing, multiprocessing, and so on.\n\nIt was not so long ago than an examination of Unix focused on whether it might ever break out of its status as a niche product, one doomed to running only technical applications. Today the discussion points to the fact that in the commercial environment as much as anywhere else, Unix is a winning proposition. System V, Release 4—its robust features and its clear road to future operating-system technologies—make it a product on which users can rely and can continue to build their businesses.—David I. Sandel, vice president of worldwide marketing, Unix International Inc.\n\nSUPPLIERS OF EMBEDDED systems such as telecom switches face a dilemma. On the one hand, they need a powerful real-time operating system to handle the switching tasks. At the same time, they must provide the services of a standard operating system—filing input/output to back up programs or traffic data, for example. Until now, all the solutions devised to handle this problem have had drawbacks. But Nixdorf Computer AG has come up with an alternative: the West German equipment maker has developed a way to run Unix concurrently on the same chip with a real-time operating system, Nixdorf's Nicos.\n\nTraditionally, designers have navigated around the real-time problem with three basic solutions.\n\nFirst, you can use a pure real-time operating system with basic and extended I/O—such as Intel Corp.'s iRMX or Ready Systems' VRTX—gaining a dedicated real-time operating system with its functions tailored for efficient real-time processing. The disadvantage: the real-time OS remains embedded and can't be used to access standard commercial software.\n\nSecond, you can use a standard operating system that also fulfills real-time requirements, as does Concurrent Computer Corp.'s RTU Real Time Unix. This choice provides access to standard software and to real-time processing. However, with such a solution, the real-time software cannot easily be transferred to a pure real-time environment. That's because the standard operating system's memory requirements as regards the target hardware are too extensive.\n\nTo send a message to Unix, Nicos copies data into a buffer in shared memory and also sends an interrupt signal.\n\nThe third alternative is putting the two operating systems on different processors, connected by hardware and software links. This allows real-time processing as well as the use of standard software. But since the operating systems reside in different hardware units, system cost goes up.\n\n\"For our requirements, none of these solutions was satisfactory,\" says Clemens Schmidt, basic software development manager at Nixdorf, the Paderborn-based data-processing and communications equipment maker. To meet the needs of the equipment's embedded part, the company had to develop its own real-time OS family—called Nicos, for Nixdorf Communication Operating System. \"But we also wanted to use Unix,\" Schmidt says. Running the two on separate processors would have worked \"if it weren't for the added hardware, which is a big cost factor, especially when you're building small equipment.\"\n\nAs a way out of this bind, Nixdorf developed its so-called Hybrid System, which permits Unix V.3 to run concurrently with Nicos on the same processor, an Intel 80386. This solution offers a host of advantages:\n\n- The complete application software available for Unix V can be accessed in a real-time environment.\n- A native, high-end real-time OS allows real-time processing without compromises originating in the standard OS.\n- Software that was developed for a pure real-time environment can be transferred to the Hybrid System's microprocessor.\n- By employing the facilities for communications between the two operating systems, Unix features can be\n\nused to extend the real-time OS. This offers an efficient way to equip existing Unix V machines with powerful real-time capabilities.\n\n- Cost-effective systems can be built in cases where a two-processor solution is too expensive.\n\n\"These advantages enhance the technical and economic possibilities of present and future applications,\" says Schmidt. \"Indeed, software designers no longer need to care about possible repercussions of the standard OS on real-time software and vice versa.\"\n\nNixdorf will use its Hybrid System in a private telecom switch the company is now developing for up to 10,000 subscriber lines. Depending on its acceptance by the industry, the company may make the system available as a commercial product. Nixdorf has applied for patents nationally and internationally, including in the U.S. and Japan, for its implementation, which runs on an 80386 processor board.\n\nA TYPICAL APPLICATION under Nicos is event-driven. It consists of interrupt handlers, interrupt tasks, and application processes. Most of the time the processes are waiting for an external event to occur. As soon as a signal arrives, the associated interrupt handler starts, handles processing, and signals the event to the waiting interrupt task.\n\nThe interrupt task finishes the event handling, sends a response, and waits for the next event. Processing the event is time-critical, which means it must be accomplished in a predefined time period. If there is no event, Nicos schedules the Nicos idle task.\n\n\"In our Hybrid System, a real-time Nicos process must respond to an event in the same way as in a stand-alone Nicos system,\" says Gerd Friedrich, system software development manager at Nixdorf. \"Therefore, Nicos must be able to preempt Unix at any time.\" The Unix kernel, however, is designed as nonre-entrant code; so as long as a Unix process executes in the Unix-kernel mode, no scheduling can take place.\n\nThese considerations led to the idea of handling the Unix system as the idle task of Nicos, which means that Unix controls the central processing unit only when no Nicos process is ready to run. This ensures that the real-time capabilities of Nicos in the Hybrid System are maintained, along with an acceptable Unix response time.\n\nWhen Unix is running while a Nicos interrupt occurs, the Nicos scheduler switches from Unix to this interrupt task. But as soon as event processing under Nicos is finished, Nicos switches back to its idle task. When Nicos is executing, Unix-related events are still served by the Unix interrupt handler. But in contrast to the stand-alone Unix system, no Unix scheduling may take place at the end of interrupt handling.\n\nThe main memory in Nixdorf's Hybrid System divides into three parts: Unix memory, Nicos memory, and shared memory. Unix memory is managed by Unix, and neither Nicos nor any Nicos application can access it. Nicos memory, which is managed by Nicos, is allocated under Unix as I/O space and is accessible by both operating systems. Unix does not touch this memory after the allocation, and Unix applications cannot access it.\n\nThe shared memory is also allocated under Unix. It is accessible by both operating systems and is used for code—common prologs and epilogs, for example—and for data (such as the interrupt descriptor table), which must be readable and writable in both contexts and is used for synchronization and communication between Unix and Nicos. While the physical memory in the Hybrid System is shared between Unix and Nicos, each OS has its own virtual memory space.\n\nHardware-interrupt handling under Unix is in a fully procedural manner. It is performed in the context of the interrupted application by calling procedures according to the interrupt. On return from the interrupt handler, all handling is completed. One of the called procedures could be the Unix scheduler.\n\nNicos provides the usual two-stage handling for interrupts. The time-critical part is performed by the interrupt handler, which executes in the context of the running process. The remaining handling is done by an interrupt task that is scheduled according to its priority.\n\nIn its Hybrid System, Nixdorf solved this problem as follows: first, the priorities of the hardware-interrupt entries are partitioned in such a way that all interrupt entries assigned to Nicos have a higher priority than any Unix interrupt. Because Unix only masks interrupt entries assigned to devices managed by Unix, real-time response of Nicos is guaranteed. Second, the Unix interrupt epilog is designed so that it does not call the Unix scheduler at the end of the interrupt handler. The call is delayed till the next switch to Unix.\n\nAnother problem in a hybrid system is the execution context. Nixdorf's solution to this is a common prolog in front of any interrupt handler and a common epilog at the end. The common prolog analyzes the event, switches to the needed context, and finally calls the original interrupt handler. The common epilog is responsible for restoring the initial situation at the end of interrupt handling.\n\n\"A major feature of the Hybrid System is the support it gives to message exchange between Unix and Nicos processes via the shared memory,\" Friedrich says. Under Unix, a communication driver copies messages from Unix processes into the shared memory and vice versa. Under Nicos, copying is done by a communication handler and a communication process.\n\nIf a Nicos process sends a message to a Unix process, the Nicos communication process requests a buffer in the shared memory, copies the data into the buffer, and sends a software interrupt signal to Unix. The latter's interrupt handler copies the data into the user space and transfers the message to the target process.\n\nOn the other hand, a Unix process sends a message to a Nicos process, the Unix communication driver first requests a shared-memory buffer from Nicos by a software interrupt signal. Nicos manages the shared-memory's message buffers. After receiving a message buffer, it copies the data into the buffer and signals a communication request to Nicos. Now the Nicos communication process copies the data into a new buffer and delivers the message to the appropriate application process.\n\nUNIX HAS SPENT A long time in the cloistered world of scientific and engineering applications. And while MIS people are starting to look favorably at Unix platforms, system vendors have their work cut out for them trying to push Unix into the fast lane of continuous processing systems. That's because business lives or dies on on-line transaction processing—with uninterrupted, instantaneous data-base updates an absolute prerequisite—and Unix does not.\n\nComputer system OEMs can build OLTP capability into their own versions of Unix, but the operating system becomes nonstandard in the process. However, Chorus Systems Inc. of Portland, Ore., now offers a solution that considerably simplifies the task of adding non-Unix functions while maintaining standardization. The company's Chorus MIX product splits Unix into modules that communicate by passing messages, an architecture that has two big benefits: it inherently supports symmetric multiprocessing and it lets the OEM add commercial functions by simply adding modules.\n\nUnix is \"one large, monolithic body of code, and that makes it difficult to add new functionality,\" says Marc Guillemont, director of product development at Chorus. Thus, when the OEM modifies the code for the new functionality, he is strapped with support headaches of changing his proprietary code with each new Unix release.\n\nChorus gets around this problem by breaking Unix up into modules, which communicate with one another via a message-passing protocol. A small, efficient microkernel—the Chorus nucleus—provides communications, memory management, and real-time event processing. The rest of the operating system is Unix System V version 3.2; a version 4 is in the works.\n\nWhen Chorus MIX boots to memory, the System V kernel is replaced by the Chorus microkernel, says Michel Gien, general manager for R&D and cofounder of Chorus. The microkernel can be configured for different types of systems. For example, an OLTP system would require the full implementation of both the real-time executive and the file manager.\n\nChorus MIX contains a set of independent programs—modules, servers, or applications programs—that can be physically located on different hardware platforms. Computing platforms can be connected by network or, for a multiprocessor system, by backplane—or both. A microkernel on each platform provides local and global services over all hardware within a system. Message passing is handled by an interprocess communications manager (IPC), which juggles remote or local procedure calls, depending on system configuration.\n\nIf a process running on one platform requires service from a process running on another, a message is created and sent to the distant process in a remote procedure call. Since the routines are executing on different hardware, a context switch creates a message and physically passes it over the network to the distant routine. If, however, both processes are running on a single processor, then the Chorus message passing takes advantage of virtual memory. Instead of a full context switch, the sending process simply passes a pointer to the receiving process via a high-speed register transfer. The pointer directs the receiving process to the appropriate memory location, so no data is physically moved. This is a local procedure call.\n\nThe benefit of this approach applies to a multiprocessor system in which several processors on the same backplane share a common memory. A process on one processor calls a process on another by passing a pointer to where the message resides in common memory.\n\nContact-free soldering and de-soldering\n\nof SMD, DIP and pin grid components and connectors in a matter of seconds with the Leister-Labor \"S\" hot-air tool. Electronic control of temperature and air supply. Over 400 special nozzles available.\n\nAsk for free brochure UW 160\nBrian R. White Co. Inc., 313 Henry Station Road\nUkiah, CA 95482 phone: (707) 462-9795\nFarmingdale, NJ 07727 phone: (201) 938-2700\n\nCIRCLE 189\n\nHusband. Grandfather. Great American Investor.\n\nWhen Bob Lawrence joined the railroad nearly 30 years ago, he began buying U.S. Savings Bonds for his retirement. Now he buys them for his grandkids. \"Bonds pay good strong rates and they're simple to purchase,\" he says. Become the next Great American Investor. Call us to find out more.\n\nU.S. SAVINGS BONDS\n\n1-800-US-BONDS\nA public service of this publication\n\nPULSE-WIDTH CONTROLLER\n\n- Exact Pulse-width Control\n- Fast & Clean Pulses\n- Rising-edge Triggered\n- Auto Insertable\n- 5 NS to 500 NS Pulse-width Control\n\ndata delay devices, inc.\n\nClifton, New Jersey 07013 • (201) 773-2299 • FAX (201) 773-9672\n\nCIRCLE 191\n\nWith this Ethernet chip set, your competitors will swear you took a shortcut.\n\nThe shortest route to market begins with our three-chip set—the EtherStar™ controller, encoder/decoder, and transceiver—from Fujitsu’s Advanced Products Division.\n\nWe’ve engineered this Ethernet set to offer you unparalleled ease of design. With our expert design support and optional manufacturing kit, you have everything you need to get new products out in record time.\n\nEtherStar’s unique buffer manager automatically controls buffer memory access and allocation, making application software easier to develop. And EtherStar handles many functions usually performed by the software driver in hardware—boosting system performance. No wonder official Novell certification tests show that products based on our chip set have higher data-transfer rates.\n\nUnlike some of our competitors, we can supply you with complete system solutions, including interface chips for standard bus architectures. And we don’t compete with you by selling boards.\n\nAs Fujitsu’s American arm, we’re in close touch with your marketplace and what you need to excel there. So call us at 1-800-866-8608. Learn about the family of high-performance Ethernet solutions from Fujitsu’s Advanced Products Division. And take the shortest, smartest pathway to Ethernet success.\n\nEtherStar is a trademark of Fujitsu Microelectronics, Inc. © 1990 Fujitsu Microelectronics, Inc.\n\nFUJITSU MICROELECTRONICS, INC., Advanced Products Division, 50 Rio Robles, San Jose, CA 95134-1806.\n\nFAST, FASTER, FASTEST: ATE CHASES SPEED\n\nWITH TIME TO MARKET THE CHIP MAKERS' BATTLE CRY, THE BURDEN IS TO SLASH TEST TIME BY JONAH MCLEOD\n\nIN THE PELL-MELL RUSH TO shrink time to market, component and board manufacturers have put the onus on suppliers of automatic test equipment to reduce test-development and test time. The sluggish market for some ATE vendors and boom time for others is indicative of who has responded. Suppliers have tightened links to design systems and offered software that slashes test programming time. In addition, they have developed testers that cut test time even as chip and board complexity increases.\n\nThe outlook for ATE equipment makers is the subject of debate among analysts. At venture-capital firm Hambrecht & Quist in San Francisco, senior market analyst Caroline Rodgers calls the market depressed. \"But there are signs that orders for new ATE purchases are on the rise,\" she declares.\n\nHowever, the Market Intelligence Research Co. in Mountain View, Calif., takes a rosier view, projecting an 11% rise in ATE sales this year and continued growth ahead. Analyst Andrea Dace expects a total ATE market of $1.4 billion in 1990, growing to $3.96 billion in 1994. Of this year's total, 58% of the revenue will be in integrated-circuit test systems, with the remaining 42% derived from testers for printed circuit boards. By 1994, IC testers will represent an even larger 63%.\n\nIf there is a malaise in the IC test business right now, it comes from chip makers' uncertainty about future business prospects, says Hiroji Agata, national sales manager and general manager for Advantest in Lincolnshire, Ill. \"Captive semiconductor manufacturers are reluctant to make major capital investments because of weakness in their end products—personal computers, office equipment, telecom systems, and so on,\" he says. \"But merchant IC manufacturers are more bullish.\"\n\nAnd demand should snowball once new products, such as reduced-instruction-set and digital signal processors, start going into volume production, says Ed Rogas, general manager at Teradyne Inc. in Agoura Hills, Calif. \"When these parts get designed in, the demand for test systems should pick up,\" Rogas says, counterbalancing a firming in the demand for logic and memory ATE systems. Rogas expects that ATE vendors with systems already installed at component vendors will get large orders; suppliers that don't have a foot in the door will have to fight for the next-generation high-volume component.\n\nIn board testers, growth will hover at 9% to 10% for the next five years, according to analyst Dace. Board makers using statistical process control and designing boards for manufacturability...\n\nwill increase spending on in-circuit testers that check for manufacturing defects, not board function. Computer, communications, and aerospace companies still needing to perform functional test will continue demanding combinational testers.\n\nThe key to winning the business in ATE is solving the test-programming and test-throughput problems that chip and board manufacturers see as the major bottlenecks in getting products to market. ATE vendors have responded with tighter links between design and test systems as well as a plethora of new software offerings.\n\n\"The design-to-test link used to be a netlist to the tester from the design system,\" says Rudi Egger, European marketing specialist at GenRad Inc. in Concord, Mass. \"Now it includes the board-layout information needed to build test fixtures and parametric data on components to ensure that correct power is applied during testing, among other things.\"\n\nNowhere is the problem of developing test fixtures more acute than in testing mixed analog and digital ICs. In the past, the designer of mixed-signal devices had to cobble together a complex apparatus that combined digital and analog test systems. \"The test development time was longer than the initial design of the mixed-signal IC itself,\" says George d'Arbeloff, the vice president at Teradyne in Boston.\n\nA number of companies are addressing this problem, among them Teradyne. Its A500 analog VLSI test-system family eliminates the engineer's hardware-development time. It contains, on a high-speed test bus, digital and analog test systems that are synchronized with each other. \"It changed the problem from developing a hardware fixture that coordinated operation of digital and analog testers to developing a test program,\" d'Arbeloff says.\n\nAnother time saver is the test simulator, a workstation that simulates the A500 operation. It can be used to debug the test program. \"Half a mixed-signal test system's time is spent debugging test programs,\" d'Arbeloff says. \"The test simulator is a big attraction of the A500.\"\n\nWith its System HiLo simulator used in design automation, GenRad has expertise in using design data in test-program development. \"You need the same simulator in both design system and tester,\" says Egger. \"One of our customers with a full board simulation wanted a tester that used their simulation environment. GenRad integrated the customer's simulator on its tester. It took us four hours to develop a test for a complex board,\" Eggers says, a task that once took three to six months.\n\nHowever, test systems that share tester resources, especially for testing ICs, cannot use all the vectors a simulator produces. Test Systems Strategies Inc. of Beaverton, Ore., a company with products that turn simulator outputs into usable tester waveforms, has a new product called Wavemaker that eases the job of adding more waveforms.\n\nAnalysts believe today's tester-per-pin architectures are the way ATE vendors will speed test-program development. Among the manufacturers fielding next-generation logic testers with this architecture is Megatest Corp. of San Jose, Calif., with its new Polaris 100 [Electronics, March 1990, p. 70]. Tektronix Inc. in Beaverton also provides tester-per-pin capability with its Vista Series.\n\nAnd Schlumberger Technologies in San Jose takes the tester-per-pin architecture to its next level with the ITS 9000, to be unveiled this month (see p. 71). With its radical new sequencer-per-pin architecture, says Schlumberger, this system can accept and execute all the test vectors any simulator can produce.\n\nMany analysts call Advantest the leader in logic testing, thanks to its systems' high test speed—100 MHz—and high pin count—500 pins. The company does not currently have a system with tester-per-pin architecture, but industry watchers believe that one is in the works. Teradyne, too, is said to be working on a next-generation, tester-per-pin unit.\n\nRon Johnson, product marketing manager at Hewlett-Packard Co.'s Manufacturing Test Division in Loveland, Colo., believes that to shorten the time it takes to generate a test program, the emphasis should be on developing the test program concurrent with the design. HP and computer-aided-design heavyweight Mentor Graphics Corp. \"have a joint development effort on concurrent design and test,\" he says.\n\nATE systems must also test boards or chips fast. \"If you control your process and are making good products, you want high throughput to get them out,\" says Tom Coughlin, director of tactical marketing at GenRad. Johnson says HP addresses this problem in the tester's architecture. \"In the HP3070, there are four synchronously operating test modules,\" he says. \"The modules can operate independently to improve throughput,\" each testing different board sections concurrently.\n\nAt GenRad, the controller behind the test pins has been improved on the current generation 2286 in-circuit tester. Coughlin claims it's five to ten times faster than the company's earlier 2276. \"The problem is the boards are 10 times more complex,\" Coughlin says, so it still takes on the order of 15 seconds to test a board.\n\nImagine a board tester that thrives on big boards with jumbo ASICs.\n\n960 real pins. Super fast ATG. The GR2286.\n\nIt actually makes testing boards with monster ASICs a pleasure. Because it has the brains and the brawn to test them quickly. Comprehensively.\n\nFor brains, GenRad’s ATG gets tough test programs up and running faster than any other system. Twice as fast, in many cases.\n\nFor brawn, 960 real pins and 3840 total pins give you the power to handle your biggest test challenges. It’s like testing with cruise control. Just sit back and enjoy the throughput.\n\nThe GR2286. Great productivity. Incredibly high throughput. Lowering your cost to test.\n\nIf you’re ready for a new way of thinking about test, request your copy of “Perspectives on High Productivity Board Testing.”\n\nCall 1-800-4-GENRAD in the U.S., or the GenRad office nearest you in Austria, Canada, England, France, Germany, Italy, Japan, Netherlands, Singapore, Switzerland.\n\nPlanning on restoring a house, saving a landmark, reviving your neighborhood?\n\nGain a wealth of experience and help preserve our historic and architectural heritage. Join the National Trust for Historic Preservation and support preservation efforts in your community.\n\nMake preservation a blueprint for the future.\n\nWrite:\n\nNational Trust\nfor Historic Preservation\nDepartment PA\n1785 Massachusetts Ave., N.W.\nWashington, D.C. 20036\n\nFor manufacture of single- and multi-layer coils and chokes:\nWAFIOS Series FTU-97: Ø 0.3—3.5 mm (.012\"—.138\")\nInsulation stripping at the ends of the legs. Automatic bonding or soldering.\n\nAlso with CNC-Control! Any number of coils! Precise positioning through Adaptive Control.\n\nMoving?\n\n1. For FASTEST service, you must attach old mailing label in space below.\n\nPlease allow 6 weeks for change to take effect\n\nIf mailing label is not available print your old company name and address in this box.\n\n2. Print your New business address here.\n\nNAME __________________________ TITLE ________________\nCOMPANY ______________________ ADDRESS ________________\nADDRESS _______________________ STATE ____ ZIP _______\nCITY ___________________________\n\n3. Mail to:\nElectronics\nPenton Publishing, Inc.\n1100 Superior Ave.\nCleveland, OH 44114\n\nCIRCLE 219\n\nA RADICAL ARCHITECTURE TRIMS TEST TIME\n\nSCHLUMBERGER'S NEW UNIT OFFERS VAST FLEXIBILITY AND DIRECT LINKS WITH SIMULATION DATA BY SAMUEL WEBER\n\nCOMPUTER-AIDED DESIGN tools shrink the design cycle for complex ICs, but there's still a hangup in getting those chips to market fast: test. Test engineers yearn for the same cutbacks in test-development time that design engineers have enjoyed since the advent of CAD.\n\nA radical new test-system architecture from the ATF Division of Schlumberger Technologies may be just what they've been waiting for. The ITS 9000 family overcomes the deficiencies of previous generations of test-system architectures while giving the engineer tools to rapidly generate test programs that fully utilize test vectors and timing information derived from logic simulation.\n\nThe San Jose, Calif., company calls this new concept the sequencer-per pin, or SPP, architecture. SPP furnishes the test engineer with a degree of flexibility and accuracy never before available, says Nadim Ahmadi, product marketing manager. The 9000 brings \"two important things to the party,\" he says: resources to handle application-specific designs, and multifunctionality—the ability to test devices with mixed analog and digital functions, chips that also contain some memory and a processor, and so on.\n\nSuch mixed-mode chips require a variety of stimuli. By virtue of optional resources, such as an algorithmic pattern generator, the Schlumberger tester can be configured to accommodate these multifunctional designs. It can also be set up to handle ASIC designs that contain analog or memory cells, and it can perform scan testing with the built-in scan generator.\n\nThe 9000 family, which will debut at the International Test Conference, Sept. 10–14 in Washington, is the latest of four leading-edge products that Schlumberger has rolled out recently in an effort to reestablish itself as an ATE heavyweight. Industry watchers had pretty much written off the former Fairchild Sentry Test Systems, complaining that the subsidiary of multinational megaccompany Schlumberger Ltd. had lost its technology edge and was out of touch with its customer base.\n\nBut now the company is enjoying a turnaround. Its initial strategy was to upgrade the existing systems, improving their productivity and helping the customer wring more performance and throughput from them. \"We kept at it until we had convinced that customer we were serious about wanting his business,\" says Irving Pfister, the division's vice president and general manager.\n\nThen, starting in 1987, came the wave\n\nof innovative new products: the IDS 5000, an electron-beam diagnostic system for malfunctioning prototypes; the S1650, codeveloped with Motorola Inc., which uses built-in testability circuits to aid in testing; and the UL5000, a top-of-the-line verification system codeveloped with Japan's NTT Corp. \"The e-beam diagnostic system gave Schlumberger back its technology edge,\" says Caroline Rodgers, senior analyst at Hambrecht & Quist in San Francisco. And the company hopes the ITS 9000 will do the same in logic testing.\n\nSchlumberger offers the tester's SPP architecture as an alternative to the two approaches most widely used in VLSI digital logic testers: a shared-resource system and a timing generator-per-pin architecture.\n\nIn the shared-resource architecture, a limited number of timing generators are multiplexed through a switching matrix to the pin electronics. Format logic in the pin electronics combines the timing with functional data stored in a pattern memory to generate formatted waveforms for application to the device under test. However, the number of transitions per cycle per pin is severely constrained, as is the number of formats. This is especially true as the speed and complexity of the device under test rises.\n\nAs the name implies, the timing-generator-per-pin architecture provides an independent timing generator for each pin, thereby improving on the shared approach. This type of architecture also furnishes more formats than a shared-resource tester. But like the other architecture, it remains limited to only three or four transitions per cycle per pin.\n\nBy contrast, the Schlumberger unit is built around sequence generators instead of timing generators. Because the sequencers are tied into the memory, each can program up to 192 transitions per pin per each cycle of the main clock, offering unlimited flexibility in duplicating waveforms coming out of the simulator.\n\nThe Schlumberger tester rises above previous systems in another important way as well: its ability to link with simulation data. Semiconductor manufacturers use the data from simulation of their complex ICs to generate timing information and test vectors for test programs. But accessing this data is no easy task. That's because conventional testers are state-driven in nature and allow only a limited number of transitions in a cycle for each pin. Simulators, on the other hand, are event-driven and can produce an unlimited number of transitions.\n\nTo make the event-driven outputs of a simulator compatible with a state-driven tester with fixed timing resources and edge or format restrictions, the test engineer must manually modify the simulation waveforms. These modifications take time and reduce test accuracy, since the test pattern may differ from the intent of the simulation.\n\nA major advantage of the SPP architecture is that by defining timing in the form of events as opposed to state transitions, it allows direct generation of test patterns from the simulation data. This trims the time it takes to create a test program without compromising the simulation vectors during testing. If modification is required to increase fault coverage, this can be done easily, Ahmad says. \"The tester itself is event-driven, and now looks like an extension of the simulator,\" he says, \"where the output of the simulator is directly mapped onto the tester. That lets the device be tested the way it was meant to be tested.\"\n\nThe basic core of the ITS 9000 is the event sequencer, which generates sequences of events for device stimulus or response. Each event is defined by an event type and an event time. There are three event sequencers per pin, each capable of storing 64 events in its associated sequence memory, permitting a total of 192 events in any sequence for any pin. Up to 13 types of events can be programmed to occur in any order any number of times in a sequence. Also, unlike other testers, sequences of events can be repeated without going back to memory. Edge-placement accuracy ranges from ±375 ps to ±175 ps, and edge resolution ranges from 100 to 12.5 ps.\n\nThe ITS 9000 family at present comprises two members: the FX, capable of test rates to 200 MHz and aimed at high-end ASICs and 32-bit RISC microprocessors; and the MX, with test rates up to 80 MHz and aimed at midrange ASICs, microprocessors, and mixed-signal devices.\n\nAn important aspect of the 9000 family that stems from the SPP scheme is a feature called dynamic pin mapping. According to Ahmad, a major problem for the test engineer is the fact that the same devices are often available in a variety of packages with different pinouts. \"As a result, the companies that have to test these devices must maintain enormous libraries that allow testing of devices with different pinouts,\" he says. \"It's a nightmare.\"\n\nWith SPP, however, timing, edges, and functional patterns are available behind each pin, so it's a simple matter to \"scramble\" pins in a manner appropriate to a specific package type. \"The pin groups and pin definitions for each package type are stored; when you do the program installation you call out the type of package and it automatically assigns the pins to that pattern,\" says Ahmad. Thus only one test program is required for any device.\n\nFor the software, Schlumberger has developed an object-oriented environment called ASAP, for advanced symbolic ATE programming. This is a powerful set of tools for developing test programs seamlessly from simulation to test, says Ahmad, all aimed at greatly increasing programming productivity. \"The test engineer doesn't have to write a single line of code,\" he says. \"He just has to click and drag icons.\"\n\nThe first of the ASAP tools is Flowtool, which presents a set of icons from which the engineer selects a test program. With LevelTool, the engineer chooses input levels and sets resolution by moving a cursor. With PinTool, the engineer sets up the appropriate pin designations, while TimingTool establishes the edges and waveform formats.\n\nThe front end of the ITS 9000 is a Sun Microsystems Inc. Sparstation running Unix and X Windows. The 9000's fluid-cooled mainframe is built around a Motorola Inc. 68030 processor. Initial shipments will begin in the fourth quarter. Prices range from $1.8 million to $2.8 million for a 256-pin configuration, and from $3.1 million to $4.8 million for a 512-pin system.\n\nAdditional reporting by Jonah McLeod\n\nSPECIAL EDITORIAL FEATURE\n\nJAPAN\nELECTRONICS 1990\n\nMake your phone a ringing success with NEC photocouplers.\n\nHigh performance photocouplers improve isolation, reduce component count.\n\nOur application-specific photocouplers are designed to raise the performance of telephone sets. We offer six series, each optimized for a specific circuit. All help you reduce component count and achieve ideal isolation between 'line' and 'control' circuits.\n\nOur AC-input series are designed for bell-receiving circuits. We have three high-VCEO series for dial-pulse generation circuits; and a high-input-current series for line supervisory circuits.\n\nPackage options include lead-forming types for surface mounting. They come in embossed tape carriers.\n\nFor higher performance and higher market share, put a couple of quality products together: our photocouplers and your telephone set. Ring us today for details.\n\n| Series | Input | Output | IF (mA) | CTR (%) | VCEO | Package |\n|----------|--------|--------------|---------|---------|------|-------------|\n| PS2505 | AC | Transistor | 80 | 80 to 400 | 80 | 4-pin DIP/SMD |\n| 2705 | AC | Transistor | 80 | 50 to 300 | 40 | 4-pin SOP |\n| | | | | | | |\n| 2532 | DC | Darlington | 80 | 1500 to 6500 | 300 | 4-pin DIP/SMD |\n| 2533 | DC | Darlington | 80 | 1500 to 6500 | 350 | 4-pin DIP/SMD |\n| 263X | DC | Darlington | 80 | 1000 to 15000 | 300 | 6-pin DIP/SMD |\n| | | | | | | |\n| 262X | DC/AC | Transistor | 150 | 20 to 50 | 80 | 6-pin DIP/SMD |\n\nFor fast answers, call us at:\n\nUSA Tel:1-800-632-3531. TWX:910-379-6985. W. Germany Tel:0211-650302. Telex:8589960. The Netherlands Tel:040-445-845. Telex:51923. Sweden Tel:08-753-6020. Telex:13839. France Tel:1-3946-9617. Telex:699499. Italy Tel:02-6709108. Telex:315355. UK Tel:0908-691133. Telex:826791. Hong Kong Tel:755-9008. Telex:54561. Taiwan Tel:02-719-2377. Telex:22372. Korea Tel:02-551-0450. Fax:02-551-0451. Singapore Tel:4819881. Telex:39726. Australia Tel:03-267-8355. Telex:38343.\n\nThe flowering of Japanese technology\n\nThe continuous investment in research carried out by Japanese electronics firms has finally begun to bear fruit. Profitability is up in spite of obstacles such as Super 301 and the U.S. semiconductor sanctions, and the companies are beginning to hold their own in R&D. Westerners have replaced their accusations of the Japanese being technological copycats with a close attention to their every move.\n\nThe Japanese semiconductor industry now is the world leader in every regard: quality, quantity, and production technology. Stronger management has learned how to keep the impact of the silicon cycle to a minimum. Semiconductor manufacturers are racing forward in making investments for both 4- and 16-Mbit products, ahead of Western manufacturers.\n\nThe big news in computers is how the Japanese are beating the Americans to the punch in announcing and delivering the next-generation mainframe. Whereas in the past, it was common for Japanese mainframe makers to announce competitive products a full year after IBM Corp.'s announcements, this time the product announcements preceded the expected announcement of IBM's next-generation mainframe, the Summit. And the performance of these machines was astonishing, proving that Japan has reached parity with the U.S. in terms of hardware expertise.\n\nJapanese advances in portable computers serve as an impetus for electronic component manufacturers; Japan virtually owns the market for liquid-crystal displays, the critical components used in portables, and vendors are making capital investments on the order of $700 million per company.\n\nIn hard-disk drives as well, where U.S. firms now hold an overwhelming competitive position, Japan is continuing research in an effort to grab some share. This, too, is thanks to the new market arising from the portable computer. Unlike the 5.25- and 3.5-in. disk markets, where Japan never ran a strong race, this time both the U.S. and Japan are standing at the same starting line.\n\nIn the home electronics field, the hot topic is high-definition TV. As the possibility of a common standard for the U.S., Europe, and Japan recedes into the distance, Japan, the first to start development of HDTV, continues to stay the course. As the VCR market becomes saturated, the multimedia market is being looked to as a way to fill in the gap until HDTV takes off. Japan is especially good at finding new ways to use audiovisual devices, such as karaoke sing-along machines, game computers, and portable equipment.\n\nThe big news in communications is the explosive growth in the market for radio devices, including cellular and cordless telephones. Cellular phones are exhibiting year-on-year growth rates of 200%, while cordless phones now account for a full 50% of the Japanese telephone market.\n\nThis report is provided by Nomura Research Institute in Yokohama, Japan. Its preparation was supervised by Yasuhiko Arai, who also handled the computer section. Shin Kusonoki is responsible for the section on disk drives, Kazuhiko Ota for semiconductors, Hiroshi Fukui for telecommunications, Norihiko Naono for LCDs, Masaki Asano for multimedia, Ken Katayama for HDTV, and Masaki Ichikawa for test and measurement.\n\nFrom mainframes to PCs, Japan is on a roll\n\nTechnical advances in hardware stir an expanding market\n\nThe Japanese computer market expanded rapidly in 1989 for the first time in five years. Especially noteworthy was growth in the personal computer segment. PCs are now becoming truly established in Japan. In addition, it is clear that the PC market is undergoing major changes in terms of both volume and product structure. On the technological front, there is remarkable activity in advanced new product development ranging from PCs to mainframes, reflecting the vigorous R&D activities of Japanese firms.\n\nThe hot topic in mainframes is the announcement by Hitachi Ltd. and NEC Corp. of fast next-generation machines. Both vendors' new offerings are highly meaningful for the mainframe market.\n\nHitachi's new product, its M-880, was developed to go up against IBM Corp.'s upcoming Summit, which it precedes in the marketplace. The top-of-the-line model uses a four-way processor approach and can address up to 16 terabytes of memory. It easily surpasses existing machines in terms of memory expandability and connectivity. Another special feature is a dedicated data-base processor to accelerate relational data-base processing. As the first new mainframe announced by a Japanese manufacturer prior to an IBM generation, the Hitachi product demonstrates clearly that Japan has caught up with the U.S. in hardware technology.\n\nOnly a month after Hitachi made its new product announcement, NEC announced the world's fastest mainframe. Known as the ACOS System 3800, the machine is distinguished by processing speeds ranging to 500 million instructions/s. A configuration of up to six processors is possible, and the 3800's extended data address space accommodates up to 128 terabytes. It is expected that it will take other manufacturers some time to catch up to this high-speed performance.\n\nIn Japan, the products corresponding to minicomputers and superminicomputers are known as office processors, with Fujitsu, NEC, Toshiba, and IBM the key players among many other computer vendors. IBM's entry is the AS/400 minicomputer. A distinguishing characteristic of all these systems is their closed architectures.\n\nThis segment has been expanding in Japan for the last several years. Japanese manufacturers have been able to drive up sales of their closed-architecture systems thanks to their strength in putting entire systems together. This is important due to the prevalence of custom software solutions, which in turn springs from the dearth of software packages in Japan.\n\nNow the fashion is using systems integration (SI) to provide multiple office processors in place of one mainframe, and this trend is contributing to further growth in the office processor segment. But it will be interesting to see what new products come out in light of the expected competition from Unix-based open systems and LAN-based systems.\n\nThe Japanese workstation market continues to exhibit strong growth, with unit shipments up 80% from 1988 to 1989, pushing the segment to the 78,000-unit level. Although the likes of Sun Microsystems Inc. and Hewlett-Packard Co. have garnered large shares in Japan, the domestic manufacturers are also increasing their shares. The growth at the low end of the segment is particularly noteworthy; this trend should accelerate with the spread of X terminals.\n\nOne event worthy of note in the Japanese workstation market is the advent of laptop workstations, with two vendors—Sony Corp. and Toshiba Corp.—currently in the market. As its name implies, Toshiba's Sparc LT employs the RISC-type Sparc processor. Toshiba's goal is to achieve significant market share of up to 50% by 1995 in the Sun-and-compatibles workstation market.\n\nConsidering the high potential demand for laptop workstations for personal use, this market represents a highly promising one for the Japanese manufacturers, with their mastery of high-density mounting technology. And as operating systems and user interfaces move towards standardization, there will be all the more opportunity for Japanese computer manufacturers to exploit their strengths in semiconductor technology in the world markets.\n\nAfter a five-year lull, the Japanese personal computer market is now entering a second growth phase. PCs, a small market to date given Japan's economic might and population, are now truly poised to enter the mainstream. Whereas 1988 PC unit shipments in Japan were only 1.5 million, the total hit 1.95 million units in 1989 and should exceed 2.4 million units in 1990. Japan's PC\n\nAt Fujitsu, a commitment to open systems\n\nLooking back at the 1980s, one very major change is that the trend toward \"standards\" became an important factor in the computer world. Unix gained a strong position as a standard computer operating system (OS), and a dream of 10 years ago—that computers from each and every manufacturer would be equipped with the same OS and capable of running the same software—was partially realized.\n\nWhen standardized products become the determining factor in an industry, one may become concerned about a possible lack of flexibility. However, in the case of Unix, a world full of variety yet based on common rules is now taking shape. The most advanced, creative technologies are successively being introduced in Unix.\n\nFujitsu offers a variety of Unix products, including the VP-2000 Series supercomputers, the M Series mainframes, a family of midrange computers, and the S Family workstations. Fujitsu's future development of Unix products will be based upon three key principles.\n\nFirst, Fujitsu intends to develop products that faithfully adhere to Unix standards. In order to offer in a timely fashion the most advanced products with the latest standard functions that customers now expect, Fujitsu has itself joined the Unix community and is ready to cooperate or develop affiliations with other companies for this purpose. By contributing to the Unix standardization activities of groups such as X/Open, the IEEE, Unix International, and X-Consortium, and by offering products that conform to the latest standards, Fujitsu is striving to satisfy the needs of its customers.\n\nThe second principle is ensuring that product quality will withstand the rigors of industrial use. A number of the components in the Unix software and hardware products we offer were not originally developed by Fujitsu. It is our hope, however, that the devoted efforts of our sales, support, and technical teams will permit our customers to use the products with confidence knowing that they bear the Fujitsu name.\n\nThe third principle is not simply to supply hardware and software components but also to meet customers' needs by supplying them with systems that solve their problems. In order to achieve this, it is first of all necessary to make available useful applications software.\n\nFujitsu also provides advanced systems functions that help customers build their systems. For our VP-2000 supercomputers, we are supplying optimized Fortran compilers with automatic vectoring capability. Products for M Series mainframes are enhanced to allow efficient operation of systems with large data files and a large number of users. And for our A Family of midrange computers, we provide very high system reliability with duplex hardware configuration as well as real-time capability for applications with stringent time constraints, such as networking and factory automation.\n\nUnix has played an important role in the development of open systems, and many new possibilities are opening up for the future. This is the main reason that Fujitsu has committed itself to open systems.\n\nUnited Memories challenges new high-performance and high-speed DRAM design and technology.\n\nSheffield Eaton is the president of United Memories, a memory design and development company jointly owned by NMB Semiconductor of Japan and Ramtron Corporation of Colorado Springs, Co. The company is currently focused on the development of advanced 4Mb and 16Mb DRAM Products. At Ramtron Corp., from 1986 through June of 1990, he was involved in the development of nonvolatile ferroelectric memories, and later in the design of high-performance 1Mb and 4Mb DRAM's.\n\nSheffield Eaton\nPresident of United Memories\n\nDoug Butler is currently responsible for Process Technology Development at United Memories. Mr. Butler was with Ramtron Corporation for four years where he was responsible for process development for Ferroelectric Memories until he assumed responsibility for process architecture and device design for a cooperative 4Mb DRAM with NMB Semiconductor of Japan.\n\nDoug Butler\nVice President of Technology of United Memories\n\nUnited Memories is a new joint venture company owned by NMB Semiconductor Co., Ltd. and Ramtron Corporation with respective shares of 55% and 45%. The new company, which capitalizes on the strengths of each partner, researches, designs and develops dynamic random access memories with densities of 16-Megabits and above, as well as other specialty memory products. The actual production will be conducted at NMBS's plant. This makes it uniquely suited to provide systems companies with the high-performance, high-density memory required in the next-generation products. The company began operations on July 1, 1990 with 25 employees, all former NMBS and Ramtron personnel with Sheffield Eaton as president and Shosuke Shinoda as chairman of the board.\n\nProduction of High-Speed DRAM, Market through International Cooperation.\n\nNMB Semiconductor Co., Ltd.\nExcels in process development and technology.\n\nBird's eye view of NMBS's Tateyama plant (The front shows plant Module I & II and back shows new plant Module III)\n\nNMB Semiconductor Co., Ltd. (NMBS) is one of the world's leading semiconductor manufacturers specializing in high-speed DRAM's. NMBS is currently producing and marketing dynamic random access memories with densities ranging from 256K bits to 1 and 4-M bit DRAM. NMBS and Ramtron have jointly developed 4-Megabit DRAM with an access time at least as fast as 40ns and are currently under production at NMBS's new $300 million wafer fabrication facility in Tateyama plant starting September 1990. NMBS's Tateyama plant is the most advanced very-large-scale integration CMOS production facility in Japan. The plant boasts class 1 clean rooms which makes extensive use of robotics, and is capable of wafer fabrication of circuits with sub-micron geometry.\n\nTakumi Tamura\nPresident of NMB Semiconductor Co., Ltd.\n\nShosuke Shinoda\nExecutive Vice President of NMB Semiconductor Co., Ltd.\nChairman of the board of United Memories\n\nCIRCLE 222\n\nNMB Semiconductor Co., Ltd.\n1580 Yamamoto, Tateyama-shi,\nChiba 294, Japan\nTel: (0470)23-3121 Fax: (0470)23-2171\n\nUnited Memories, Ltd.\n1873 Austin Bluffs Parkway\nColorado Springs, Colorado 80918 U.S.A.\nTel: 719-594-4455 Fax: 719-594-4939\n\nmarket has been characterized by the high percentage of laptops. In 1989, the market for the even smaller notebook-type PCs took off like wildfire.\n\nNearly all PC vendors have set their sights on this market and are either selling or planning products. Although there are cases where a customer may buy notebook type PCs in bulk due to their easy portability, their low price makes it more common to see them bought for personal use. And since there are really no longer any performance differences between laptops and notebook PCs, some growth in the segment is coming from replacement demand for laptops.\n\nLaptops are thus starting to attempt to differentiate themselves through high performance—notably by moving to color displays. Major Japanese vendors have announced laptops with color LCDs.\n\nAnother trend worth noting in the Japanese PC market is the entry of U.S. vendors: both AST Research Inc. and Compaq Computer Corp. have announced plans to sell in Japan.\n\nAST is entering the market with a new product that promises compatibility with both NEC's PC-9801 Series—the de facto standard in Japan—and the IBM PC/AT. With the help of the U.S. Department of Commerce, AST plans to development for the production of 4-Mbit DRAMs signed in September 1988 with the Colorado-based Ramtron.\n\nSome of the unique features of the 4-Mbit DRAM are:\n\n- the use of the stacked-in trench method in the construction of memory storage capacity;\n- operation at 50-ns access time, with future performance at 40 ns;\n- and a wide product range in order to gain the largest market share.\n\nNMBS has begun sample production and expects to produce 2 million chips a month by mid-1991.\n\nRegarding financing activities, on Aug. 29, 1989, NMBS made an initial successful public offering of $17,313 per share of stock on the OTC market, making it possible to raise additional funds directly from the debt-equity market. In this environment, NMBS will consider building a plant in the U.S., and hopes to bring a new generation of memory technology to the market.\n\nop its business in Japan mainly through the OEM route: as of press time, however, no OEM relationships had been finalized.\n\nCompaq, on the other hand, has not yet decided on its strategy for supporting Japanese language processing, preventing analysts from judging what sort of impact its entry is likely to have.\n\nThe local-area-network market has finally emerged from its long period of gestation in the early 1980s and is starting to try its wings. LAN sales are currently growing at an annual rate of 150%, with 40,000 new PCs connected via LAN during 1989. The product that first cracked open the Japanese market was Ungermann-Bass's Net/One, the first to provide Japanese language support. Succeeding products have almost all been from the U.S.\n\nNovell's Netware, with the largest worldwide share, is also growing rapidly in Japan and is expected to become the standard LAN in the near future. Novell has set up a Japanese subsidiary, Nihon Novell, a joint venture with a number of PC vendors and software houses. With so many firms pushing LANs, there is little doubt the market will maintain its strong growth in the future.\n\n---\n\nThe Japanese semiconductor industry suffered a slowdown in the third quarter of 1989 but is headed for a pickup after the first quarter of this year. The size of the Japanese market in 1990 is estimated at nearly $18 billion. Estimated growth for 1991 and beyond is 14.6% annually, leading to a market in excess of $66 billion in the year 2000.\n\nSegments with the highest individual annual growth rates include MOS memories at 20% and MOS logic components at 17.4%. Growth in gate arrays and standard cells is especially brisk at 22%; these market segments will account for about 50% of the overall MOS logic market by the end of the decade.\n\nSemiconductor manufacturers are now making the capital investments required for the next generation of 16-Mbit dynamic random-access memories. The total investment in 1990 by the \"Big 10\" will amount to more than $4.6 billion, about the same as last year. All companies are increasingly concerned about U.S.-Japan semiconductor friction and criticism of huge capital investments; for this reason, Japanese firms are acting with prudence.\n\nThe response of the individual manufacturers to the current slowdown differed from that in 1985. The main factor behind the 1985 downturn was overproduction of 256-Kbit DRAMs. The oversupply was due to capital investment on the part of the semiconductor manufacturers bordering on the insane. The resulting production increases caused prices for 256-Kbit DRAMs to fall to as low as $2, pushing the whole industry into a recession.\n\nThis time, although there was some excess production of 1-Mbit DRAMs, chip makers acted more intelligently. Starting at the end of 1989, they began cutting production by about 10%. As a result, 1-Mbit DRAM prices remained stable, and a more serious recession was averted. Today, 1-Mbit DRAMs show firm growth, and production increases should continue until a peak is reached in 1992. Currently, the major vendors are continuing production at a monthly rate of 5 million to 8 million parts each.\n\nFull-fledged 4-Mbit DRAM production will start in the latter part of this year. At the head of the pack is Hitachi Ltd., which lost out to Toshiba Corp. in the 1-Mbit competition. Hitachi is planning monthly production runs of 2 million parts by the end of the year. Toshiba plans to hit that level by the first quarter of next year, and NEC Corp. has similar plans.\n\nHitachi, NEC, and Toshiba actually began producing 4-Mbit DRAMs in the latter part of 1989, but the market has been relatively stagnant. Production levels at each company are hovering at around 500,000 pieces. Reasons for this lack of immediate growth include the still high prices and the narrowness of the product line. More efforts are required to meet user needs for power consumption, packaging, and opRide the tide of ASICs technology...\n\n...and get the power-based support of ASICOpen.\n\nAs every ASIC developer knows, time and the tide of technology wait for no one. Success goes to those who can navigate today's competitive currents to bring new and original products to market. Fast.\n\nFor that, you need the support of a production partner who can deliver proven leadership in the technology. Finished products when you need them. And pre-production support that will get you from design to silicon in the shortest possible time.\n\nYou need Fujitsu.\n\nBecause Fujitsu starts from a power-base of over 13,000 successful CMOS, ECL, BiCMOS and GaAs ASIC designs. The supply capability of the largest and most advanced ASIC production facility in the world. And the critical design support of the ASICOpen LSI CAD system.\n\nRunning under UNIX®, ASICOpen creates a uniform operating environment where you can use Fujitsu and third-party development tools — each designed for specific functional blocks of an IC — to achieve significant reductions in the time required for ASIC design and simulation.\n\nYou can also benefit from the IC development assistance of Fujitsu's worldwide network of Technical Resource Centers, where you'll find professional advice and advanced ASICOpen design facilities. Features of Fujitsu's service that reduce your development time and help make first-silicon success a reality.\n\nFor more information on how ASICOpen can help keep you afloat — and ahead — in today's competitive marketplace, write: Fujitsu Microelectronics, Inc., 3545 North First Street, San Jose, CA 95134-1804. Or better still, call us today at 1-800-642-7616.\n\nASICOpen™ and ViewCAD™ are trademarks of Fujitsu Microelectronics, Inc. BankCAD™ and ZephCAD™ are trademarks of Fujitsu Limited. UNIX is a registered trademark of AT&T.\n\ncrating speed. Toshiba and NEC are using trench structures in their 4 Mbit DRAM designs, while Hitachi, Fujitsu, and others are using stack structures. The key point is that each manufacturer is developing its own proprietary technology, not working in tandem.\n\nAll the major manufacturers are rushing to set up production facilities overseas to help ease U.S.-Japan trade friction and prepare for the 1992 Single Market in Europe. NEC is pursuing the construction of a second factory in the U.S., while Hitachi (in Dallas) and Mitsubishi in (Durham, N.C.) are both establishing integrated production facilities. Even Toshiba, which in the past has not been interested in overseas production, is setting up integrated facilities in the U.S. to produce application-specific integrated circuits.\n\nJapanese manufacturers are also building factories in Europe, in anticipation of the local-content restrictions to come into force after 1992. The manufacturers are scurrying to meet the local-content requirements to avoid the high customs that will be slapped on products not produced from the upstream stages within the European Community. As of now, however, the only operating factory is the NEC plant in Scotland. Fujitsu is building an integrated factory in northern England; that facility is scheduled to go online at the end of this year. Both Hitachi and Mitsubishi are planning to enter Germany.\n\nICs entered the submicron era around the time that 1-Mbit DRAMs came to the fore. As line widths continue to shrink, requirements for production devices grow increasingly stringent. The key requirements are reliable microlithography, high throughput, ultraclean technology, and maximum automation.\n\nProduction equipment falls into two categories: equipment that is directly production-related, such as steppers; and inspection devices, such as mask-defect inspection systems and film pressure meters. Recently, the role of the inspection devices has assumed additional importance.\n\nIn the past, inspection was not generally regarded as an important part of the semiconductor production process. For chip makers, in fact, the ideal was a manufacturing process without inspection. Such attitudes led to insufficient advance study of the necessary inspection requirements for the pro-\n\n---\n\n**Oki Electric: A good partner today**\n\nAs a global company, Oki Electric Industry Co. has customers and markets in many different countries. This places a great responsibility on Oki. Our commitment is to be a good partner for customers today and tomorrow. To do this successfully on a global basis depends on three factors: technology, manufacturing expertise, and a willingness to share both of them.\n\nOki has a wide range of \"technology solutions\" covering memory, ASICs, microprocessors, custom LSI, telecom LSI, and complex custom board-level products. As an example of our customer commitment in the memory area, Oki is an active supplier of 1- and 4-Mbit DRAMs and their customized memory modules—and we are poised to provide for the future worldwide needs for 16- and 64-Mbit DRAMs. Today Oki is the only company where capital investment has been made for volume production of 16-Mbit DRAMs. We are committed to making the required investments to prove those processes that will spawn many other important products for our \"technology solutions\" arsenal.\n\nOki's global business strategy includes a commitment to our cus-\n\n---\n\nMASAO NOGAMI\n\nSenior managing director and president, Electronic Devices Group\n\nLooking ahead to technology improvements\n\nJapanese manufacturers are pouring research money into better displays\n\nFrom the standpoint of both device technology and end products, flat-panel displays may easily become one of the most important technologies for the communications, information, and electronics industries in the 1990s. For flat-panel technology to achieve its promise, however, major improvements must be made.\n\nFlat-panel displays have widespread applications, including computers, camera viewfinders, and projection TVs. For such applications, high screen quality, low price, and compact size are absolute requirements. Up to now, however, flat-panel technology has not been able to meet these needs; as a result, development has been slow.\n\nJapanese companies are setting the pace in mass production of flat-panel liquid-crystal displays. The Japanese LCD market will reach about $1.4 billion this year and is projected to reach the $6.6 billion mark by 1995. Japanese manufacturers have established true mass production for the large super-twisted-nematic (STN) panels used in many laptop computers, as well as the five-color thin-film-transistor (TFT) panels used in pockets TVs. The TFT LCD used in Apple Computer Inc.'s Macintosh Portable, for instance, is provided by Hoshi Electronics. Several companies, led by Sharp Electronics Corp., plan to begin mass production of larger TFT color panels within a year.\n\nTwisted nematic (TN) LCDs, primarily used in calculators and watches, account for over 90% of flat-panel production. Due to their extremely low prices—less than $1 for the panels themselves and no more than a few dollars for a panel equipped with a driver—large manufacturers are already starting to direct their sights elsewhere. Hitachi Ltd., for instance, has moved half of its TN LCD production to Taiwan. Other LCD manufacturers are gradually increasing domestic production of large, multiplexing-type LCD panels. STN technology is used for medium- and large-size multiplexing LCDs that do not use active-matrix technology. Production in 1989 was about 3 million units. Toshiba Corp.'s popular notebook-style J-3100SS computer, known as the T-1300 in the U.S., uses an STN display.\n\nAlthough more than half the STNs in existence are monochrome (blue mode), the black-and-white double layer and film types should become more popular in the future. The color filters used in STN color panels have reached a technological impasse, limiting their use almost entirely to pocket-size video games.\n\nTFT LCDs based on amorphous silicon (a-Si) technology are now receiving the most attention in...\n\nDrawing a finer line\n\nThe world's most up-to-date production technology delivers leading-edge ULSI circuits\n\nSub-micron production in full swing, bringing the new age of 4M DRAMs\n\nOki's Miyagi Plant, benefitting from the latest advances in the company's system technology, has already reached mass production and shipment of 1M-bit memories and has recently begun quantity production of 4M DRAMs. At the Miyagi Plant, broad utilization of ultra-fine process technology and state-of-the-art automation combine to assure the high quality of these products. Oki is already well underway with technological innovation enabling production of 16M-bit memories.\n\nHigh-level automation with ultra-fine process production\n\nOki's 0.8µm process technology used in its second-generation 1M- and 4M-bit memories has been integrated into one of the world's most advanced production lines for reliable mass production of over 20,000 6-inch wafers per month.\n\nIn 1988 Oki led the world with the first facility dedicated for production of sub-micron devices. Today that lead is being extended with the latest advances in automated manufacturing, such as sophisticated wafer tracking systems for improved quality and production control monitoring.\n\nFrom the transportation system, driven by linear motors, to individual production equipment in each process machine group, all are computer controlled. To assure products of extremely stable quality, automation and every detail of the production environment are maintained at the world's highest levels.\n\nHigh performance and packaging flexibility support customers in a wide range of applications\n\nOki's Advanced System Technologies are dedicated to total customer satisfaction. A comprehensive service system provides flexibility, quality, cost savings and quick turn-around times.\n\nOki's Miyagi Plant, featuring world-standard process technology and automation.\n\nOki Electric Industry Co., Ltd.\nElectronic Devices Group\nOverseas Marketing Group\n75-25 Nishishinjuku, Shinjuku-ku,\nTokyo 160, Japan\n■ Tel: 3-5386-8100 ■ Fax: 3-5386-8110\n■ Telex: J27662 OKIDENED\n\nOki Electric Europe GmbH\nHeilensbergstraße 2, D-4040 Neuss\nWest Germany\nTel: 2101-15960\nFax: 2101-103539\nTelex: 8517427 OKI D\n\nOki Semiconductor Group\n785 North Mary Avenue\nSunnyvale, CA 94086, U.S.A.\nTel: 408-720-1900\nFax: 408-720-1918\nTelex: 910-338-0508 OKI SUVL\n\nOki Electronics (Hong Kong) Ltd.\nSuite 1801-4, Tower 1\nChina, Hong Kong City, 33 Canton Road.,\nTST, KLN, Hong Kong\n■ Tel: 37362336 ■ Fax: 37362395\n■ Telex: 45999 OKI HK HX\n\nOki Electric Industry Co., Ltd.\nTokyo, Japan\n\nThe growth spurt in T&M equipment begins to flag\n\nAs chip makers grow more cautious in capital investments, test vendors' markets slow\n\nJapan's test and measurement industry hit a two-year lull beginning in 1985, when unfavorable exchange rates triggered cuts in capital spending and domestic demand. But the industry came back with a vengeance in 1988, recording production growth of 18.9%, to top the $2 billion mark.\n\nParticularly noteworthy was the growth in integrated circuit and LSI testers, which jumped 52.8%, to $600 million. Two major developments fueled this high growth rate: the increase in demand for highly integrated devices, such as 1- and 4-Mbit dynamic random-access memories, and advances in application-specific ICs, such as one-chip microprocessors and gate arrays. The performance of the board-tester segment is also growing at a healthy rate. This segment grew 22% in 1989, to nearly $37 million.\n\nThe high growth trend exhibited by the T&M industry in 1988 lost some of its steam last year, with growth slowing to 11%, putting the total market at just over $2.2 billion. The slowdown can be attributed to the caution being exercised by semiconductor manufacturers with regard to capital investment, while the industry was in one of its valleys in the silicon cycle. Makers of IC testers responded to market conditions by...\n\nswitching to LSI testers to be used in areas in which new demand could be expected, such as reduced-instruction-set computing processors, ASICs, and analog IC testers, which are not subject to the vagaries of the silicon cycle.\n\nProduction of digital multimeters (DMMs), on the other hand, showed strong growth of 26.4% in 1989, to top $70 million. This growth stemmed from an increase in the personal-use market attributable to greater reliability and lower prices stemming from custom LSIs used in the hand-held testers that account for the lion's share of DMM production.\n\nGrowth in the oscilloscope segment was 6.4% in 1989. The current focus is on digital storage oscilloscopes, demand for which is being driven by advances in IC technology, and the development of portable-type oscilloscopes using liquid-crystal displays. The main suppliers of oscilloscopes are Iwasaki Electric, Sony/Tektronix, Hitachi DECO, and others.\n\nLogic analyzers, used as analysis tools for microprocessors, are expected to generate high demand due to the shift from 16- to 32-bit architectures and the advent of high-speed logical elements, such as GaAs technology.\n\nGreater IC functionality and higher densities pushed production of semiconductor testing devices up 53.8%, to $1.14 billion in 1988. Last year, growth slowed to only 4.5%, putting the market near $1.2 billion.\n\nFlatness testers—devices that are used to test wafer flatness—have moved from manual techniques using visual inspection based on interference bands to automatic devices. In 1988, automatic devices accounted for 80% of the market. Nidek Co. Ltd. and GCA (Sumitomo Electronic Systems) have entered the market, with the former holding the top share in manual devices and the latter in automatic devices. In the market for optical super-fine measurement devices, Nikon Corp. and Ryokosha Co. Ltd. together hold half the market.\n\nWith capital investment at a peak, no great growth should be expected in the electrical measurement device market for this year. But firm demand should continue due to further technical innovations.\n\nComputers, radio remake telecom\n\nISDN is gathering steam in Japan as deregulation takes hold\n\nResults of the July 1989 U.S.-Japan communications trade negotiations made apparent the exclusive, fixed nature of the Japanese communications industry, and the problems inherent in the radio-frequency policies of the Ministry of Post and Communications. Motorola Inc., which was allocated frequencies for its cellular telephone service only in the western and northeastern regions of the main island Honshu, along with the island of Hokkaido, was finally awarded the bandwidth to allow it to compete with IDO Communications, already providing service in the most important and profitable Kanto and Tokai areas. As a silver lining in a dark cloud, this development means that Motorola's MicroTac, the most portable of all the current cellular offerings, will now be able to operate throughout Japan.\n\nAs a player in the newly freed-up electronic communications market, NCC has realized astoundingly high profits. In particular, NCC's performance in the long-range and mobile communications areas has been so strong as to gain the attention of Nippon Telephone & Telegraph (NTT). In fact, NCC's success has led the Ministry of Post and Communications to delay any moves to break up NTT, and particularly not to separate the mobile communications market until the capital investment in digital systems is complete. At the same time, no consensus has been reached on break-\n\nKodenshi: From photo sensors to telecom\n\nOver the years Kodenshi Corp. has built a reputation as one of the leading makers of photo sensors. Recently, we have also gained recognition as a maker of OEM telecommunication equipment.\n\nOur photo-sensor production ranges from special order single units to massive numbers for commercial use. Last year our photo-sensor sales alone amounted to more than $46 million. At present, we mainly export to various parts of Asia but are in the process of expanding our markets into North America. We have more than 2,000 employees working at factories in Kyoto and at associated companies. In our highly modernized facilities, they are involved in the entire production process from wafer processing to shipping.\n\nIn the past few years, we have also ventured into the production of thermal and LED print heads for telecommunication equipment. We have also established a dependable reputation in the OEM industry in Japan and abroad for OA equipment, as OEM for telecommunication equipment, and for production lines and technology based on OEM semiconductors that we provide.\n\nYou can count on us to continue making great strides in areas not yet met by existing optoelectronics.\n\nKODENSHI'S MAJOR PRODUCTS\n\nFor industrial use:\n- Rotary encoders for numerically controlled machine tools\n- Rotary encoders for robots\n- Photo interrupters for manufacturing equipment\n- Photo reflectors for manufacturing equipment\n- Photo-electric switches for FA\n- Star sensors for artificial satellite\n\nFor commercial use:\n- Optic receiver modules for TV and VTR remote controls\n- Tape end sensors for VTRs\n- Laser detectors for CD and LD pickup\n\nFor OA use:\n- Index search sensors for FDD\n- Write protection sensors for FDD\n- Ultrathin rotary encoders for HDD\n- Paper sensors for printers\n- Paper sensors for PPC and facsimilies\n- LED print heads\n- Laser-scanner units for LBP\n- Thermal print heads for facsimilies\n- Contact image sensors for facsimilies\n\nOEM:\n- Electronic typewriters\n- Keyboards for personal computers\n- Ink ribbon cassettes for word processors\n- Telephones\n- Power supplies\n\nHIROKAZU NAKAJIMA\nPresident\n\nKodenshi....The New Leader in Optoelectronics Technology.\n\nWhen the planetary exploration satellite was launched in 1990, Kodenshi’s STARSSENSOR was an important part of the mission. Thanks to its outstanding accuracy and reliability, STARSSENSOR was regarded as a crucial component of the satellite’s attitude control system.\n\nA leading force in the Japanese optoelectronics market, Kodenshi is now earning world-wide attention for its achievements in sensing technology—achievements that have been put to use in diverse applications from the latest aerospace advances to high-tech consumer products.\n\nWith an eye to the future, Kodenshi accommodates the needs of today and continues to gather acclaim throughout the world.\n\n■ KODENSHI’s Major Product Lines\n\n- **Detectors**\n - Photodiodes, Laser Detectors, Phototransistors\n- **Emitters**\n - Infrared Emitting Diodes (GaAs) (GaAlAs), Emitters for Optical Fibers (GaAlAs)\n- **Coupling Devices**\n - Photocouplers, Photointerrupters\n- **Optic Receiver Modules**\n- **Rotary Encoders**\n- **Photo IC Sensors (PICS)**\n- **Hybrid ICs**\n\nSENSING TECHNOLOGIES\n\nKODENSHI CORP.\n\nHEAD OFFICE: 24-52 MAKISHIMA-CHO, UJI, KYOTO 611, JAPAN TEL. 0774-24-1121 FAX. 0774-24-1031\n\ning up the communications giant on a regional basis.\n\nRadio and computer technologies are remaking communications. Radio technology has given us cordless and portable phones, resulting in entirely new forms of service; wireless private branch exchanges and mobile satellite communications systems are expected in the near future. With regard to ground-based systems, ground stations with entirely new cost and performance specs are coming.\n\nComputers are increasing the sophistication of devices and networks. By linking computers and switches, a menu of custom services can be automatically provided, allowing customer response systems, telemarketing systems, and the like to be configured. The unique DialQ service introduces the value-added concept to telephone rates, which until now were a mere function of distance and time, allowing networks to be configured and providing a means for value-added resellers to reduce the labor involved in collecting fees.\n\nThe diffusion of integrated services digital network capability—the infrastructure required for new functionality in data communications—has been picking up speed and momentum. NTT is increasing the rate at which it is installing digital switches in its local offices, preparing the way for ISDN. NTT had contracted for some 6,600 INS Net 64 lines by March of this year, with 117 lines contracted for INS Net 1500. In particular, the fact that PBXs have come to be delivered with ISDN interfaces as part of the standard package and the launching of ISDN packet switching services in April have contributed to the increasing demand.\n\nThe cutting loose of the telephone handset from NTT's monopoly grip has led to a flurry of new product introductions. This spurt in technology has fostered a growth rate of 130% in the Japanese market. The expansion in cordless telephone sales has been\n\n### Japan’s Communications Market\n\n| Category | 1985 | 1986 | 1987 | 1988 | 1989 | CAGR (85-89) |\n|-----------------------------------------------|------|------|------|------|------|--------------|\n| **Telephone** | | | | | | |\n| Standard | 732 | 746 | 812 | 1,142| 1,468| 18.99% |\n| Multifunction | 373 | 279 | 232 | 197 | 159 | –19.25% |\n| Wireless | 172 | 212 | 288 | 388 | 423 | 25.15% |\n| Others | 0 | 0 | 0 | 257 | 516 | |\n| **Others** | 187 | 255 | 292 | 300 | 370 | 18.66% |\n| **Telephone-related units** | | | | | | |\n| Key telephone | 1,495| 1,330| 1,009| 897 | 899 | –11.95% |\n| Telephone recorder | 153 | 234 | 200 | 114 | 134 | –3.33% |\n| Others | 291 | 253 | 247 | 213 | 275 | –1.43% |\n| **Transmission terminals** | | | | | | |\n| Facsimile | 2,393| 2,320| 2,771| 3,504| 3,585| 10.64% |\n| Very high speed | 0 | 0 | 0 | 21 | 31 | 11.15% |\n| High speed | 2,286| 2,213| 2,663| 3,142| 3,220| 8.94% |\n| Medium speed | 0 | 0 | 0 | 238 | 238 | |\n| Others | 107 | 107 | 108 | 103 | 97 | –2.39% |\n| **Telephone and data switching** | | | | | | |\n| Public | 2,168| 2,384| 2,865| 3,355| 3,371| 11.67% |\n| Private | 1,276| 1,319| 1,755| 2,090| 1,997| 11.86% |\n| Others | 601 | 745 | 756 | 878 | 860 | 9.40% |\n| **Transmission equipment** | | | | | | |\n| Coded data | 2,449| 2,507| 3,472| 3,717| 3,143| 6.44% |\n| Broadband terminal | 856 | 777 | 1,616| 1,665| 1,430| 13.68% |\n| Modern | 450 | 488 | 458 | 504 | 348 | –6.21% |\n| Others | 319 | 314 | 502 | 602 | 553 | 14.74% |\n| **Broadcast equipment** | | | | | | |\n| Wireless communication equipment | 539 | 488 | 443 | 509 | 541 | 0.13% |\n| Fixed station | 2,738| 2,822| 3,246| 3,652| 4,017| 10.06% |\n| Mobile station | 1,465| 1,518| 1,596| 1,596| 1,825| 5.65% |\n| --Automobile | 1,101| 1,140| 1,400| 1,734| 1,800| 13.06% |\n| --Portable | 603 | 620 | 737 | 987 | 913 | 10.94% |\n| --Others | 277 | 292 | 422 | 500 | 611 | 21.82% |\n| Personal station | 221 | 228 | 241 | 247 | 276 | 5.67% |\n| **Wireless related units** | | | | | | |\n| Total | 1,386| 1,595| 1,704| 1,871| 1,708| 5.36% |\n\n**SOURCE:** MITI\n\nparticularly remarkable, accounting for nearly 50% of the total value of sales in 1989. The trend to replace traditional telephones with cordless phones is continuing. More than 30 manufacturers—including Sharp, Kenwood, JVC, Matsushita, and a host of others—have entered the fray. The hottest sellers are cordless telephones with built-in answering machines.\n\nThe cordless telephone is very interesting, in terms of technology, digitization, ISDN capability, and integration with mobile telephones. The technological specifications for cordless phones, which make use of the radio bandwidth regulated in the public trust, are established by the Ministry of Post and Communications. The current models are treated by the law regulating use of radio bandwidth as ultralow-power radio stations or as low-power cordless telephone stations; they use analog frequency modulation for their transmission.\n\nThe number of installed facsimile machines has topped 3.5 million units, making fax the most widely used communications terminal after the telephone handset. The Japanese facsimile market has already evolved into a mature market; Ricoh, Matsushita Electric Industries, and others are now focusing their efforts on high-end facsimile products.\n\nThe highest class of fax machine, the G4 facsimile, has been plagued by paper-jamming problems, leading to thermal techniques as the most popular printing method. Some new market entrants have introduced niche products, such as portable faxes and faxes for installation in automobiles. The position that Japanese companies have, with their nearly monopolistic hold on the world fax market, is not expected to change appreciably during the coming year.\n\nIn the PBX market, the four largest manufacturers—NEC, Fujitsu, Hitachi, and Oki—continue to hold nearly 90% of the Japanese market. But the past year has seen Toshiba and Mitsubishi increasing their shares, leading to more intense competition. The latter two companies offer the ordinary office user equipment that combines voice and data lines and integrates ISDN capability.\n\nEach of the top PBX suppliers is a computer manufacturer, and they use their strength in user applications to appeal to the customer. Currently, there is a need for PBXs that link telephones and databases to allow for the creation of applications for broadcast stations, telemarketing companies, and sales offices, and to integrate voice and data for the computers those users have. Another important trend is to bring cordless telephones into the office.\n\nAt present, there are two incompatible mobile telephone systems coexisting in the Japanese market: NTT's system, which is used by NTT and Japan Mobile Communications, and TACS, with service offered by the Cellular Automobile Telephone Group. Japan Mobile Communications also has begun offering TACS service in addition to its NTT service. Equipment for communications bases is supplied by NEC and Japan Wireless, while that for mobile stations is provided by Matsushita Communications Industries, NEC, and Oki.\n\nThe number of mobile phones in operation in January 1990 was 410,000, a twofold increase over the number from the preceding January. The number of units that can be used while walking (including portable and luggable models) has passed 100,000, for a 25% share of the market segment. Research on a digital system, based on the three-channel method using the 1.5-GHz band (a system also used in the U.S.), is proceeding. This technology is needed to deal with the extremely crowded situation in Tokyo and its environs. Service is expected to begin in 1992 or 1993.\n\nMultimedia needs a solid base and broader market\n\nThe integration of audiovisual and computer technologies presents a new set of problems\n\nMultimedia has become the focus of attention in many fields, as an effective, efficient, and interactive means of accessing information in our ever more information-oriented society. High-density storage devices, such as CD-ROM and optical disks, as well as personal computers to control these devices, have begun to penetrate into many areas of society. Multimedia applications using these systems as platforms will follow, introducing major changes as we\n\napproach the next century.\n\nInterest in multimedia technology continues to grow. The International CD-ROM Conference and Exposition, held under the leadership of Microsoft Corp., completed its fifth meeting recently. Japan's First International Conference on Multimedia was held at the end of 1989, under the leadership of ASCII Corp., which is building a multimedia research facility and media laboratory.\n\nThe ASCII facility, which is expected to be completed next year, will house efforts to research multimedia technology and establish audiovisual facilities; a ground station using a communications satellite transponder is also being planned. ASCII is hoping that its media technology laboratory will be a resource not only for Japan but also for multimedia industries in America and Europe as well.\n\nOne of the most important devices for multimedia may be the CD-ROM. Several computers now contain a CD-ROM in their standard configuration, including the FM-Towns from Fujitsu Ltd. and the PC8801MC and PC-Engine from NEC Corp.\n\nThe PC-Engine is a game machine whose core concept is expandability. It was designed for the ease of connecting various peripherals. The PC-Engine's CD-ROM drive accomplishes the low cost required in a game machine by sacrificing error correction and other features included in previous CD-ROM drives. As a result, the PC-Engine has sold 2.1 million units since hitting the shelves this past July.\n\nNot only games (the leading edge of the multimedia wave) but also karaoke and other types of entertainment applications are being marketed. The PC-Engine can be connected to the NEC 8801MC, which also incorporates a CD-ROM drive. However, the connectability reaches only to the hardware level—there is no software compatibility.\n\nNEC, with its PC9801 Series, controls about half of the personal computer market in Japan. For this reason, all eyes are on NEC, waiting to see in which direction it will throw its considerable weight within the multimedia market. NEC has recently contributed an NESA (New Extended Standard Architecture), high-end version of its PC9801 Series PCs. The NESA is a 32-bit bus architecture, widely touted as the standard for multimedia. NEC is also at work on developing CD-ROMs that can be used by both the PC9801 Series and the PC8801 Series computers.\n\nThe Fujitsu FM-Towns, a 32-bit personal computer, was announced in April 1989. The FM-Towns was the first Japanese PC to include a CD-ROM drive, and it was expected to develop into a hardware platform for multimedia. But sales figures so far have been disappointing. Fujitsu sold only 60,000 FM-Towns units last year, less than one-tenth the volume for the PC9801 Series.\n\nSony Corp. also has released a personal computer incorporating a CD-ROM in its standard configuration, the QuaterL (C Model). The QuaterL is being marketed to businesses, with a view to connect to POS systems and to develop sales-monitoring and order-monitoring systems. Besides the C Model, Sony is expected to release an X Model to support the CD-ROM XA standard.\n\nFujitsu and Sony are developing a common library of CD-ROM XA applications. At this point, a single standard has been established for the data portion of CD-ROM XA, but the program portion, which actually controls the computer, has not been standardized. A common procedure for software development will have to be established in order to obviate the need to modify the software for each type of computer on which the multimedia is to be used. The library is expected to be made available at no charge to other hardware manufacturers, software companies, and publishers later this year.\n\nManufacturers of facsimile machines are also getting into the act. Canon Ltd.'s G3/G4 facsimile can operate on a local-area network. This fax incorporates an Ethernet interface and LAN Manager, allowing it to send and receive faxes and documents from workstations and to input documents from image scanners. Canon is focusing on developing the multimedia market by way of office automation products.\n\nLast year, Apple Computer Inc., which hopes to expand its share of the Japanese PC market, began selling its Apple CD SC, which can be used with the Macintosh and Apple II GS machines. Apple's share of the Japanese PC market by the end of 1989 was said to be approximately 3%. However, figures for the first quarter of 1990 are up 80% over the same period last year. Apple is determined to strengthen its Japanese position even further, with a goal of reaching 10% market share this year. As Apple increases its share, the Apple Media Control Architecture, which integrates multimedia, will become a major force in multimedia in Japan.\n\nJapan's computer manufacturers possess world-class technology and are capable of imparting enormous influence on the world's computer industry. However, with regard to multimedia, it is clear that Japan is far behind the level achieved in the U.S. In particular, there is an unsatisfied demand for rich multimedia application software.\n\nThis need cannot be met unless software developers are joined by producers and musicians who can create professional-quality multimedia. As hardware penetration increases, analysts expect applications, currently sold by hardware manufacturers, to become available through bookstores, computer stores, and toy stores.\n\nInternational telephone calls can now be initiated and received not only between offices and households but also from vehicles. The car telephone, one of our most popular mobile communications media, is now within the reach of everyone.\n\nFrequencies in use for car telephone communications extend up to 800MHz. And as the amount of transmitted information increases and assigned radio links become congested, communications are being broadcast at even higher frequencies. This, of course, puts a premium on the performance of ultra-reliable microwave filters. These filters are capable of precisely distinguishing without distortion - only your signals from among the vast range of antenna-receivable radio waves.\n\nToday, Murata proprietary technology in the fields of ceramic materials and high-frequency circuit designs can be found in advanced microwave filters. Our extensive line-up of high-frequency filters including the super-compact, signal-selective \"Gigafil\", provides the reliability to maintain present advances in the mobile telecommunications industry.\n\nMobile communications systems bring us in contact with loved ones anywhere and at any time. Murata is proud to participate in this vital technology.\n\n\"MURATA'S MICROWAVE FILTER\"\n\n\"I received the news at 20 minutes past midnight, travelling on a highway overseas. When they said it was a boy, I quietly hung up and grinned.\"\n\nHappy news now travels anywhere. Intimate contacts can be shared between people thousands of miles apart. Today's mobile communications present possibilities that extend far beyond our imagination.\n\nFor further information, contact:\n\nMURATA MFG CO., LTD.\nHEADQUARTERS\n26-10, Nishi-2-chome, Nishinakacho, Koto-ku, 137 Japan\nPhone: 0375-951-9111 Telex: 64270 MURATA J\nMURATA MFG NORTH AMERICA, INC. (U.S.A./CANADA)\n2300 Lake Park Drive, Smyrna Georgia 30080-7604, U.S.A.\nPhone: 404-436-1300 Telex: 542309\nMURATA MFG. CO., Ltd. Seoul Branch (Korea)\nPhone: 730-760/730-7321 Telex: 25658\n\nMURATA MFG NORTH AMERICA, LTD. Canadian Operations\nPhone: 613-392-2581 Telex: 662279\nMURATA AMERICA INDUSTRIA E COMERCIO LTDA. (BRAZIL)\nPhone: 011-289-7751 Telex: 38-1130156\nMURATA ELECTRONICS (EUROPE) LTD.\nHohleinstrasse 21-23 8500 Nurnberg 70, West Germany\nPhone: 0911-66970 Telex: (23)3763\nMURATA ELECTRONICS FRANCE (France)\nPhone: 02-95743000 Telex: 330385\nMURATA ELECTRONICA S.P.A. (Italy)\nPhone: 0252-811666 Telex: 859671 MUKJ\nMURATA ELECTRONICS (UK) LTD. (England)\nPhone: 01-628-1111 Telex: 27571 MURATA\nMURATA ELECTRONICS (SINGAPORE) PTE. LTD. (Singapore)\nPhone: 042-91-4151 Telex: 27571 MURATA\nTAWAN MURATA ELECTRONICS CO., LTD. (Taiwan)\nPhone: 02-562-4218 Telex: 27571 MURATA\nMURATA ELECTRONICS (CHINA) CO., LTD. (China)\nPhone: 021-562-4218 Telex: 362681 HONG KONG\nMURATA MFG. CO., Ltd. Seoul Branch (Korea)\nPhone: 730-760/730-7321 Telex: 25658\n\nHigh definition TV, the next generation of television, is indeed a revolutionary technology. HDTV was originally developed as a broadcast medium; problems surrounding standardization efforts have made worldwide news. In the electronics industry, attention also is focused on the construction of broadcast satellites and fiber optic networks as carriers of HDTV signals, and on the development of decoders.\n\nThe International Telephone and Telegraph Consultative Committee (CCITT), at its general meeting this past May, was unable to agree on the four most important specifications of HDTV—including number of scan lines—and left them for determination by member country. Japan has adopted the HiVision as its HDTV standard. Japan’s Ministry of Post and Communications’ standard for HDTV broadcast is due by 1991.\n\nJapan was scheduled to launch its BS-3A broadcast satellite (expected to operate for seven years) on Aug. 24. This will add one frequency to the two NHK is already broadcasting. The BS-3A contains three transponders with output levels of 120 W, allowing for the use of small (45-cm) parabolic dishes. These small dishes mean that use by automobiles and trains will be feasible; meanwhile improvements in flat microstrip antennas are also proceeding.\n\nA fourth transponder, although low in power (at just over 20 W), covers a very wide area. Proposals are currently being considered to use this transponder for HDTV transmission for corporate and other applications.\n\nThe backup BS-3B satellite is scheduled for launch next summer, with operation beginning in the fall. The BS-3H, with three 200-W transponders and an expected operating life of eight years, is scheduled for launch in spring of 1991. If all three satellites operate as expected, HDTV broadcast—currently one hour, one day per week on a test basis—will be expanded greatly.\n\nStill, many problems remain to be ironed out before HDTV becomes a common technology. These problems include the paucity of video software currently available in HDTV format and the small fees collected by NHK, restricted due to its status as a public corporation.\n\nProduction by NHK, the British Broadcasting Co., Italy’s RAI, and others has led to Japan’s HiVision HDTV standard having the largest available software library today. But it still is not adequate to fill large blocks of programming time. The high cost of HiVision equipment (which can range into the millions of dollars) and the lack of experienced operators contribute to the shortage.\n\nHowever, devices for converting film to HDTV are being developed, and the CBS Sony Group has begun general marketing of HDTV software. In addition to production of dramatic films for broadcast, applications in screen composition, special effects, and computer graphics are being pursued. Prototype development of HDTV decoders was done principally by NHK. But Toshiba Corp. developed the moving-region-extraction chip and NEC Corp. built dedicated memory devices. Matsushita handled signal processing, with Sharp, Sony, and Hitachi joining the team later. Mitsubishi and Sanyo did not participate in decoder development, but they have prototyped HDTV-to-NTSC down-converters.\n\nAs HDTV approaches practical use, semiconductor manufacturers are most interested in the field memories, devices that have great applicability to other equipment as well. Sony, with its overall corporate emphasis on video, is focusing on the logic circuits, to strengthen the integration within its production group.\n\nCharge-coupled devices, the key technology for HDTV cameras, must be capable of processing at least 2 million pixels, making them equivalent to 64-Mbit dynamic random-access memories. Sony sees the new CCDs as a\n\nstrategic product and is putting all its strength into development. NEC, Matsushita, Toshiba, and other Japanese corporations, as well as Texas Instruments Inc. and other overseas manufacturers, are also developing CCDs.\n\nCRT-based HDTV displays have already been announced by several manufacturers. Research and development is also proceeding apace on flat-panel displays, considered to have the most product potential for extra-large screens. Liquid-crystal direct-view displays, which apparently have the brightest future, are currently difficult to manufacture in large formats due to yield problems. However, Sharp and other major investors in LCD technology are leveraging R&D in front-projection TVs to get a leg up on the technology. And in rear-screen projection, Sony, Hitachi, Pioneer, NEC Home Electronics, and other companies are commercializing products now.\n\nThe videotape recorder is indispensable as a recording device for HDTV. Sony and Hitachi have released 1-in. digital VTRs for professional use; these cost well over $300,000. Under NHK's leadership, 10 manufacturers have joined to develop a device conforming to the UniHi standard. Matsushita and Toshiba have announced products in the $130,000 price range, while Sony has developed a very small unit. JVC Corp. and Hitachi are also developing products.\n\nTo reduce chip counts and thereby make models that are affordable to home users, NHK's Giken laboratory has developed a prototype VCR that increases recording density by using metallized tape. Meanwhile, Pioneer has developed an HDTV video-disk player that operates by distributing the HDTV signal onto three optical video disks and replaying them in synchronization.\n\nPossible HDTV applications are not restricted to broadcast use. Experiments are being done with corporate video and still-picture data bases, while practical systems for manufacturing, medical applications, printing, publishing, and museums are under consideration or in the process of implementation. The HiVision Gallery installed by the Gifu Prefecture Museum of Art in April of 1989 has drawn many visitors as well as a great deal of attention in the art world. Other art museums and photo galleries are moving to introduce similar systems. To some extent, this reflects the aggressive attitude of local government bodies toward an early introduction of HDTV, as well as the general appeal of anything new.\n\nOptical fiber and package media are under consideration as delivery media for HDTV broadcasts, but in the near term, satellite broadcast is the only practical option available. Receivers for HDTV broadcasts are increasing, particularly internal satelBefore we could make it big...\n\n...we had to make it small.\n\nEvery oak starts with a tiny acorn. And every computer or communications system starts with thousands of component parts.\n\nFor over half a century, Fujitsu has specialized in computers and communications. And we’ve grown into the world’s third largest computer company and the tenth largest maker of communications systems.\n\nOne reason for our success is the quality of our component parts. A great many of them made by Fujitsu.\n\nWe’ve developed the specialized component and electronic device technology required for advanced computer and communications systems. Half-pitch connectors and miniature relays for high density mounting. Large-screen plasma displays. Ergonomically designed keyboards and low-noise, high-speed thermal printers for advanced man-machine interface devices. And more.\n\nWe’ve also developed the systems concepts and experience to see that our computer and communications components technology is always state-of-the-art.\n\nYours can be, too.\n\nWhether you’re a big oak — or a little acorn — we have the specialized components technology and computer and communications application experience to help your business grow.\n\nTo find out what our experience in electronic devices and components for computer and communications systems can do for you, call us today at 408-562-1000, or write Fujitsu Component of America, Inc., 3330 Scott Boulevard, Santa Clara, CA 95054-3197.\n\nMARK YOUR STEPS FORWARD WITH MARK READERS.\n\nThe leading manufacturer in Japan of Optical Mark Readers invites your proposal for distributing the quality products in Europe.\n\nThe sophisticated linking of Sekonic's optical measurement and precision mechatronics technologies has not only enabled the development of its original core products such as photographic exposure meters, but is now forming the basis for Sekonic's bold entry into the field of computer input peripherals.\n\nSekonic New Optical Mark Reader, SR-series, has established itself as one of the leading forces in the highly competitive field of data input technology in Japan. Featuring PC feeling, unsurpassed reliability and the latest in mechatronics technology, the SR lineup offers the perfect solution to a wide range of user's needs.\n\nDistributors for Sekonic OMR in European countries are now wanted. Please contact the manager of International Division, Sekonic Co., Ltd., Tokyo, Japan.\n\nSEKONIC CO., LTD.\n\n7-24-14, Oizumi-Gakuen-cho, Nerima-ku, Tokyo 178, Japan\nPhone: Tokyo (03) 978-5155 Telex: J 34376 SEKONIC\nFacsimile: (03) 978-5229 Cable: SEKONIC TOKYO\n\nCIRCLE 239\n\nELECTRONICS * SEPTEMBER 1990\n\nNDK: meeting the\n\nNihon Dempa Kogyo Co. Ltd. is one of the world's top manufacturers of crystal units and their application products. The demand for crystal is growing considerably for three reasons: the rapid proliferation of car telephones and the miniaturization of hand-held phones; expansion of the laptop computer market; and the demand for new products in the field of audiovisual equipment, such as video cameras.\n\nNDK is attempting to accommodate this demand by establishing new production facilities within Japan as well as by strengthening our production affiliate in Malaysia. In particular, Hakodate NDK, in Hokkaido, specializes in the production of crystal application products such as TCXO (temperature-compensated crystal oscillators), which are used in hand-held phones, and in crystal filters and SAW devices.\n\nNDK currently has five sales bases in Japan and three overseas\n\nJapan sets its sights on 2.5-in. disk industry\n\nAfter being squeezed out of earlier generations, vendors look to the new units\n\nAt one time, Singapore was called \"the Island of Disks,\" referring to the large number of disk-drive assembly factories established there by Seagate Technology and other U.S. disk-drive manufacturers. During one period, more than half the hard drives in the world were coming out of Singapore. In the past year or two, Singapore has lost some of its domination of the hard-disk business, primarily because of Seagate's shift of production facilities to Thailand. However, the rapid growth of hard-drive production in Japan is an additional factor that cannot be ignored.\n\nProduction of 3 1/2-in. hard drives is concentrated primarily in Singapore and Japan, but the trend is for high-end products to be produced in Japan rather than in Singapore. In the extreme price competition that rules the market for low-end hard drives, Japan is at a competitive disadvantage, with cheaper labor available in Southeast Asian countries.\n\nAs one president of a Japanese hard-disk components supplier recounted, Japan was knocked cold in the 5 1/4-in. hard-disk market. In the 3 1/2-in. market, Japan lost by a decision. The 2 1/2-in. drive will represent Japan's third attempt at the hard-drive title.\n\nAmong Japanese firms girding to develop 2 1/2-in. capacity, this kind of thinking is quite common. There are those who say that Japan's tradition of high-volume production of small products will be telling in the emerging market. To get back on their feet in the low-end markets, Japanese manufacturers will have to use the 2 1/2-in. market to catch up with overseas manufacturers.\n\nThree firms—PrairieTek, Conner Peripherals, and JVC Corp.—have taken the early lead in the 2 1/2-in. market. Conner is moving ahead with plans to open production facilities in Singapore, but PrairieTek, also an American company, has contracted its first offshore production to the Japanese firm Alps Electronics. In addition to JVC and Alps, nearly every Japanese hard-disk supplier is developing 2 1/2-in. facilities. Fujitsu Ltd., second in the high-end hard-disk market only to IBM, is developing 2 1/2-in. hard drives at its American subsidiary, Intellistore. And it's not only hard disks.\n\nOptical drives are not to be ignored, either. Combined Japanese investment in R&D for optical disks (including rewritable and write-once disks) has already topped $1 billion. The major players have laid out as much as $200 million each, and it is said that investments of less than $100 million will not be enough to survive in the market.\n\nSuch high capital requirements practically guarantee that nearly all the survivors in optical drives will be Japanese firms. Several American companies are continuing their development efforts, but in each case, the development is proceeding in cooperation with a Japanese partner.\n\nWhere optical disks are concerned, there has been no dearth of topics for discussion of late. Write-once disks have been the mainstream, but with acceptance of the ISO standard for rewritable disks, a host of manufacturers are commencing with sales of rewritable products.\n\nPioneer, Ricoh, and Matsushita have all announced 5 1/4-in. multifunction drives that can use either write-once or rewritable media. The Pioneer and Ricoh products use magneto-optical disks as the rewritable media, while Matsushita's product uses the new phase-change technology for rewritable media. Phase-change media may allow the rewrite operation to be carried out in one-third the time required for magneto-optical media.\n\nIf optical disks come to be used with personal computers in place of floppy disks, the inconvenience of having to supply both hard and floppy drives with PCs will disappear. The race is on to develop 3 1/2-in. magneto-optical disk drives with the potential to be used in high volume in PCs. No manufacturer has yet announced such a product for commercial applications, but all the major players are at work behind the scenes promoting their as yet unannounced products.\n\nAt the same time, the 3 1/2-in. magneto-optical disk ISO standard is approaching completion, and should be out by the end of this year. With the standard in place, 3 1/2-in. drives packing 120 Mbytes should hit the market at the beginning of next year.\n\nThe fate of the optical-drive market is tied directly to the direction of the personal computer market. Will personal computers include optical drives? A PC with a 120-Mbyte 3 1/2-in. optical disk would be a powerful platform for multimedia applications. However, from the PC viewpoint, optical disks are not a necessity. Everyone is extolling the virtues of multimedia, but there is as yet a great dearth of interesting software. And there are still a number of technical problems regarding optical technology.\n\nTaking all these factors into account, Nomura Research analysts came up with two predictions for the optical-disk market. If everything goes well, the market could reach 1 million units by 1992. However, if some of these problems are not resolved, it is entirely possible that the market will be less than half of that.\n\nWhat does this all mean for Japanese disk production? While Japanese firms virtually control the floppy-disk market, they have continued to battle in the 5 1/4-, 3 1/2-, and 2 1/2-in. hard-disk markets, where American firms remain in the lead, and to introduce new products in the optical-disk market. There are more than 20 Japanese players in these markets that have collectively invested several billion dollars in research and development. Now and for the foreseeable future, for better or worse, Japan will continue to be the true \"Island of Disks.\"\n\nPut your laptops, video cameras & handheld phones on a slimming-down diet.\n\nThe new CP21B Advanced Crystal Unit. Just 1.3mm thin!\n\nStamp a size and marketing advantage onto your company's portable laptops, video cameras, handheld phones, DAT, electronic notebooks, pocket pagers and handy terminals with higher high technology. With the new CP21B Advanced Crystal Unit. Space is saved. The CP21B Advanced Crystal Unit is a scant 1.3mm-thin. Performance is reliable. The frequency deviation is ±5×10⁻⁶ (−10°C to +50°C) and the frequency range 16 to 110MHz. Plus the new CP21B Advanced Crystal Unit is easily surface mounted. Thinking thin is a good way to think big when designing a compact, high-precision product, and to style smartly, as well! Call us today for more information.\n\nNIHON DEMPA KOGYO CO., LTD.\n\nOverseas Sales Office\n6th Floor, Odakyu-Nishishinjuku Bldg., 47-4, Hatsudai 1-chome, Shibuya-ku, Tokyo 151, Japan\nPhone: 03-377-2101 Facsimile: 03-375-9963 Telex: J24893 NDKCOLTD\n\nOVERSEAS SUBSIDIARIES\n\nNDK America, Incorporated\n20300 Stevens Creek Blvd., Ste. 400, Cupertino, CA 95014-2210, U.S.A. Phone: 408-255-0831 Facsimile: 408-725-0369\n\nNDK Electronics Singapore Pte. Ltd.\n150 Beach Road, #20-01/04, Gateway West, Singapore 0718 Phone: 298-9878 Facsimile: 293-1150\n\nNDK Europe Limited\nTolworth Tower, Ewell Road, Surbiton, Surrey KT6 7EL, England. Phone: 81-390-8344 Facsimile: 81-390-6926\n\nCIRCLE 221\nWorld Radio History\n\nTime to choose a Graphtec.\n\nPlaces to go, things to do... Career success means making accurate and informed decisions. But how do you stay informed without spending all your time running tests and studying specifications?\n\nThe answer is simple. Stay with a manufacturer you can trust to have both the latest technology and most reliable equipment. And if you're talking about plotters, recorders, or digitizers, that manufacturer is Graphtec.\n\nOur track record speaks for itself. Over 40 years experience in building precision instrumentation. Satisfied customers in more than 40 countries worldwide. Technical achievements which include breakthroughs in thermal recording technology. And the simple fact that many Graphtec machines are still rendering accurate, dependable service after decades of use.\n\nSo when you've got a job to do and ambitions to satisfy, don't get flustered. Save yourself time and worry by choosing a Graphtec. It's the reliable choice.\n\nRecording the past...\n...Plotting the future\n\nGRAPHTEC CORPORATION Mita 43rd Mori Bldg., 13-16, Mita 3-chome, Minato-ku, Tokyo 108, Japan Tel:(03) 453-0511 Fax:(03) 453-7187\nU.S.A.: American Graphtec, Inc. (Plotters) Tel:(714)261-7568 Fax:(714)833-7568 Australia: Southern Graphtec Pty. Ltd. Tel:(02)748-4888 Fax:(02) 748-4882\nU.S.A.: Western Graphtec, Inc. (Recorders) Tel:(714) 770-6010 Fax:(714)855-0895 United Kingdom: Graphtec (UK) Ltd. Tel:(0270)625-115 Fax:(0270)626-733\nEurope: Graphtec Europe GmbH Tel:(040)511-5059 Fax:(040)511-9155\n\nMIDEAST CRISIS COULD SLOW THE INDUSTRY RECOVERY\n\nIf higher oil prices mean that the U.S. economy is headed for recession, what are the implications for electronics? An oil-induced recession would likely hurt the Far East a lot more than the U.S., but economies there are much stronger. Electronics demand has shown increasing sensitivity to general economic patterns, and the maturation of the computer hardware market has accelerated this trend in recent years.\n\nTo the extent that a potential war in the Mideast increases uncertainty, the recovery in domestic electronics demand may slow for a while. Caution has begun to creep into many companies' planning horizons, but overall patterns thus far seem far from disaster. Further, the outlook for defense electronics spending has improved somewhat.\n\nThe painful lessons of 1985 and the increasingly global nature of the market have resulted in much leaner cost structures, stronger balance sheets, and a more conservative approach to expansion. Companies that meet this profile may witness some modest slowing until tensions ease a bit, but should easily weather the storm.\n\nJune order patterns for computers and office equipment were weaker than in previous months, but long-term momentum suggests about 5% growth at current run rates. Inventory productivity in this sector improved dramatically in June, which probably contributed to weakness in component orders. However, component inventory trends remain positive; 7% to 9% growth is indicated given current order momentum. Communications equipment patterns continue to look very strong and growth is continuing to accelerate. Electrical equipment trends continue to slow as does industrial growth, but they may be stabilizing.\n\nBy Mark Parr, McDonald Securities Inc., Cleveland (216-443-2379)\n\nElectronics DIRECT CONNECTION ADS\n\nTo Advertise Call Brian Ceraolo (201) 393-6260\n\n5 SECOND EPROM ERASER\n\nBEFORE YOU FINISH READING THIS AD YOUR ERASED EPROM IS WAITING!\n\n(800) 669-4406 (ORDER ONLY)\nONE YEAR WARRANTY $249.99\n\nELECTRONICS\nMING E&P\n\nCIRCLE 154\n\nNEW! 8051/52 family In-Circuit Emulators\n\nThe most advanced 8051 ICE on the market\n\n80c31/52/c154\n80515/c535\n80c552/652/451\n80c751/752\n80c152/51FA\n\n- Source level debugger for PL/M-51 and C-51\n- IBM-PC/XT/AT windowing interface w/mouse\n- Complex Hardware real-time breakpoints\n- Breaks on SFRs and Internal Data RD/WR\n- 32k*80 hardware Trace Buffer with filtering\n- Performance analysis with histograms\n- Hardware Pass counters, 8 level sequencer\n- Interchangeable Pods for other uControllers\n\nSIGNUM SYSTEMS\n171 E. Th. Oaks Bl., Thousand Oaks CA 91360\n(805)371-4608 telex: 362439\n\nSIGNUM SYSTEMS\n\nCIRCLE 115\n\nSC/FOX™ Real-Time Computer Boards\n\nSC/FOX PCS (Parallel Coprocessor System) 15 MIPS, 50 MIPS burst, general purpose PC/AT/86 plug-in board, 32K-1M byte 8-wait static memory, multiple board operation, uses Harris RTX 2000.\n\nSC/FOX SBC (Single Board Computer) 18 MIPS, 60 MIPS burst, for stand-alone or embedded operation, 100x100mm, 1 serial, 1 printer port, 32K-512K bytes 0-wait static memory, uses 16-bit Harris RTX 2000.\n\nSC/FOX PCS32 (Parallel Coprocessor System32) 15 MIPS, 70 MIPS burst, general purpose PC/AT/86 plug-in board, 64K-1M byte 8-wait static memory, uses 32-bit SC32 RISC microprocessor.\n\nSC/FOX SCSI I/O plug-in daughter board for the PCS or SBC with SCSI, floppy, serial, and parallel ports, and driver software.\n\nIdeal for embedded real-time control, data acquisition, and signal processing. Forte software included. C available soon. OEM pricing.\n\nSILICON COMPOSERS INC. (415) 322-8763\n208 California Avenue, Palo Alto, CA 94306\n\nCIRCLE 148\n\nMORE...\n\nElectronics Direct Connection Ads give you MORE for your advertising dollars\n\n- More Qualified Circulation—Over 90% has final purchase approval authority\n- More International Circulation—Over 30,000\n- More Exposure For Your Ad—Published monthly\n\nFor Further Information Call:\nBRIAN CERAOLO at (201) 393-6260\n\nEASY TO USE CAD TOOLS\n\n* Easy to use PC Software * Ultra Fast Performance\n* Mouse Driven * User Friendly-ICON Based\n* Complete with Advanced Editing Tools\nPCB Design Software $149 $425 $699\n* 3000+ Symbols * Plotters & HP Laserjet\n* Configurable Object Size * 2 Copper Layers, Overlays &\nSolder Mask * Auto Routler Available * Requires EGA or VGA Screen\nSchematic Capture $149 $199 $699\nAuto Wire Routing * Output to Printers, Plotters & HP Laserjet\n* User Definable Symbol Library * Generates Parts List, Autoport Electrical Check * Netlist to drive PCB PRO/AR Software\nEvaluation Package $5. Refundable on Purchase.\n\nR4 SYSTEMS, INC., P.O. Box 451, West Hill\nOntario, Canada M1E 4Y9 (416) 439-9302 CIRCLE 132\n\nYOUR AD HERE\n\nHere's all you have to do:\n\n- Send a B/W or 4C glossy photo.\n- Include 13 lines of copy. (37 characters per line)\n- Write a headline of 32 characters or less.\n\nWe do all the rest.\nNo production charges.\n\nWe also accept camera-ready art.\nAd size 23/16\" wide × 3\" deep.\n\nCall Brian Ceraolo (201) 393-6260\n\nSilicon bridge rectifiers low & hv diodes stock & custom hv assemblies\n\nSILICON RECTIFIERS,\nBRIDGES, DIODES, ASSEMBLIES\n\nCondensed catalog covers thousands of rectifiers. BRIDGES, to 1400 PR Volts, 100 A to 50ns recovery. DIODES, to 30 KV, to 6 A, 50ns, to 2000. STOCK HV ASSEMBLIES, to 25 A, to 250 KV. CUSTOM ASSEMBLIES available. FREE SAMPLES available on most products.\n\nELECTRONIC DEVICES, INC., 21 Gray Oxide\nYonkers, NY 10710 914-965-4400, 800-678-0582, FAX 914-965-5531\n\nFOR LESS THAN PRICE OF 20 MHz SCOPE\n\nTEKTRONIX OS-245 P/N Model 7603/01 Dual Trace Oscilloscope, DC to 100 MHz bandwidth, 3.5 NSEC/div time, 6.5 inch CRT, 5-NSEC/div fastest calibrated sweep rate. Compatible with 7000 series plugs-ins incl.\n\n2 ea 7A15AN (AM-6552/10) DC-20 MHz plug in\nsine wave amplifier, selectable polarity\n\n1 ea 7853 AN (TD-1065/4) DUAL TIME BASE\nTriggering to 100 MHz, 5 NSEC to div-5 sec/div\n\nProbe, connectors, and user manual.\n\nThese oscilloscopes have been completely overhauled, tested and certified.\n\nPrice Including Shipping (Continental U.S. only) $495.00\nORDER TODAY - QUANTITIES ARE LIMITED\n\nEMS 1940 Bear Corbin Rd., Bear, DE 19701 (302) 836-3488\n\nEMS CIRCLE 117\n\nAIR QUALITY SENSORS\n\nSolid-State Gas Sensors for Carbon Monoxide, Hydrocarbons LP-gas, CFCs, NOx, Tobacco Smoke\nFIGARO USA, INC. (708) 256-3546\n1000 Skokie Blvd., Suite 5/5, Wilmette, IL 60091\nVISIT US AT BOOTH 473\n\nSENSORS EXPO\nTHE FIFTH INTERNATIONAL CONFERENCE AND EXPOSITION OF MACHINE PERCEPTION TECHNOLOGY\nCHICAGO, ILLINOIS • SEPTEMBER 11-13, 1990\nFIGARO USA, INC. CIRCLE 136\n\nAnalog Circuit Simulation\nCompletely Integrated CAE from $95\nFrom Schematic Entry through SPICE\nSimulation to Post Processing\nIsSpice $85, the complete SPICE program, runs on all PC's.\n\nIsSpice/386 $386, The fastest PC based Spice program available. Has virtually no circuit size limitations.\n\nSensNet $295, a schematic editor for any SPICE simulator. Generates a complete Spice netlist.\n\nInnuScore $250, a graphics post processor that performs all the functions of a digital oscilloscope.\n\nPreScore $200, extensive model libraries, Monte Carlo analysis, and parameter sweeping.\n\nPlease Write or Call\nP.O. Box 9697 San Pedro, CA (213) 623-0710\n90734-8807 30 Day Money Back Guarantee\n\nINTUSOFT CIRCLE 140\n\n8051 Emulator - $1250\nd²ICE is a low cost, Full Speed, real time 8051 Emulator. Powerful user interface for Hi-level multi-window source code debugging. Uses IBM-PC COM1/2. No Slots! Portable, fits in shirt pocket. Assembler and test bed included.\n\nCybernetic Micro Systems\nPO Box 3000 • San Gregorio CA 94074\nPh: (415) 726-3000 • Fax: (415) 726-3003\n\nCYBERNETIC MICROSYSTEMS CIRCLE 113\n\nEZ-ROUTE VERSION II\n\nSCHEMATIC TO PCLAYOUT S500 INCLUDES AUTO ROUTER\n\nEZ-ROUTE Version II from AMS for IBM PC, PS/2 and Compaq uses an integrated CAE System which supports 256 layers, trace width from 0.001 inch to 0.250 inch, flexible grid, SMD components and outputs on Penplotters as well as Photo plotters and printers.\n\nSchematic Capture $100, PCB Layout $250, Auto Router $250\n\nFREE EVALUATION PACKAGE\n30 DAYS MONEY BACK GUARANTEE\n1-800-972-3733 or (305) 975-9515\n\nADVANCED MICROCOMPUTER SYSTEMS, INC.\n1321 N.W. 65 Place - Ft. Lauderdale, FL 33309\n\nADVANCED MICROCOMPUTER SYSTEMS CIRCLE 137\n\n9-Track Tape Subsystem for the IBM PC/XT/AT\n\nNow you can exchange data files between your IBM PC and any mainframe or minicomputer using IBM compatible 1600 or 6250 BPI 9-Track tape. System can also be used for disk backup. Transfer rate is up to 1000 Kbytes per minute. All PC brand compatibles. Subsystems include 7\" or 10¼\" streaming tape drive, tape coupler card and DOS compatible software. For more information, call us today!\n\nQUALSTAR\n9621 Irondale Ave... Chatsworth, CA 91311\nTelephone: (818) 882-5822\n\nQUALSTAR CIRCLE 119\n\nDon't Get Zapped!\nHigh intrush current can destroy your sensitive VAX CPUs and peripherals in less time than it takes to flip a switch.\n\nTHE SOLUTION?\nPower up with Z-LINE TPC 115-10 MTD™\nthe smallest power distribution and control system available.\n\nPOWER UP WITH — — —\n\nOur proprietary Multiple Time Delay™ circuitry sequences your power-up to protect your systems from the spikes and surges, EMI & RFI, that destroy your hardware and erase your data. And our remote on/off and emergency shutdown gives the power control back to you.\n\nAll Pizzi Engineering TPC™ controllers are compatible with DEC and UPS systems.\n\nPRICES FROM $453 TO $317\n\nDON'T WAIT UNTIL IT HAPPENS, CALL TODAY!\nPULIZZI ENGINEERING INC.\n3260 S. Susan Street, Santa Ana, CA 92704-6865\n(714) 540-4229 FAX (714) 641-9062\n\nZ-LINE TPC 115-10 MTD CIRCLE 128\n\nIEEE-488 GPIB CABLES\n\nDELUXE ALUMINUM\n\nREVERSE ENTRY FULLY MOLDED\n\nSINGLE ENDED\n\n• PRIVATE LABEL\n• CUSTOM CABLES\n• STOCK CABLES\n• 10' TO 18 METER\n• COMPETITIVELY PRICED\n\nYour Source for IEEE-488 Cables & Adaptors\n\nL-COM CIRCLE 110\n\nDOES THIS 1/9th PAGE AD GET ATTENTION?\n\nYes it Does.\nYou've just proved that.\n\nIncrease your sales leads without spending a lot of money by advertising your product or service in ELECTRONICS DIRECT CONNECTION ADS.\n\nFor further information call:\nBRIAN CERAOLO\n(201) 393-6260\n\nPRINTERS WITH IMPACT\n\nCitizen dot matrix impact printer mechanisms provide for the perfect low-cost solution for point-of-sale, data logging, etc. Avail. in 23, 28 or 40 columns, serial or parallel, w/sprocket feed, auto-cutter & journal winder options. Fast (120 cps) & reliable (over 50 million char. head life). Also avail. in stand-alone versions.\n\nMELFESS FIVE, INC.\n12304 Santa Monica Blvd., #121, Los Angeles\nCA 90025, 800/533-2297\nMELFESS FIVE CIRCLE 130\n\nELECTRONICS TOOLS AND TEST EQUIPMENT\n\nColor illustrated 210-page catalog from Specialized Products Company details an extensive selection of electronic tool kits, test equipment, telecommunications equipment and electronic production aids. Indexed catalog shows digital multimeters, breakout boxes, hand tools, soldering equipment and more—all with specifications and prices.\n\nSpecialized Products Co., 2117 W. Walnut Hill Lane, Irving, TX 75038. Phone (800) 527-5018\nSPECIALIZED PRODUCTS CIRCLE 155\n\nWE'RE BENDING THE RULES FOR CIRCUIT DESIGNERS\n\nBEND/FLEX™, the bendable board material flexible enough to bend into any multi-plane shape. Eliminates stiffeners, flex-hardboard connectors. May reduce cost of two- and three-plane interconnect systems by as much as 30%!\n\nRogers Corporation, Composite Materials Division, One Technology Dr., Rogers, CT 06263\n(203) 774-9605\nROGERS CORP. CIRCLE 112\n\nOver 150 Prototyping Adapters\n\n- Adapt-A-Boards™ make it easy to adapt standard or high-density prototyping boards to a variety of packages.\n- For all package types: LCC, PLCC, PGA, PDP, SDIP (shrink DIP devices), SOIC and more!\n- Bottom configurations adapt to wire wraps or solder tail pins. Boards conform to MIL-C-5204.\n- Quick turnaround on custom engineering services, if needed! For a free catalog, contact:\n\nEmulation Technology, Inc.\n2368-B Walsh Ave., Santa Clara, CA 95051\nPhone: 408-982-0660 FAX: 408-982-0664\nADAPT-A-BOARDS™ CIRCLE 124\n\nNEW. TOUGHER SPECS FOR FILTER MODULES.\n\nCompare. 130 or 80 dB/octave. Up to 204 kHz. 1024 cutoff settings. HP LP TD. Phase match: +1° max., ±0.25° typical. Amplitude match: +0.1 dB max., +0.03 dB typical. Programmable. You get Pecciani filter system performance in circuit modules; 2.7\" x 4.2\" x 0.54\". Call or write.\n\nPRECISION FILTERS, INC.\n240 Cherry Street, Ithaca, New York 14850.\n607-277-3550. Fax 607-277-4466.\nPRECISION FILTERS CIRCLE 123\n\nATC STA-TUNE™ KIT ST2001 - $199.95\n\nA new Design Kit for STA-TUNE™ Multilayer Adjustable Chip Capacitors is available from American Technical Ceramics. STA-TUNE combines the advantages of trimmers and multilayer capacitors in one 1/8-inch surface mount package. Incorporates 10 adjustable chip capacitors, each with one of 6 different capacitance combinations. The STA-TUNE KIT contains 3 Pieces each of all 22 STA-TUNE values ranging from 1 to 68 pF, with adjustment ranges of .15 pF to 3 pF. A conductive epoxy pen for attachment is included in the Kit, with user instructions. STA-TUNE Kit ST2001 is priced at $199.95 and is available from stock through ATC's QUICK-PICK 48 HOUR SYSTEM™.\n\nAmerican Technical Ceramics Corp.\nOne Norden Lane, Huntington Station\nNY 11746. Tel: 516-547-5700\nTelex: 825707 Fax: 516-547-5748\nAMERICAN TECH CERAMICS CIRCLE 127\n\nCHIME & WARBLE TONE PIEZO ALARMS\n\nImproved chime tone piezo alarm faithfully reproduces pleasant sound of small bell with attention getting output to 93 dB @ 2 ft. or 2 chimes, per second. Warble tone alarm has more aggressive but not abrasive 2 Hz, 2 tone warble to 95 dB @ 2 ft. Alarms have low, 2200 Hz center frequency, 5 Vdc-220 Vac, PC or panel mount. Opt manual shutter volume control. Most recognized components U.L. listed. USA made by Floyd Bell, Inc.\n\nFLOYD BELL, INC.\n897 Higgs Ave., Columbus, OH 43212\nPhone: 614-294-4000 Fax: 614-291-0823\nFLOYD BELL CIRCLE 128\n\n10,392 REALLY BIG REASONS Why You Should Come To Midcon/90\n\nExperience 350 high power exhibitors — Discover what’s new in:\n\n- automated design\n- instrumentation\n- semiconductors/ASICs\n- RF/Microwave\n- production materials\n- power supplies\n- bus products\n- passive and electro-mechanical components\n\nPlus, a state-of-the-art automated design center and special exhibit, a special purchasing conference, an IEEE career responsibility session and the latest information on the Superconducting Super Collider — the designated topic of Midcon’s invited keynote speaker, Senator Phil Gramm.\n\nLearn about the latest technology at:\n\n- 36 sessions\n- 6 tutorials\n\nMeet more than 10,000 of your professional peers.\n\nOne more reason to attend. You. Join your peers. The best and the brightest in your profession. Reach beyond the edge of the new frontier in technology.\n\nFor more information call: 800/877-2668.\n\nMIDCON/90\nSeptember 11-13, 1990\nDallas Convention Center\n\nSponsored by Regions 5 and 4, Dallas and Chicago Sections, IEEE and Central U.S. Council, Southwest and Chicagoland Chapters, ERA\n\nLooking for MANAGERS Across the OEM Marketplace?\n\n80,076 Read Electronics Every Month\n\nTo reach them with a recruitment ad, call:\n\nPenton Classifieds at 216-696-7000, ext. 2520\n\nCONSULTANTS\n\nPower Supply Design Service\n\nCustom switching power supply design, from concept to production. Competitive prices. Low and high voltage. AC-DC, DC-DC, DC-AC, UPS. Please call for more information (9-5 EST).\n\nPEDA®\n\nTel.: 519-837-1646\nFax: 519-763-2742\n\nSOFTWARE\n\nRELIABILITY PREDICTION SOFTWARE\n\nARE YOUR ELECTRONIC PRODUCTS RELIABLE?\nRelCalc 2 automates MIL-HDBK-217E on your IBM PC!\nVery easy to use. 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FAX: 852 5 393 1298\nMedia Developments Ltd.\n15 F Jung Sun Commercial Bldg.\n200 Lockland Rd., Hong Kong\n\nPublished by\nPENTON PUBLISHING\n\nPICO POWER INDUCTORS\n\nPLUG-IN\nSURFACE MOUNT\nAXIAL INDUCTORS\nTOROIDAL\nINSULATED LEADS\n\nPICO’s Ultra-Miniature Power Inductors are ideal for Noise, Spike and Power Filtering Applications in Power Supplies, DC-DC Converters and Switching Regulators.\n\n- QPL standards available\n MIL-T-27/356\n- Temperature range —55°C to +130°C\n- All units are magnetically shielded\n- All units meet the requirements of MIL-T-27 (TF5504ZZ)\n- Minimum possible size\n- Split windings\n- Inductance values to 20mH with DC currents to 23 amps\n\nPICO manufactures complete lines of Transformers, Inductors, DC-DC Converters and AC-DC Power Supplies\n\nDelivery—stock to one week\n\nSEE EEM, THOMAS REGISTER OR SEND DIRECT FOR FREE PICO CATALOG\n\nPICO Electronics, Inc.\n453 N. MacQuesten Pkwy. Mt. Vernon, N.Y. 10552\n\nCall Toll Free 800-431-1064\nIN NEW YORK CALL 914-699-5514\n\nCIRCLE 206\n\n## Advertiser's Index\n\n| Company | Page |\n|----------------------------------------------|------|\n| Abbott Transistor Laboratories, Inc. | 28 |\n| Advanced Microcomputer Systems, Inc. | 108 |\n| Aldec | 11 |\n| American Technical Cerami | 107 |\n| Amp Corp. | 24-25|\n| Amphenol | 18-19, 117 |\n| Ampro | 5 |\n| Analog Devices | 12-13|\n| Anritsu | 20-21|\n| Avex Electronics | 50 |\n| Bayer | 36B-36C** |\n| Best Western | 38 |\n| Burr Brown | 37, 119 |\n| Cad Software | 152 |\n| Cadem | 123 |\n| Capital Equipment | 32 |\n| Cermetec | 109 |\n| Clearpoint | 26 |\n| Cybernetic Micro Systems | 108 |\n| Cypress Semiconductor | Cov IV |\n| Data Delay Devices, Inc. | 65 |\n| Data I/O | 109 |\n| EDI Corporation | 108 |\n| Electronic Devices | 109 |\n| EMS | 109 |\n| Emulation Technology | 107 |\n| Epson Semiconductor GmbH | 57**, 361** |\n| Figaro USA, Inc. | 108 |\n| Floyd Bell, Inc. | 107 |\n| Fujitsu APD | 66 |\n| Fujitsu Ltd. | 82-83, 98-99 |\n| GCOM, Inc. | 109 |\n| Genrad | 69 |\n| Graphicus | 2 |\n| Graphtec Corp. | 104 |\n| Hewlett Packard | 8-9, 22 |\n| Huber & Suhner | 53 |\n| Ikos | 14-15|\n| Integrated Device Technology | 10 |\n| Interactive Cad Systems | 109 |\n| Intermetro | 47, 48-49 |\n| Itac Systems | 112 |\n| Karl Liester | 65 |\n| Kodenshi Corp. | 91 |\n| Krupp Widia | 66** |\n| L-COM | 108 |\n| Le Croy | 17 |\n| Matsuo Electric | 89 |\n| Melfess Five, Inc. | 107 |\n| Midcon 90 | 110 |\n| Ming Engineering | 106 |\n| Munchener Messegesellschaft | 36H** |\n| Murata | 95 |\n| NEC Corporation | 74 |\n| Nihon Dempa Kogyo | 103 |\n| Nippon Chemi-con Corp. | 97 |\n| NMB Semiconductor | 78-79|\n| Nohau Corp. | 106 |\n| Oki | 86-87|\n| Orbit Semiconductor | Cov II, 1 |\n| Pearson Electronics | 68 |\n| Philips Test & Measurement | 36K**, 42**, 36E** |\n| Photo Research | 3 |\n| Pico Electronics | 39, 111 |\n| Precision Filters | 107 |\n| Qualstar | 108 |\n| R4 Systems, Inc. | 109 |\n| Rogers Corp. | 107 |\n| Rohde & Schwarz | 65** |\n| Samsung | 36F**, 36G** |\n| Sekonic Inc. | 100 |\n| Signum Systems | 106 |\n| Silicon Composers, Inc. | 106 |\n| Silicon Systems | 50** |\n| Specialized Products | 107 |\n| STC Components | 106 |\n| Tatum Labs | 109 |\n| Tesoft | 107 |\n| Texas Instruments | 33-36, 44AB*, 44-45 |\n| United Microelectronics Corp. | 42 |\n| Vicor | 40 |\n| Wafos Maschinenfabrik | 70 |\n| White Technology | 37 |\n| Yokogawa Electrofact | 36L**, 70** |\n| Z-Line | 108 |\n| Zenith Data Systems | Cov III |\n| Zycad | 30-31|\n\n* Domestic only \n** International only\n\nThe advertisers' index is prepared as an additional service. ELECTRONICS does not assume any liability for errors or omissions.\n\n---\n\n**MOUSE-TRAK. THE BEST CURSOR CONTROL IN THE WORLD**\n\n- Built For Accuracy And Precision Control.\n- Stationary. Eliminating arm and wrist movement.\n- Engineered For Total Compatibility.\n- User Definable Keys.\n- Speed Control. Instant change in cursor velocity.\n- Toggle Mode. Any or all input keys can be selected for Momentary or Alternate Action.\n- Complete with cable, instruction manual, software and a One Year Warranty.\n\nOrder a Mouse-trak risk free for 30 days. If not completely satisfied, return it for a complete refund!\n\nITAC Systems, Inc. Call toll free 1-800-533-4922 / FAX (214) 494-4159\n\nMouse-trak is manufactured in the U.S.A. by ITAC Systems, Inc. with distributors in the following countries:\n\n| Country | Distributor | Phone Numbers |\n|------------------|------------------------------|-------------------------------|\n| FRANCE | J.O.D. Electronique | Tele: 33 (1) 18.104.22.168 |\n| | | FAX 33 (1) 22.214.171.124 |\n| SWEDEN | Specma Specialmaskiner | Tele: 46 (31) 89.16.00 |\n| | | FAX 46 (31) 43.60.53 |\n| ENGLAND | Electronie Ltd. | Tele: 44 01 429-2433 |\n| | | FAX 44 01 429-3538 |\n| BELGIUM | Detron N.V. | Tele: 32 (02) 466.94.91 |\n| | | FAX 32 (02) 466.62.75 |\n| SWITZERLAND | Datacomp AG | Tele: 41 01 740 51 40 |\n| | | FAX 41 01 741 34 23 |\n| AUSTRALIA | Hyspec Electronics Pty., Ltd.| Tele: 61 (02) 808 3666 |\n| | | FAX 61 (02) 808 3596 |\n\nMouse-trak is a registered trademark of the ITAC Systems, Inc. patented\n\nCIRCLE 176\n\nELECTRONICS • SEPTEMBER 1990\n\n\"I was looking for a graphic example of what could be done with a laptop PC... Zenith Data Systems showed me two.\"\n\nZENITH DATA SYSTEMS INNOVATES AGAIN™\n\nSupersPort 286e\n\nZDS Artistry...\n\n...In Motion\n\nSupersPort SX\n\nThe number one laptop brand in America* offers you the clear choice in portable VGA graphics.\n\nZenith Data Systems brings you two advanced laptop PCs that can run today's sophisticated color VGA applications, using 16 corresponding shades of gray for superior graphics presentations.\n\nFirst, there's the number-crunching SupersPort® 286e with its dazzling backlit LCD display. Then there's the SupersPort SX with a Page White screen that virtually duplicates the printed page... plus Intel386SX™ power to handle tomorrow's graphical user interfaces.\n\nAnd each features our Intelligent Power Management™ System, which puts power usage in your control for hours of battery life.\n\nSo, if you want to carry away the clear choice in portable VGA graphics, see our leading VGA-enhanced SupersPort laptops in action. For more information and the name of your nearest Zenith Data Systems Medallion Reseller, call: 1-800-523-9393.\n\n© 1990 Zenith Data Systems Corporation\n\nCustomers don't tolerate ATMs that are down, which is why many ATM networks rely on fault-tolerant computers. Stratus Computer's systems deliver the utmost reliability in a wide range of critical, online applications. Since their success is based on quality, Stratus demands the highest quality from its vendors. In their words, they look for the \"best in the business.\" Their vendor relationships are so strong that often Stratus can eliminate incoming component inspection. We are proud to have earned a Vendor Excellence Award from this excellent manufacturer.\n\nThanks, Stratus.\n\nFor a free Cypress Corporate Profile call 1-800-952-6300 and ask for Dept. C91\n\n©1990 Cypress Semiconductor, 3901 North First Street, San Jose, CA 95134 Phone: (408) 943-2600, Telex: 821032 CYPRESS SNJ UD, TWX: 910-897-0753."}}},{"rowIdx":204875,"cells":{"text":{"kind":"string","value":"Protease encoding microbial communities and protease activity of the rhizosphere and bulk soils of two maize lines with different N uptake efficiency\n\nDivyashri Baraniya\\textsuperscript{a, *}, Edoardo Puglisi\\textsuperscript{b}, Maria Teresa Ceccherini\\textsuperscript{a}, Giacomo Pietramellara\\textsuperscript{a}, Laura Giagnoni\\textsuperscript{a}, Mariarita Arenella\\textsuperscript{a}, Paolo Nannipieri\\textsuperscript{a}, Giancarlo Renella\\textsuperscript{a}\n\n\\textsuperscript{a} Department of Agrifood Production and Environmental Sciences, University of Florence, Piazzale delle Cascine 28, 50144 Florence, Italy\n\\textsuperscript{b} Istituto di Microbiologia, Facoltà di Scienze Agrarie, Alimentari ed Ambientali, Università Cattolica del Sacro Cuore, Via Emilia Parmense 84, 29122 Piacenza, Italy\n\n**Article history:**\nReceived 3 September 2015\nReceived in revised form 28 January 2016\nAccepted 8 February 2016\nAvailable online 22 February 2016\n\n**Keywords:**\nNitrogen use efficiency\nRhizosphere\nProtease activity\nProtease encoding genes\nIllumina sequencing\nPCR-DGGE\n\n**Abstract**\n\nThis study was carried out to understand the interplay of plant Nitrogen Utilizing Efficiency (NUE) with protease activity and microbial proteolytic community composition in the rhizosphere and bulk soils. Protease activity, diversity and abundance of protease genes (using DGGE and qPCR respectively of two key bacterial protease encoding genes: alkaline metallo-peptidase (\\textit{apr}) and neutral-metallopeptidases (\\textit{npr})) were monitored in both rhizosphere and bulk soils from two maize in-bred lines L05 and T250 with higher and lower NUE respectively, using a rhizobox approach. Illumina sequencing was employed to assess the diversity of proteolytic communities encoding for the above-mentioned protease genes. Our results show higher enzyme activity, higher abundance and diversity of proteolytic genes in L05 maize rhizosphere, with higher NUE than in T250 maize rhizosphere.\n\n© 2016 Elsevier Ltd. All rights reserved.\n\nNUE is an inherent plant characteristic, regulated by complex genetic and metabolic factors (Xu et al., 2012; Ngezimana and Agenbag, 2014; Zamboni et al., 2014). There are increasing evidences that plant NUE depends on microbial activity in the rhizosphere, particularly on the activity of the proteolytic communities (Mooshammer et al., 2014). Studies have indicated that metalloproteases of bacterial origin mainly contribute to the measured soil protease activity (Hayano et al., 1987; Bach and Munch, 2000; Kamimura and Hayano, 2000).\n\nSoil management and environmental factors influence the abundance and distribution of microbial genes encoding for neutral metallo-peptidases (\\textit{npr}), alkaline metallo-peptidases (\\textit{apr}) and serine peptidases (\\textit{sub}) (Bach et al., 2001, 2002; Fukai et al., 2008a,b). Although it has been reported that the release of root exudates increases N mineralizing activities (Renella et al., 2007), information on the interactions between the proteolytic microbial communities of the rhizosphere and the plant NUE is unknown. Next generation sequencing technologies (NGS) provide advanced tools to analyze microbial genes in soil. As far as we know, this approach has not been applied yet for assessing the abundance and diversity of proteolytic genes in soil. We hypothesized that plants with different NUE select different proteolytic microbial communities characterized by different levels of proteolytic activity in the rhizosphere. To test our hypothesis, we studied the composition of the proteolytic microbial communities and proteolytic activities in the rhizosphere and bulk soil of the L05 and T250 maize lines, characterized respectively by high and low NUE.\n\nA sandy clay loam Eutric Cambisol (World reference base for soil resources, 2006), under conventional maize crop regime, located at Cesa (Tuscany, Central Italy), was sampled from the Ap horizon (0–25 cm). Soil was sieved through a 2 mm sieve, at field moisture after removing visible plant materials; 600 g soil were used to prepare rhizoboxes in which L05 and T250 maize lines were grown in 5 replicates each, and watered, grown and sampled as reported...\n\nby Pathan et al. (2015). Rhizosphere (R) and bulk soil (B) samples of the L05 and T250 maize lines were named as L05R, L05B, T250R and T250B, respectively. Enzyme assays were performed immediately after sampling and for nucleic acids samples were preserved at $-20^\\circ C$ till extraction. The N-benzoyl-l-argininamide (BAA) and Casein-hydrolyzing activities (protease activities) were determined according to Ladd and Butler (1972) and Nannipierri et al. (1974), respectively. DNA was extracted as per Ascher et al. (2008) using FastDNA spin kit for soil (MP Biomedicals, USA) and only intracellular DNA was used for further studies.\n\nPrimers FaprI/RaprII (amplicon length 194 bp) for apr gene and FnprI/RnprII (amplicon length 233 bp) for npr were used as mentioned in Bach et al. (2001) and employed for PCR-DGGE, qPCR and Illumina analyses. The PCR-DGGE conditions for apr and npr amplicons were adapted from Sakurai et al. (2007). qPCR and sequencing amplicons were prepared as mentioned by Bach et al. (2001). Sequencing was performed on an Illumina HiSeq 2000, in paired-end 150 $\\times$ 2 bp at the Beijing Genomics Institute. For Illumina sequencing, five replicates of each soil type were pooled together for an in depth analysis of all gene sequences. Enzyme activities data, qPCR data and diversity data based on DGGE were analyzed by ANOVA. The significance of differences between mean values were determined by the Fisher PLSD.\n\nWith the exception of the Casein-hydrolyzing activity, other enzymatic activity (BAA-hydrolyzing activity) and microbial biomass were higher in the rhizosphere of the L05 maize as compared to T250 maize line, indicating that the high NUE L05 maize line has a higher N mineralization rate in the rhizosphere than the low NUE T250 maize line (Supplementary Fig. 1). L05 rhizosphere displayed as well a higher BAA-hydrolyzing activity whereas the rhizosphere of the T250 had a higher Casein-hydrolyzing activity.\n\nPrincipal Component Analysis (PCA) on enzyme activities, DGGE and qPCR data showed that the rhizosphere of the high NUE L05 maize line clustered separately from the respective bulk soil and from the T250 rhizosphere and bulk soil (Fig. 1). The PCA also showed that both apr and npr gene abundances and diversity clustered together, with higher correspondence to the BAA-hydrolyzing activity than to the Casein-hydrolyzing activity (Fig. 1). In fact, while the BAA hydrolyzing activity has a trypsin-like protease activity, the Casein-hydrolyzing activity is a less specific serine protease (Ladd and Butler, 1972). It can't be excluded that a more specialized proteolytic community may contribute to the observed higher NUE of the L05 than the T250 maize line.\n\nThe DGGE analysis showed complex banding patterns for both npr and apr genes. The Shannon–Wiener diversity indices for the apr gene showed a significantly greater ($P < 0.05$) diversity in the rhizosphere of both maize lines, as compared to their respective bulk soils: the diversity indices for the npr gene ranked T250B > L05R > L05B > T250R (Table 1). These results are in line with those of Sakurai et al. (2007) who also reported rhizosphere effects on the diversity of the apr gene. The qPCR analysis showed a significantly ($P < 0.05$) higher number of apr gene copies in the rhizosphere and bulk soil of the L05 as compared to the T250 maize line, whereas for the npr gene there were no significant differences between the copy numbers regardless of the maize line and soil type (Table 1). Both DGGE and qPCR results support overall positive rhizosphere effect of higher NUE plant on the apr as compared to the npr. However, it cannot be ruled out that different (one week) length of growth time of the two maize-lines prior to analysis may have been also responsible for differences in enzyme activities and gene abundance. Previous studies on Maize rhizosphere by Aira et al. (2010), reported effect on composition of rhizospheric microbial communities, but not on their abundance and on biomass of main microbial groups. But, in our studies we have noticed significant changes, also in abundance of apr gene.\n\nIllumina data were analyzed with USEARCH and UPARSE pipelines (Edgar, 2010, 2013), and resulted in an average of good quality assembled sequences of 797,716 for apr and 819,368 for npr. Number of unique sequences was very high, respectively 934,598 for apr and 1,520,600 for apr. Rarefaction curves showed that the sequencing covered the vast majority of the observed diversity, with Good's coverage >99.9% for both genes. Species distribution of 50 most abundant OTUs based on number of BLAST hits were calculated using blast2go software (Conesa et al., 2005).\n\nOTUs clustering at 95% similarity level revealed that the most abundant apr OTUs had high phylogenetic similarity with *Pseudomonas* sp., whereas most npr OTUs were from unknown sources and most others showed phylogenetic similarity with *Bacillus* spp. (Fig. 2(a) and (b)). The functional annotation showed that the most abundant apr OTU were annotated as unassigned peptidases of subfamily M10B, whereas a number of npr OTUS were identified as thermolysins and stearolysins from different *Bacillus* species (Supplementary Table 1(a) and (b)).\n\nIllumina OTUs analyses are in agreement with results by Watanabe and Hayano (1994a,b), who reported that *Bacillus* spp. are the main source of npr genes in soil. However, several unknown metallo-peptidase npr gene sequences outnumbered other known\n\n\n\n| Soil type | apr gene | npr gene |\n|-----------|----------|----------|\n| **Copy numbers and standard deviation** | | |\n| L05R | $2.7 \\cdot 10^5$<sup>a</sup> | $\\pm 1.5 \\cdot 10^5$ | $7.1 \\cdot 10^7$<sup>a</sup> | $\\pm 1.1 \\cdot 10^7$ |\n| L05B | $1.8 \\cdot 10^5$<sup>a</sup> | $\\pm 1.4 \\cdot 10^5$ | $5.9 \\cdot 10^7$<sup>a</sup> | $\\pm 1.1 \\cdot 10^7$ |\n| T250R | $1.2 \\cdot 10^5$<sup>b</sup> | $\\pm 8.8 \\cdot 10^4$ | $4.2 \\cdot 10^7$<sup>a</sup> | $\\pm 1.2 \\cdot 10^7$ |\n| T250B | $1.4 \\cdot 10^5$<sup>b</sup> | $\\pm 6.5 \\cdot 10^4$ | $3.0 \\cdot 10^7$<sup>b</sup> | $\\pm 5.3 \\cdot 10^6$ |\n\n| **Shannon–Wiener diversity index (H) and standard deviation** | | |\n| L05R | $1.359$<sup>a</sup> | $\\pm 0.006$ | $2.032$<sup>a</sup> | $\\pm 0.018$ |\n| L05B | $1.328$<sup>a</sup> | $\\pm 0.020$ | $1.729$<sup>a</sup> | $\\pm 0.009$ |\n| T250R | $0.691$<sup>b</sup> | $\\pm 0.001$ | $2.040$<sup>a</sup> | $\\pm 0.004$ |\n| T250B | $1.554$<sup>a</sup> | $\\pm 0.021$ | $1.919$<sup>a</sup> | $\\pm 0.003$ |\n\nدانلود مقاله\n\nhttp://daneshyari.com/article/2024360\n\nامکان دانلود نسخه تمام متن مقالات انگلیسی\nامکان دانلود نسخه ترجمه شده مقالات\nپذیرش سفارش ترجمه تخصصی\nامکان جستجو در آرشیو جامعی از صدها موضوع و هزاران مقاله\nامکان پرداخت اینترنتی با کلیه کارت های عضو شتاب\nدانلود فوری مقاله پس از پرداخت آنلاین\nپشتیبانی کامل خرید با بهره مندی از سیستم هوشمند رهگیری سفارشات"}}},{"rowIdx":204876,"cells":{"text":{"kind":"string","value":"Rethinking School\n\nWhen mandates come down from the state legislature, a collective Cornwall groan is the usual response. But a recent directive, PA 93-263, actually makes sense and, wonder of wonders, is practically without cost. Its thrust is to require each local school board to appoint an ad hoc citizens' committee to rethink the local school system. \"There's a fast-changing, multicultural world out there,\" goes the reasoning. \"Schools need to adjust to this reality.\"\n\nAccordingly, on January 29 our CCS board gathered 20 interested Cornwallians for an all-day brainstorming session at the beautiful Trinity Conference Center. Included in this group were such luminaries as our first selectman, the CCS principal, the UConn Torrington Branch director, and — recently out of the trenches — a 1993 HVRHS graduate. School Board members Pat Blakey and Dianne Heiny did much of the organizational work, and Peter Hammond served as facilitator.\n\nThe brainstormers were first asked to suspend their preconceived paradigms (paradigm: mode, archetype, pattern) of elementary schools as we know them. To prime the panel's mental pumps, examples of non-educational paradigms that have outlived their usefulness were suggested. Examples: \"Watches are wound regularly, have hands, and go tick\"; \"Japanese goods are shoddy imitations unfit for American markets.\"\n\nThe brainstormers immediately warmed to their task. The paradigm of the 9:00 to 3:00 school day, the nine-month year, and classroom-confined education all came under fire. Called into question also was the subject-by-subject compartmentalization of learning processes. Judging student performance by test scores on a curve was found wanting by some, and group learning itself took a few hits. Suggested replacements for these \"sacrosanct\" practices were a profusion of innovative philosophies and programs provoking reactions ranging from \"already being worked on by CCS teaching staff\" to \"unrealistic in the real world ... or is it?\"\n\nA second meeting of the committee took place on February 12 to edit the jumble of ideas left on the table. The edited version of the committee's paradigm-breaking ideas will join those proposed by ad hoc committees from other towns in this region. A convocation or representatives from each Northwest Corner town will, in turn, attempt to stitch together a regional educational quilt.\n\nWill anything substantive come of these combined exercises? It's up to the school board of each town to decide. Cornwall is justly proud of CCS — we hope not complacent about it.\n\n— Scoville Soule\n\n... And Still Champion\n\nFor the fourth time in a row, Cornwall Consolidated School students ranked highest in the state in their Mastery Test scores.\n\nA new category has been added to the scoring system this year — excellence — which, as school principal William Oros says, \"is what we strive for.\" The other two categories, proficiency and \"remediation needed,\" remain unchanged.\n\nThe tests, mandated by the state, are given in the fourth, sixth, and eighth grades. CCS fourth graders scored 94% excellent or proficient in math; 100% excellent in language arts; 100% excellent or proficient in reading; and 93% excellent or proficient in writing.\n\nAll sixth and eighth graders were in the excellent category in math, language arts, and reading. In writing, the eighth graders were all either excellent or proficient, while 91% of the sixth graders also\n\n(continued on page 2)\n\nMARCH 1994\n\n| SUNDAY | MONDAY | TUESDAY | WEDNESDAY | THURSDAY | FRIDAY | SATURDAY |\n|--------|--------|---------|-----------|----------|--------|----------|\n| | | Agric. Adv. Comm. 7:30pm CCS Inland Wetlands 7:30pm Town Hall* Park & Rec. 7:30pm Town Office | W. Cornwall Merchants Assn. 10am Cadwell's | | | Kugeman Village Open House 11am-3pm (p.3) |\n| 6 | 7 | Bd. of Selectmen 7:30pm Town Hall Conserv. Comm. 7pm Town Office | Hous. River Comm. 7:30pm CCS Lib. | | | 12 LINCOLN'S BIRTHDAY Poetry Reading 8pm Cadwell's |\n| 13 | 14 | Cornwall Lib. talk by Charles Osborne, 4pm (p.4) Corn. Lib. Art Show \"Mixed-up Media\" Brigitte Hanf P&Z 7:30pm Town Hall | | | | |\n| 20 | 21 | Bd. of Selectmen 7:30pm Town Hall HVRHS Bd. of Ed. 7pm HS Lib. | | | | |\n| 27 | 28 | FIRST DAY OF PASSOVER PALM SUNDAY ZBA 7:30pm Town Office* | | | | |\n| 29 | 30 | | | | | |\n| 31 | | | | | | |\n\n*Check time and place at Town Office. † United Church of Christ\n\n(continued from page 1) scored in one of those two categories.\n\nThe test format was different this year, Oros explained, with no multiple choice questions and more writing required. Unlike past years, the school now receives only a numerical score for each student, rather than the corrected tests, which teachers could use to identify individual problems. Since the new system is therefore not helpful to the school as a teaching guide, Oros wonders if the two weeks spent every September administering the tests is educationally worthwhile: \"I think we could put those two weeks to better use.\"\n\nOros, who hadn't been sure how the new tests would affect CCS scores, said, \"I certainly am proud of the youngsters, the teachers, and the community.\" He feels that the community's support of the school, and its strong commitment to education, play an important role in the school's success. And, he added, \"It certainly doesn't hurt that Cornwall gets such poor television reception.\"\n\n— Barbara Klaw\n\nPoet on Film\n\nFootball offered no competition for an enthusiastic audience of 50-odd people who showed up in Cornwall on Super Bowl Sunday to view the latest in a series of presentations by the Cornwall Library Association — a documentary on Mark Van Doren (1894-1972) by his grandson, Adam, an architect, painter, and filmmaker.\n\nBy way of introduction, Adam Van Doren described his grandfather as a daunting subject: a poet, teacher, and critic who wrote over 50 books, published 20 volumes of poetry, and for 40 years was a revered professor at Columbia University. Like his elder brother Carl, who first inspired him to become a writer, Mark started out in New York as literary editor of the Nation (where he met, and later married, another editor, Dorothy Graffe). Carl and Mark both won Pulitzer Prizes (in 1939 and 1940). Both were devoted to Cornwall.\n\nFrom the 1920s on, Mark and Dorothy Van Doren found refuge from New York at their 150-acre farm, the old Bradford place in Cornwall Hollow, which, according to one of their two sons, Charles, became for his father \"a great poem\" in itself.\n\nAdam Van Doren's film provides a well-rounded portrait of his grandfather through comments by a critic, a publisher, and several poets who knew him well. Through it runs the voice of the poet reading from his work, accompanied by pictures of the Cornwall countryside, the \"little Eden\" that he celebrated in his poetry for half a century.\n\n— Jean F. Leich\n\nMore Home/Work Options\n\nThe most important business at the Planning and Zoning Commission's Valentine's Day meeting was the public hearing for, and subsequent passage of, revised and new regulations for uses of homes beyond their primary residential use. These include four levels of activity that can be allowed by special permit: traditional home enterprises, i.e., the production and sale of homemade goods; general home occupations such as small-scale business or professional activity; shop and storage uses by contractors and building tradespeople whose work is off the premises; and major home businesses which, in select, qualified locations, could operate at more intensive levels of use with conditions set so as to insure consistency with a residential neighborhood. Among other requirements, all of these uses would require a site plan, a public hearing, and, unless otherwise specified, a permit valid for two years and renewable by the applicant.\n\nAlso approved were revisions reflecting state statutes regarding agriculture, and an addition to the signs section of the regulations allowing, by right, personal, decorative flags, as well as national flags.\n\n— Ginny Potter\n\nMore Bridgework\n\nOn January 24, a lively hearing took place at the Cornwall Bridge Masonic Lodge on the future of the Popple Swamp Road bridge over Furnace Brook. This bridge was inspected recently by the state, and the town was put on notice that it had to undergo substantial repairs, costing more than $150,000. If the town agrees to abide by state specifications for road bridges, the total reconstruction cost (about $200,000) will be covered by state or federal funds.\n\nHowever, these specifications require that the bridge be widened from 16 to 24 feet, that the approach guardrails be extended on both sides, and that the bridge be connected to the state-owned railroad bridge as a means of controlling possible fast-flow water damage. Widening the bridge will entail some encroachment on the land of the adjoining property owners.\n\nAt the January 24 session, Popple Swamp Road residents expressed great concern lest the widening of the bridge increase the speed of traffic descending the road toward the old station. Already there have been accidents near the bridge, involving pets and children. Strong sentiments were voiced that the town should repair the bridge at its present width, even if this meant that Cornwall would have to foot the entire bill.\n\nThe following week, on February 4, the selectmen met and approved a contract with Lenard Engineering to rebuild the bridge in accordance with the state's specifications. In order to take into consideration the concerns of Popple Swamp Road residents, appropriate warning signs and speed limits will be posted, and the contractor will be asked to persuade the state to permit the use of wooden rather than metal guardrails, of a shorter length than is normally required.\n\n— John Leich\n\nCornwall In Concert\n\nOn Sunday, February 6, the nave of the United Church of Christ in Cornwall rang with Celtic, English, and American folksongs, many of which dealt with the scenery of Cornwall-like parts of the world — hills, valleys, and woods. The singers were Cornwall's own Coltsfoot Chorus in their third public performance, and first benefit.\n\nThe second half of the concert featured Anne Chamberlain and John Miller in a nostalgic program of show tunes sung with charm and vigor. Some were chosen for their ecclesiastical content: \"Pennies from Heaven,\" \"I Married an Angel,\" and the like. Other songs reminded us all too poignantly of our youth, as we joined in on those whose lyrics we could remember.\n\nThe benefit performance will allow students of the Jubilee School, an inner-city school in Philadelphia, to come to Cornwall for a 5-day visit in June.\n\n— John Leich\n\nWelcome\n\nClotile Lawrence Laigle to Hilary and Ron Laigle, Jr.\n\nKale James Prentice to Jane and Jim Prentice\n\nGoodbye to Friends\n\nThelma Kearns\nClifton R. Read\nVladimir M. Steucek\n\nCongratulations\n\nGlenn Arthur Cass to Chwee Hong Tiong\nYoshihiro \"Mappe\" Matsudaira to Rachel Migliacci\n\nLand Transfers\n\nJoseph L. and Lois M. Golden to Joseph A. McKenna, house on Sharon-Goshen Turnpike for $80,000.\n\nColtsfoot Farm Limited Partnership to April Stevens Neubauer, house and 9.954 acres on Valley Road for $235,000.\n\nGetting Ready for Refugees\n\nCornwall's Refugee Resettlement Committee is seeking community support to help relocate a refugee family to our area. Working through Interfaith Refugee Ministry, the committee has requested a family with young children from any country where\n\npeople are fleeing from persecution, war, or starvation. We hope to be able to welcome a refugee family to Cornwall this spring.\n\nThe committee must raise $2,500 to $3,000 to assist a family of four for about four months, after which time the parents will begin to be able to support their family themselves. Donations may be sent to the United Church of Christ in Cornwall; checks should be made out to the Deacons' Fund and earmarked \"refugee.\" We are also interested in hearing from folks with housing or employment opportunities.\n\nAt an orientation meeting on February 13 at the United Church of Christ, a representative from Interfaith Refugee Ministry presented a model outlining the process for receiving a refugee family, explaining the responsibilities of the sponsors and the family. Committee members were to meet again on February 27 to sign up for subcommittees such as fund-raising, housing, employment, medical care, publicity, transportation, finance, language, and acculturation. New members from the community are welcome. Please contact Jill Gibbons (672-0033), Ann Baren (672-6637) or Peter Ebersol (672-0081).\n\n— Jill Gibbons\n\nRapping With Ridgway\nA Valentine's Day chat with First Selectman Gordon Ridgway started with the weather, which has been on everyone's mind. Foreman Don Reid reported that 74 inches of snow have fallen on Cornwall since the beginning of winter. Eight storms in January and three in February (as of mid-February) dropped 59 of those inches.\n\nOf the $36,000 budgeted for snow removal, $10,000 remains. Sand and salt costs have come to $16,000, contracted help to $4,000, and costs of operating equipment total $6,000 to date. Town workers have accumulated 150 hours of overtime, with some of those hours coming in 30-hour stretches. For ecological as well as economic reasons, the road crew has plowed more frequently in order to use less salt and sand. Ridgway praises the \"crew that has managed to handle a punishing situation by working incredibly hard.\" His remark will no doubt be echoed by many grateful townspeople who welcome the flashing of lights and the rumble and clanking of the trucks as they surf waves of snow onto the shoulders and into the ditches of the 58 miles of Cornwall's town roads.\n\nFiremen have also been busy. In the freezes of January, they responded to 18 calls having to do with automobile and chimney fires and with downed power lines. No overtime pay, however, for these volunteers, except for the ongoing appreciation of the community. — Ken Keskinen\n\nSelectmen Present Budget\nAt the March 17 meeting of the Board of Finance, the selectmen presented their budget for discussion. The carefully-prepared budget stuck to the guidelines of the five-year plan approved by the town. Costs for roads and bridges are expected to increase slightly, as are salaries; but in all areas the selectmen are trying to keep expenses down. Discussion also revealed that the town must anticipate increased costs of sending more students to the high school in the coming years.\n\nTaxpayers who have ideas and concerns to share are urged either to attend budget hearings or to write to the BoF or the Board of Education. All hearings are listed in the Chronicle, with the final Town Meeting vote on May 20. — Ken Keskinen\n\nThere'll Always Be An ...\nPark & Rec's Travelog program continued on February 4 with a talk by Julia Scott on England. Julia had a number of tips for prospective travelers: do research on the places you will see, don't try to see too much, and connect your own interests to the places and things that you will be seeing. Julia suggested different forms of locomotion — barging, biking, walking, going on small railroads — as ways of getting to know people and places better. She talked lovingly of cathedrals, churches, and — especially — gardens, which, she said, reflect the English \"passion for the landscape.\" She offered to give advice to anyone planning a trip to England. At the end she introduced Helen Tennant, who described her preparations for an upcoming trip to the Scilly Islands. — John Zinsser\n\nTranquil Photographs\n\nAn aura of serenity is what unites Verne Henshall's diverse photographic studies at Cornwall Library. Quiet compositions and muted colors evoke the tranquility of another age, particularly in the portraits. Except for the shrewd, challenging stance of pioneer aviator Gus Graf, all these people, whatever their phase of life — youth, maturity, old age — are preoccupied with inner rather than earthly concerns. At the end of his life, \"Pappy\" lies inert in his bed gazing into the beyond, far from his watchful dog companion and the dead world of winter framed in his window. \"Trulli rooftops\" and \"Gondolier's view\" are studies in shapes, and a haunting still life of black tulips, black lace, and oriental embroidery reflects Ms. Henshall's own past life in the world of fashion and fabrics. Until March 12. — Brigitte Hanf\n\nKugeman Village — Moving In\n\nInterviewing Kugeman Village applicants for the initial applicant pool has now been completed, and it is expected that the first residents will move into their new apartments in March. Other applicants will be interviewed to be placed on a waiting list.\n\nAn Open House will be held on Saturday, March 5, from 11 a.m. to 3 p.m. for any and all townspeople who wish to see what has been created. The formal dedication, to which all are also invited, is to be held in May.\n\nThe CHC board is saddened by the death of its long-time vice president, Clifton Read. An enthusiastic and hard-working member, Clif was dedicated to helping people in Cornwall. At his families request, the CHC board has created in his memory the Clifton Read Housing Assistance Fund. Many contributions have been received; others may be sent to PO Box 174, Cornwall, CT 06753. — Ken Keskinen\n\nEvents & Announcements\n\nRumsey Mural Competition: Artists of all ages are invited to design a new unit to replace the mural now existing on the attic window space in the pediment of Rumsey Hall. Designs for the ten-foot by two-and-a-half-foot space are to be turned in to the Cornwall Library by April 9. Detailed information and rules are available at the Library, Town Office, and Cadwell's Corner, or from Tim Prentice.\n\nA Profane General at the Library: On March 13, Charlie Osborne will talk about his new book, Jubal, and what it was like for a Yankee to put together a biography of the profane, difficult, and complex Confederate General Jubal Early. His talk is part of the ongoing series of Sunday afternoon talks sponsored by the Cornwall Library Association, and will take place at 4 p.m., followed by refreshments.\n\nThe Democratic Town Committee will meet on Tuesday, March 22, at 7:30 p.m. in the Town Hall to elect officers. That meeting will be followed by a caucus to elect delegates to the various state conventions. All Democrats are urged to attend.\n\nRed Cross Bloodmobile: We are all aware that should we urgently need a blood transfusion it will come from donors like ourselves who give blood that is tested, processed, and delivered by the Red Cross blood program. At the present time supplies are low, particularly for the negative blood types. Although Cornwall is not large enough to justify a day-long Bloodmobile visit, the unit does come to nearby towns. Dates of those visits are published in local papers. The Cornwall branch of the Red Cross will provide transportation to any of those locations. Just be over 17 years old, more than 110 pounds in weight, and in good health. Call Jack Forster (672-0141), Pauline Hayes (672-6413), or Scoville Soule (672-6117) if you need a ride.\n\nEarly Childhood Screening continues to be held at CCS on a monthly basis, offered by Regional School District One. It is open to all three- and four-year-olds. Each child's developmental level is assessed in motor skills, language development, cognitive skills, and social development. If your child has turned three and you are interested in this service, please call Martha Bruehl at 672-2939 to schedule an appointment.\n\nCCS Student Wins Scholastic Art Award: Congratulations to eighth grader Becky Wolfe for winning a silver key in the statewide Scholastic Art Awards. Of the 2,500 contestants, Becky was one of 100 students who received a silver key (second place).\n\nTax Credit, Anyone? Cornwall homeowners who were 65 or older by Dec. 31, 1993, or who are receiving Social Security disability payments, may be eligible for credit on their property tax. The property must be their principal residence and total income including Social Security must be less than $20,700 (single) or $25,400 (married). Applications may be filed in the assessor's office until May 15; credits for persons found eligible will apply to the July billing. Homeowners in the program must reapply every two years. Forms have been mailed to homeowners who must reapply this year. Applications are available from the assessor's office, open Tuesdays and Thursdays 9 a.m. to 12 noon and Wednesdays 1-4 p.m.\n\nCorrection: The listing in the Feb. issue of Republican Town Committee members for 1994 unfortunately erred on two counts: Dick Dakin is no longer a member, and Joan Thitchener will continue to serve on the committee. Sorry, Joanie.\n\nCORNWALL CHRONICLE\nILLUSTRATIONS Brigitte Hanf\nMARCH EDITORS\nPeg & Ken Keskinen Jean & John Leich\nAPRIL EDITORS\nPeg & Ken Keskinen George Kittle\nDIRECTORS: Tom Revans, PRESIDENT • Edward Ferman, SECRETARY\nRobert Beers, TREASURER • Barbara Klein\nHendon Chubb • Barbara Dakin • Audrey Ferman • Charles Osborne\n\nBULK RATE\nCAR-RT SORT\nU.S. POSTAGE\nPAID\nWest Cornwall, CT\nPermit No. 6"}}},{"rowIdx":204877,"cells":{"text":{"kind":"string","value":"Provider Liability under Public Law 98-21: The Medicare Prospective Payment System in Light of *Wickline v. State*\n\nRoss P. Lanzafame\n\nFollow this and additional works at: [https://digitalcommons.law.buffalo.edu/buffalolawreview](https://digitalcommons.law.buffalo.edu/buffalolawreview)\n\nPart of the Medical Jurisprudence Commons, and the Social Welfare Law Commons\n\n**Recommended Citation**\nRoss P. Lanzafame, *Provider Liability under Public Law 98-21: The Medicare Prospective Payment System in Light of Wickline v. State*, 34 Buff. L. Rev. 1011 (1985).\nAvailable at: [https://digitalcommons.law.buffalo.edu/buffalolawreview/vol34/iss3/9](https://digitalcommons.law.buffalo.edu/buffalolawreview/vol34/iss3/9)\n\nProvider Liability Under Public Law 98-21: The Medicare Prospective Payment System in Light of Wickline v. State\n\nINTRODUCTION\n\nAt age forty-five, Lois Wickline began experiencing lower-back pain. After an examination by her family practitioner and by a vascular surgeon, the source of Mrs. Wickline’s pain was diagnosed as insufficient blood flow to her legs due to a vascular disorder. A conservative course of treatment was undertaken for a year but Mrs. Wickline’s condition failed to improve. Circulation to her legs deteriorated and Mrs. Wickline’s physicians decided that surgery was required.\n\nOn January 7, 1977, bypass surgery was performed in order to improve the flow of blood to Mrs. Wickline’s legs. Within hours of surgery, a blood clot formed in her right leg—a serious complication that necessitated immediate surgical removal of the clot. Five days later, Mrs. Wickline underwent a third surgical procedure and, subsequently, began physiotherapy in an effort to further improve the circulation in her legs.\n\nDue to family financial difficulties, Mrs. Wickline’s hospitalization and medical treatments were covered by Medi-Cal. Under the Medi-Cal reimbursement system, Mrs. Wickline’s hospital stay was only authorized for payment until 1:00 p.m. on January 17, 1977. After that time, the hospital would not be entitled to reim-\n\n---\n\n1. Wickline v. State, No. NWC 60672 (Los Angeles County Super. Ct. 1982) (an unreported jury trial) as recounted in Carlova, *A Jury Lands A $500,000 Haymaker On Health Bureaucrats*, 60 MED. ECON. 80 (1983).\n\n2. Carlova, *supra* note 1, at 82.\n\n3. *Id.* Medi-Cal is the State of California’s program for the provision of health care services to recipients of public assistance, as well as to the “medically indigent aged.” CAL. WELF. & INST. CODE § 14000 (West 1980). The purpose behind the Medi-Cal program is to provide access to health care for those unable to afford the same access enjoyed by the general public. *Id.* Utilization controls designed to contain the state’s total expenditures for health care for the needy are an integral part of the Medi-Cal program. Under Medi-Cal, providers must seek authorization before rendering services. Only those services deemed medically necessary will be authorized for payment by the Medi-Cal program. *Id.* § 14133.\n\n4. Carlova, *supra* note 1, at 82.\n\nbursement for any care rendered. The post-surgical complications, however, necessitated a lengthier period of hospitalization than the eleven days covered by the Medi-Cal plan. Mrs. Wickline's physicians requested an eight day extension from the Medi-Cal Utilization Review nurse and consulting physician but Medi-Cal approved only a four day extension. On January 21, 1977, at the end of the four days, Mrs. Wickline was discharged from the hospital.\n\nShortly after her discharge, a blood clot recurred in Mrs. Wickline's right leg.\\textsuperscript{5} Due to the severity of her condition, immediate re-admission and further surgery was required. In two subsequent operations, Mrs. Wickline's right leg was amputated at mid-thigh.\\textsuperscript{6}\n\nMrs. Wickline sued the State of California, charging that the state \"carelessly and negligently abandoned\" her at a time when she was \"in need of continuing hospital care.\"\\textsuperscript{7} At the close of the trial, and after only four hours of deliberation, the jury returned a verdict of $500,000 for Mrs. Wickline.\\textsuperscript{8}\n\nBoth the Medi-Cal system, and the way in which providers\\textsuperscript{9} receive reimbursement for medical services rendered, were on trial in \\textit{Wickline v. State}. The \\textit{Wickline} case exemplifies the situation where provider liability arises or is increased by a reimbursement system. The advent of prospective payment plans for hospital services makes Mrs. Wickline's story, and the jury's verdict, a particularly significant issue for providers and government agencies. The most notable prospective reimbursement system, and the focus of this Comment, is the Medicare prospective payment system, instituted by the federal government in 1983.\n\nOn April 20, 1983, President Reagan signed the Prospective Payment for Medicare Inpatient Services Amendment to the Social Security Act into law\\textsuperscript{10} (The Prospective Payment Act). Under this Act, providers are reimbursed before care is rendered, rather than according to the previously used retrospective reimburse-\n\n\\begin{itemize}\n\\item[5.] \\textit{Id.}\n\\item[6.] \\textit{Id.} at 83.\n\\item[7.] \\textit{Id.}\n\\item[8.] \\textit{Id.} at 85.\n\\item[9.] As used in this Comment, the term \"providers\" shall mean individuals and institutions engaging in the delivery of health care services. Typically, provider is a term of art used to describe hospitals and physicians.\n\\item[10.] Pub. L. No. 98-21, 97 Stat. 65 (1983).\n\nment formulation. Congress intended to create a payment system based upon a profit motivation, thus fostering a more business-like and cost-efficient health care delivery network.\\textsuperscript{11} As the federal government's Medicare program embarks on a prospective payment system that creates a strong profit incentive, the potential for provider liability is increased.\n\nThis Comment will illuminate the sources of provider liability that arise as a result of, or are enhanced by, the Prospective Payment Act. The analysis will begin by tracing the historical development and rise of the prospective payment scheme adopted by the federal government. The key components of the Prospective Payment Act will be examined, with particular emphasis placed upon the profit incentive established by the legislation. Potential physician responses to the profit incentive will then be reviewed in light of three possible sources of liability: malpractice, failure to diagnose or adequately treat, and refusal to treat. The analysis will explore likely hospital responses to the system and the potential for hospital liability based upon interference with physician livelihood (staff privilege denial or curtailment) and financial conflict of interest. Finally, the analysis will consider the potential for governmental liability created by prospective payment.\n\nI. THE HISTORY AND DEVELOPMENT OF PROSPECTIVE PAYMENT SYSTEMS AND THE PROSPECTIVE PAYMENT ACT\n\nIn 1946, Congress enacted the Hill-Burton Act\\textsuperscript{12} which provided federal funds to construct and strengthen the nation's hospitals.\\textsuperscript{13} The Medicare\\textsuperscript{14} and Medicaid\\textsuperscript{15} programs, instituted by\n\n\\begin{itemize}\n \\item H.R. REP. NO. 98-25, 98th Cong., 1st Sess. 1, 132, reprinted in 1983 U.S. CODE CONG. & AD. NEWS 219, 351.\n \\item Pub. L. No. 725, 60 Stat. 1040 (1946).\n \\item R. ROEMER, C. KRAEMER, J. FINK & M. ROEMER, PLANNING URBAN HEALTH SERVICES FROM JUNGLE TO SYSTEM 15 (1975) [hereinafter cited as R. ROEMER]. The Hill-Burton Program was administered by the Facilities Planning and Construction Service of the Department of Health, Education and Welfare from 1947 until 1971. During that period, the program provided $3.7 billion for the construction and modernization of the nation's public and private hospitals. In addition, funds were available in the form of direct and guaranteed loans to assist in hospital and emergency room construction. The primary purpose of the Hill-Burton Program was to reduce the shortage of hospital beds existing in post-World War II America, particularly in the rural areas of the nation. Additionally, the program was intended to help alleviate the imbalance in health care facilities that existed between wealthy and poorer states. Id. at 180-82.\n \\item 42 U.S.C. § 1395 (1982).\n\nCongress in the mid-1960's, helped to ensure broad-based access to the nation's hospital facilities.\\textsuperscript{16}\n\nThe intent behind the initial Medicare and Medicaid legislation was to provide equal access to health care; little attention was given to cost or cost control.\\textsuperscript{17} In fact, Medicare, Medicaid, and the related third-party payer Blue Cross/Blue Shield, provided major disincentives for cost savings.\\textsuperscript{18} The patient rarely, if ever, paid the bills generated by medical treatment. In addition, third-party payers reimbursed health care providers according to a retrospective \"reasonable cost\" standard. As a result patients became removed from the payment system to such an extent that they were no longer aware of the actual cost of care. Providers were likewise insulated because payment for services rendered was virtually guaranteed.\\textsuperscript{19} The inevitable consequence of this double-insulation was a nearly exponential rate of increase in health care costs.\\textsuperscript{20} Since the mid-1960's, the rise in health care costs has an-\n\n\\begin{itemize}\n \\item[15.] 42 U.S.C. § 1396 (1982).\n \\item[16.] R. ROEMER, supra note 13, at 7. Medicare, the major federal health care program, was designed to ensure that all elderly citizens who are entitled to Social Security benefits receive access to health care equal to that received by all other Americans. The elderly were seen by Congress as a deserving group whose only bar to health care was the financial disadvantage of retirement. Medicaid was intended to provide access to medical services for the poor and indigent. Both Medicare and Medicaid provide access to health care facilities for millions of Americans who, prior to the enactment of Pub. L. No. 89-97, had been denied access to main-stream health care due to their inability to pay for services rendered. Id.; F. THOMPSON, HEALTH POLICY AND THE BUREAUCRACY 109-85 (1981).\n \\item[17.] The legislation provided that the government would pay hospitals and physicians according to a \"reasonable cost\" standard. In essence, as long as provider costs were deemed to be reasonable—a slippery concept at best—they were paid. From 1967 to 1980, Medicare enrollees rose from 19 million to 27.4 million in number. During that same period, however, the total cost of care paid by the government under the Medicare program rose from $2.8 million to $23.1 million.\n\nMedicaid, like Medicare, fostered access and spared no expense. Eligibility requirements for Medicaid benefits were left to the states' discretion. Under Medicaid, the federal government funded 50% of the cost of care, while the states funded the remainder. Initially, some states were very liberal in their eligibility requirements. New York, perhaps the most generous state, established eligibility requirements that entitled 45% of the state's population to Medicaid benefits. Access, not cost, was the primary concern. F. THOMPSON, supra note 16, at 111-12, 129-30, 154-85; Grimaldi, Prospective Payment Scheme Overhauls Hospitals' Financial Incentives, 64 Hosp. Progress 46, 48 (1983).\n\n\\item[18.] Grimaldi, supra note 17, at 46-48.\n\\item[19.] Id. at 48.\n\\item[20.] Id.; see also Shaffer, DRG's: History and Overview, 4 Nursing & Health Care 388, 389 (1983). Providers, under Medicare and most other third-party payment systems, were virtually assured payment for whatever costs were incurred in caring for recipients. As long as revenue exceeded costs, efficiency was not a major concern to providers. Moreover,\n\nnually outpaced inflation. In recent years, the disparity between the general inflation rate and the rise in health care costs has expanded greatly. For example, in 1983, the cost of health care increased 12.6% while the overall inflation rate for the nation was a modest 3.9%.\n\nSkyrocketing health care costs and the subsequent, virtually uncontrollable rise in Medicare expenditures, alarmed the federal government. The federal government projected that the Medicare system would operate at a $7 billion deficit by 1988. More alarming than this prediction was the government's long-term projection to the year 1995. By that year the Medicare Trust Fund could be expected to operate at a $310 billion deficit. Searching for a solution, Congress enacted the Tax Equity and Fiscal Responsibility Act of 1982 (TEFRA). As part of TEFRA, the Department of Health and Human Services was directed to develop a system of prospective payment for the inpatient medical services of Medicare patients.\n\nIn response to the directive of TEFRA, the Department of Health and Human Services prepared its recommendations and presented them to Congress with the support and backing of the Reagan Administration. Within three months, Congress modified the Department's recommendations, and enacted the Prospective Payment for Medicare Inpatient Hospital Services under the retrospective \"reasonable cost\" standard of reimbursement, as costs rose so did reimbursement payments. The absence of an incentive to conserve resources, therefore, had a marked inflationary impact on total health care costs. *Id.*\n\n21. Shaffer, *supra* note 20, at 388.\n\n22. Since the early 1970's, the federal government has tried to stem the rise in Medicare expenditures through a variety of means. Among the efforts undertaken by the government was an increase in the amount of Medicare beneficiary co-payments, and the encouragement of alternate modes of health care delivery such as HMOs. *The Upheaval in Health Care*, Bus. Wk., July 25, 1983, at 45-46.\n\n23. Grimaldi, *supra* note 17, at 47.\n\n24. *Id.*\n\n25. Pub. L. No. 97-248, 96 Stat. 324 (1982). TEFRA was the government's first step toward making health care more business-like; efficiency was to be rewarded and inefficiency was to be penalized. As part of TEFRA, hospitals would be subject to cost-per-case limits and a government imposed cap on the rate of increase for inpatient cost would be imposed. 48 Fed. Reg. 39,426 (1983).\n\n26. 48 Fed. Reg. 39,752 (1983).\n\n27. H.R. REP. No. 98-25, 98th Cong., 1st Sess. 132, *reprinted in* 1983 U.S. CODE CONG. & Ad. News 219, 351.\n\nAmendment to the Social Security Act.\\textsuperscript{28}\n\nIn enacting the Prospective Payment Act, Congress stated:\n\nThe bill is intended to improve the Medicare program's ability to act as a prudent purchaser of services, and to provide predictability regarding payment amounts for both the Government and hospitals. More important, it is intended to reform the financial incentives hospitals face, promoting efficiency in the provision of services by rewarding cost-effective hospital practices.\\textsuperscript{29}\n\nClearly, Congress intended to radically alter the hospitals' financial incentives.\n\nImplicit in the legislation is the realization that the old retrospective reimbursement system provided an incentive to over-treat and over-hospitalize, resulting in the increased cost of care and increased lengths of stay.\\textsuperscript{30} In contrast, the new Medicare prospective payment system seeks to encourage cost savings by providing a set payment for each episode of care, \\textit{i.e.}, each hospital stay.\\textsuperscript{31} As demonstrated by the first available statistical data, lengths of stay can be reduced and the overall cost of care more easily predicted and controlled through the use of prospective reimbursement.\\textsuperscript{32}\n\nII. KEY COMPONENTS OF THE PROSPECTIVE PAYMENT ACT\n\nA. The DRG Concept and the Profit Incentive\n\nThe cornerstone of the Prospective Payment Act is the Diagnosis Related Group\\textsuperscript{33}(DRG), first introduced in the New Jersey prospective payment experiment in 1978.\\textsuperscript{34} DRGs are patient clas-\n\n\\begin{itemize}\n \\item \\textsuperscript{28} \\textit{Id.}\n \\item \\textsuperscript{29} \\textit{Id.}\n \\item \\textsuperscript{30} Grimaldi, \\textit{supra} note 17, at 48. Under retrospective reimbursement, hospitals were reimbursed for all \"reasonable costs\" incurred. Hospitals were, in effect, encouraged to treat and continue to treat so long as their revenue exceeded their costs—regardless of the benefit of the care provided. Conversely, prospective payment systems penalize providers who fail to conserve. Payments are fixed in advance so that hospitals that overtreat, and exceed the prepaid rate, suffer financial loss. \\textit{Id.}\n \\item \\textsuperscript{31} Widem, \\textit{Prospective Payment For Psychiatric Hospitalization: Context and Background}, 35 \\textsc{Hosp. and Community Psychiatry} 447, 447-48 (1984).\n \\item \\textsuperscript{32} \\textit{Headlines: Hospitals Respond to Decreased Demand}, \\textsc{Hospitals}, Sept. 1, 1984, at 22. \\textsc{Hospitals}, the journal of the American Hospitals Association, presented an analysis of the data available for the period October, 1983, through April, 1984, for hospitals participating in the Medicare prospective payment system.\n \\item \\textsuperscript{33} 48 Fed. Reg. 39,752 (1983) (to be codified at 42 C.F.R. §§ 405.409 & 405.489).\n \\item \\textsuperscript{34} N.J. \\textsc{Admin. Code} tit. 8, § 31B-5.1 (1984). In 1978, New Jersey began a prospective payment experiment utilizing the DRG concept. DRGs were initially the product of a Yale\n\nsifications based upon the patient's diagnosis and the treatment modality employed by the provider. Congress reasoned that DRGs were a rational device to use since diagnosis related \"groups . . . are clinically coherent and homogeneous with respect to resource use.\" In other words, DRGs give providers an easy way to define the \"products\"—in the business sense—that their services produced.\n\nUnder the Prospective Payment Act, the Secretary of Health and Human Services is directed to develop a payment rate for each DRG based upon a blending of regional and national average cost factors. During the initial four year phase-in period the DRG rate will be composed only of national cost factors. Thereafter, DRG rates will be adjusted annually to reflect changes in the national cost of care.\n\nUnderlying the DRG system is the concept that the treatment of each patient, and each episode of institutionalization, is a dis-\n\nUniversity study and proposal aimed at reducing health care expenditures. See Shaffer, supra note 20, at 390-91. The New Jersey code defines DRGs as representing \"categories of hospital inpatients with similar clinical characteristics; and . . . patients in each DRG can be expected to consume similar amounts of hospital resources.\" N.J. ADMIN. CODE tit. 8, § 31B-5.1 (1984).\n\nThe New Jersey prospective payment system applies the DRG concept to all patients (including those covered by Blue Cross/Blue Shield and all other third party payers), whereas, the Prospective Payment Act applies only to Medicare beneficiaries. Shaffer, supra note 20, at 390-91.\n\n35. H.R. REP. NO. 98-25, 98th Cong., 1st Sess. 136, reprinted in 1983 U.S. CODE CONG. & AD. NEWS 219, 355 (1983). The Medicare prospective payment system utilized 470 DRGs. The following is a partial listing of the DRGs employed under the Prospective Payment Act:\n\nDRG 409 Radiotherapy\nDRG 410 Chemotherapy\nDRG 417 Septicemia Age 17\nDRG 436 Alcohol dependence\nDRG 441 Hand procedures for injuries\nDRG 446 Multiple trauma\nDRG 392 Splenectomy\nDRG 316 Renal failure\n\n49 Fed. Reg. 27,422, 27,447-27,457 (1984).\n\n36. Grimaldi, supra note 17, at 49.\n\n37. 42 U.S.C § 1395ww (1982). Initially, the rate will be based 75% upon the regional average cost and 25% upon the national average cost of caring for patients with the particular diagnosis. By year four, the rate will be based 100% upon the national average and 0% upon the regional average, with the proportions having changed 25% each year. 48 Fed. Reg. 39,752, 39,824 (1983) (to be codified at 42 C.F.R. § 405.474).\n\n38. 48 Fed. Reg. 39,752, 39,824 (1983) (to be codified at 42 C.F.R. § 405.474).\n\ncrete unit of hospital \"product.\" In an effort to foster a more business-like efficiency in patient treatment, each DRG's \"product\" is seen to require substantially the same input. It is the concept of substantially similar inputs that enables the Medicare system to treat different diagnoses as groupable and to develop an average cost of care for each group.\n\nSignificantly, the prospective payment rate predetermined for each DRG bears no direct relationship to the actual cost of caring for any given patient. The rate merely represents the average cost of caring for a typical patient presenting a particular diagnosis. It is the combination of the prospective nature of the DRG payment, and the absence of a direct relationship between a provider's cost of care and the DRG payment, that creates the profit incentive. A hospital that is able to treat patients at a total cost below the DRG payment rate realizes a profit. Conversely, an institution that treats at a total cost above the DRG prospective payment rate will incur a loss.\n\nThe profit incentive created by the Medicare prospective payment system presents a number of legal and ethical problems for providers. Medicare payments to hospitals are based upon each institution's total Medicare patient \"output.\" One way to increase profits is to alter the institution's \"output\" so that the only \"products\" produced are those in DRGs in which the hospital operates at a profit. An institution may alter its \"output\" either through case mix adjustments or through the ethically question-\n\n39. Grimaldi, supra note 17, at 49.\n40. See Shaffer, supra note 20.\n41. Grimaldi, supra note 17, at 46-47.\n42. Widem, supra note 31, at 447; The Upheaval in Health Care, supra note 22, at 44.\n43. As providers find ways to cope with the new payment system, and to maintain their financial viability, patient care or access to care may suffer. It has been suggested that the attempt to make health care more business-like is the prelude to the difficult moral and ethical question of \"whether Americans want to pay $50,000 to $100,000 for care of an 85-year-old patient whose quality of life is gone.\" The Upheaval in Health Care, supra note 22, at 52. Moreover, it has been suggested that provider response to Medicare's prospective payment system may lead to the restriction of access to care for the elderly. The question then becomes: Who will care for those citizens who fall through the cracks of the health care system? For a more thorough discussion of the ethical considerations, see Widem, supra note 31, at 450-51. See also The Upheaval In Health Care, supra note 22, at 52-56.\n44. Grimaldi, supra note 17, at 49.\n45. \"Output\" is the measure of an institution's total number and case mix of patients. Case mix represents the variety and proportion of diagnoses presented by the institution's\n\nable means of \"patient skimming\" or \"dumping.\" The profit incentive created by the Prospective Payment Act is strong, and it is this profit motive that increases the potential for provider liability.\n\nB. Mandatory Utilization Review\n\nCongress mandated Utilization Review in order to ensure that hospitals provide quality medical care—as opposed to providing care at variance with community standards in an effort to keep costs below the DRG payment rate. Under the Act, providers must contract with a Utilization and Quality Control Peer Review Organization (PRO). Each PRO is required to randomly review patient population. An institution may change its output by manipulating its case mix. Such manipulation of case mix is known as case mix adjustment. Zuckerman, *The Impact of DRG Reimbursement on Strategic Planning*, 29 ACHA J. 40, 43-48 (1984).\n\n46. See Widem, *supra* note 31, at 450-51. Patient skimming \"refers to hospitals' strategy of referring patients who are in less 'profitable' diagnostic groups or patients who are more severely ill to other, usually public, hospitals in order to maximize their own reimbursement.\" *Id.* at 450.\n\n47. Roemer & Mera, \"Patient-Dumping\" and Other Voluntary Agency Contributions to Public Agency Problems, 11 MED. CARE 30, 30 (1973). \"Dumping\" is the concept of refusing access to an individual or a group. In other words, those patients are dumped from the system.\n\n48. 42 U.S.C. § 1320c-1 (1982). The provision states:\n\nThe purpose of this part is to establish the contracting process which the Secretary must follow pursuant to the requirements of section 1395y(g) of this title, including the definition of the utilization and quality control peer review organizations with which the Secretary shall contract, the functions such peer review organizations are to perform. The confidentiality of medical records, and related administrative matters to facilitate the carrying out of the purposes of this part.\n\n49. 42 U.S.C. § 1320c-1 (1982).\n\nThe term \"utilization and quality control peer review organization\" means an entity which—\n\n(1)(A) is composed of a substantial number of the licensed doctors of medicine and osteopathy engaged in the practice of medicine or surgery in the area and who are representative of the practicing physicians in the area, designated by the Secretary under section 1320c-2 of this title, with respect to which the entity shall perform services under this part, or (B) has available to it, by arrangement or otherwise, the services of a sufficient number of licensed doctors of medicine or osteopathy engaged in the practice of medicine or surgery in such area to assure that adequate peer review of the services provided by the various medical specialties and subspecialties can be assured; and\n\n(2) is able, in the judgment of the Secretary, to perform review functions required under section 1320c-3 of this title in a manner consistent with the efficient and effective administration of this part and to perform reviews of the\n\nparticipating hospitals' patient charts to determine the appropriateness of admissions, admission patterns, discharges, transfers and lengths of stay.\\textsuperscript{50} In addition, the completeness, adequacy and\n\n\\textsuperscript{50} 42 U.S.C. § 1320c-3 (1982).\n\nAny utilization and quality control peer review organization entering into a contract with the Secretary under this part must perform the following functions:\n\n(1) The organization shall review some or all of the professional activities in the area, subject to the terms of the contract, of physicians and other health care practitioners and institutional and noninstitutional providers of health care services in the provision of health care services and items for which payment may be made (in whole or in part) under subchapter XVIII of this chapter for the purpose of determining whether—\n\n(A) such services and items are or were reasonable and medically necessary and whether such services and items are not allowable under subsection (a)(1) or (a)(9) of section 1395y of this title;\n\n(B) the quality of such services meets professionally recognized standards of health care; and\n\n(C) in case such services and items are proposed to be provided in a hospital or other health care facility on an inpatient basis, such services and items could, consistent with the provision of appropriate medical care, be effectively provided more economically on an outpatient basis or in an inpatient health care facility of a different type.\n\n(2) The organization shall determine, on the basis of the review carried out under subparagraphs (A) and (C) of paragraph (1), whether payment shall be made for services under subchapter XVIII of this chapter. Such determination shall constitute the conclusive determination on those issues for purposes of payment under subchapter XVIII of this chapter, except that payment may be made if—\n\n(A) such payment is allowed by reason of section 1395pp of this title;\n\n(B) in the case of inpatient hospital services or extended care services, the peer review organization determines that additional time is required in order to arrange for postdischarge care, but payment may be continued under this subparagraph for not more than two days, but only in the case where the provider of such services did not know and could not reasonably have been expected to know (as determined under section 1395pp of this title) that payment would not otherwise be made for such services under subchapter XVIII of this chapter prior to notification by the organization under paragraph (3);\n\n(C) such determination is changed as the result of any hearing or review of the determination under section 1320c-4 of this title; or\n\n(D) such payment is authorized under section 1395x(v)(1)(G) of this title.\n\n(3) Whenever the organization makes a determination that any health care services or items furnished or to be furnished to a patient by any practitioner or provider are disapproved, the organization shall promptly notify such practitioner or provider, such patient, and the agency or organization responsible for the payment of claims under subchapter XVIII of this chapter. In the case of practitioners and providers of services, the organization shall provide an opporquality of the treatment rendered is to be assessed, and the validity of diagnostic and procedural information must be certified.\\textsuperscript{51} Institutions providing inadequate care or displaying multiple or unnecessary admissions, may be terminated from participation in the Medicare program.\\textsuperscript{52}\n\nAlthough Congress clearly desired to encourage cost efficient care, PRO review was intended to provide a degree of certainty that the care rendered is of an acceptable quality.\\textsuperscript{53} Some commentators have suggested that the mixture of cost containment and \"quality control\" may lead to a redefinition of the accepted standard of care.\\textsuperscript{54} Those who foresee a change in quality employ a theory akin to the \"tail-wagging-the-dog\" cliche: If providers will receive X dollars for treating a patient with illness Y, they will only render X dollars worth of care to any patient presenting that diagnosis. Over time, the level of care that X dollars will purchase becomes the \"new\" community standard of care for that illness and will thus be the new measure of quality care.\\textsuperscript{55} As of now, the effects of the DRG based prospective payment scheme on the standard of care is unclear. It will be interesting to see if those who predict change are correct.\\textsuperscript{56}\n\nC. Payment of \"Outlier\" Charges\n\nUnder the Prospective Payment Act hospitals may seek additional compensation for the provision of care to \"outliers.\"\\textsuperscript{57} Outliers are those patients whose lengths of stay exceed the average length of stay, or whose severity of illness causes the cost of care\n\n\\textsuperscript{51} \\textit{Id.}\n\\textsuperscript{52} \\textit{Id.}\n\\textsuperscript{53} Grimaldi, \\textit{supra} note 17, at 50-51; H.R. REP. No. 98-25, 98th Cong., 1st Sess. 143-45, \\textit{reprinted} in 1983 U.S. CODE CONG. & AD. NEWS 219, 362-64.\n\\textsuperscript{54} Pettingill & Westell, \\textit{Unanswered Questions Facing DRG's}, Hosp. Topics July/Aug. 1984, at 3 (quality care will be redefined to be that level of care that \"satisfices\"); Note, \\textit{Medicare's Prospective Payment System: Can Quality Care Survive?}, 69 IOWA L. REV. 1417 (1984) (suggests implementation of a patient grievance mechanism to stem erosion in quality of care).\n\\textsuperscript{55} See Pettingill & Westell, \\textit{supra} note 54, at 3.\n\\textsuperscript{56} For a discussion of the quality of care, the pressures on quality of care, and the mechanisms employed by the Prospective Payment Act to ensure quality, see Note, \\textit{supra} note 54.\n\\textsuperscript{57} 49 Fed. Reg. 234, 266 (1984) (to be codified at 42 C.F.R. § 405.475).\n\nto exceed the average DRG rate.\\textsuperscript{58} Providers may apply for additional payments in cases where a particular patient's length of stay exceeds that mean length of stay for the applicable DRG, or where the patient's length of stay is below the DRG average but the cost of care exceeds the DRG rate.\\textsuperscript{59}\n\nApplications for outlier payments are to be reviewed on an individual case basis by the PRO.\\textsuperscript{60} If the PRO approves the medical necessity and appropriateness of the outlier services, in relation to the entire length of stay, and if the PRO certifies that all of the services were medically necessary and delivered in the most appropriate setting, the outlier charges will be paid.\\textsuperscript{61} Non-approval bears the obvious result that the provider will incur a financial loss for those services rendered beyond the DRG rate.\\textsuperscript{62} Again, the purpose of the prospective payment system, and the relative difficulty of outlier charge approval, is meant to encourage providers to engage in cost-efficient medical service delivery.\n\nIII. SOURCES OF PROVIDER LIABILITY ENHANCED BY THE PROSPECTIVE PAYMENT ACT\n\nThe Congressional emphasis on \"promoting efficiency . . . by rewarding cost/effective hospital practices\"\\textsuperscript{63} enhances a number of sources of provider liability. Specifically, the potential for provider liability may be increased by the Prospective Payment Act in five ways. First, providers may be encouraged by the profit incentive to commit acts of medical malpractice by misallocating resources—\\textit{i.e.}, undertreating or rendering unnecessary treatment. Second, under the prospective payment system, providers may be encouraged to breach the duty to treat their Medicare patients. Third, the Prospective Payment Act may encourage providers to refuse to treat some or all Medicare recipients. Fourth, the prospective payment scheme fosters a system where the denial or cur-\n\n\\begin{itemize}\n \\item \\textsuperscript{58.} \\textit{Id.}\n \\item \\textsuperscript{59.} \\textit{Id.}\n \\item \\textsuperscript{60.} \\textit{Id.}\n \\item \\textsuperscript{61.} \\textit{Id.}\n \\item \\textsuperscript{62.} See \\textit{The Upheaval in Health Care}, supra note 22, at 44-46; see also Widem, \\textit{supra} note 31, at 447-48.\n \\item \\textsuperscript{63.} H.R. REP. No. 98-25, 98th Cong., 1st Sess. 1, 132, reprinted in 1983 U.S. CODE CONG. & AD. NEWS 219, 351.\n\ntailment of hospital staff privileges to \"over-treating\" physicians is encouraged. This may result in a charge by doctors of interference with livelihood. Finally, the incentives created by prospective payment create an environment ripe for charges of provider financial conflicts of interest.\n\nA. Medical Malpractice: The Misallocation of Health Care Resources Under the Prospective Payment Act\n\nPhysicians and hospitals have a legal duty to provide care consistent with the community's standard of care.\\textsuperscript{64} Any breach of that duty subjects the provider to malpractice liability.\\textsuperscript{65} Under the doctrine of vicarious liability, hospitals may be liable for acts of malpractice perpetrated by physicians working within hospital facilities.\\textsuperscript{66} The profit incentive created by the Prospective Payment Act encourages physicians and hospitals to engage in acts of medical malpractice. Providers are encouraged to misallocate the health care resources used in treating their patients, leading to the undertreatment of, or the rendering of, unnecessary care to Medicare patients.\n\n1. Undertreatment. Inherent in the Medicare prospective payment system is the incentive to provide the least amount of service during the shortest length of stay, \\textit{i.e.}, to remain within the average length of stay and service intensity parameters.\\textsuperscript{67} If, in an effort to keep costs at or below the DRG rate, the care rendered falls below the community standard, the provider may be liable for malpractice.\\textsuperscript{68} One way that a provider may be found to have\n\n\\textsuperscript{64} Darling v. Charleston Community Memorial Hosp., 50 Ill. App. 2d 253, 200 N.E.2d 149 (1964), \\textit{aff'd}, 33 Ill. 2d 326, 211 N.E.2d 253 (1965), \\textit{cert. denied}, 383 U. 946 (1966) (physician, hospital and nursing treatment of plaintiff's leg injury failed to meet the community standard of care).\n\n\\textsuperscript{65} \\textit{Id.}\n\n\\textsuperscript{66} Hospitals are subject to liability for proximately sustained injuries, and under the doctrine of vicarious liability for proximately sustained injuries caused by the negligence of hospital agents or employees occurring within the scope of their employment. Smith v. John C. Lincoln Hosp., 118 Ariz. 549, 578 P.2d 630 (Ct. App. 1978); Ulmer v. Baton Rouge Gen. Hosp., 361 So. 2d 1238 (La. Ct. App. 1978); Bing v. Thunig, 2 N.Y.2d 656, 143 N.E.2d 3, 163 N.Y.S.2d 3 (1957); Magwood v. Jewish Hosp. & Medical Center, 96 Misc. 2d 251, 408 N.Y.S.2d 983 (Sup. Ct. 1978).\n\n\\textsuperscript{67} See Grimaldi, \\textit{supra} note 17, at 48; \\textit{See also} The Upheaval in Health Care, \\textit{supra} note 22, at 44-48.\n\n\\textsuperscript{68} See Chenen, Prospective Payment Can Put You in Court, \\textit{Med. Econ.}, July 9, 1984, at 134-38.\n\nrendered care at variance with the community standard is by prematurely discharging a patient.\\textsuperscript{69} A second type of variant care is the failure to utilize available diagnostic and treatment tools.\\textsuperscript{70} Both forms of undertreatment—negative allocation of resources—are encouraged by the Prospective Payment Act. The severity of the malpractice threat requires an in-depth analysis of the basis of liability and how the prospective payment increases the likelihood of liability.\n\nIt is clearly established under the common law that the discharge of a patient creates provider liability when the patient’s condition makes such discharge unreasonable.\\textsuperscript{71} In \\textit{Meiselman v. Crown Heights Hospital}\\textsuperscript{72} the plaintiff, a minor, was discharged while still experiencing a fever and drainage from a leg wound. After discharge, the plaintiff’s condition worsened, necessitating re-admission to the hospital. As a result of the untimely discharge, the plaintiff was severely crippled. The hospital was found to have negligently treated the plaintiff by virtue of the premature discharge.\\textsuperscript{73}\n\nOne of the most interesting facets of \\textit{Meiselman v. Crown Heights Hospital} is the court’s note that the discharge was prompted by the patient’s inability to pay for further care.\\textsuperscript{74} Although the court merely stated this fact and did not directly link it to liability, the court’s awareness of the hospital’s financial motivation hints at an underlying concern regarding discharges based upon inability to pay. The legal consequences of a discharge based solely upon a patient’s ability to pay for care are illustrated by the \\textit{Wickline} case.\n\nThe jury’s conclusion that the State of California was liable for Mrs. Wickline’s premature discharge, should not be viewed with a sigh of relief by hospitals and physicians. Although the hospital and treating physicians were not parties to the action, they\n\n\\textsuperscript{69} See infra notes 71-78 and accompanying text.\n\\textsuperscript{70} See infra notes 79-82 and accompanying text.\n\\textsuperscript{71} Corten v. Harbor Hosp. Inc., 279 A.D. 673, 108 N.Y.S.2d 352 (1951). In \\textit{Corten}, the plaintiff was discharged, but, the discharge was based upon administrative convenience, not medical considerations. The hospital was liable for the injuries sustained by the plaintiff, since the discharge was untimely in light of the patient’s medical condition.\n\\textsuperscript{72} 285 N.Y. 389, 34 N.E.2d 367, 27 N.Y.S.2d 12 (1941).\n\\textsuperscript{73} Id.\n\\textsuperscript{74} Id.\n\ncould easily have been included in the suit.\\textsuperscript{75} Mrs. Wickline elected not to sue her physicians because she had a good rapport with them and felt that they cared for her to the fullest extent of their powers.\\textsuperscript{76}\n\nSimilarly, she felt that the hospital and its staff were excellent and were in no way at fault.\\textsuperscript{77} Had Mrs. Wickline not felt as strongly about the quality of her care, the hospital and physicians involved could have been held liable for malpractice.\n\nProviders faced with the prospect of rendering free care to Medicare patients whose treatment needs exceed the DRG payment rate may elect to discharge outliers rather than risk incurring financial losses.\\textsuperscript{78} The implication of \\textit{Meiselman} and \\textit{Wickline} is that discharges prompted by a patient's inability to pay resulting from the restrictions imposed by the prospective payment cap, may result in liability to hospitals and physicians.\n\nUndertreatment, however, may not always be as blatantly apparent as premature discharge. When treating Medicare patients, physicians may be pressured by administrators to reduce their use of diagnostic and treatment procedures in order to keep costs within the DRG rates.\\textsuperscript{79}\n\nDiagnostic and treatment devices have historically been employed extensively by physicians, both as a result of the practice of defensive medicine to combat the rise of malpractice litigation and because of the increasing diversity and technical advancement of the tools available to practitioners.\\textsuperscript{80} Although providers may feel financial pressure to use diagnostic and treatment devices conservatively, case law has established that medical malpractice liability exists when the failure to use available diagnostic or treatment devices results in injury to the patient.\\textsuperscript{81}\n\n\\begin{itemize}\n \\item[75.] See Carlova, \\textit{supra} note 1, at 80.\n \\item[76.] \\textit{Id.}\n \\item[77.] \\textit{Id.}\n \\item[78.] See \\textit{The Upheaval in Health Care}, \\textit{supra} note 22, at 48-52; Chenen, \\textit{supra} note 70.\n \\item[79.] Pettingill & Westell, \\textit{supra} note 54, at 3; see also \\textit{The Upheaval in Health Care}, \\textit{supra} note 22, at 45-53.\n \\item[80.] Pettingill & Westell, \\textit{supra} note 54, at 3; see also S. Law & S. Polan, \\textit{Pain and Profit: The Politics of Malpractice} 114-16 (1978).\n \\item[81.] Golanka v. Gatewood, 199 Neb. 216, 257 N.W.2d 403 (1977) (physician's failure to conduct proper and adequate diagnostic testing was negligence); Wilkinson v. Vesey, 110 R.I. 606, 295 A.2d 676 (1972) (physician's omission of available diagnostic devices is evidence of negligence); Gates v. Jensen, 92 Wash. 2d 246, 595 P.2d 919 (1979) (en banc) (reasonable prudence requires the use of further testing and examination when the paThe implication of the case law is that medical necessity and the community standard of reasonable care—not financial considerations—should determine the level of diagnosis and treatment undertaken.\\textsuperscript{82} Although there has not yet been a case involving the failure to diagnose or treat a prospective payment plan patient, it is not improbable that such an action will occur. The financial incentive to contain costs, a feature inherent in the Prospective Payment Act, clearly increases the likelihood that providers will minimize costs by reducing their use of diagnostic and treatment devices.\n\n2. \\textit{Unnecessary Care}. In addition to encouraging curtailed treatment, the DRG based prospective payment system increases unnecessary hospitalization. Hospitals are reimbursed based upon their Medicare product “output.”\\textsuperscript{83} Patients with multiple diagnoses, and those who could be treated on an outpatient basis, might be admitted and re-admitted for inpatient care in order to boost the number of hospital discharges (output), thereby increasing future Medicare payments.\\textsuperscript{84} Any injury occurring during a period of unnecessary hospitalization raises the specter of provider malpractice liability. In addition, rendering unnecessary care places the provider at risk under the doctrine of informed consent.\\textsuperscript{85} By encouraging the provision of unnecessary care, the profit incentive created by the Prospective Payment Act again increases the likelihood of provider liability.\n\n\\textsuperscript{82} See Chenen, \\textit{supra} note 68.\n\n\\textsuperscript{83} See \\textit{supra} notes 39-45 and accompanying text.\n\n\\textsuperscript{84} See Kaufman, \\textit{Deregulation of the Health Care Industry: Implications of Financial Change}, HEALTH CARE STRATEGIC MGMT. October 1983, at 4. The potential for re-admission of Medicare patients in order to boost provider income is more real than it may seem. Currently, five percent of all Medicare patients are re-admitted for care within five days of discharge, and 22% are re-admitted within sixty days. It has been suggested that a 10% reduction in re-admissions will net a $1 billion savings for the government. Commentators arrived at the 10% reduction figure by concluding that at least one-tenth of the current Medicare re-admissions may be unnecessary or avoidable. See Anderson & Steinberg, \\textit{Hospital Readmissions in the Medicare Population}, 311 New Eng. J. of Med. 1349, 1351-53 (1984).\n\n\\textsuperscript{85} B. Werthmann, \\textit{Medical Malpractice Law: How Medicine is Changing the Law} 24-25, 86, 195 (1965).\n\nB. Breaching the Duty to Treat Under Prospective Payment\n\nIt is well established that medical necessity should dictate the level of treatment provided.\\textsuperscript{86} Physicians and hospitals are under a legal duty, once treatment has begun, to provide all the care necessary to treat each patient. Courts have long held that providers are liable for damages sustained when the need for medical treatment continues and the provider discontinues that treatment.\\textsuperscript{87} The obligation to continue treatment arises by virtue of an implied contract between the provider and the patient.\\textsuperscript{88} Failure on the part of the provider to render medically necessary care may be deemed a breach of that duty, subjecting the provider to liability.\\textsuperscript{89} Moreover, such a breach may be deemed an act of bad faith, creating liability for punitive damages.\\textsuperscript{90}\n\nThe Prospective Payment Act's strong financial disincentive to treat patients places providers in a position where a breach of that duty may be virtually inevitable. Providing care beyond that covered by the DRG rate, in effect, forces hospitals to provide free care. Although alternatives to free treatment may be available, for example, transferring patients to another facility, the alternatives may leave the hospital in no better financial condition.\\textsuperscript{91} Again, hospitals may elect to cease medical treatment of patients whose cost of care exceeds the DRG reimbursement rate, rather than incur financial losses. If such patients can establish that they were injured because necessary treatment was denied due to purely economic considerations, then a breach of the duty to\n\n\\textsuperscript{86}. See White v. Edison, 361 So. 2d 1292 (La. Ct. App.), cert. denied, 363 So. 2d 915 (La. 1978) (patient's condition required medical attention to continue after discharge, however, physician failed to administer further treatments).\n\n\\textsuperscript{87}. See Thaggard v. Vafes, 218 Ala. 609, 119 So. 647 (1928); Reed v. Laughlin, 332 Mo. 424, 58 S.W.2d 440 (1933); Crooks v. Jonas, 204 N.C. 797, 169 S.E. 218 (1933); Mehigan v. Sheehan, 94 N.H. 274, 51 A.2d 632 (1947).\n\n\\textsuperscript{88}. Chenen, supra note 68.\n\n\\textsuperscript{89}. Id.\n\n\\textsuperscript{90}. Id.\n\n\\textsuperscript{91}. See 42 C.F.R. § 405.470(c) (1984). Although hospitals may transfer Medicare patients to other facilities—such as public hospitals—the transferring hospital may suffer a penalty. The transferring hospital will receive per diem payment for the patient's stay prior to transfer, however, the transfer will not count as a discharge. As stated earlier, future payments are based on output or total number of Medicare discharges. Hospitals that transfer patients who will be outliers, therefore, will avoid financial loss only during the short-term. In future years, due to a decrease in total discharges, their Medicare payments may drop.\n\ntreat—and possibly bad faith—may be easily established.\\textsuperscript{92}\n\nIn the \\textit{Wickline} case, if Mrs. Wickline had not held her physicians in such high esteem, they might have been liable for such a breach. In fact, the State of California tried to establish that it was the physician’s breach of the duty to treat, rather than Medi-Cal’s refusal to pay, that proximately caused Mrs. Wickline’s injury.\\textsuperscript{93} It was the state’s contention that Medi-Cal’s decision only affected the hospital’s ability to receive payment for her continued care; it in no way affected her ability to receive treatment, or her physician’s duty to provide that treatment.\\textsuperscript{94} Medi-Cal argued that Mrs. Wickline’s physicians and hospital could have waived their fees and continued her treatment.\\textsuperscript{95} Although Medi-Cal’s attorneys were unsuccessful in their attempt to discredit Mrs. Wickline’s health care providers,\\textsuperscript{96} if the physician-patient relationship had not been strong or loyal—for example, a patient’s first experience with the physician or hospital—the outcome might have been less favorable for the providers.\n\nC. The Refusal to Treat Medicare Patients\n\nIn response to the financial incentive created by the Prospective Payment Act, providers may choose to refuse treatment to all Medicare patients, or to those Medicare patients in DRGs for which the institution operates least cost-efficiently, \\textit{i.e.}, to alter the institution’s case mix so as to eliminate the treatment of patients in DRGs that create financial losses.\n\nThe DRG based prospective payment system will force providers to focus their planning efforts on market segmentation, competitive position analysis, strategic business units and financial stimulation.\\textsuperscript{97} Hospitals must understand their products and begin to target services not only according to community needs, but also in terms of producing the products that they do best and most cost efficiently.\\textsuperscript{98} This may result in restricting care to certain\n\n\\begin{itemize}\n \\item \\textsuperscript{92} Chenen, \\textit{supra} note 68, at 138; \\textit{Will Prospective Payment Affect Liability?}, 5 \\textsc{Hospital Risk Mgmt}. 97, 98 (1983).\n \\item \\textsuperscript{93} Carlova, \\textit{supra} note 1, at 83-85.\n \\item \\textsuperscript{94} \\textit{Id.} at 84.\n \\item \\textsuperscript{95} \\textit{Id.}\n \\item \\textsuperscript{96} \\textit{Id.} at 83-85.\n \\item \\textsuperscript{97} Zuckerman, \\textit{supra} note 45, at 43-48.\n \\item \\textsuperscript{98} \\textit{Id.}\n\ntypes of patients through case mix adjustment or specialization.\\textsuperscript{99} Specialization may be desirable, since it reflects not a compromise in the quality of care, but a conscious decision on the part of the provider to alter the patient population served.\\textsuperscript{100} Although specialization may be an attractive and desirable alternative, it too may be a source of provider liability.\\textsuperscript{101}\n\nGenerally, individual hospitals have the right to refuse to admit anyone deemed ineligible for care by the Board of Trustees.\\textsuperscript{102} Hospitals are required, however, for public policy reasons, to maintain emergency care facilities.\\textsuperscript{103} Moreover, hospitals may not refuse to render emergency care without cause.\\textsuperscript{104} Furthermore, if an individual exhibits the unmistakable signs of an emergency, treatment may not be refused.\\textsuperscript{105} In the absence of an unmistakable emergency, a patient may only recover against the refusing hospital by establishing that the proximate cause of injury was the delay in treatment resulting from the initial refusal of care.\\textsuperscript{106}\n\nThe refusal to treat Medicare patients is not an inevitable consequence of the prospective payment system. Yet it is not improbable that providers might limit access to their facilities by excluding unprofitable DRGs. In the absence of an unmistakable emergency, the refusal to treat patients in those unprofitable DRGs bears no legal consequences.\\textsuperscript{107} That is not to say that the refusal to treat Medicare patients is not without consequences. Such refusal, although bearing no legal consequences, may create\n\n\\textsuperscript{99} \\textit{Id.}\n\\textsuperscript{100} \\textit{Id.}\n\\textsuperscript{101} It should be noted, however, that specialization may not be a solution available to all institutions. Rural hospitals may not be able to specialize, since alternate facilities may be too distant to allow reasonable access for those patients segmented out. In the case of a rural institution, such specialization may subject the hospital to liability based on a refusal to treat.\n\\textsuperscript{102} 1 S. PEGALIS & H. WACHSMAN, \\textit{AMERICAN LAW OF MEDICAL MALPRACTICE} § 3:19, at 100-91 (1980).\n\\textsuperscript{103} \\textit{Id.}\n\\textsuperscript{104} \\textit{Id.}\n\\textsuperscript{105} \\textit{See} O'Neill v. Montefiore Hosp., 11 A.D.2d 132, 202 N.Y.S.2d 436 (1960) (hospital liable for refusal to treat patient experiencing a heart attack who was insured by a plan in which the defendant hospital did not participate); Dohan v. Stahlnecker, 313 Pa. Super. 279, 459 A.2d 1228 (1983) (hospital liable for refusing treatment to a patient experiencing a heart attack).\n\\textsuperscript{106} 1 S. PEGALIS & H. WACHSMAN, \\textit{supra} note 102, § 3:19, at 188.\n\\textsuperscript{107} \\textit{See supra} notes 102-04 and accompanying text.\n\nthe ethical or public policy consequence of a discriminatory health care delivery system based upon ability to pay. Moreover, refusal to treat raises the question of who will treat those patients in the unprofitable DRGs. Consideration of the ethical consequences of the refusal to treat Medicare patients is, however, beyond the scope of this Comment.\\textsuperscript{108}\n\nD. Denial or Curtailment of Staff Privileges\n\nUnder prospective payment systems, physicians are the key to the financial viability of hospitals. Physicians are the persons actually utilizing hospital services since they order the tests, procedures, supplies and medications administered to patients. Additionally, physicians determine when admission or discharge is warranted. As a result, hospitals will desire physicians who are able to treat patients at or below the DRG rates.\\textsuperscript{109} Moreover, hospitals may seek to curtail or deny privileges to physicians who are not cost-efficient, \\textit{i.e.}, those who do not use pre-admission testing or other cost containing measures.\\textsuperscript{110} Historically, the bulk of the litigation concerning medical staff privileges has been in the realm of anti-trust and anti-competition.\\textsuperscript{111} The advent of prospective payment may herald a rise in interference with livelihood\\textsuperscript{112} litigation for both hospitals, and Credentials Committee\\textsuperscript{113} members who decide privileges questions, as hospitals begin\n\n\\begin{itemize}\n \\item \\textsuperscript{108} For a discussion of the ethical considerations involved with patient dumping (i.e., refusal to treat), see Roemer & Mera, \\textit{supra} note 47.\n \\item \\textsuperscript{109} Chenen, \\textit{supra} note 68, at 138-41; \\textit{Lawyer predicts increased risks under prospective payment}, 5 Hosp. Risk Mgmt. 151, 151 (1983).\n \\item \\textsuperscript{110} \\textit{Lawyer predicts increased risk under prospective payment}, \\textit{supra} note 109; Chenen, \\textit{supra} note 68, at 138-41.\n \\item \\textsuperscript{111} See Note, \\textit{Due Process Considerations in Hospital Staff Privileges Cases}, 7 Hastings Const. L.Q. 217 (1979).\n \\item \\textsuperscript{112} Chenen, \\textit{supra} note 68, at 138-41; \\textit{Will Prospective Payment Affect Liability?}, \\textit{supra} note 92, at 98.\n \\item \\textsuperscript{113} Under guidelines established by the Joint Commission on Hospital Accreditation (JCAH), the medical staff of every hospital is charged to:\n ensure that each member is qualified for membership and shall strive to maintain the optimal level of professional performance of its members through the appointment/reappointment procedures, the specific delineation of clinical privileges, and the periodic reappraisal of each staff member.\n\n \\textit{Joint Comm'n on the Accreditation of Hospitals, Accreditation Manual for Hospitals} 93 (1983).\n\n The Credentials Committee is a committee of the medical staff, composed of physicians, that has the responsibility of carrying out the JCAH charge stated above. The committee\n\ndenying or curtailing the privileges of physicians who \"over-treat.\" Physicians do not have a constitutional right to hospital privileges, therefore hospitals may be selective in granting staff privileges.\\textsuperscript{114} Provided the hospital conforms to the procedural requirements set forth in its by-laws and observes common law fairness procedures, the hospital and its Credentials Committee may escape liability for denying or curtailing physician privileges.\\textsuperscript{115} An action to curtail or deny privileges based upon economic considerations, in the absence of a by-law allowing such action could subject the hospital and its Credentials Committee to liability for interference with livelihood.\\textsuperscript{116}\n\nThe basis for a cause of action founded upon interference with livelihood, is a recognition that the right and ability to practice medicine is a property right.\\textsuperscript{117} An action to curtail or deny hospital privileges clearly affects, and indeed abridges, physicians' abilities to exercise their rights to practice, and consequently to earn a living.\\textsuperscript{118} Hospital liability arises when the decision to deny or curtail privileges is made in an arbitrary or capricious manner.\\textsuperscript{119} A determination is arbitrary or capricious if it is made for a reason not recognized by and stated in the hospital by-laws or other institutional regulations.\\textsuperscript{120} Hospitals, therefore, will be forced to modify their by-laws to allow such economic determinations or they will face potential litigation due to interference with livelihood.\n\n\\textsuperscript{114} Hayman v. Galveston, 273 U.S. 414 (1927).\n\n\\textsuperscript{115} Hackethal v. Loma Linda Community Hosp. Corp., 91 Cal. App. 3d 59, 153 Cal. Rptr. 783 (1979).\n\n\\textsuperscript{116} Chenen, \\textit{supra} note 68, at 138-41.\n\n\\textsuperscript{117} See 1 S. Pegalis & H. Wachsmann, \\textit{supra} note 102, § 3:10.\n\n\\textsuperscript{118} Id.\n\n\\textsuperscript{119} Id.\n\n\\textsuperscript{120} Id.\n\nE. Financial Conflict of Interest Encouraged by Prospective Payment\n\nAnother potential source of liability, faced by hospital-based physicians, is the charge of financial conflict of interest. Certain physicians, such as department heads, for example, may realize a strong financial incentive to encourage department member physicians to provide cost-efficient care.\\textsuperscript{121} Such encouragement, if resulting in successful cost savings for the institution, could net the department a reward in the form of added funding or new equipment from a thankful hospital administration. While the award need not be blatantly tied to the cost-efficient care, the mere hint that the most efficient physicians are being rewarded may bring a charge of conflict of interest.\\textsuperscript{122} The possibility of a financial conflict of interest suit may be remote, but is yet another potential source of liability increased by the Prospective Payment Act.\n\nVI. The Impact of Wickline and the Prospect of Governmental Liability\n\nAlthough the Medicare prospective payment system increases the potential sources of provider liability, the message of \\textit{Wickline} is that the government itself may be held accountable for any harmful results arising from the operation of its health care reimbursement system. The State of California was found liable for Mrs. Wickline’s injuries. However, with respect to the issue of governmental liability, \\textit{Wickline} must be seen as an aberration. The jury held the state liable under the Prospective Payment Act due to a set of circumstances that will probably not be repeated.\n\nA. The Peculiarities of Wickline\n\nOne of the factors cited by the \\textit{Wickline} jurors as critical in their assessment of liability against the state was the fact that a nurse, not a doctor, who did not even visit or interview Mrs. Wickline, made the final determination that only a four day extension was warranted. Additionally, the jurors felt that because of the Medi-Cal nurse’s refusal to grant a longer extension, it was the state and not the provider that made the determination to termi-\n\n\\textsuperscript{121} Chenen, \\textit{supra} note 68, at 141.\n\\textsuperscript{122} \\textit{Id}.\n\nnate Mrs. Wickline's treatment.\\textsuperscript{123} The \\textit{Wickline} scenario is unlikely to be repeated, however, under the patient discharge mechanism prescribed by the Medicare prospective payment system.\n\nUnder the Medicare system, the hospital and attending physician must \\textit{directly} determine when treatment is to end.\\textsuperscript{124} The physician must certify in writing that the patient no longer requires hospitalization.\\textsuperscript{125} If the physician does not agree with the hospital's assessment as to when inpatient care must end, either party may seek a determination by the PRO.\\textsuperscript{126} PRO concurrence with the hospital's decision to discharge can replace the physician's certification.\\textsuperscript{127} The hospital may be liable for any post-discharge harm to the patient if the patient can establish that the injuries sustained were the proximate result of the discharge. Likewise, by establishing the same proximity, the patient may be able to recover against the physician who certified the discharge. The government is likely to avoid liability, since it has no direct involvement in the discharge decision. The discharge is the direct result of the providers' determination that the patient no longer required inpatient care. This is in contrast to \\textit{Wickline} where the state determined that inpatient care was to end.\\textsuperscript{128}\n\nThe only situation that may place the government at risk appears to be one where the PRO steps in and concurs with the hospital's determination that discharge is justified. In that case, as in \\textit{Wickline}, the government may be open to liability for the actions of its agents, \\textit{i.e.}, the PRO. However, unlike \\textit{Wickline}, the government may be able to successfully seek indemnification from the hospital under the theory that the \\textit{hospital} in fact recommended the discharge and the PRO's action was merely a concurrence in that decision. The government may be successful in seeking indemnification since the Prospective Payment Act's discharge mechanism is distinctly different from the one instituted by Medi-Cal in \\textit{Wickline}. Under Medi-Cal's payment system, the \\textit{government} determined when treatment should end; the hospital either concurred with the discharge decision or rendered free care.\n\n\\begin{itemize}\n \\item[123.] Carlova, \\textit{supra} note 1, at 83-85.\n \\item[124.] 42 C.F.R. § 405.472 (1984).\n \\item[125.] \\textit{Id.}\n \\item[126.] \\textit{Id.}\n \\item[127.] \\textit{Id.}\n \\item[128.] Carlova, \\textit{supra} note 1, at 83-85.\n\nProspective Payment Act forces hospitals and physicians to decide when discharge is appropriate; the government merely concurs with the provider's determination. It is apparent that by requiring hospitals and physicians to make the determination as to when treatment should cease, the government has insulated itself from liability.\n\nThe major distinction between the Medicare prospective payment system and the Wickline Medi-Cal system is that under the Prospective Payment Act hospitals and physicians are reminded of their affirmative duty to provide quality care—a duty they must maintain regardless of the payment received.\\textsuperscript{129} Cost containment is an obvious goal, but one theoretically achieved by stimulating competition and efficiency over the long-term, rather than by sacrificing quality.\n\nAlthough by virtue of the Medi-Cal nurse intervention system, Mrs. Wickline's physicians and hospital may have been relieved of any further duty to provide care, the Prospective Payment Act does not have the same effect. It is the physician and the hospital, not the government, who must make treatment and discharge decisions. Providers who do not remember, or who take lightly, their duty to render medically necessary care in keeping with community standards may suffer the consequences of legal liability.\n\n\\section*{Conclusion}\n\nThe Medicare DRG based prospective payment system presents a challenge to providers: Can quality health care be delivered in a cost-efficient, business-like manner? Through a set of heavy-handed incentives, Congress has set in motion a provider payment mechanism designed to rid the health care delivery system of its old over-treat and over-hospitalize ways.\n\nAlthough the Prospective Payment Act provides the procedural mechanisms and financial incentives to encourage cost-efficient quality care, those same incentives and mechanisms increase the possibility of provider liability. The strong financial incentive to remain within the DRG payment rate encourages providers to\n\n\\textsuperscript{129} H.R. REP. No. 25, 98th Cong., 1st Sess. 132, reprinted in 1983 U.S. CODE CONG. & AD. NEWS 219, at 351; 42 C.F.R. § 405.472 (1984); Chenen, \\textit{supra} note 68, at 134-38; \\textit{Will Prospective Payment Affect Liability?}, \\textit{supra} note 92, at 97-99.\n\nrender care below the accepted community standard. The Prospective Payment Act also encourages institutions to reward physicians who are cost-efficient and to punish those who are not. Moreover, in light of *Wickline*, the government itself may be subject to the prospect, albeit very slight, of liability.\n\nThe message of *Wickline* is that cost containment is no excuse for providing care at a level below the accepted community standard. If cost-efficient health care is a national objective, providers must strive to obtain that goal via routes that do not compromise quality care. Providers who fail to deliver the quality of care expected by their community may face liability as a result of prospective payment. The Prospective Payment Act’s financial incentives may lead to lower costs for the Medicare program, but in the process enhance the potential for provider liability.\n\nRoss P. Lanzafame"}}},{"rowIdx":204878,"cells":{"text":{"kind":"string","value":"Beyond mourning and melancholia: depression in the work of five contemporary North American women writers.\n\nHODGSON-BLACKBURN, Jacqueline.\n\nAvailable from the Sheffield Hallam University Research Archive (SHURA) at:\n\nhttp://shura.shu.ac.uk/19804/\n\nA Sheffield Hallam University thesis\n\nThis thesis is protected by copyright which belongs to the author.\n\nThe content must not be changed in any way or sold commercially in any format or medium without the formal permission of the author.\n\nWhen referring to this work, full bibliographic details including the author, title, awarding institution and date of the thesis must be given.\n\nPlease visit http://shura.shu.ac.uk/19804/ and http://shura.shu.ac.uk/information.html for further details about copyright and re-use permissions.\n\nREFERENCE\n\nAll rights reserved\n\nINFORMATION TO ALL USERS\nThe quality of this reproduction is dependent upon the quality of the copy submitted.\n\nIn the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if material had to be removed, a note will indicate the deletion.\n\nProQuest 10697106\n\nPublished by ProQuest LLC (2017). Copyright of the Dissertation is held by the Author.\n\nAll rights reserved.\nThis work is protected against unauthorized copying under Title 17, United States Code\nMicroform Edition © ProQuest LLC.\n\nProQuest LLC,\n789 East Eisenhower Parkway\nP.O. Box 1346\nAnn Arbor, MI 48106 – 1346\n\nBeyond Mourning and Melancholia: Depression in the Work of Five Contemporary North American Women Writers\n\nJacqueline Hodgson-Blackburn\n\nA thesis in partial fulfilment of the requirements of Sheffield Hallam University for the degree of Doctor of Philosophy\n\nJune 1999\n\nThesis\n24728\nStack no.\n2081\n\nI am grateful to all those who have supported me during this project at Sheffield Hallam University. I would also like to thank Sheffield Hallam University for granting me a bursary.\n\nI am particularly grateful to Dr Jill LeBihan for her continued support and critical guidance during the course of this thesis. Her careful proof reading of the final draft of this thesis was much appreciated. I would also like to extend my thanks to Professor Sara Mills who carefully read my thesis and subsequently offered help and advice.\n\nMany people deserve thanks for their emotional, intellectual and financial support. My heartfelt thanks go to my parents and James Blackburn who continued to provide the above qualities in abundance throughout this project. I owe many thanks to Leigh Nicholson for her helpful and insightful comments on my work as well as her friendship and support through some difficult times. Finally, I would like to thank Julie Stanwell for her good humour, friendship and conversations, in person and by telephone, which have sustained me throughout this thesis.\n\nABSTRACT\n\nJacqueline Hodgson-Blackburn\nSubmitted for the Degree of PhD. June 1999\n\nBeyond Mourning and Melancholia: Depression in the Work of Five Contemporary North American Women Writers\n\nThis dissertation is an investigation into the representation of mourning and melancholia in the work of Elizabeth Smart, Evelyn Lau, Siri Hustvedt, Sarah Sheard and Kathryn Harrison.\n\nThe thesis addresses women's historic exclusion from the discourse of melancholia from a feminist perspective. It will consider the political and theoretical implications of women's absence from this discursive field by focusing on the cultural legacy of their devalorised status. Freud's essay, 'Mourning and Melancholia', first published in 1917, is cited as an important conceptual model exercising considerable influence over subsequent theoreticians working within this area. My thesis builds on Freud's attempt to establish a clear-cut binary division between the twinned states of mourning and melancholia. The thesis reveals how Freud's construction of melancholia as a pathological condition, shadowing the normative state of mourning, has been linked with psychoanalytic constructions of femininity by leading feminist theorists such as Irigaray, Silverman and Kristeva.\n\nThe first chapter provides an overview of melancholia as a gendered discourse privileging male practitioners; the subsequent chapters provide symptomatic readings of five novels written by five contemporary North American women. The psychoanalytic interpretation of these readings, ranging from blocked or postponed mourning to the ideological loss of a father through incest, illustrate the close epistemological relationship between the construction of femininity and melancholia within Western historical and philosophical traditions.\n\nThis thesis is not concerned with merely re-interpreting Western cultural prejudices related to the discourse of melancholia from a late twentieth century postfeminist perspective. Instead, the thesis demonstrates how contemporary women writers are engaged in a revisionary approach to the representation of loss within their work, by insistently inscribing their active, desiring bodies on the discourses of heterosexual femininity and melancholia. By refusing to disappear from the margins of the melancholic text, I show how the resisting melancholic daughter produces a counter-discourse that destroys the conventional dynamics of the family romance within Western literary traditions. The 'writing cure' replaces the 'talking cure' in this context. By removing the patriarchal figurehead from the text, and the psychoanalytic confessional discourse surrounding it, women writers challenge misogynist constructions of femininity within contemporary literature.\n\n# CONTENTS\n\n**ACKNOWLEDGEMENTS** \ni\n\n**ABSTRACT** \nii\n\n## CHAPTER ONE \n1\n\n(i) Melancholic Discourse \n1 \n(ii) Therapeutic Narratives \n8 \n(iii) Mourning The Past \n22 \n(iv) Melancholy Narratives \n33\n\n## CHAPTER TWO \n57\n\n(i) Introduction \n57 \n(ii) ‘Beautiful Losers’: Women’s Literary Status Within Melancholic Discourse \n58 \n(iii) Delusion and Impoverishment \n63 \n(iv) Undying Love \n68 \n(v) Down and Out in New York City \n71 \n(vi) Angel At My Table \n80 \n(vii) Conclusion \n94\n\n## CHAPTER THREE \n101\n\n(i) Introduction \n101 \n(ii) Serial Lovers \n102 \n(iii) Mourning and Melancholia: The Theoretical Context \n106 \n(iv) Romancing the Other \n120 \n(v) Resisting The Talking Cure \n132 \n(vi) Conclusion \n143\n\n## CHAPTER FOUR \n154\n\n(i) Introduction \n154 \n(ii) Blindfold - Or Blind Alley? \n158 \n(iii) The Melancholy Fetish \n161 \n(iv) Conclusion: The Unbearable Nothingness of Being \n173\n\n## CHAPTER FIVE \n185\n\n(i) Introduction \n185 \n(ii) Death Letters \n187 \n(iii) The Swing Era \n194 \n(iv) Death Throes \n208 \n(v) Conclusion \n211\n\n| Section | Page |\n|-------------------------------|------|\n| (i) Introduction | 217 |\n| (ii) Daddy's Girl | 222 |\n| (iii) My Heart Belongs to Daddy | 229 |\n| (iv) Kiss and Tell | 233 |\n| (v) Conclusion | 244 |\n| **CHAPTER SEVEN** | |\n| (i) Conclusion | 253 |\n| **BIBLIOGRAPHY** | |\n| (i) PRIMARY REFERENCES | 265 |\n| (ii) SECONDARY REFERENCES | 265 |\n\n(i) Melancholic Discourse\n\nCompensating for loss may be one of our most familiar psychological experiences, colouring every aspect of our relation to the world outside us, but it is also a profoundly defamiliarising affair, installing surrogate others to fill the void where we imagine the love-object to have been.\n\n(The realization that the one is pleased by the other's grief over him: the recognition not of the hate but of the love felt by the object for the subject: the acceptance ultimately of the narcissistic bliss at having received the object's love despite dangerous transgressions - this is what melancholics expect from psychoanalysis (Abraham & Torok, 1994: 37)\n\nSethe's is the face that left me Sethe sees me see her and I see the smile her smiling face is the place for me it is the face I lost she is my face smiling at me doing it at last a hot thing now we can join a hot thing (Toni Morrison, 1988: 213)\n\nThis thesis is an investigation into the cultural construction of the depressed or melancholic woman in the work of five contemporary North American women writers. The five writers to be considered are Elizabeth Smart, Evelyn Lau, Sarah Sheard, Siri Hustvedt and Kathryn Harrison. The primary objective of this thesis is to establish a theoretical model that explains the cultural production of femininity and melancholia within the patriarchal symbolic order. Following on from this analysis, there will be an examination of the epistemological similarities between the construction of femininity and melancholia within western culture. The cultural legacy of this artificially engineered relationship between femininity and melancholia, figured as pathological mourning in the West, will be scrutinised in order to reveal the difficulties experienced by women who attempt to achieve positive representations of loss within dominant discursive and cultural practices. The\n\nsecondary objective is to challenge the gendered assumptions imbricated in melancholic discursive practices.\\(^1\\) This study will then reconsider why melancholic discourse privileges masculine expressions of loss at the expense of the feminine.\n\nPsychoanalytic and feminist discourse theory will be used in conjunction to investigate the politically and psychologically contentious category of female melancholia.\\(^2\\) The research methodologies, referred to above, will be utilised to explore the origins of melancholia as a fundamentally gendered discourse within western signifying practices. Moreover, this theoretical approach will be integrated into the textual analyses that follow to assess whether melancholia is a structural problem located within the female subject's psychological processes, or whether it is generated by the discursive pressures that marginalise women within a phallocratic, patriarchal order. Furthermore, attention will be focused on women's complex and problematic entry into the signifying economy of the Symbolic order. This study will then draw attention to women's internalisation of feelings of shame and disappointment engendered by their realisation that, after entering the symbolic domain of language and law, they occupy the underside of the rigid hierarchically-organised economy of difference sanctioned by the patriarchal order. The implications of the little girl's renunciation of her first love-object, the mother, after the passing of the positive Oedipal phase will be discussed in relation to the symbolic economy of language and law where power accrues to the phallic signifier at the expense of the child's first maternal object-choice.\\(^3\\) The thesis will then consider whether feminine melancholia arises as a result of the female subject's understanding of herself as the self-negating Other, culturally deployed to ensure patriarchal\n\nsupremacy or whether her depression is contingent on her distancing herself from the signifying practices that permit empowered representations of loss within patriarchal structures.\n\nA wide range of theoretical texts that reflect developments in feminist and post-structural, literary and cultural theory will be consulted in order to interrogate the connections between subjectivity, representation and context within melancholic discourses. In order to achieve these overall objectives the post-structuralist work of the French feminists Luce Irigaray (1985) and Julia Kristeva (1989), as well as the Anglo-American psychoanalytic critic Kaja Silverman (1984) will inform the debate surrounding melancholia as a discursive practice. The principle issues within this debate centre on Luce Irigaray's premise that feminine melancholia arises as a result of women's exclusion from the dominant signifying economy of western patriarchal society. Alternatively, in *The Acoustic Mirror* (1984), Kaja Silverman argues that women become depressed within patriarchal societies because they are forced to renounce their first love-object, the mother, if they are to be successfully inducted into the patriarchal dimension of language, desire and law (1988:156). Meanwhile, Julia Kristeva advances the contentious view that feminine depression occurs because women are unable to accomplish the complete separation from their mother that would enable them to successfully negotiate their passage into the symbolic domain of language and law. Kristeva's theoretical position is complicated further by her belief that artistic production is the only effective 'counter-depressant' for this alienating condition.\\(^4\\) Kristeva's theory that cultural production is the only antidote to depression is contentious because it is conflated with the notion that women never accomplish complete\n\nseparation from their mothers. Their subsequent attachment to the ‘Thing’, which in Kristeva’s words constitutes ‘the real that does not lend itself to signification’ (1989:13) creates further problems for women, who have been historically excluded from representation and signification within western philosophical traditions. By postulating that the female subject is further disadvantaged by an ambivalent primary attachment to the mother, Kristeva has constructed an additional layer of oppression that both imitates and reinscribes what Juliana Schiesari describes as ‘a transposed or transvestitized oedipal drama which is then textualized as a categorical difference in biological natures and as the essential quality of women’s depression’ (1992: 80/81).\n\nThe five texts to be discussed will therefore be viewed from a feminist perspective that shows how these very concerns are textualised within the narratives to be considered. The thesis will therefore focus on three crucial questions in relation to melancholia, depression and femininity. Firstly, is melancholia the inevitable outcome of women’s alienation from the dominant signifying practices within patriarchal structures? Secondly, is melancholic depression concomitant with woman’s position within a patriarchal order whereby she is forced to relinquish her attachment to her first love-object, namely the mother, in order to function productively within a patriarchal regime? Finally, does feminine depression occur because women are unable to negotiate the transition from the imaginary to the symbolic order because of their attachment to the primary, maternal love-object? These questions are raised in conjunction with the problematisation of femininity as it is constituted and compromised by the processes of late consumer capitalism.\n\nAccordingly, James Annesley’s book, *Blank Fictions: Consumerism*,\n\nCulture and the Contemporary American Novel (1998) will be integrated into the close textual readings of the five novels discussed here. Annesley's interrogation of the 'new kinds of experiences ... new forms and subjects' (1998:1) represented in contemporary American fiction have a particular resonance for the textual analyses that follow. The five novels cited herein are situated in the same period to those contained in Blank Fictions; they are located in North American urban situations and are therefore informed by a similar cultural context. Moreover, Annesley's assertion that these new fictions focus on 'the extreme, the marginal and ... violent' (1998:1) formations within contemporary American society is of particular relevance to the novels to be considered in this thesis. The dissonant behavioural patterns revealed in these texts combined with the nihilistic vision espoused by their narrators are therefore shared by the protagonists of the 'slacker' generation that is 'celebrated' within blank fictions.\\(^5\\) Furthermore, Annesley's identification of 'violence, indulgence, sexual excess, decadence, consumerism and commerce' (1998: 6) as the central thematic concerns of blank fiction are familiar reference points within the novels of Smart, Lau, Sheard, Hustvedt and Harrison.\n\nAnnesley's interpretation of these blank fictions is articulated through the processes of commodification that he maintains inform the 'structural, stylistic, linguistic and metaphorical levels' (1998: 6) of blank fiction. Annesley's emphasis on the commodity as a contextualising structuring device is therefore integrated productively within this project where it is deployed to reveal how experiences are compromised by commodification in late consumer capitalism.\\(^6\\)\n\nThe invasive processes of commodification therefore pose a particular threat to lives that have been damaged by addiction, prostitution or incest. Moreover,\n\nthe commercial encroachment of the dominant economic forces of late capitalism is revelatory of the manner in which systems of oppression are inextricably entwined within patriarchal structures which Annesley maintains leads to a situation where ‘pleasure and commodities are experienced as one and the same thing’ (1998:130).\n\nThe layering of multiple intersecting forms of patriarchal domination, referred to above, is also of fundamental importance to feminist discourse theorists who have sought to politicise Foucauldian principles regarding discursive formations in order to foreground feminist concerns.\\(^7\\) According to Sara Mills, recent research within feminist discourse theory has revealed how ‘women as individuals and as members of groups negotiate relations of power’ (1997: 78) within patriarchal societies. Furthermore, Mills maintains that discourse theory is an important theoretical tool that feminists can use to interrogate ‘ways of analysing power as it manifests itself and as it is resisted in the relations of everyday life’ (78). This particular theoretical approach is therefore crucially important to this project, which illustrates the strategies of resistance that are deployed by women to counteract the effects of the oppressive power relations imbricated within dominant discourses. Discourse theory therefore illuminates the mechanisms that marginalised or oppressed groups can mobilise to negotiate more empowered positions within dominant discursive formations. Mills asserts that feminist theorists have demonstrated the efficacy of discourse theory as a resource that can be used for reworking patriarchal power relations in their reinscription of ‘the “political” in the private sphere [which attempts] to map out possible strategies for bringing about change within an increasingly complex system of power’ (1997: 80). This form\n\nof theoretical intervention broadens the scope of the present study by revealing how deeply-entrenched power relations endorsed by patriarchal institutions can be undermined by subtly shifting the terms of reference that protect their underlying ideological assumptions. This field of enquiry can therefore provide a useful insight into the mechanisms deployed by patriarchal regimes to persuade oppressed or marginalised groups to internalise and thereby maintain a subordinate subject position in relation to the dominant power brokers within that society. Hence, discourse theory is used to illustrate how women have been manoeuvred into a subordinate position within melancholic discourses in relation to men, who enjoy exclusive rights to the discursive apparatus that valorises expressions of loss within western philosophical traditions.\n\nThe textual analysis of the five novels selected for discussion will take the form of case studies. The case study format has been utilised to illustrate the manner in which an analytical approach can explore the similarities between the psychological transactions that take place within the analyst/analysand relationship and the rhetorical strategies that constitute the building blocks of narrative fiction.\\(^8\\) This approach foregrounds the importance of psychoanalysis within contemporary culture by revealing how the Freudian concept of the psyche as a two-tiered split between the conscious and the unconscious mind informs culture, narrative fiction and critical discourse. Psychoanalytic theory will therefore be used in conjunction with feminist discourse theory to demonstrate how the repressed returns to disturb discursive boundaries thereby defamiliarising the reassuring signifying practices, which indicate the dominant institutions that they service remain intact. The notion that the emotional residue of repressed or secret histories can destabilise discursive\n\nstructures is central to Abraham and Torok’s theory of the ‘intrapsychic secret’.\n\nIn their essay ‘Mourning or Melancholia: Introjection versus Incorporation’ (1994), the two theorists identify repression as the mechanism that stretches melancholic discourse to its limit. The theorists postulate that discourses are unwittingly subverted by ‘the carrier of a shared secret’ who incorporates, and therefore identifies with, the subject of a repressed or secret history, in order to ‘perpetuate a clandestine pleasure by transforming it after it has been lost, into a intrapsychic secret’ (1994:131). The secret histories that are contained within the close readings, featured in the following chapters, challenge the parameters of the discursive formations that surround them, ranging from an adulterous liaison in Elizabeth Smart’s *By Grand Central Station* (1992) to an incestuous relationship between father and daughter in Kathryn Harrison’s *The Kiss* (1997). The next section will reveal in more detail how psychoanalysis can be utilised as a theoretical tool to investigate the cultural representation of loss within the secret histories outlined above.\n\n(ii) **Therapeutic Narratives**\n\nPsychoanalytic theory has provided feminist criticism with an ideological framework that enables us to theorise the constitution of sexual identity and subjectivity. Post-structuralist psychoanalytic theory has added another dimension to classical Freudian ideas, referred to above, by shifting the theoretical emphasis away from the more literal anatomical approach, initiated by Freud, to the figural interpretation of texts favoured by Jacques Lacan. The ‘return to Freud’ advocated by Lacan, increased the strategic options available to feminists by focusing attention on to the way that the unconscious informs\n\nlanguage and representation. Indeed, Lacan’s famous dictum, ‘the unconscious is structured like a language’ (1977: 151), draws attention to the asymmetrical model of sexual relations that prevails within patriarchal structures. The fractures within this model of social adjustment as practised under the patriarchy are made clear in Lacan’s account of the Mirror Stage. The Mirror Stage reinterprets Freud’s resolution of the Oedipal complex by instituting Desire as the disruptive impulse that propels the subject out of the utopian state of the Imaginary into the Symbolic realm of language and representation. From this point onwards, according to Lacan, the disturbing figure of Desire must be repressed to ensure the subject’s transition from the state of pre-Oedipal unity with the mother into the Symbolic domain of language and law (1977: 4). Lacan has, therefore, constructed a theoretical paradigm whose first principles are based on loss, misrecognition and the unstable signifier. The subject who has passed through the Mirror Stage is thereafter a divided subject who recognises at a subliminal level that experience of subjectivity will always be mediated by the paternal authority of the Symbolic order.\n\nLacan’s worldview is therefore informed by an ethos of incoherence and uncertainty where the subject is required to constantly negotiate between her sense of half-remembered plenitude with the pre-Oedipal mother and the prescriptive demands of the patriarchal Symbolic. This slippery world of divided loyalties is further undermined by the subject’s position within a chain of constantly changing and endlessly deferred signifiers. The subject’s experience of linguistic uncertainty is therefore mapped onto the body via the signifier’s relationship to other signifiers within the linguistic chain which carry\n\ntheir own hidden cultural and ideological associations. The subject, therefore, inherits a linguistic network that always already exists and which is predicated on a linguistic substitution for irreplaceable loss. Meaning is therefore derived from the subject's manipulation of the rhetorical figures of metaphor and metonymy, which stand in for the trinity of difference, self and the Other as cultural legacy of the subject's entry into the paternal Symbolic.\n\nEntry into the Symbolic order poses yet another psychological conundrum for the female subject. From this point onwards, according to Lacan, the woman occupies a negative relation to the phallus which now takes the position of the transcendental signifier (1977: 82). Woman's newly disenfranchised position in relation to the phallus opens up the field of *jouissance*, which describes a psychological terrain exceeding representation and is therefore beyond the jurisdiction of the phallus\\(^9\\). According to Juliet Flower MacCannell, post-structural feminists such as Irigaray, Cixous and Kristeva have presented a more diverse understanding of the concept of *jouissance* that challenges the Lacanian position described above (1992:186).\n\nAs we shall see, the varying interpretations offered by the three theorists either reject, invert or subvert the Lacanian premise that *jouissance* is contingent with the idea of castration as the theoretical cornerstone of the Oedipal complex. Their scepticism is therefore, according to MacCannell, grounded in their reservations regarding the Oedipal imperative that 'to be a 'man' means to identify with the lack in the Other (i.e. to accept castration)' (1992:186).\n\nIt is clear therefore that this feminised space is paradoxical. On the one hand, it appears to offer the female subject and feminist critic a psychological location opposed to the notion of lack that is inextricably linked with 'woman' in\n\nclassical psychoanalytic theory. On the other hand, it is impossible to contemplate *jouissance* outside the framework of the Symbolic realm of language and law. Hélène Cixous celebrates this uncharted territory as a potentially transgressive site from which women can undermine the totalising nature of masculine discourse. In 'Sorties: Out and Out: Attacks/Ways Out/Forays' (1981), Cixous cautions women against 'appropriating their [patriarchal] instruments, their concepts, their places for oneself or of wishing oneself in their positions of mastery' (1989: 114). Instead, she urges women to dismantle this monolithic structure by mobilising a feminist aesthetic to overcome what she sees as a tyrannical masculine discursive economy. Hence, women should, according to Cixous, resist the temptation to take 'possession to internalise or manipulate' (1989: 115) masculine rhetoric. Instead, they should use the subversive potential that is nourished by the extra discursive realm of feminine poetics to 'shoot through and smash the walls' (115). It is both surprising and disappointing therefore that Cixous uses martial imagery to describe the strategies that women should use to instate a radically alternative discursive economy that is not validated by the phallus. Cixous' radical manifesto for a woman-centred discursive economy is both under-theorised and overly ambitious. Cixous fails to deliver the terms of reference that will convince the reader that she has devised a linguistic formula that is not predicated on feminine lack. Indeed, it is difficult to take her agenda seriously when it appears to be couched in vitriolic terms, imitating the language and tone of the aggressor. Moreover, Cixous' argument collapses all too easily into essentialised rhetoric, merely echoing and mimicking the phallocentric discourse she is attempting to overturn.\n\nOther feminists such as Luce Irigaray and Julia Kristeva rebel against the same Lacanian premise that this abstract male signifier should wield such all-encompassing discursive power. Their strategies for dispersing, or indeed destroying, the phallocentric power base vary enormously but can be seen to emerge from the sense of unease and discomfort generated by the cultural discourses that prevent women from accessing their signifying practices. In contrast to the subversive attack on phallogocentricism noted above, Luce Irigaray considers that a cultural revolution is needed to 're-interpret the whole relationship between the subject and discourse, the subject and the world, the subject and the cosmic, the microcosmic and the macrocosmic' (1987:119). In other words, a new cultural template is required if we are to rework signifying practices along more egalitarian lines; these would grant male and female subjects equal access to their underlying economy. In order to achieve such a revised model it would be necessary to deregulate the hierarchically organised systems of difference underpinning patriarchal social systems. In other words, Luce Irigaray's vision of equality is revolutionary because it would require the dissolution of the binary systems of difference that privilege the masculine subject in patriarchal language.\n\nJulia Kristeva has distanced her theoretical project from that of feminists such as Irigarary and Cixous who advocate the construction of a radically alternative signifying economy predicated on the specificities of women's bodies and pleasures. Instead, Kristeva argues that the feminist movement's reliance on political discourse to solve the inequalities between men and women within western culture fails, because it cannot explain the complexities of love and desire in non-political relationships. In a conversation with Rosalind\n\nCoward, Kristeva articulates her fear that politics has been transformed into a new religion where 'we think that everything is political. When we say political we say something which cannot be analysed, it's the final act' (1984: 25). If we do so, she claims that 'we will be overwhelmed by the so-called mystical crisis, or spiritual crisis' (25). Kristeva suggests that such crises could be transcended by recourse to 'psychoanalysis or something else like art, [only] through such discourses can we try to elaborate a more complicated elaboration, discourse, sublimation of these critical points for the human experience which cannot be reduced to a political causality' (25).\n\nKristeva's criticism of the belief that human phenomena cannot be explained by political discourse is reflected in her sceptical approach to the Women's Movement. Furthermore, her belief that political movements reinforce cultural stereotypes of femininity by positioning them within the continuum of an over-arching metanarrative has influenced her decision to use psychoanalysis to formulate a possible way out of this cultural impasse.\n\nKristeva argues that the psychoanalytic tool of transference can form a bridge between the unspeakable dimension of the semiotic and the Symbolic world of language and the law. Kristeva believes that this can be achieved by the introduction of the notion of the 'father of personal prehistory' who breaks up the feminised space of the pre-Oedipal and facilitates 'the preliminary split within the void of primary narcissism' (1986:12). The intervention of the pre-Oedipal father, according to Kristeva, prevents the subject from being devoured by the innate hostilities present in the pre-Oedipal realm. Furthermore, Kristeva suggests that the idealised figure of the pre-Oedipal father provides the impetus that propels the child out of the pre-Oedipal repository of negative drives and\n\nimpulses (1984: 21). By postulating the importance of a third figure, who is able to dissipate what she sees as the claustrophobic space of the mother/daughter dyad, Kristeva has effectively problematised the idealised version of pre-Oedipal dynamics adumbrated in the work of maternalists, such as Nancy Chodorow, for example, who celebrates the radical alterity of the mother in *The Reproduction of Mothering* (1978).\\(^{11}\\)\n\nFeminists such as Jacqueline Rose have expressed their sense of unease associated with Kristeva's denigration of the political arena in favour of the more personalised sphere of love and the imaginary outlined in *Tales of Love* (1983). Rose indicates that Kristeva has overlooked the political content that is present in loving, idealised relations. By shifting her theoretical perspective from the potentiality inherent in the semiotic moment to the privations of the Symbolic, Rose suggests that Kristeva's 'account of the political ... is a relegation of the political to a marginal and inadequate arena of work' (1984: 27). Furthermore, Rose is wary of the unwritten assumption that she believes is implicit in Kristeva's more recent work that 'only in art and love are we living beings' (1984: 27).\n\nThis is a position that is shared by many Anglo-American feminists such as Janice Doane and Devon Hodges who believe that Kristeva's construction of the mother as origin 'fixes her there, elevated for our emulation ... or approbation [which] reinforces conventional representations of women, that makes it congenial to a conservative political agenda' (1992: 79). John Lechte provides a more positive interpretation of Kristeva's renewed emphasis on psychoanalysis in the 1980s, as well as her assertion that artistic production can traverse the link between the semiotic and the symbolic that has been\n\nsevered in the depressed or melancholic subject (1991: 170). Indeed, Lechte maintains that for Kristeva ‘Poetry is capitalist society’s carnival, a way of keeping death and madness at bay. Poetry is a refusal of a ‘flight into madness’ (1991: 6).\n\nKristeva’s earlier work interrogated the obverse face of language, namely the unrepresentable, and therefore unspeakable, realm of poetic language. Her work to date has, therefore, been intimately concerned with developing a conceptual framework that will illuminate the previously unexplored terrain of pre-Oedipal ‘pre’-language. Moreover, Kristeva’s work in ‘Revolution in Poetic Language’ (1984) and ‘Powers of Horror’ (1982) has provided feminist theory with an analytical model that is able to scrutinise an area of language that had previously been relegated to the margins of speech that are traditionally associated with woman as man’s unspeakable other.\n\nIronically, psychoanalysis or the ‘talking cure’ has done little to create an empowered niche for women within western signifying practices. As Elaine Showalter observes in her chapter entitled ‘Hysterical Narratives’ in *Hystories* (1997), Freud regarded the therapeutic situation as an archaeological process whereby the analyst is employed to recover the elements of lost speech that have been distorted or mangled through sexual repression (1997: 84). The analyst’s role is therefore similar to that of an investigative journalist who is hired to uncover the mystery of lost origins for a given client. However, in the case of the female patients treated by Freud, the psychological origins of women are rendered unintelligible by the very signifying system used to unravel the unspeakable secret that lies at the heart of the mystery. Moreover, the analyst is situated in a supervisory position where s/he is able to edit and\n\ntherefore control the evidence that has been revealed during the investigation. As Showalter points out, the efficacy of this particular therapeutic situation is dependent on the client's readiness to believe in the analyst or narrator who frames the plot or case history (1997: 85).\n\nAdditionally, from a feminist standpoint, the analytical evidence is refracted through a signifying system that is the product of the patriarchal Symbolic. As a consequence, the results of the analysis resonate with the political ideology of the Symbolic that services the needs of its underlying economy. Freud's female patients were therefore caught up in a patriarchal imbroglio that constructed them as unsuspecting mouthpieces for the needs and prejudices of the analyst. As Elaine Showalter puts it when discussing the case of Freud's most famous female analysand:\n\nIf Freud is a reliable narrator, he succeeded in penetrating the mystery of Dora's hysterical symptoms. In his terminology, he unlocked her case and exposed her sexual secrets. Unable to face the truth, Dora ran away from therapy and remained sick for the rest of her life. But if Freud is a reliable narrator, Dora is a victim of his unconscious erotic feelings, which drove him to dominate and control her. Dora has no voice in Freud's text: we don't hear her part of the dialogue, and her historical and Jewish identity are both suppressed (1997: 85).\n\nThe archaeological approach to psychological investigation, described above, is one that is also favoured by Nicholas Abraham and Maria Torok. However, their methodology is fundamentally different to that of Freud and Lacan. Abraham and Torok's theory of psychic development is based on their belief that the individual's identity is constituted by historical events that exceed their immediate lived experience.\\(^{12}\\) The psychic drama of individuation is therefore played out on a number of different levels rather than the singular Oedipal complex that forms the pivotal moment in Freudian and Lacanian theories of psychic development. Abraham and Torok's version of psychic organisation\n\nbegins with the child’s undivided union with the mother, which is gradually ruptured when the child begins to detach the mother’s words from her person. As soon as this process begins, Abraham and Torok conjecture that the child begins to construct an external world predicated on the split between the word and the mother’s unconscious. Moreover, Abraham and Torok contend that the child remains marked by her/his knowledge that the mother has an unconscious of her own, which they call the Core or Kernal. However, unlike Freudian theory, Abraham and Torok’s conceptualisation of dual unity with the mother involves a psychic internalisation of the mother’s unconscious. The theory of dual unity is therefore not predicated on a rejection of the mother in favour of the Oedipal father or the Lacanian realisation that the child can never satisfy the needs of the mother. Instead, Abraham and Torok’s version of psychic development denotes a diverse field of repressions and affects that are inherited from the mother, thereby constituting a distinctive individual who has been formed by the unique history of the mother. As Esther Rashkin, notes, this conceptual model offers ‘a new vantage point from which to reconsider the structure and motive forces of certain works of literature traditionally classified as uncanny, fantastic, occult, or supernatural, a corpus whose study has until now been largely oriented by Freud’s theory of the return of the repressed’ (1988: 32).\n\nAbraham and Torok’s theory therefore marks a departure from the phallocentric narratives of Freud and Lacan that are organised around castration anxiety and the incest taboo. Abraham and Torok’s model of psychic development situates the child in a more autonomous relationship with the mother that is formed by her/his own unique history instead of simply being\n\nconstructed as a prescriptive mechanism in the Oedipal narrative. As Esther Rashkin notes, the theory of dual unity opens up a number of exciting possibilities for literary interpretations. Abraham and Torok's conceptual model 'calls into question the validity of identifying Oedipal dramas as latent structures central to mental organization with explanatory or heuristic power. It also suggests the need to re-evaluate the legitimacy of hermeneutic models based on instinct-theory, prohibitions, and the phallus' (1988: 37).\n\nMoreover, Abraham and Torok's theory of dual unity or as Esther Rashkin describes it 'The Child Gives Birth-to itself' (1988: 36), offers a vital interpretative key to reading and understanding melancholic texts. Abraham and Torok's concept of 'transgenerational haunting'\\textsuperscript{13} challenges dominant ideological formations of melancholy as a neurotic even pathological category by widening the interpretative lens so that it is able to focus on the unspeakable secrets of the previous generation (1988: 42).\\textsuperscript{14} By excavating the psychic history of a particular family Abraham and Torok are able to reveal how the secrets that remain embedded in their past, influence symptom formation in the present generation. Again, Esther Rashkin draws attention to the hermeneutic possibilities inherent in this particular analytical model that 'offers a new way to interpret the behaviour of fictional characters and some insight into how texts made enigmatic, if not illegible, by the mute presence of secrets may be explained' (1988: 42).\n\nAbraham and Torok's theory of dual unity, therefore, offers an alternative theoretical framework for understanding melancholic texts. Their revisionary strategies contest the orthodox Freudian premise that symptom formation in hysterical women is due to sexual repression that frequently results in chaotic\n\nbehavioural patterns that oscillate wildly between frigidity and nymphomania.\n\nAs we have already seen, Abraham and Torok’s theorising of textual gaps and silences differs from the ideological silencing that French feminists such as Cixous and Irigaray suggest arises from women’s exclusion from phallocentrically organised signifying practices. Furthermore, Elaine Showalter remarks that:\n\nTo see hysteria as a form of silencing makes clinical and historical sense. Both traditional medical accounts of hysteria and Freud’s case histories stressed such symptoms of blocked speech and communication as the *globus hystericus*, or sense of choking, the *tussis nervosa*, or chronic nervous cough; *aphasia*, or inability to use words, and *aphonia*, or loss of voice. (1997: 87)\n\nIt is clear, therefore, from the evidence of classical Freudian psychoanalytic theory and the revisionary post-structuralist practices favoured by Abraham and Torok, that textual gaps and silences denote a particular ideological project under threat. As Elaine Showalter has demonstrated in the above extract, a pervasive cultural anxiety can be clearly detected in the medical and Freudian case studies that document evidence of hysterical silences related to women. The next section of the introduction will focus on the historical events that have contributed to the ideological uneasiness surrounding such textual omissions. The excess of meaning, which always threatens to expose a cultural investment in any ideological project perceived to be under threat, can be clearly seen in the discourses through which melancholia circulates. Here, masculine intellectual achievements are insistently reaffirmed at the expense of women’s silence.\n\nWith this question in mind I would now like to trace the development of the concept of melancholia in the West. Furthermore, the brief analysis of the emergence of a melancholic psychological category within Western signifying\n\npractices that follows is viewed from a feminist perspective. It is important at this point to qualify this perspective. All feminist projects are necessarily concerned with promoting women's rights, points of view and concerns in order to improve the social, economic and cultural conditions in which they live.\n\nFeminism is then a political and ideological enterprise that attempts to restore women's social, economic and ideological standing within a patriarchal culture that is according to M.H. Abrams 'organized and conducted in such a way as to subordinate women to men in all cultural domains, religious, familial, political, economic, social, legal, and artistic' (1988: 208). Feminism is therefore an ambitious and multifaceted political movement that embraces many different projects within its overall remit. Furthermore, it is a social and intellectual movement that has been used by feminists to revise the male-centred assumptions and aspirations that underwrite the patriarchally-inflected ideological formations present in cultural production within the West. The revisionary practices deployed by feminists to draw attention to the gender-bias within Western culture has been particularly useful to feminists who are intent on revealing how masculine interests are served by literary texts. Feminist criticism of literary texts is of crucial importance to this particular thesis, which is committed to exposing the gendered assumptions implicit in Western conceptualisations of grief and loss. Moreover, this project deploys a post-structuralist feminist analysis of the symbolics of loss within Western patriarchal culture which aims to deconstruct the binary oppositions that constitute the organising principles of language within western culture. As we have already seen, these radical revisionary practices have been pursued by French feminists such as Irigaray, who has attempted to subvert the systems of\n\ndifference imbricated in patriarchal discourse. The post-structuralist strategies of psychoanalytic theorists such as Juliana Schiesari and Kaja Silverman are also integrated within this study to interrogate the intersecting dynamics of language and identity in order to establish how and why women have come to occupy a subordinate subject position, predicated on the cultural construction of polarised sexual difference, instated by western signifying economies.\n\nIt is however vitally important to acknowledge the historical and cultural processes that inform our understanding of the past so that we can avoid what Gillian Beer refers to as 'presentism' (1989: 63), which she claims 'takes now as the source of authority, the only real place' (1989: 67). An awareness of the historical and cultural specificities of gender formation is therefore crucial to an informed understanding of what Juliana Schiesari calls a 'politics of lack' (1992: ix). Schiesari glosses this term as 'the attribution of value to some subjects who lack but not to others who appear equally \"lacking\"' (1992: ix). Schiesari's interpretation of the symbolics of loss (re)presents the past by describing how value accrues to the masculine subject within the humanist melancholic tradition, thereby producing a 'gendered politics of melancholia and lack' (1992: x). Schiesari uses the psychoanalytic tool of transference to investigate the relationship between Renaissance and post-structuralist psychoanalytic texts to produce a generative interpretative space, one that is opened up by replaying the past and the present according to this therapeutic model. Schiesari has therefore avoided the epistemological pitfalls implicit in the term 'presentism' which according to Beer describes a practice which 'naturalises and fixes culturally constituted contemporary meanings of femininity: [that] militate against seeing the past or the present as sites where meanings can change'\n\nThe need to attend to the historical and cultural specificities of historical literary texts is therefore crucial to this thesis, which focuses on the sexual politics implicit in the melancholic tradition. Moreover, the analysis of the gendered divisions within this tradition is followed by an assessment of women's internalisation of the androcentric norms and prerogatives present in this cultural model to establish whether or not it is possible to transform women's contemporary understanding of melancholic depression. By deploying such a feminist critique of Western conceptual models of loss, it is anticipated that a gendered bias towards the empowered male intellectual will be detected at the expense of the depressed woman.\n\n(iii) Mourning The Past\n\nIn his influential paper 'Mourning and Melancholia' (1917), Freud attempts to construct a conceptual framework for the psychologically challenging condition of melancholia. The abstruse nature of the task confronting him persuades him to caution the reader against 'too great expectations of the result' (1957i:152). Moreover, in a particularly tentative preface to his paper, Freud the theoretician feels compelled to appraise the reader of the ambiguous organisation of the boundaries that contain his argument, when he states that 'Even in descriptive psychiatry the definition of melancholia is uncertain; it takes on various clinical forms ... that do not seem definitely to warrant reduction to a unity' (152). Furthermore, he continues to undermine an already unconvincing analytical model by adding the proviso that a 'claim to general validity for our conclusions shall be forgone at the outset' (152).\n\nFreud's evasive approach to the psychological category of melancholia is\n\nshared by more recent commentators such as Stanley Jackson. In the introduction to his comprehensive study of *Melancholia & Depression: From Hippocratic Times to Modern Times* (1986), the author reveals a similar reluctance to establish substantive terms of reference for his own investigation of the melancholic condition. The inherent instabilities and contradictions of this category are captured in his assertion that:\n\nAt any particular time during these many centuries the term that was in common use might have denoted a disease, a troublesome condition of sufficient severity and duration to be conceived of as a clinical entity; or it might have referred to one of a cluster of symptoms that were thought to constitute a disease; or it might have been used to indicate a mood or an emotional state of some duration, perhaps troublesome, certainly unusual, and yet not pathological, not a disease; or it might have referred to a temperament or type of character involving a certain emotional tone and disposition and yet not pathological; or it might have meant merely a feeling state of relatively short duration, unhappy in tone but hardly a disease (1986: 3)\n\nThe above passage reveals the way that the psychological category of melancholia has continued to exceed disciplinary boundaries. Jackson states that melancholia exists in an area of diverse interacting discourses. The situation of the melancholic category within this competitive discursive field explains some of the difficulties encountered by theoreticians who have attempted to insert this category within a wider ideological network. Similar problems were experienced by the Renaissance scholar, Robert Burton (1577-1640), when he attempted to compile a definitive account of the melancholic condition in *The Anatomy of Melancholy* as early as 1621. Ruth Fox identifies the problematic nature of Burton’s methodology when she reveals that his book ‘contains a scientific discourse treating a medical subject by means of traditional methodology in a traditional schema’ (1976:1).\n\nAs we have already seen, some three centuries later, Freud’s attempts\n\nto contain melancholia within the parameters of a scientific discourse suffers from a similar methodological design fault. By his own admission, ‘Even in descriptive psychiatry the definition of melancholia is uncertain; it takes on various clinical forms (some of them suggesting somatic rather than psychogenic affections) that do not seem definitely to warrant reduction to a unity’ (1957i: 152). Despite these reservations related to his theoretical enterprise, Freud continues his efforts to situate melancholia within a scientific framework of understanding. Freud seeks to stabilise melancholia by linking it to what he describes as ‘the normal emotion of grief’ in the belief that it will miraculously ‘throw some light on the nature of melancholia’ (152).¹⁵ Freud’s investment in a purely scientific discourse, to map meaning onto this notoriously elusive category, fails to address the impact that changing historical conditions continually exert on psychological structures. Consequently, we observe his argument collapsing under the strain of its own self-reflexive rhetoric, until he feels compelled to ‘call a halt and postpone further investigations into mania until we have gained some insight into the economic conditions, first, of bodily pain, and then of the mental pain which is its analogue’ (1957i:170).\n\nHere again, Freud’s prescriptive formula for melancholic foreclosure fails to prevent his argument from propelling itself along another more unsettling trajectory. Stanley Jackson traces this ideological confusion back to the Renaissance when thinkers such as Robert Burton and Timothie Bright (c.1550 - 1615) strove to curtail the plurality of their chosen discourse by producing complex classification systems to account for the causes of melancholia (1986:97). In a footnote related to Burton’s theoretical penchant for rigid categorisation, Jackson draws the reader’s attention to the status of more\n\nrecent work on melancholia, adding that: ‘One sees here that there is nothing new about the elaborate, multifactorial schemes put forward by some twentieth-century authors in efforts to reconcile many conflicting etiological views of a particular mental disorder’ (97). Despite the generic uncertainties surrounding the issue of melancholia, it is possible to trace a theoretical shift away from the view that melancholia was a disorder that primarily affected the imagination and the intellect. As Stanley Jackson notes:\n\nBy the early nineteenth century, as opinion was shifting away from the conviction that melancholia was definable as partial insanity, the tendency was less and less to conceive of the emotional state being determined by primary damage to the intellect, and more and more to think of the primary damage being in the realm of the emotions with the intellect affected only secondarily under the influence of the emotions. (1986: 400)\n\nThe shift in the melancholic paradigm, outlined above, is of major significance to any project that aims to challenge the gendered assumptions implicit in writing by women on the themes of loss and bereavement.\n\nThe increased tendency to view melancholia as a primarily affective disorder coincided with changes in the management of madness and insanity. As Elaine Showalter points out in her detailed account of women and madness in English culture: ‘The advent of the Victorian era coincided with a series of significant changes in society’s response to insanity and its definition of femininity’ (1987:17). Accordingly, the percentage of women admitted to asylums increased dramatically which suggests an institutionalised link with femininity and psychopathology. In her more recent book, *Hystories* (1997), Showalter reveals that the three great ‘physician-advocates’ of the nineteenth and twentieth centuries were Jean-Martin Charcot, Sigmund Freud and Jacques Lacan (1997:11). Showalter believes that these charismatic male\n\nauthority figures were instrumental in giving the increasingly female-defined condition of hysteria ‘a compelling name and narrative’ (11). Here, we see femininity being deployed to help define the emerging field of psychoanalysis. Showalter reveals that the vast majority of Charcot’s hysterical patients were females who were required to exhibit their abnormal behaviour at the Salpêtrière’s infamous Bâl des Folles (1987:148).\n\nShowalter detects a disturbing consonance between the specular, even theatrical, nature of Charcot’s celebrity hystericis and the cultural construction of femininity during the nineteenth century.\\textsuperscript{16} She points out that the hysterical pantomimes that were regularly paraded in front of Charcot’s adoring students were the physical manifestations of a masculine fear of female contamination (1987:154). Showalter believes that the paradoxical nature of this passive exhibitionism is illustrative of the managerial manoeuvres that were enacted by the emerging professions of psychiatry and psychoanalysis to remove the threat of the disorderly female. The theatrical displays of hysteria observed at the Salpêtrière also helped to validate the burgeoning fields of psychiatry and psychoanalysis. Showalter demonstrates how effectively the female voice was silenced by these medical figureheads by turning the woman into ‘the object of techniques of moral management, or of photographic representation and interpretation’ (1987:154).\n\nAs the French theorist Pierre Macherey has observed, in \\textit{A Theory of Literary Production} (1978), textual silences indicate that an ideological project is under threat. This is clearly apparent in Charcot’s hysterical tableaux where the female subject’s silence appears to endorse the master’s discourse. In this particular case, the master’s discourse is of course psychoanalysis, which\n\nprivileges sight as its favoured interpretative tool. Laura Mulvey has exposed the link between visual pleasure and patriarchal privileges in her milestone paper ‘Visual Pleasure and Narrative Cinema’ (1975). In Mulvey’s view, classical narrative cinema reinforces patriarchal interpretations of sexual difference by encouraging the male viewer to gain sexual satisfaction from their objectification of the female subject on film (1992:160).\\(^{17}\\) A similar pattern of enforced objectification is present in Charcot’s lecture theatres where Mulvey’s observation that the male viewer is able to indulge his fantasies by ‘imposing them on the silent image of the woman still tied to her place as bearer not maker of meaning’ (1992:159) is especially significant. Similarly, Showalter maintains that psychoanalysis is founded on the concept of the castrated woman as a guarantor of masculine unity upheld by its ‘emphasis on penis envy as the main determinant of female psychosexual development’ (1987:19). Psychoanalytic discourse invests heavily in the language of the dominant patriarchal order, ensuring that the systems of representation encoded within that language are reflected in its own practices. As Showalter puts it, ‘Changes in cultural fashion, psychiatric theory, and public policy have not transformed the imbalance of gender and power that has kept madness a female malady’ (19).\n\nA similar pattern of gender reinforcement can be traced in the emergence of the clinically depressed woman. In her essay on ‘Melancholy and Melancholia’ (1987), Jennifer Radden draws on the work of Michel Foucault to illustrate the transformation from the Elizabethan concept of melancholy to the contemporary idea of clinical depression. Radden notes the historical valorisation of melancholia as a discourse that signified the presence\n\nof the artistically privileged male.\\textsuperscript{18} As Stanley Jackson remarks, the Elizabethans understood the melancholic disposition to be ‘the basis for intellectual and imaginative accomplishments, to be the wellspring from which came great wit, poetic creations, deep religious insights, meaningful prophecies and profound philosophic considerations’ (1986: 99). The dazzling array of accomplishments outlined above reflect a wide range of moods and behaviours. As Radden notes, the notion of an extensive repertoire of moods related to commonplace occurrences correlates with Foucault’s theory that the suppression of such behaviours coincided with the advent of medical structures (1987: 245). Furthermore, the loss of the familiar elements of the early modern idea of unreason after the eighteenth century connects with a similar chain of events in relation to melancholia. In Jennifer Radden’s words, ‘rather than an ordinary, familiar and everyday figure, the depressive of today is increasingly rendered remote and alien, her condition unrelated to ordinary experience’ (245).\n\nSimilarly, the emergence of a depressive identity that is perceived as a definite personality type is analogous to Foucault’s premise that the contemporary notion of the homosexual evolved in the nineteenth century. Until that time, Foucault notes that ‘sodomy was a category of forbidden acts’ (1990: 43). During the nineteenth century these diverse behaviour patterns were distilled into the idea of the homosexual as ‘a personage, a past, a case history, and a childhood, in addition to being a type of life, a life form, and a morphology, with an indiscreet anatomy and possibly a mysterious physiology’ (43). The epistemological similarities between the emergence of the concept of the homosexual as a distinct category noted above, and the cultural\n\nconstruction of the female hysteric as outlined by Showalter, are therefore striking.\\textsuperscript{19} Moreover, the cultural shifts that produced a sociological environment that was conducive to the development of these identities, can be traced back to the institutionalisation of the medical professions in the eighteenth century. Radden argues that the new emphasis on the moral management of madness by the medical profession led to the marginalisation of what had previously been regarded as unreasonable behaviour patterns (1987: 233). Closely following Foucault’s analysis of the history of madness in \\textit{Madness and Civilisation: A History of Insanity in the Age of Reason} (1973), Radden asserts that:\n\nFoucault rightly attributed to the medical understanding a certain rarifying of madness. With the emergence of the medical point of view something was lost. \\textit{Déraison} (unreason) was transformed into \\textit{folie} (madness), as Foucault put it, and became what it is today: obscure, puzzling and remote from everyday human experience (1987: 233).\n\nRadden draws on Foucault’s understanding of madness to illustrate the theoretical similarities between the emergence of madness and its more quotidian counterpart, depression.\\textsuperscript{20} However, there are fundamental differences related to the aetiology of these two categories. The differences are connected to the notoriously unstable and contradictory category of gender, which demands a constant rewriting and reworking of the conditions of representation that it affects and indeed governs. Radden reminds us that melancholia was a fashionable condition in Elizabethan times that compensated for its distressing symptoms by transforming the subject into ‘an object of interest and respect’ (1987: 236). It was therefore, an ‘affliction’ that became the sole preserve of the distinguished male intellectual who was, as a result, ‘marked by his wit and wisdom’ (237).\n\nJuliana Schiesari notes that the medieval nun, Hildegard of Bingen, was the only woman known to have challenged the masculine discursive occupation of the category of melancholia (1992: 141). According to Schiesari, Saint Hildegard of Bingen appears to be the only woman who participated in the medical and philosophical debates related to melancholia (141). Moreover, Schiesari argues that Hildegard of Bingen is the only early-modern theorist who ‘confronted (critically) the question in terms of gender difference’ (141).\n\nFurthermore, according to Schiesari, Hildegard of Bingen appears to have anticipated Freudian concerns regarding castration anxieties in the male subject. As she puts it:\n\nNow, some of these guys … do cheerfully follow human nature in their contact with women, but nonetheless they hold these women in contempt … And some of these guys may shun women, because they neither love them nor want to have them, but in their hearts they are as enraged as lions and share the habits of bears. (1992:144)\n\nHildegard’s words therefore signify a departure from the prevailing Renaissance worldview that melancholia was the hallmark of a masculine intellectual elite. Schiesari also notes that Hildegard’s theories refute the alternative medical tradition that melancholia was a disease that was incurred ‘through some phantasmic encounter with a threatening femininity’ (141).\n\nImportantly, for this study, Hildegard’s notion that the symptoms of melancholia derive from a fault in the subject’s libidinal investment in the abandoned object foreshadows the Freudian emphasis on the ego’s identification with the lost object. Furthermore, Hildegard’s analysis of the ego’s (mis)identification with the object extends beyond Freud’s more cerebral preoccupation with psychical structures. Schiesari draws attention to Hildegard’s concern with the sociological consequences of such psychological\n\nimpairments by focusing on the implications that such a theory holds for women (1992:148). As we have already seen in the passage quoted above, Hildegard discerns a deeply misogynistic impulse at work in the melancholic's relations with women. Indeed, she postulates that Hildegard's notion that male melancholics suffer from an inability to cathect with an object, namely a woman, leads them to:\n\nsuck all the life out of the women they are with. They cannot find satisfaction in the company of women they are with. They cannot find satisfaction in the company of women, so either they remain with them while holding them in contempt, or else they reject women altogether and secretly nurture their repressed anger against women. Melancholics can never get enough and thus long for some heavenly Venus (or Saturn) that does not present herself corporeally, that is, as \"vulgar\" Venus. Since they long for this something beyond woman, they cannot love her for herself ... but only for this something beyond herself that she may represent but, of course, can never embody (1992:148/9).\n\nSchiesari's interpretation of Hildegard's text *Causae et curae*, presents a proleptic leap of theoretical faith from medieval scholarship to the sexual politics of the late twentieth century. Ahead of Freud, Hildegard appears to have devised a framework of understanding that not only disrupts but actively reorganises the overall shape of medieval ideological thought related to melancholia. Hildegard's text is a radical reworking of the conventional medieval and Renaissance theories regarding masculine transcendence related to melancholia because she takes into consideration the complex interplay of physiological and psychological structures that have an impact on both men and women. Given that women occupy the negative underside of the patriarchal symbolic order, it follows that her relationship with the melancholic male will be a disabling one, characterised by a tendency to punish and control.\n\nAs we have already seen in the passage quoted above, Hildegard has unravelled the prevailing psycho-social model of the beatific male melancholic\n\nby replacing his anodyne image with that of the brutalised misanthrope. Once the male melancholic's privileged status has been eroded in this fashion, it becomes easier to consider the psychological and sociological implications for those who live in close proximity to such patriarchal figureheads, namely women and children (1992:149). Hildegard's portrayal of the tortured and punitive relationship that characterises the melancholic's relationship with the rest of humanity removes the elitist gloss from the Renaissance socio-cultural model outlined above. Interestingly, according to Schiesari, Hildegard's account of the physiological and psychological attributes of the melancholic female is consonant with those that are more commonly associated with her illustrious male counterpart. Schiesari notes that, unlike 'the brawny male melancholic, the melancholic woman is emaciated and weak' whose overabundance of black bile is a 'source of fatigue, fainting spells, and difficulty in concentration' (1992:150).\n\nThis is, of course, a constructionist argument that maintains that identities are not essentialised entities but are, instead, moulded from the wide range of social possibilities that exist at a given point in time. As we have already seen, in connection with the work of Robert Burton and Hildegard of Bingen, the identity of the melancholic was forged out of the prevailing social context. As this context changed and existing ideological structures were challenged, new identities evolved that reflected these changes. In the case of the melancholic, the changing context included fundamental shifts in gender boundaries and social regulation.\n\nIn the late twentieth century, dominant ideological formations were continually disrupted by the ideological changes noted above, creating a\n\ncultural *zeitgeist* and sociological milieu that produced behavioural patterns that disturbed the existing *status quo*. In his materialist analysis of contemporary American blank fictions, James Annesley conjectures that the inherent instabilities of these ideological structures and institutions indicates that 'culture is taking a new direction, exploring new kinds of experiences and moving towards new forms and subjects' (1997:1). The constellation of new and challenging bodily and psychological protocols, cohere around the putative subject of American consumerism outlined by Annesley, can be readily observed in the work of the five authors examined in this thesis. The final section of the introduction will attempt to contextualise the literary renditions of psychological loss and bereavement contained in the work of the five authors under consideration within the framework of indulgence, consumerism and excess noted above.\n\n(iv) **Melancholy Narratives**\n\nThe final section of the introduction surveys how the cultural legacy of western constructions of mourning and melancholia reveals itself in the work of Smart, Lau, Sheard, Hustvedt and Harrison. Post-structuralist psychoanalytic theory will be used to illustrate the multiple and heterogeneous sites of meaning that are generated by specific texts at particular moments in time. As Sue Vice notes in the introduction to *Psychoanalytic Criticism* (1996), character based textual analysis has been denigrated by critics in recent years because many critics believed that close readings merely produced a self-reflexive process whereby literary devices were wedded to Freudian psychic activities 'such as dream logic, or condensation' (1996: 6). Clearly, this is a reductive exercise\n\nthat neglects the pressures exerted by social, historical and cultural formations. However, as Vice points out, post-structuralist Lacanian psychoanalytic theory is predicated on the theory that human psychology is preceded by the external structure of language (6). Following Shoshana Felman's premise in *Literature and Psychoanalysis* (1982), that unreconstructed Freudian readings of texts merely reproduced an Hegelian master-slave dichotomy where 'psychoanalysis has been the subject, literature the object' (1996: 7), Vice concurs with Felman that both disciplines should be 'enlightened, informed, but also affected, displaced by the other' (cited in Vice, 7). Therefore, Vice contends that psychoanalytic literary practice 'should be not masterful but mutual' creating a dialectic that is open to other meanings and implications (7). Language in the post-structuralist sense of the word describes a cultural process which, according to Vice, deals with 'the system of bodily utterances which constitute hysteria, the memoirs of a paranoid personality, literary criticism - whether spoken or written' (1996:8). Hence, the internal structuring of the human psyche is not a passive recipient of social and historical data but is involved in a dynamic mutual exchange of information that generates cultural systems of meaning.\n\nThe cultural systems of meaning embedded in the textual readings that follow are therefore in a state of perpetual flux. Psychoanalysis should not therefore be seen as a static entity that imitates patriarchal determinism by applying its hermeneutic healing powers to the compliant sick 'body' of literature. As Catherine Belsey observes, psychoanalysis has all too often been used to 'explain characters in the text or the symptoms of the author, as if to diagnose a pathology. I want to use it to read cultural history, but not on the\n\nassumption that cultures are sick' (1994:15). Belsey's comments on the efficacy of psychoanalysis as an hermeneutic theoretical tool are particularly relevant to this project. Indeed, Belsey's words echo Gillian Beer's premise that literary practices should 'emphasise the difference of past writings and past concerns from present-day beliefs and meanings ... to understand the historical processes of gender formation and gender change' (1989:223). Therefore, as Schiesari maintains, readings of gender within cultural representations of loss are never 'innocent' (1992: ix). Rather, the attribution of gender within such representations is the result of signifying practices that have changed through time to release polyvalent and often contradictory meanings.\n\nThe brief summary of the thematic concerns of each writer within this thesis will then utilise this transferential model to explain how the textual representation of loss has been problematised in the context of contemporary capitalism. Moreover, the survey considers how the structural properties of narratives of loss and bereavement have been schematically re-arranged in order to accommodate the ideological changes that have had an impact on women's relationship to dominant social formations and signifying practices. The various representations of loss reviewed, in the following chapters of this thesis, reveal themselves as the products of existing texts concerning loss that have been challenged by the radical re-working of the issues of gender, class and sexuality. Furthermore, these textual changes are embedded in a reciprocal contextual model where their position within a particular discourse either reinforces or disturbs the generic boundaries of the status quo. The tension between such radical and conservative impulses is revelatory of the unresolved issues that circulate around the discourse of loss and bereavement.\n\nIndeed, the tensions that are clearly evident in all of the texts under consideration in this thesis arise when the various protagonists realise that their experience of loss has radically dislocated their existing worldview. The dissolution of the existing worldview occurs when a singular interpretation of an experience is no longer tenable. The proliferation of possibilities that gather around the fractured ideological project, in the case of young women, frequently compete with their desire to fulfil patriarchal assumptions.\\textsuperscript{23} Therefore, the conflicting desires experienced by young women in a patriarchal order resonate with anxieties that are generated by their knowledge that their reorganised ideological project will unsettle the rigid parameters of patriarchal structures.\n\nCarol Gilligan claims that girls' resistance to the predicates of the patriarchal regime produces depressive symptoms because they abruptly 'discover through experience the realities which feminists write about: the prevalence of men's voices in societal and cultural institutions, and the disparities in economic and political power between women and men' (1992: 455). Furthermore, Gilligan argues that the unreconciled disturbances that continue to pulsate beneath the façade of adolescent girls' experience results in 'a sudden drop in girls' resilience and a marked increase in depressive symptoms, dissociative phenomena, eating disorders, suicidal thoughts and gestures, as well as behaviour which leads them into trouble with society and renders them economically and politically powerless' (455).\\textsuperscript{24}\n\nThe threat of expulsion from the perceived securities offered by the prevailing order are, therefore, strategically opposed to the sense of gratification produced by personally resolving issues such as incest survival, heroin addiction or suicidal depression - to be discussed in the novels under\n\nconsideration in this thesis. The fragility of the oppositional strategies, mentioned above, is demonstrated by the ability of the dominant order to redigest the dissonant voices of young women by labelling their work as the product of a rebellious period of their youth that denotes their passage into normative adulthood. By consigning expressions of psycho-social dissidence to the conservative category of the adolescent rite of passage *oeuvre*, the dominant order is able to contain the subversive potential inherent in such works, by claiming that they represent a psychological demarcation zone that separates youthful deviance from the responsibilities of dominant adulthood.\n\nThe dominant order has therefore cleverly reinscribed its own restrictive psychological practices, by effacing any expression of indeterminacy that may threaten its own master narrative.\\(^{25}\\) The rigorous policing of this boundary, with its own self-regulation, is clearly evident in the many of the novels written by young female writers in the 1980s. Writers, such as Tama Janowitz, Mary Gaitskill and Catherine Texier, produced novels that merely described the collision of cultural values referred to above. Within these novels, aberrant behavioural patterns were laced with salacious detail that meant that they were easily assimilated into American markets. As Elizabeth Young notes, these books 'became fashionable at this time [1980s] to, post haste, proclaim post-feminism, as if troublesome and cataclysmic social change had been assimilated as smoothly as Jello' (1992:143).\n\nHowever, this trend appears to have continued in the 1990s, with the publication of books like Elizabeth Wurtzel's *Prozac Nation* (1994) and Mary Gaitskill's *Because They Wanted To* (1997). Similarly, in Britain, the public appetite for confessional family memoirs has increased dramatically with the\n\npublication of books such as Jenny Diski’s *Skating to Antarctica* (1998) or Germaine Greer’s *Daddy We Hardly Knew You* (1995). In a recent edition of *The Guardian*, Angela Neustatter attributes the exponential rise in such works to the overwhelming need experienced by ‘introspective’ authors ‘to find answers to questions about someone close who has been physically or emotionally absent’ (1998: 2). A similar experience of emptiness and emotional impoverishment can be clearly discerned in all of the novels to be discussed in this thesis. The immense neediness experienced by the narrators of all of these novels ranges from the loss of a father through incest, in Kathryn Harrison’s *The Kiss* (1997), to the death of a schizophrenic mother, in Sarah Sheard’s *The Swing Era* (1993). However, all of the books in question, raise questions that either remain unanswered or are subject to negotiation even at the end of the novel.\\(^{26}\\) As Kathryn Harrison notes before closure, ‘the loss of my father will haunt me … now that I have known him, and he me, the rest of my life depends on our exile from each other’ (1997: 202). Therefore the archaeological exercise, that was referred to in Angela Neustatter’s article, barely disturbs the surface of immeasurable loss experienced by the narrators of the novels to be discussed in the subsequent chapters.\n\nAngela Neustatter also claims that confessional autobiography can be viewed as a literary mid-life crisis, stating that ‘it’s not a surprise, either, to find so many of these books being written by authors in the middle-years, that time when … we cannot avoid facing intimations of our own mortality’ (1998: 3). However, these narrators do not enjoy the luxury of calculated judgement conferred by age. Instead, they negotiate the psychological slippages of a constantly shifting psycho-sexual identity that appears to have emerged during\n\nadolescence, from within the constraints of late-twentieth century consumerism.\n\nInterestingly, James Annesley includes *Prozac Nation*, *The Kiss* and the work of Evelyn Lau within the rubric of 'blank fiction' (1998:1). According to Annesley, these fictions are marked by their shared 'indifference and indolence' where 'the limits of the human body seem indistinct, blurred by cosmetics, narcotics, disease and brutality' (1). Annesley contends that the work of writers such as Donna Tartt, Susanna Moore, Catherine Texier and Evelyn Lau suggest a common context that is supported by the late twentieth century idealisation of the commodity (8). Annesley explains that commodification is such a persuasive ideological formation that it 'has both an economic significance and an expressive social function' (8). Annesley concludes that the materialist perspectives offered by commodification provide the most convincing interpretation of these apparently flimsy texts (1998: 9). Moreover, he claims it is ironic that 'in dealing with supposedly lightweight and ephemeral elements these texts manage to engage with the kind of weighty material forces that are fundamental to the whole functioning of late twentieth-century society (1998:10).\n\nAnnesley's approval of commodification as the hermeneutic device that can unlock the elusive theoretical concerns of blank fictions illustrates the limitations of this particular approach. Indeed, Annesley cites the title story of Evelyn Lau's *Fresh Girls* (1994) as an example of the way that commodification permeates the lives of the young narrators of blank fiction. Hence for Annesley, 'Lau's blank writing ... draws the narrator into an intense, heroin-induced contemplation of the commodified character of her chosen indulgence' (1998:129). Annesley builds on this observation by affirming that Lau's\n\nrecognises the extent to which her pleasures are dependent upon particular substances, a realisation that inevitably diminishes her euphoria and grounds these potentially transcendent experiences in specific kinds of material relations (129)\n\nAnnesley's description of the means by which the commodity informs and indeed reconstitutes the psychological integrity of the narrator supports his theoretical view that the dominant economic forces of consumerism dictate the material realities of late twentieth-century urban life. However, his theoretical approach fails to interrogate the way that the specificities of class, gender and ethnicity render Lau's narrator more susceptible to the excesses of commercial indulgence that he outlines in his text.\\textsuperscript{27} Although the issues of class, gender and ethnicity are not central to Annesley's overall project, it is feasible to argue that they are fatally intertwined in Lau's portrayal of prostitution, in this particular instance, as well as in her other work. As we have already seen, Annesley's account of the narrator's sudden capitulation to the vilified outer reaches of commodified experience draws attention to the manner in which deviant activities are contained by the dominant ideological formations that marginalise them in the first instance. This theoretical position is, of course, influenced by the Foucauldian premise that resistance is crucially implicated in all power relations. In Foucault's words, power 'depends on a multiplicity of points of resistance: these play the role of adversary, target, support or handle in power relations' (1990: 95). There are, however, methodological problems in both of these accounts, hinging on their failure to theorise the historical reality of organised political resistance to dominant power structures. The emergence of the Women's Movement and the radical lesbian and gay agenda suggest themselves here. Furthermore, both of these theoretical perspectives presuppose a fatal collusion between inside and outside that precludes political intervention.\n\nAdditionally, these theories offer very little scope to explore the problematic nature of this hermetically-sealed continuum that appears to have always existed. By contrast, psychoanalytic approaches have transferred this self-regulating procedure back into the human psyche, where the figure of resistance can be seen to correlate with the notion of identification in the Freudian theory of melancholia. As Jill LeBihan notes in her examination of the narrative operations of the murder mystery:\n\n[The] process of opening up the ‘closed’ texts of formula fiction (Eco 1979), of exposing the inside to the outside, coincides with the psychoanalytic focus on insides and outsides, on the permeable skin between the *heimlich* and *unheimlich*, and on the uncomfortable transformation of inside/self to outside/object that constitutes abjection (1997:1)\n\nThe process of identification that is central to this particular construction of subjectivity has important implications for all of the narratives to be studied in this thesis. As we have already seen in the earlier part of the introduction, the reconstruction of psychic topography, referred to in the extract above, is the direct consequence of a disappointment in object-choice. The dissolution of the object-relationship and the concomitant recuperation of the liberated libido back into the ego leads to the latter being mistaken for the lost object and judged accordingly. Freud, therefore, theorises a psychological manoeuvre that terrorises the subject by threatening to expose this hidden psycho-drama to the outside world. As LeBihan observes, the procedure described above, is ‘a regressive, narcissistic, even cannibalistic process’ (1997: 2). Following Diana Fuss, she claims that ‘the continual repetition of identification, and the continual destruction of the otherness of the object by transforming it into the ego, can be\n\nSimilarities can be observed, therefore, between the materialist perspective offered by Annesley and the Freudian construction of the dysfunctional melancholic subject. Moreover, the regressive identificatory process identified by Freud in 'Mourning and Melancholia' (1957), provides a theoretical rationale for the constitution of subjectivity outside the self-reflexive power loop adumbrated in the materialist and constructionist analyses of power relations referred to above. As we have already seen, the regressive identificatory process, identified by Freud as the defining moment in the constitution of the melancholic subject, is based on the notion of serial repetition that is sustained through the destruction of the other that has been newly incorporated into the ego. This destructive cycle is present in the narrative structure of all of the texts to be discussed in the following chapters. Moreover, this cannibalistic process features as an unsolicited structuring device within these texts inviting the reader to identify with the masochistic dynamics that are implicated in the text.\n\nIn her examination of the narrative operations of the murder mystery genre, LeBihan has observed how this vampiristic process sustains the consumer of closed formula fiction, in novels such as Minette Walters' *The Ice House* (1993) or even the Sherlock Holmes series. LeBihan argues that the melancholic subject position is reinvoked by the reader of these books who is able to rehearse the death encounter implicit in the discovery of the corpse.\\(^{28}\\) Therefore, 'instead of coming face-to-face with death, through an introjection of the role of the detective or even through an acceptance of the corpse, the reader is put into the position of the melancholic subject' (1997:18). The\n\nendless deferral of psychological denouement present in melancholia is therefore dramatically realised in the guise of the murder mystery tale. Just as the detective always has one more case to solve, so the reader of this most conservative of genres must always move on to their next experience of death by proxy.\n\nThe serial deferral of indigestible secrets and desires, referred to in the previous section, closely resembles the narrative structure of romantic fiction. As we have already seen, the melancholic detective/reader of the murder mystery genre overcomes a series of obstacles in order to recover the corpse, only to move swiftly on to the next case. A satisfactory denouement of the case is therefore never achieved. Instead, the unresolved issues generated by the corpse are endlessly postponed so that the unspeakable secret that lies at the heart of the mystery is protected, transforming the reader into a voyeur who consumes ‘the representation of the person who represents’ (1997:18). Similar dynamics of deferral and misrepresentation are inscribed in romantic discourse where the hero must destroy all obstacles in order to gain true love. Once this goal has been attained, the story abruptly ends so that any secrets or difficulties that have been effaced by the narrative of pursuit need not be confronted by the reader. As Stevi Jackson points out, narrative closure ‘indicates that the excitement lies in the chase, not in the “happily ever after” (1995: 53). Furthermore, this narrative strategy is compelling precisely because ‘it enables readers to relive that excitement over and over again, without having to confront the fading and routinization of romantic passion’ (1995: 53/4). Moreover, Jackson concurs with Jennifer Radway that ‘the consumption of romantic fiction is an adaptation to discontent not a challenge to its source … [that] sustains the\n\nideal of romance which produced the discontent in the first place' (1995: 55).\n\nThe narrative staples of romantic fiction referred to above, are present in the first of the novels to discussed in this thesis. Elizabeth Smart's novel, *By Grand Central Station I Sat Down And Wept* (1945), is a fictional account of the author/narrator's affair with the English poet George Barker. The novel begins as the author's vision of idealised love, which eventually collapses through the demands of the material world. The gradual demise of the lovers' affair amply demonstrates the asymmetrical romantic model described by Radway and Jackson in the previous section. The distortions that are implicit in the romantic paradigm are, of course, the result of gendered discrepancies within heterosexual power relations in Western culture. These power differentials favour the masculine subject who is able to manipulate the cultural codes present within this model. Masculine dexterity in this particular area occurs because of women's traditional association with nature and emotion within Western representational systems. Stevi Jackson cautions against this essentialist model, arguing that the cultural reinforcement of emotion as feminine virtue merely reinscribes 'our location within patriarchal relations ... revalorizing what might be symptomatic of our subordination' (1995: 55).\n\nThe disabling symptoms of this culturally inscribed disease are clearly apparent in the pages of Elizabeth Smart's novel as well as the critical response to her work. The opening chapter will focus on Smart's book as an example of feminine writing that has suffered because of its perceived association with a cloying emotionality culturally equated with women. The principal aim of this chapter will be to establish the link between the naturalised assumptions referred to above and the de-valorisation of women's accounts of\n\nloss and bereavement in western culture. Secondly, the study will contend that the asymmetrical power model described above is continuous with the idealisation of the male melancholic as a member of an elite community responsible for the production of canonised texts related to loss. Furthermore, women's relegation from culturally sanctioned representations of loss will be attributed to their inferior position within Western signifying practices. The close textual reading of *By Grand Central Station* that follows will amplify the anomalies inherent in these culturally contrived power models. This objective will be achieved by revealing how women are unable to eroticise lack within patriarchal symbolic structures and hence achieve cultural recognition for their work in this field. Finally, the critical response to Smart's exemplary novel reflects this cultural immunity to expressions of loss written by women. The central argument regarding this issue will focus on the overwhelming critical valorisation of rhetorical figures and poetic structure that effectively marginalises Smart's evocation of the emotional anguish generated by her experience of overwhelming loss at the end of her affair with Barker.\\(^{30}\\) Critical aversion to Smart's account of betrayal and loss is a reminder that expressions of female grief remain unprocessed within the academy and thereby acquire an iconic status bereft of political or ideological status.\n\nThe psychological problems that follow a case of failed or postponed mourning are discussed in Chapter 2. This chapter is an investigation of the work of the Chinese-Canadian author Evelyn Lau, focusing on her first novel *Other Women* (1995) and her collection of short stories entitled *Fresh Girls* (1990). The chapter will assess the problematic category of female depression by drawing on the theoretical work of Julia Kristeva in *Black Sun* (1989) and\n\nAbraham and Torok in 'Incorporation and Introjection' (1994). The chapter will assess whether or not the acquisition of language is able to mobilise the emotional affect that has been suppressed during a disappointment in object-choice. Melancholy, as failed mourning, is therefore constructed as an inability to symbolise and hence represent loss. The principal objective of this chapter is then to establish whether or not women can transcend grief through the transformative powers of artistic production. Julia Kristeva's assertion in *Black Sun* (1989) that melancholia arises out of alienation from the symbolic register will be followed by Abraham and Torok's work in their essay 'Mourning or Melancholia: Introjection versus Incorporation' (1994), which conjectures that melancholia occurs when the subject is unable to symbolise loss. Both theories will be used in conjunction to illustrate the efficacy of the notion of art and language as a curative effect for melancholia.\n\nQuestions related to the consequences of delayed or postponed mourning will be continued in the next chapter which focuses on Siri Hustvedt's first novel, *The Blindfold* (1992). A close textual reading of this novel is undertaken to illuminate the theory that orthodox psychoanalytic notions regarding the aetiology of the melancholic condition have neglected the female subject's complicated and problematic transformation of bisexuality into adult femininity. Accordingly, Freud's theory of 'reality testing', outlined in his germinal paper 'Mourning and Melancholia' (1917), will be critically assessed in connection with the female child's need to relinquish the mother in order to embody a patriarchally endorsed version of femininity. Furthermore, the central argument within this chapter will contend that the psychological discomfort that attends the dramatic reversal from maternal to paternal love, in the girl's\n\npositive resolution of the Oedipal drama, is never fully resolved. Instead, the residual attachment of the girl to her first love-object manifests itself in her reluctance to undergo the psychological rigors of reality testing, which involves detaching libido from the lost love object. The psychologically impaired female subject is therefore persuaded to avoid this distressing procedure by using the lost object as a fetish or partial object to temporarily forego the arduous task of mourning. The girl’s occupation of this liminal zone is mirrored in her adult relationships which reflect the ambivalent and narcissistic psychological environment in which she is ensnared. Consequently, her lack of commitment to either maternal or paternal love-objects is realised in a shifting psycho-sexual identity that veers chaotically between fleeting attachments to both men and women.\n\nThe unstable psycho-sexual dynamics that envelop Iris Vegan in *The Blindfold* undermine the narrator of Sarah Sheard’s novel, *The Swing Era* (1993). Sheard’s elegiac text relates the story of a daughter’s mission to come to terms with the accidental death of her psychotic mother. This chapter investigates the melancholic subject’s vulnerability to secondary narcissism and the attendant threat of psychosis, identified by Freud in his essay ‘Mourning and Melancholia’ (1957). Freud’s assertion that failed mourning can explain the melancholic subject’s regression to secondary narcissism is countered by Julia Kristeva’s analysis of feminine depression in *Black Sun* (1989). Kristeva’s theory that the female subject must commit matricide in order to function as a normative adult, within the Symbolic register of language and law, shifts the theoretical focus away from the Freudian paternally biased Oedipal trajectory, on to the pre-Oedipal mother/child dyad. The close textual reading of Sarah\n\nSheard’s novel that follows demonstrates the visceral nature of failed or postponed mourning that prevents the grieving daughter from engaging in the reparative act of mourning that will enable her to begin to process or redigest her mother’s memory, so that she is able to recommence her life. Kristeva’s controversial theorisation of the disabling effects of the daughter’s attachment to the maternal object will be cited to elucidate the daughter’s struggle to implicate herself in a flexible discourse that will allow her to separate past from present and so reconcile the unresolved traumas of childhood and adolescence.\n\nThe curative effects of the ‘writing’ as opposed to the ‘talking’ cure will be discussed in the final chapter of this thesis. The final chapter examines Kathryn Harrison’s autobiographical account of incest survival in *The Kiss* (1997). Unlike the narrator of the previous novel, Harrison’s narrator mourns the loss of her father through a consensual, incestuous relationship initiated by him during her adolescence. The chapter will address the literary and cultural obstacles that prevent the author/narrator from adequately representing her experience within a fictional framework. This will be followed by an evaluation of the cultural and literary constraints preventing the daughter from constructing a counter-discourse that challenges the conventional norms and values of the romance genre. The act of literary patricide that is required to achieve representation within this discursive field embraces all of the issues and concerns of the previous chapters. Additionally, there will be a discussion of the problematic category of adolescence that is typically viewed through adult-centred discourses. The literary and cultural effacement of the resisting daughter in conventional romance plots is discussed in connection with\n\ndominant discourses that render her dissatisfaction with the culturally sanctioned 'family romance' narrative silent and therefore invisible.\\textsuperscript{31}\n\nHarrison's attempt to usurp the heterosexist romance plot by rearranging its traditional narrative structure represents her resolution to transform suspended mourning into grieving. By shifting the axes of the romantic paradigm, to include a resisting daughter and an absent father, Harrison is challenging the most cherished cultural values of the patriarchy. The act of resistance that shatters the normative assumptions underpinning its oppressive parameters translates invisible and indigestible loss into the transformative act of speech. However, the oppositional strategies, deployed by all of the five author/protagonists in this thesis, unwittingly reveal the resilience of the dominant ideological formations that inform them. Indeed, the collision of residual and emergent ideological and cultural formations can be clearly discerned in the first of the five novels to be discussed. Elizabeth Smart's novel \\textit{By Grand Central Station I Sat Down And Wept} was first published in 1945 and is therefore the chronological forerunner of the four other novels examined here. The novel is set in an American culture reverberating from the profound ideological changes engendered by the Second World War. The global cultural upheavals that emerge from such a catastrophe implicates the novel's author/narrator in a cultural plot that initially appears to trace an exciting, even liberatory trajectory, for its youthful creator. However, the promise of ideological and cultural plenitude is eventually destroyed by the very sociological formations that had initially allowed the author's vision of a more reciprocal and ideologically innovative sexual relationship to flourish. The destruction of this relationship by oppressive sociological formations demonstrates the fortitude of\n\nthe over-arching patriarchal structures that contain them. Indeed, the ingenuity and tenacity of these psychological and sociological mechanisms encourage a form of self-policing, ensuring that the boundaries of dominant ideological formations are not transgressed. These same formations keep intact a construction of femininity that Luce Irigarary contends is remarkably similar to that of the melancholic (1985). Paraphrasing Irigaray, Sue Vice claims that:\n\nLike the melancholic, a woman prefers affection to passion; has little interest in the outside world; and has suffered a primordial disappointment - castration, in the woman's case. In other words, female sexuality is necessarily pathological, as melancholia is in men (1998:165)\n\nThe following chapter will demonstrate how female sexuality is demonised within patriarchal structures by conflating it with the pathological condition that is culturally defined as melancholia. As we shall see, the narrator of Smart's novel gradually reverts to a mode of solipsistic contemplation, finding no objective correlative in the outside world to rescue herself or the reader of her elegiac text from a descent into psycho-social oblivion. The following chapters reveal the extent of this melancholic malaise within the writing of a selection of contemporary female writers. Indeed, the widespread occurrence of a melancholy poetics within contemporary women's writing suggests that this pathologised version of femininity has been internalised by a whole generation of writers who still struggle to dismantle its totalising dynamics.\n\nThis thesis is, then, an exploration of a pervasive sense of mourning that can be detected within contemporary women's writing. In what follows, I will attempt to establish how and why this elegiac mood permeates the writings of a diverse group of North American women writers. I will attempt to construct a working hypothesis to explain the presence of a melancholic poetics that is\n\ninscribed in each of the novels to be considered in this thesis. The following chapters will therefore draw attention to the reasons why the narrators of these novels are compelled by a profound and disturbing need to register their sense of unbelonging within a bleak and often incomprehensible universe. The failure to achieve a sense of belonging coincides with the narrators' sense that knowledge is uncertain within a chaotic and disorderly world. The palpable sense of unease that is present in these novels is a consequence of the climate of irrational uncertainty that erodes the received fantasies of love and acceptance offered by familial and social networks. The feelings of disempowerment generated by this hostile environment are compounded by the narrators' struggle to articulate their own deep-rooted sense of arbitrary injustice that is engendered by their exclusion from dominant institutions. As we have already seen, the extent of this exclusion suggests a link with femininity as a contested site of meanings and possibilities. Resistance to the constraints and limitations imposed on femininity as a discursive practice results in a reinforcement of the doubts and uncertainties that already exist in a late capitalist culture dominated by excessive violence, decadence and consumerism.\n\nThis project focuses on the inscription of loss within contemporary North American women's writing. By training the theoretical lens on this conflicted discursive site, I will attempt to show how the category of loss is being continually reworked by a new generation of female writers. These writers bravely confront the myths and received values that have been promulgated by a profoundly patriarchal culture intolerant of feminine representations of grief and loss. Before revisionist strategies can be implemented, it is essential that\n\nwomen find the tools to register their own sense of loss and bewilderment in a frightening universe that threatens to run out of control. Once a space has been cleared for women to work through their feelings of guilt, self-hatred and failure, without being castigated as isolated depressives, it may be possible to refashion mourning and melancholia into a discursive practice that ceases to be underwritten by divisive sexual politics that discriminate against women.\n\nThe following chapter will focus on Elizabeth Smart's evocation of loss and self-destruction in *By Grand Central Station I Sat Down and Wept*. Smart's compelling account of psychological exile foreshadows the experience of unrequited loss that is represented in all of the novels to be discussed in this thesis. In this sense, Smart's novel is exemplary, forming a textual point of reference for representations of unsuccessful mourning within contemporary women's writing. Smart's novel was first published in 1945 and therefore precedes the other novels within this thesis by some fifty-five years. The critical reception accorded to *By Grand Central Station* is illustrative of a widespread mistrust of feminine grieving that extends to the sheltered enclaves of academic learning. As we shall see, the novel was praised for its exuberant rendition of lyrical transcendence in the face of tragic loss. The shift of critical attention from the powerful portrayal of emotional betrayal and loss to the intricacies of verbal and rhetorical wordplay contained in the novel suggests a reluctance on the part of the academy to acknowledge female grief as a discursive reality. The critical blindness to textual representations of loss by women raises two questions that are crucial to all of the novels under consideration. The questions are centred around the academic failure to address the issues raised by women's experience of profound and catastrophic loss. Is this failure\n\ncontingent on a fear of the disorderly femininity that may be released by unrestrained or protracted grieving, or is this failure suggestive of a refusal to acknowledge that women can successfully manipulate the discursive apparatus that has historically celebrated the ability of the masculine subject to glorify loss? These issues will be addressed in the following chapter.\n\n1 Men have historically been the beneficiaries of triumphalist interpretations of melancholic texts. Juliana Schiesari includes Petrarch, Ficino, Tasso, Rousseau, Chateaubriand, Holderlin, De Quincey, Nerval, Dostoevsky and Walter Benjamin in the pantheon of \"great melancholics\". Women are, of course, conspicuous by their absence. (1992: 3) See also, Stanley W. Jackson (1986) *Melancholia and Depression*, New Haven and London: Yale University Press, pp. 78 - 103 for an account of literary and popular forms of melancholy during the Renaissance.\n\n2 See Sue Vice (1998) 'Psychoanalytic Feminist Theory' in Stevi Jackson and Jackie Jones (eds), *Contemporary Feminist Theories*, Edinburgh: Edinburgh University Press (65), for her review of Luce Irigaray's assertion that Freudian psychoanalysis collapses femininity into the pathologised category of melancholia.\n\n3 See Juliana Schiesari's insightful interpretation of Kaja Silverman's study of feminine psychological disinvestiture following the resolution of the positive Oedipal phase in *The Acoustic Mirror* (1984). Schiesari contends that Silverman's work illustrates how the structures of femininity and melancholia begin to merge after the positive Oedipal phase when 'The superego, an agency of the father, inherited at the Oedipal complex as one assumes one's position in the ordering of sexuality, works to maintain and reinforce the dominance of the father over the mother. It is no wonder, then, there are so many depressed women!' (74). See Kaja Silverman (1984) *The Acoustic Mirror: The Female Voice in Psychoanalysis and Cinema*, Bloomington, Indiana University Press.\n\n4 See Julia Kristeva (1989) 'Psychoanalysis - A Counterdepressant' in *Black Sun: Depression and Melancholia*, trans. Leon Roudiez, New York: Columbia University Press, pp. 1 - 30.\n\n5 The term 'slacker' is taken from Richard Linklater's film of the same name. According to Annesley, the term is used to describe characters who 'seem intent on rejecting traditional roles and determined to find alternative paths, preferably paths that offer the least resistance and enable them to satisfy their obscure and often indulgent desires'. See James Annesley (1998) *Blank Fictions: Consumerism, Culture and the Contemporary American Novel*, London: Pluto Press, p. 122.\n\n6 Annesley's interpretation of the title story of Evelyn Lau's *Fresh Girls* (1994) reveals how the material imperatives of commodification infiltrate and thereby undermine pleasurable or sensory emotions and experiences. In this story, the narrator injects heroin supplied by her pimp. The narrator uses commercial imagery to convey the impact of the drug which she experiences as 'a silvered feeling' that rushes along the back of her neck. Annesley maintains that this incident illustrates how commodification 'grounds these potentially transcendent experiences in specific kinds of material relations' (129). See James Annesley (1998) 'Decadence' in *Blank Fictions*, London: Pluto Books, pp 108 - 134.\n\n7 See 'Feminist Theory and Discourse Theory' in Sara Mills (1997) *Discourse*, London: Routledge, pp. 77 - 103, for a comprehensive overview of recent developments in this area.\n\n8 The Freudian case study has long been criticised by feminists as an arena that privileges the typically masculine analyst over the female analysand. Although there is no scope for a detailed analysis of the status of the case study within post-structuralist feminist theory at this juncture, see Claire Kahane and Charles Bernheimer (1985) eds. *In Dora's Case: Freud-Hysteria-Feminism*, New York: Columbia Press, for a wide range of feminist responses to the Freudian construction of femininity contained in his most famous case study.\n\n9 Lynne Segal reads Lacan's theory of feminine *jouissance* as a repressive measure that relegates women's expression of pleasure to the depoliticised realm of the Imaginary. Hence, 'it cannot, therefore, provide a woman with any way of communicating her existence as an agent of her own desire, but can only engage her in the mystery of women's place as the foreordained\n\nobject of phallic fantasy'. See Lynne Segal (1994) *Straight Sex: The Politics of Pleasure*, London: Virago, p. 132.\n\n10. See Margaret Whitford (1991) *Luce Irigaray: Philosophy in the Feminine*, London: Routledge. Irigaray's notion that women are excluded from philosophical discourses in Western culture also explains their omission from canonical melancholic texts.\n\n11. See Janice Doane and Devon Hodges (1992) *From Klein to Kristeva: Psychoanalytic Feminism and the Search for the \"Good Enough\" Mother*, Ann Arbor: The University of Michigan Press for a detailed overview of the development of object-relations theory and psychoanalytic accounts of mothering. Moreover, Doane and Hodges claim that Kristeva's work on feminine depression in *Black Sun* (1989) is indebted to object-relations theory and particularly the work of the French psychoanalyst André Green (65).\n\n12. Toni Morrison's novel *Beloved* (1987) suggests itself here. Morrison's novel is germane to this discussion because it engages with the category of race memory which is in Morrison's words dependent on the silent and hence forbidden presence of 'unspeakable thoughts, unspoken' (1987: 199). See Peter Nicholls (1996) 'The Belated Postmodern: History, Phantoms, and Toni Morrison' in *Psychoanalytic Criticism: A Reader*, Cambridge: Polity Press, pp. 50 - 74. Nicholls deploys Abraham and Torok's notion of 'transgenerational' haunting to interrogate Morrison's narrative of failed mourning.\n\n13. According to Peter Nicholls Abraham and Torok's theory of 'transgenerational haunting' refers to 'something repressed [that is] transmitted across several generations'. See Peter Nicholls (1996) 'The Belated Postmodern: History, Phantoms and Toni Morrison' in Sue Vice (ed.) *Psychoanalytic Criticism: A Reader*, Cambridge: Polity, (63).\n\n14. See Esther Rashkin (1995) 'A Recipe for Mourning: Isak Dinesen's \"Babette's Feast\"' *Style*, Vol. 29, 3, Fall, pp. 356 - 375 for a textual demonstration of how Abraham and Torok's theory of repressed mourning can help to unravel the mysteries of repressed or blocked mourning.\n\n15. Judith Butler detects some ambivalence in Freud's attitude towards the question of identification implicit in his notion of melancholia. Butler suggests that Freud's reluctance to clearly identify the psychological dynamics present in the category of melancholia, without linking it to the normative position of mourning, arises because it problematises his theory of gender acquisition. According to Butler, the incest taboo is predicated on the male child's disavowed grief when he must identify with his father in order to assume a normative heterosexual subject position. See Judith Butler, (1990) *Gender Trouble: Feminism and the Subversion of Identity*, London: Routledge, pp. 57 - 66.\n\n16. Jonathan Dollimore suggests that the Western conceptualisation of loss is significantly gendered. Dollimore argues that this misogynistic symbiotic construction of femininity and loss has persisted throughout recorded history, particularly in the narrative of the Fall. See Jonathan Dollimore, (1998) *Death, Desire and Loss in Western Culture*, London: Penguin Press, pp. 23 - 27.\n\n17. Jackie Stacey's 'Desperately Seeking Difference' addresses the question of desire between women in narrative cinema. Stacey maintains that Mulvey's theory of feminine spectatorship fails to account for the complex interplay of difference and otherness within feminine modes of viewing. Stacey argues that women gain pleasure by actively seeking difference when viewing images of women on the screen. She concludes therefore that Mulvey's 'rigid distinction between either desire or identification, so characteristic of psychoanalytic film theory, fails to address the construction of desires which involve a specific interplay of both processes' (129). See 'Desperately Seeking Difference' in Lorraine Gamman and Margaret Marshment (eds) (1988) in *The Female Gaze: Women as Viewers of Popular Culture*, London: The Women's Press, pp. 112 - 129.\n\n18. Radden's paper attempts to establish that the early modern terms \"melancholy\" and \"melancholia\" correlate respectively with the contemporary terms \"depression\" and \"depressive illness or reaction\" (240). However, Juliana Schiesari maintains that 'what needs to be stressed is that melancholia as a cultural category for the exceptional man appears concomitant with a denial of women's own claims to represent their losses within culture'. See Juliana Schiesari (1992) *The Gendering of Melancholia*, Ithaca and London: Cornell University Press, pp. 93 - 95.\n\n19. See Alan Sinfield (1994), *The Wilde Century*, London: Cassell, for an analysis of the origins of the contemporary stereotypical construction of the homosexual. In particular, see the chapter entitled 'Speaking Its Name' pp. 109 - 129.\n\n20. See the chapter entitled 'Foucault and Postfeminism' in Ann Brooks (1997) *Postfeminisms, Feminism, Cultural Theory and Cultural Forms*, New York and London: Routledge, pp 47 - 68 for a comprehensive overview of post-structuralist feminist responses to\n\nFoucault's work. Brooks' chapter also clarifies some of the limitations of Foucault's work for feminist projects, particularly his failure to adequately address the cultural differences and contradictions implicit in the term 'woman'. See Ann Brooks (1997) *Postfeminisms: Feminism, Cultural Theory and Cultural Forms*, London: Routledge, pp. 65 - 68.\n\nJuliana Shlesari reminds the reader that women have always devised strategies to represent loss and grief, notably in the devalued discursive formations of mourning and depression. What is at stake culturally is their exclusion from valorised melancholic discourses that have historically been focused on the privileged male intellectual. See Schiesan's chapter 'Freud's \"Mourning and Melancholia\" in *Gendering Melancholia* (1992), Cornell University Press: Ithaca and London, pp. 33 - 96.\n\nThe epithet 'blank fiction' is a contentious category that is notoriously difficult to define. Annesley claims that blank fiction is 'predominantly urban in focus and concerned with the relationship between the individual and consumer culture. Instead of the dense plots, elaborate styles and political subjects that provide the material for writers like Toni Morrison, Thomas Pynchon and Norman Mailer, these fictions seem determined to adopt a looser approach' (1998: 2). Elizabeth Young and Graham Caveney prefer the title \"Blank Generation\" fiction because they maintain that it 'conveys something of the flat, stunned quality of much of the writing. See Young & Caveney (1998) *Shopping in Space: Essays on American \"Blank Generation\" Fiction*, London: Serpents Tail, pp. v – viii.\n\nThe female literary tradition is littered with representations of women who found it impossible to adhere to the dominant cultural construction of womanhood. Sylvia Plath's evocation of a young woman's failure to comfortably position herself within prevailing socio-sexual discourses in *The Bell Jar* is perhaps the most striking recent example. Indeed, Plath's portrayal of psychological break-down in 1950s America influenced a whole generation of female writers such as Susanna Kaysen in *Girl Interrupted* (1995) and Elizabeth Wurtzel's *Prozac Nation* (1995).\n\nSee Judith Kegan Gardiner (1995) 'Can Ms Prozac Talk Back? Feminism, Drugs and Social Constructionism' *Feminist Studies*, 21, 3, Fall, pp. 501 - 517. Gardiner suggests that Wurtzel projects her ambivalent attitude towards recent changes and contradictions within feminism onto drugs like Prozac. Gardiner cautions that Wurtzel's alleged ambivalence towards Prozac masks her reluctance to assume responsibility for own choices and therefore makes her especially vulnerable to the 'psychotherapeutic hype' of the pharmaceutical industry' (515).\n\nThe troubled status of the adolescent body can be seen to be a literary staple within contemporary fiction. In what follows, a disturbing symbiotic relationship between the perceived threats of adolescence and femininity will be revealed, especially in Kathryn Harrison's *The Kiss* (1997). Meanwhile, see Jo Croft (1998) 'Writing the Adolescent Body' in Jan Campbell and Janet Harbord (eds) *Psycho-politics and Cultural Desires*, London: UCL Press, pp. 190 - 202.\n\nNarrative fragmentation and disruption have been identified as a facet of the postmodern aesthetic. See in particular, Patricia Waugh (1992) 'Postmodernism' in *Feminism and Psychoanalysis*, Oxford: Blackwells, pp. 341 - 345. However, significantly for this project, all of the novels examined within this thesis appear to be uninterested in dismantling the grand meta-narratives that have historically imposed constraints on the development of a feminist epistemology. Indeed, the narratives under discussion do not challenge or disturb the ratifying law of the father. Instead, the narrators of these novels operate within a melancholic aesthetic that keeps the lost love-object at bay, through the psychological process of identification, outlined above.\n\nSee Lisa Adkins (1998) 'Feminist Theory and Economic Change' in Stevi Jackson and Jackie Jones (eds) *Contemporary Feminist Theory*, Edinburgh: Edinburgh University Press, pp 34 - 50.\n\nThis regressive process is very similar to Abraham and Torok's theory of cryptic writing whereby the lost object is incorporated into the unconscious where it is figured as a secret that is sealed off from the outside world. However, the narrative operations of the murder mystery tale cited here are more akin to the process of melancholic identification referred to above. The endless rehearsal of the death encounter present in the murder mystery tale operates on the same principles of repetition that are fundamental to melancholic identification, whereas the process of incorporation occurs at discrete intervals and involves a disavowal of the loved object instead of a rejection of the thoroughgoing work of mourning. For a definitive account of the process of incorporation see Jacques Derrida (1977) 'Fors', *The Georgia Review*, 31, 1, pp. 64 - 116.\n\nJackson's statement neatly illustrates the textual operations of melancholic identification in the murder mystery tale and traditional romantic narratives described above.\n\nSee especially, Jean Mallinson (1978) 'The Figures of Love: Rhetoric In By Grand Central Station I Sat Down and Wept', *Essays in Canadian Writing*, 10, pp. 110 - 118 and Alice Van Wart (1986) 'By Grand Central Station I Sat Down and Wept' *Studies in Canadian Literature*, Vol. 11, 1, pp. 38 - 51.\n\nSteph Lawler's 'I never felt as though I fitted': Family Romances and the Mother-Daughter Relationship' in Pearce and Stacey (eds) (1992) *Revisiting Romance*, London: Lawrence & Wishart, pp. 265 - 278, is interesting in this context. Lawler's chapter is primarily focused on the intersection of class and gender in mother-daughter relationships; however her analysis of the underlying ambivalence in the mother-daughter relationship is relevant to Harrison's novel, where the narrator is engaged in a perpetual battle to replace both parents in and through the magical operations of fantasy.\n\n(i) Introduction\n\nWhen Freud introduced the notion of a dynamic unconscious, he brought a demon into the modern world which will not let anything alone, but which continually disrupts the things we take for granted and subverts the things we assume to be true (Frosh, 1997: 242).\n\nIn the Introduction I established that Elizabeth Smart's novel *By Grand Central Station I Sat Down and Wept* (1945) is a melancholic text that foreshadowed the form, structure and thematic concerns of post-war women writers (see 52). In what follows I will qualify this statement by showing why Smart's chronicle of exiled love is an exemplar of what I shall refer to as the female melancholic text. My main concern is to reveal how Smart's novel marks a literary turning point within this sub-genre of women's writing. I will contend that *By Grand Central Station* changed the literary landscape for the generation of women writing within the melancholic oeuvre after the Second World War. The structure of this chapter will be divided into two parts. Firstly, I will show how Smart's novel is affected by humanist melancholic traditions that privilege masculine expressions of grief and loss. My principal objective will be to show where Smart's book is located within western philosophical traditions that have historically excluded women from the discourse of melancholia. In the second part of this chapter, I will focus on the academic response to *By Grand Central Station*. I will draw attention to what appears to be a critical aversion to women writing about the eviscerating effects of catastrophic loss. This gendered gap within culturally sanctioned representations of loss will be explained in terms of women's problematic status within Western signifying\n\npractices. Finally, I will discuss the literary and discursive implications raised by Smart’s text. I will conclude this chapter by demonstrating how Smart’s narrative can be seen to exceed the rigid conventions of melancholic discourse. I will illustrate this point by showing how Smart’s narrator successively resists discursive and institutional oppression by refusing to subscribe to the narrow and disabling regime of femininity endorsed by western culture.\n\n(ii) ‘Beautiful Losers’: Women’s Literary Status Within Melancholic Discourse\n\nIn the following section I will attempt to provide a contextual framework for Elizabeth Smart’s novel. In the Introduction, I drew attention to the problematic status of women’s writing on loss and bereavement in melancholic discourses (see p. 2). As I established women have been historically excluded from these discourses. We may recall that the great melancholic geniuses within western culture were unanimously male even though recent feminist research has uncovered a significant body of women’s writing in this area.\\(^2\\) Furthermore, masculine appropriation of the Renaissance discourse on melancholia influenced later theorists such as Sigmund Freud. According to Juliana Schiesari, the cultural legacy of this valorisation of masculine loss is clearly present in Freud’s treatment of the fictional character of Hamlet in his essay ‘Mourning and Melancholia’ (1957i). Schiesari argues that Freud’s depiction of Hamlet as a procrastinator who is dogged by moral scruples locates the hero-prince within ‘a venerable cultural tradition that has, in fact, historically legitimated loss in terms of melancholia for men’ (1992: 5). In what follows, I will show how the historical validation of melancholic writing by men has affected the critical response to Elizabeth Smart’s novel.\n\nBy Grand Central Station was first published in 1945, and according to Michael Oliver, the publication of the book:\n\nwas met with a few surprised, confused, but favourable notices, and as the years went by it gradually became an underground classic in England, a rare book appreciated by a cult of readers who were able to attune themselves to the intense, personal vision presented by the obviously gifted young writer. The fact that during all this time Miss Smart published no further books naturally served to increase the literary and spiritual value of her singular masterpiece (1978: 106).\n\nOliver’s reaction to the critical reception of By Grand Central Station is illustrative of the existence of a gendered bias towards men within melancholic discourses. It is remarkable that academic responses to Smart’s novel manifest such a pronounced level of confusion when dealing with a textual representation of loss written by a woman, for as we have already seen, women have always been involved within the cultural production of writings related to mourning and melancholia. The critical response to Smart’s narrative, however, clearly indicates that women’s involvement within this area was not rewarded by an academic or indeed cultural recognition of their efforts. The title of Oliver’s article, ‘Elizabeth Smart: Recognition’, is therefore deeply ironic. The irony lies in Oliver’s central assertion that Smart’s novel has finally received the level of recognition that it richly deserves. Clearly, this is not the case. As Oliver points out in the extract quoted above, By Grand Central Station remained an ‘underground classic’ consumed by an elite group of readers, who were able to ‘attune themselves to the intense, personal vision’ propounded by this talented young author.\n\nBy framing Smart as a literary phenomenon, Oliver maintains the hidden agenda that is embedded in western philosophical traditions: namely, that women should not be involved in the production of literature related to grief and\n\nEvidence of Oliver's defence of the hidden assumptions implicit in these traditions can be detected in his emphasis on the 'singular' even 'spiritual' nature of Smart's novel. By foregrounding what he sees as the transcendent qualities present in the novel, Oliver carefully removes Smart's narrative of anguished loss from the gaze of both the academic and the mainstream reader. Smart's rendition of the 'messy' aftermath of exiled love is thereby safely positioned within the exclusive enclave of the literary *avant garde*. By implying that *By Grand Central Station* is only attractive to the rarefied palates of the literary elite, Oliver has conveniently shifted the focus of attention from the unsettling details of Smart's account of thwarted love into the relatively comfortable forum of literary aesthetics. Even so, Oliver remains intent on drawing attention to the marginal status of a text that can paradoxically only achieve recognition if it is pushed underground. The discomfort aroused by the publication of Smart's novel is a clear indication that the discourse of melancholia still legitimates the cultural output of male *auteurs* at the expense of women.\n\nThe sense of astonishment, bordering on embarrassment, provoked by Smart's book can be detected in some women's response to the novel. For example, in her preface to the 1966 edition of the novel, Brigid Brophy hails the book as an example of not 'more than half a dozen masterpieces of poetic prose in the world, which nevertheless 'made small stir' in the literary world (1992: 7). Here again, emotional intimacies are eschewed in favour of the more cerebral delights of rhetorical wordplay. Moreover, the underlying subtext of both of the commentaries noted above reveals the authors' veneration of the novel's complex poetic structure and poignant lyricism. By focusing on the\n\nrhetorical splendour of the narrative, both critics ignore the novel's central themes of betrayal and loss, even though the novel was originally conceived as the author's reaction to the end of her relationship with the poet George Barker. Significantly, for this project, the critical effacement of the novel's dramatic theme of catastrophic loss appears to be wilfully sacrificed so that the text can receive cultural or critical acclaim. This valorisation of rhetorical figures, at the expense of the emotional anguish that they are designed to explore, suggests a critical aversion to narratives that detail female loss.\n\nThe critical reaction to Elizabeth Smart's devastating portrayal of emotional abandonment suggests that the humanist celebration of masculine inspiration through impairment is still prevalent within western culture. This is a position that is espoused by Juliana Schiesari in her chapter on 'The Gendering of Freud's 'Mourning and Melancholia' in *The Gendering of Melancholia* (1992) and Jennifer Radden's essay 'Melancholy and Melancholia' (1987). The theoretical rationale that underpins this chapter, will build on Schiesari's and Radden's accounts of the privileged status of masculine accounts of grief and loss from the Renaissance onwards. Their work is supportive of the central argument, within this chapter, that contemporary women's writing still suffers from women's historic exclusion from the discourse of mourning. Women's exclusion, in turn, continues to prohibit their participation in artistic production.\n\nMoreover, the response of some feminist critics to *By Grand Central Station* reflects the durability of the humanist myths surrounding masculine transcendence implicit in western culture. In a relatively recent paper, 'The Inscription of \"Feminine Jouissance\" in Elizabeth Smart's *By Grand Central Station I Sat Down and Wept*' (1994), Denise Heaps disappointingly condemns\n\nSmart’s novel because she feels uncomfortable with a text that involves ‘the annihilation of another woman’s pleasure and the infliction of pain’ (1994: 154). Here, we witness a deeply judgmental interpretation of Smart’s complex evocation of psychological despair following abandonment. Significantly, Barker’s adulterous liaison with Smart, conducted in close proximity to his wife, escapes the worst excesses of Heaps’ moralising invective. By adopting a morally scrupulous approach to only one half of this adulterous equation, Heaps unwittingly protects the misogynist impulses that are imbricated in melancholic discursive practices. Moreover, Heaps’ condemnation of Smart’s supposed moral turpitude, reveals an even more disturbing intolerance of the sexually active woman within western culture.\n\nThe conflation of anarchic loss and sexual abandonment contained in *By Grand Central Station* triggered cultural anxieties related to the potential destruction of the polarised set of differences encoded in western discursive practices. This underlying fear of the threat of female sexual agency reverberates throughout melancholic discourse revealing its more insidious undertones in the infamous witch hunts of the early modern period. Schiesari maintains that masculine castration anxieties were projected onto the figure of the melancholic female who threatened to collapse binary definitions of womanhood by revealing the presence of feminine desire. Thus, ‘the horror of the witch, or of the female melancholic, is that she would all too openly reveal what is projected onto her, a longing for the phallus though it be long gone, unattainable, or perhaps never there in the first place’ (1992: 255). Smart’s tale of sexual subversion and experimentation therefore troubles the boundaries of sexual difference that bolster the predicates of the patriarchal symbolic order.\n\nSmart and her autobiographical narrator must therefore suffer the fate of women who dare to exceed the narrow prescriptions of patriarchal discourse by exposing a desire to explore forbidden sexual and psychological terrain. As we have already seen in the response to Smart's novel, the cultural fear of women's sexual agency is so widespread and deeply entrenched that some feminist commentators such as Heaps have themselves internalised the more punitive elements implicit in western discursive practices.\n\n(iii) Delusion and Impoverishment\n\nThe next section of this chapter will continue this theme by focusing on what women have lost by not being able to access the discourse of melancholy. In order to answer this question I will draw attention to the presence of woman as the repressed Other within melancholic discourse. I will examine what is at stake in cultural terms within this rigid category that elevates the grandiose figure of the male melancholic whilst completely ignoring the work of women writing within this field. Moreover, I will question why society continues to discriminate against women such as Smart who bravely attempt to access melancholic discourse. Schiesari and Radden's work on the devalued status of femininity within melancholic discourse will be used to elucidate why it is women have been unable to enjoy the cultural kudos bestowed on the esteemed male melancholic.\n\nIn 'Freud's \"Mourning and Melancholia\" (1992), Schiesari refocuses attention on loss as an ontological category. By so doing, she shifts critical attention onto loss as a separate issue, rather than a reaction to the object itself. This is a departure from Freud's theory in which the melancholic ego becomes identified with the abandoned object. As Freud puts it, 'the shadow of\n\nthe object fell upon the ego so that the latter could henceforth be criticized by a special mental faculty like an object, like the forsaken object’ (1957i: 159). By steering the reader away from this regressive process, Schiesari places the spotlight on the ‘what’ of the lost object. This new emphasis, in turn, redirects attention back to the subject of the loss (1992: 43). Schiesari’s critical manoeuvring of Freud’s theory invites the reader to contemplate what the melancholic subject loses in themselves. Schiesari has, therefore, shifted attention away from the cannibalistic process of identification and destruction that forms the central pivot of Freud’s argument.\\(^3\\) By inverting the subject/object paradigm in this way, Schiesari foregrounds the repetitive nature of the melancholic condition in a different way to that outlined by Freud.\n\nSchiesari veers away from the relentless cycle of identification and destruction that is such an integral part of Freud’s argument. Instead, she doubles back to reveal the melancholic ego, closing off the lost object so that it can protect itself from the searing pain of unresolved loss (47).\n\nThe delusional impoverishment of the ego provides the melancholic subject with what Shiesari calls a ‘pretext through which the ego can represent itself’ (42). The melancholic ego then attempts to resolve the confused relation between inner and outer by using loss as a lens that presents a distorted version of the external world to the subject. The contortions of the lens make sense to the melancholic ego because its appears to endorse the impoverished worldview that follows the ego’s identification with the abandoned object. As Schiesari puts it, this dysfunctional relationship works because the ego ‘derealizes or devalues any *object* of loss for the sake of loss itself: a sort of suturing between lack and loss, an idealization of loss that paradoxically\n\nempowers the ego' (43). As we have already seen, according to Schiesari, this shift in focus results in a new emphasis on the 'what' of the lost object, that in turn points back to the 'subject' of the loss (43). This is, then, a departure from the 'whom' that is lost in mourning. The changes that take place in the melancholic ego give rise to a repetitive and intensely self-reflexive pattern of behaviour. The obsessive symptoms of this condition will be observed in the close reading of *By Grand Central Station* that follows.\n\nScheisari notes that 'Mourning and Melancholia' (1957i) was written under the shadow of Freud's purely speculative conviction that his own days were numbered (34). Freud's anxiety reveals itself in his frustrated attempt to compartmentalise loss by relegating it to a fixed psychological category that will suppress for good the elusive melancholic signifier (40). Thus, Freud reveals the kind of masculine fears that were referred to earlier in this chapter, in connection with discursive practices. On the one hand he is afraid that this disorderly signifier might upset the libidinal economy that he has tried so hard to construct; on the other hand, he fears that the whole framework of perception that privileges masculine expressions of loss may be disrupted. Thus, Freud's essay slots into what Schiesari calls a 'long-standing tradition of treating melancholia as a typology to be classified rather than as a condition to be specified' (35).\n\nFreud's feverish attempt to file away this troublesome category, which was becoming increasingly outmoded at the time of writing, reveals his underlying anxiety that the lofty status of the male melancholic may be usurped by the desiring Other, namely the melancholic female. Evidence of Freud's nervousness when dealing with the colonising zeal of melancholic discourse\n\ncan be found in his analogy of the open wound. Here, melancholia is figured as the cavernous, castrating space that threatens to swallow the cultural privileges bestowed by the all-conquering penis. As Catherine Bates maintains, in 'Castrating the Castration Complex' (1998), Freud's repeated use of the term castration is consistent with his own definition of fetishistic practice. Freud therefore manipulates the term castration in a similar manner to the fetishist who 'does not simply deny the fact of castration; rather, he contrives to hold on to two conflicting and contradictory ideas at once' (1998: 103). Furthermore, Bates advances the view that Freud's fetishistic deployment of the castration syndrome allows him to sublimate his fear that the phallocratic order may be destroyed by the female organ. As she puts it:\n\ncastration allows Freud to confront and dodge the issue [castration complex] at the same time. It enables him to take the bull by the horns and to look inadequacy, loss and dismemberment fully in the face; but it also veers off at the final moment, preserving the all-important organ and thus allowing phallic mastery to remain intact (1998: 104)\n\nFreud's virtuoso performance in attempting to control this essential if unruly constellation of symptoms is remarkably similar to his handling of the category of melancholia. Indeed, Elizabeth Schiesari claims that Freud's metaphoric description of melancholia as an 'open wound' functioning as a cathetic magnet to the subject's libidinal reserves, reveals a masculine fear of the wound as a site of castration. This in turn raises the spectre of sexual difference, which threatens to swallow up the phallus in a sea of excess meaning. Schiesari argues therefore that Freud displays a cultural fear that the binary logic that underpins the notion of sexual difference within the West will be unravelled if he is unable to metaphorically staunch the flow of this mysterious 'open wound' (1992: 41).\n\nFurthermore, Schiesari believes that Freud’s mobilisation of the term ‘open wound’ clearly reveals his desire to achieve textual closure with a quick metaphorical fix. Moreover, Schiesari maintains that Freud latches on to a crucially vague metaphor to harness the phallus and thereby ‘precipitate meaning onto a condition that seems to be in excess of meaning’ (41). Schiesari believes that Freud’s resolve to stem the tide of ‘excess meaning’ bleeding from this ‘open wound’ is symptomatic of his own fear that the hierarchical systems of meaning underlying his own theory of sexual difference will be challenged unless he hastily performs surgery on this irritating wound (41). In fact, Schiesari’s footnote pertaining to Freud’s ‘open wound’ metaphor reveals that he first used the expression in an unpublished draft article titled ‘Melancholia’ in 1895. Interestingly, this particular article attempts to theorise a connection between melancholia and ‘female’ sexual disorders such as anorexia and hysteria (41). Schiesari argues that the metaphor’s subsequent appearance in Freud’s 1917 essay is a symptom of his identification with the blood-stained body of Emma Eckstein who was mutilated during nasal surgery performed by his friend Wilhelm Fliess. Although this remains a matter for speculation, Schiesari suggests that Freud’s redeployment of this metaphor in this particular context is revelatory of the author’s own melancholic disposition when he was writing ‘Mourning and Melancholia’. Here again, according to Schiesari, the open wound which Freud refers to in his paper, reminds the reader of a ‘what rather than a who’ (42). The unspecified what reveals that something has been repressed. The mysterious gap in the signifying system signals the presence of an impoverished ego. Schiesari infers that the altered state of the ego within the melancholic subject is caused by the unresolved or\n\nrepressed loss that cannot speak its name rather than the lost object of Freudian theory.\n\nThe next section of this chapter will explore the textual implications of this gaping hole as figured in Elizabeth Smart's novel *By Grand Central Station I Sat Down and Wept*. In a textual sense, Smart's autobiographical narrator searches for an objective correlative to express her sense of profound and cataclysmic loss. As T.S. Eliot maintains in his essay, 'Hamlet and His Problems' (1919), 'The only way of expressing emotion in the form of art is by finding an 'objective correlative'; in other words, a set of objects, a situation, a chain of events which shall be the formula of that particular emotion' (cited in Abrams, 1988:123). As we shall see in the next section the search to find a suitable objective correlative in *By Grand Central Station* is complicated by the gender of the narrator. Smart's narrator embarks on a quest to find a textual formula to express the set of emotions provoked by profound grief and loss. This quest is continually jeopardised by the set of historical, philosophical and rhetorical oppositions built into the very language that Smart's narrator attempts to manipulate in order to convey her sense of irreplaceable loss.\n\n(iv) Undying Love\n\n*By Grand Central Station* is an impassioned tale of doomed love. The novel is a testament to Elizabeth Smart's relationship with the poet George Barker. Smart's narrative is moreover an ambitious reworking of the traditional elegy.\\(^4\\) M.H. Abrams reminds us that the traditional elegy was designed 'to denote the subjects and moods frequently expressed in [elegiac] verse form, especially complaints about love' (1988: 47). It is noticeable that Abrams cites\n\na list of eminent male writers such as Donne, Milton and Tennyson in his exposition of the dominant features of this particular genre. Here again, we are on familiar territory, confronted by a male dominated tradition that celebrates the work of melancholic male geniuses whilst totally ignoring the work of female writers within this genre. Presumably, the numerous examples of women writing about grief and loss are not included because they violate the strict rules of decorum that govern this literary genre. Elizabeth Smart's book, therefore, constitutes a radical reshaping of this male-defined genre that signifies more than a simple inversion of traditional poetic decorum. Indeed, Smart assimilates some of the central codes and conventions that feature prominently within this genre. For example, M.H. Abrams notes that Milton's 'Lycidas' (1638) enriched the tradition of pastoral elegy by 'echoing the many earlier pastoral laments for the untimely death of a poet' (1988: 37). Similarly, the central theme of Smart's novel is the untimely death of her relationship with the poet George Barker. It is notable, however, that Smart's book is not considered to be part of any great poetic tradition. Critics such as Jean Mallinson (1978) and Alice Van Wart (1986) focus on the transcendent lyricism of Smart's novel, whilst carefully placing the text in a self-referential loop. By concentrating on rhetorical figures, and the novel as a poem, both critics divorce Smart's text from any of the great traditions. Moreover, there is no evidence to suggest that they believe that Smart's book represents a new departure within women's writing or indeed the more convention-bound pastoral elegy referred to above. Both critics prefer to emphasise the localised affects of imagery and allusion creating the impression that Smart's text functions as an aesthetically pleasing but thematically redundant rhetorical exercise. Indeed, Van Wart concludes her\n\naptly named essay, 'By Grand Central Station I Sat Down and Wept: The Novel as a Poem' (1986), with the theory that the novel 'harmoniously integrates narrative intentions and poetic conventions to create a paradigmatic poem-novel' (51). Here, again, the representation of raw untamed emotions within the novel has been sacrificed for the tranquil perusal of figurative language.\n\nAs we shall observe, the dramatic events traced within the novel induce feelings of consternation within the reader. Smart promotes this underlying sense of perpetual anxiety by juxtaposing a wide range of counterlogical, figurative elements within the novel. The harsh, frequently jarring effect caused by the collision of these dissonant, non-logical elements is invoked by the narrator's pursuit of an objective correlative to convey her sense that she inhabits a world that is dangerously out of control. For example, Smart shatters the orderly decorum of pastoral elegy when she describes the savagery of the Californian landscape:\n\nPoison oak grows over the path and over all the banks, and it is impossible even to go into the damp overhung valley without being poisoned. Later in the year it flushes scarlet, both warning of and recording fatality (1992: 19)\n\nHere, the lush exoticism of a semi-tropical paradise is invaded by the presence of evil that is as perverse as it is threatening. In other words, the landscape is personified as a voluptuous predator waiting to devour the unsuspecting trespasser. This situation is analogous to the events that precede the beginning of the affair between Smart and Barker. The luxurious overblown imagery of the opening chapters captures the narrator's sense that she is destined to inherit a violent yet grandiose world, full of dramatic incident. This impression of carnal exhilaration at the beginning of the novel is significant\n\nbecause it foreshadows the equally sudden and cataclysmic collapse of youthful expectation documented in the latter part of the novel. Even more significant, for the purposes of this thesis, is the eventual dissolution of the pattern of binary oppositions that help to create the sense of compulsive hedonism in the opening chapters of the novel. As we shall see, towards the end of the novel, the dramatic impetus generated by the underlying pattern of binary logic begins to work against the narrator. Once the narrator directly opposes the dominant institutions of the law, by attempting to elope with her married lover, she discovers that the hierarchical systems of meaning locked into binary logic are invested with patriarchal prerogatives that favour the masculine subject. Thus, the magnificent fluidity of the earlier images begins to falter when the narrator is engaged in a confrontational situation with the law. Ultimately, the dominant symbolic structures imbricated within these oppositions close down the inspired trajectory of the narrator's hopes and aspirations.\n\n(v) Down and Out in New York City\n\nThe following section will focus on the gendered assumptions built into the hierarchical set of meanings noted above. This will be preceded by a brief synopsis of the novel. *By Grand Central Station* is a dramatic elegy that recounts the chaotic and passionate relationship that developed between Elizabeth Smart and George Barker. Their sporadic relationship spanned a number of years and included four children. In the words of Smart’s biographer, Rosemary Sullivan, this unconventional relationship was characterised by an unfulfilled 'longing ... to possess the other to fill an\n\nemptiness, hating the loss of self as one runs to embrace that loss' (1991: 156/7). The novel takes the form of a dramatic monologue that charts the severe fluctuations in the lovers' combative relationship. Significantly, the lovers remain anonymous throughout the text, so that the central theme of love trapped within a brutal and uncaring regime cannot be diluted by excess verbiage. The action starts on the Californian coast with a brief detour down to the Mexican border, loops back to Canada and finally concludes in the back streets of New York City.\n\nPlace and setting are critically important to this tale of exiled love. The events described within the novel take place during the Second World War. The distant backdrop of destructive warfare played out on the battlefields of Europe is crucial to Smart's theory of love as a swift and explosive *coup de gras*. Critics such as Oliver (1978) and Mallinson (1978) have also observed that the backdrop of the Second World War is conspicuous by its absence, implying therefore, that Smart strategically relegates the catastrophic effects of war to the margins of her novel. By marginalising the effects of war, Smart is able to foreground what she believes is the equally devastating arena of exiled love. In Smart's own words, love still 'uproots the heart better than an imagined landmine' (1992: 79).\n\nAn alternative view is presented by Denise Heaps who maintains that Smart 'shuns World War II and instead goes off to war against conventional morality, society and religion' (1994: 147). However, Heaps' assessment of Smart's rhetoric implies that her motivation is overtly political. I would suggest that the textual broadside launched against the institutions of language, law and religion is instead symptomatic of what Schiesari refers to as the refigured ego.\n\nof melancholia. The refigured ego ‘derealizes or devalues any object of loss for the sake of loss itself’ (1992: 43). Thus, Smart maintains that ‘the headlines speak to us of our private lives: yet still the mangy dog skulking under our window arouses a realer pity’ (1992: 79). Here, evidence of Smart’s reconstituted melancholic ego can be seen in the narrator’s quest to find an objective correlative through which she can articulate the emotional resonance of loss.\\(^7\\) Indeed, in the opening pages of the novel, she manipulates her prose so that each image that she refers to conveys the sense of impending doom that she retrospectively believes was present right from the start of her relationship with George Barker. Therefore, Smart chooses to focus on Californian legends that speak of ‘bloodfeuds and suicide, uncanny foresight and supernatural knowledge’ (19), whilst the brilliant blue of the Pacific merely ‘reaches all its superlatives’ (18).\n\nAlice Van Wart covers similar theoretical ground in her essay ‘By Grand Central Station I Sat Down and Wept: The Novel as a Poem’ (1986). She views Smart’s overall project as an effort to restore the searing pain of lost love through writing and thereby rescue it from being submerged in a wasteland of hackneyed prose (38). Van Wart contends that Smart manoeuvres metaphor in a transformative sense in order to construct an apocalyptic vision that is grounded in the narrator’s assertion that ‘there is no reality but love’ (38). Van Wart places *By Grand Central Station I Sat Down and Wept*’s uncompromising rhetoric in the tradition of Blake, Donne and Herbert.\\(^8\\) Van Wart believes that Smart’s frequent allusions to these male writers was initiated in order to invest her own text with some of the ‘heroic ideals of love’ traditionally celebrated in these earlier works (38). Smart’s vision is then according to Van Wart, a single\n\nminded *tour de force* that brutally compresses syntax and the more familiar representations of time and space in order to create an alternative universe, governed by the dictates of the narrator's heart. Smart's physical suffering, is then, according to Van Wart, secondary to the psychological trauma instigated by her affair with Barker. Hence, the geographical backdrop of California, Arizona and New York drifts past the narrator's window so that she can more fully concentrate on her primary reference point which is according to Van Wart, a 'journey in the heart' (39).\n\nI would suggest that Smart's appropriation of canonical texts written by men is revelatory of the revisionist strategies deployed within her novel. Smart's wholesale plundering of these texts suggests a will to ruthlessly manipulate and hence defamiliarise the work of these canonical writers. Smart's irreverent attitude towards these texts is made clear in her dismissal of philosophy, which she maintains, 'like lichens, takes centuries to grow and is always ignored in the Book of Instructions. If you can't Take It, Get Out' (84). I would contend, therefore, that Smart's impious attitude towards western philosophical traditions reveals her impatience with outdated figures of speech designed to serve the political needs of an elite group of male intellectuals. It is therefore, all the more surprising, that critical attention has for the most part been unproblematically directed towards Smart's innovative use of rhetorical and figurative devices. As the titles of Mallinson's and Van Wart's essays suggest, their authors' primary concern is to reveal the novel's underlying structural pattern. Jean Mallinson identifies the novel's dominating tropes of metalepsis and zeugma in order to explain the sense of psychological dislocation which the narrator experiences living in a material world that will not\n\nrecognise her vision of idealised love. In fact, Mallinson’s overriding aim is to theoretically dissect the poetics of the novel to more fully appreciate the manner in which Smart conveys ‘experience apprehended and suffered through language’ (1978: 108).\n\nMallinson’s theoretical approach pays tribute to the novel’s palpable sense of unease without ever searching for the psychological source of such overwhelming loss. Mallinson notes that in Smart’s highly charged world things and people are ruthlessly and arrogantly transformed into potent signifiers of love until nothing remains neutral (111). Thus, according to Mallinson, the ‘Lucky Syrinx’, unlike the narrator of *By Grand Central Station*, ‘chose a legend instead of too much blood. For me there was no choice’ (111). Again, the mysterious origins of this disabling worldview remains unchallenged by Mallinson who merely describes its colonising symptoms. As Mallinson points out, even the most mundane artefacts are transformed into highly charged signifiers that are ‘either for or against love’ (112). Accordingly, the ‘transient coffee-shops and hotels’ (43) that punctuate the lovers’ journey to the Mexican border to seek a divorce, appear to collude in the idea of the couple’s risky venture. The narrator’s glance therefore helps them to ‘achieve a perfect identity, a high round note of their own flavour, that makes me tearful with the gratitude of reception’ (43). Here, we see the narrator making a gigantic leap of faith that unwittingly reveals the characteristic signs of the refigured ego referred to earlier in this chapter. Hence, the narrator assumes that the whole world shares her own manichean psychological perspective that ruthlessly categorises things and people according to their positioning within her own self-reflexive vision.\\(^9\\)\n\nMallinson's ear is obviously tuned to the farcical effects of the narrator's worldview that ransacks a disappointing rhetorical and figurative lexicon in order to find a suitable language in which to express her feelings of enforced exile. The narrator is thus forced into a rhetorical straitjacket that can only register extremes such as 'the hyperbole of hysteria' or 'the hyperbole of intensity' (110). It is disappointing, therefore, that Mallinson views such extreme measures more as a question of choice than coercion. Accordingly, she quotes Harold Bloom's premise that hyperbole is 'the natural trope for lovers, to whom the imperatives of love speak in extremes' (cited in Mallinson 1978:110).\n\nMallinson's detailed and insightful exposition of the poetical structure of Smart's book disappoints precisely because it presents the text as a *fait accomplit* divorced from a social or historical context. Inevitably, such a strictly figurative approach excludes the complex histories and identifications implicated in language and metaphor before they are utilised as the building blocks of prose.\n\nKadiatu Kanneh cautions against this reductive, theoretical appraisal of language in her essay 'Love, Mourning and Metaphor' (1992). Kanneh argues that metaphor should lead to a 'heightened awareness of the relationship between body and word, the past and the racial politics of the present' (151). This notion of a linguistic 'work in progress' is singularly lacking in most of the critical material related to Elizabeth Smart's novel. Jean Mallinson's essay certainly conforms to John Crowe Ransom's assertion, that the first law of criticism recognises 'the autonomy of the work itself as existing for its own sake' (cited in Abrams, 1988: 223). However, the New Critics' reverential approach to the autonomy of the text is still clearly present in Alice Van Wart's essay, written as late as 1986. As the title of her essay suggests, she also views Smart's\n\nnovel as a carefully constructed artefact that should be handled with care. By treating the novel as a valuable, but essentially dusty, museum exhibit, both critics relegate *By Grand Central Station* to the category of an interesting curiosity that is nevertheless rather embarrassing. The novel remains cramped by its poetic structure, in both of these accounts, because critical attention has been diverted from the author's wish to be included in a dialogue that has an impact on her own experience as a privileged white woman whose cultural identity has been undermined for the first time.\n\nIt is difficult to see how such a purely rhetorical interpretation of the novel can be sustained. Within the novel, the grim isolation of contemporary life is captured in the metaphor of New York's Grand Central Station. Smart repeatedly returns to the image of this stark and forbidding monolith to reiterate her central conceit: that time and technology have eroded our ability to express and experience profound emotions. Hence, once incarcerated within the oppressive confines of this joyless structure, 'odours of disinfectant wipe out love and tears' (112). Again, we observe Smart using Grand Central Station as a formula or objective correlative through which she can articulate the pervasive sense of loss that is engendered by her sense that the language she inherits is itself alien and uncompromising. In short, the language that served the canonical writers of the past so well is singularly unaccommodating when it is used by a woman who is attempting to challenge the dominant institutions of the law and religion.\n\nThis is made abundantly clear in the fourth part of the novel when the narrator attempts to cross the Mexican border with her married lover in order to lead a life that is free from the constraints of the patriarchal symbolic order.\n\nWithin this section of the novel, the reader witnesses for the first time the narrator being forced to negotiate with the representatives of the dominant institution of the law. Smart's account of her arrest at the Arizonian border, is a chilling example of the panic that is generated by the collision of two warring discourses, which threaten to crush the ideologically disadvantaged subject.\n\nUntil this point in the novel, the narrator's confrontational prose style had been allowed to function independently of the law. In the initial throes of her relationship with Barker, the narrator sublimates her fear of reprisals by 'severing all the wires of understanding [where] I functioned like a normal being, and went about among devastation without seeing that it was there' (31).\n\nThe border is itself a crucial metaphor in the exchange that takes place between the two parties functioning as a figurative and psychological barrier that separates the two worlds. This physical and psychological borderline state also puts an end to the protean metaphors that Smart used to describe the beginning of her affair with Barker. The Arizonan border incident occurs at a literal and metaphorical mid-point in the novel that signals the end of the narrator's romantic commitment to her own imaginative world. From this point onwards the two discourses cease to be orderly neighbours and instead enter into a bloody and sustained conflict. Accordingly, during the police interrogation, the narrator uses the biblical 'Song of Songs' to counterpoint the policeman's dialogue. When the narrator is confronted by the intrusive question 'Did intercourse take place?' (47), she inwardly responds by quoting from the 'Song of Songs'. The narrator's silent rejoinder '(I sat down under his shadow with great delight and his fruit was sweet to my taste)' (47) therefore remains unheard. Significantly, Smart contains the Song's mellifluous wordplay in parentheses indicating that she cannot risk repeating its lines within the harsh disciplinary regime enforced by representatives of the law. This means that the narrator remains silent for the greater part of her interrogation by the police.\n\nThe narrator's apprehension at the Mexican border means that she is forced to participate within the coercive regime of confessional discourse. Sara Mills maintains that 'the confessional is perhaps the discourse which displays the operation of power most clearly' (1997: 81). Moreover, drawing on the work of Foucault in *Discipline and Punish* (1979), Mills reveals how the regulatory regimes implemented within the prison system were integrated into the private spheres of church, school and home 'so that discipline is internalised by individuals and begins to be seen as self-discipline' (1997: 81). Further, Mills maintains that for Foucault 'those who confessed and displayed themselves as compliant subjects, in the process constructed themselves as compliant subjects' (81). This self-perpetuating system of internalised surveillance can be clearly seen in the incident on the Arizonian border.\\(^{10}\\) Here, the narrator's words are assimilated into the regulatory framework of confessional discourse, until 'fourteen sheets ... fly over the continent like birds of ill omen [to] blackball me from ease' (1992: 49).\n\nFor the feminist theorist, Jennifer Radden, the narrator's internalisation of confessional discipline within the police interrogation cell would be seen as evidence of Foucault's position within *Madness and Civilization: A History of Insanity in the Age of Reason* (1973), that dissident behaviour, following the Enlightenment, was controlled by segregation. The emergence of the concept of 'madness', following the Classical period, closely resembled the cultural\n\ninstallation of the homosexual as a distinct personality type who embodied previously disparate patterns of same-sex behaviour. The following section will focus on the manner in which Foucault's analysis of post-Enlightenment segregation, in the field of madness, has impacted on the contemporary construction of the female depressive as the quotidian counterpart of the Renaissance melancholic.\n\n(vi) Angel At My Table\n\nIn her paper, 'Melancholy and Melancholia' (1987), Radden advances the view that medical containment of the disparate pattern of behaviours attributed to the melancholic during the Elizabethan period has contributed to the current idea of the lonely and isolated depressive. Clinical rationalisation of behaviour patterns has of course affected other subcultures such as those of the homosexual and more recently the drug user.\\(^{11}\\) However, in the case of melancholia, gender has been mobilised in order to dissociate the condition from its historical associations with the accomplished male to its current position as the preserve of the disenfranchised woman. Schiesari views the contemporary dilution of the elevated category of melancholia, to the more commonplace term depression, as a result of the cultural construction of lack as phallic within patriarchal hierarchies and symbolic structures (93). Lack is therefore woven into the dominant discourse as a signifier of masculine worth that is visibly displayed in the field of artistic production. On the contrary, female loss is meshed with cultural ideas of deprivation that are totally unrelated to artistic license.\n\nSchiesari believes that the gendered bias that favours the male within the discourse of melancholia, has led to the organisation of 'a universe of imaginary individuals, separate from community and unified only in their nostalgic quest for the lost object' (93). Women are thus excluded from this valorised pursuit and instead relegated to the essentialised, fixed category of depression. Similarly, Radden emphasises that the privileging of clinical behavioural patterns over psychological characteristics in recent years has shifted attention away from the affects of depression (1987: 245). Radden's use of the word affects relates to the devalorised pattern of behaviour that she believes has been imposed on women by the medical-juridical authorities of the late nineteenth century. Radden believes that the ruthless segregation of women, following the Enlightenment, has led to a situation where those who display symptoms of sadness or indeed depression are 'increasingly rendered remote and alien, [their] condition unrelated to ordinary experience' (245).\n\nElizabeth Smart is a striking example of how the category of melancholy has been moulded to fit the female subject. In conversation with Rosemary Sullivan, the writer explains that she was aware of her own exclusion from literary circles; indeed she complains that she 'had no place at the literary table. They would speak to me one on one, but I had no place at the table' (1991: ix). Smart's understanding of her own isolated position within the literary community also reflects changes in the melancholic tradition. Schiesari points out that melancholia has mutated into depression because it has been stripped of the 'romanticized discursive apparatus' (1992: 95), that had traditionally conferred a privileged status on its male practitioners. The devalued status of feminine loss is suggestive of a cultural and ideological conservatism that is not prepared\n\nto tolerate changes in the way that narratives of female loss are incorporated into the old worldview. Accordingly, *By Grand Central Station* translates into a story that displays all the old anxieties that still adhere to the unresolved issues implicit in the category of melancholia itself. Hence, the contemporary notion of melancholia strains under the weight of the conflicting analyses that promise to present a single, coherent interpretation of its status within culture. The excess of meaning that inevitably ensues from such a conceptual model generates a desire to achieve closure as quickly as possible in order to prevent further instability. This ideological drive to hastily conceal the faultlines\\(^{12}\\) that rupture the surface of the melancholic conundrum is a sign that its overarching ideological project is under threat.\n\nBy ideologically removing Elizabeth Smart from the ‘literary table’, the cultural establishment sought to dissolve the threat of a woman being able to access the romanticised discursive apparatus referred to in the previous paragraph. The critical failure to address the thematic concerns of Smart’s narrative of loss, speaks of the fear that the gendered privileges coded into this discursive apparatus may be unpacked by such a subversive text. Hence, critics such as Mallinson and Van Wart praise the complex poetic structure of the novel without once questioning why such an exemplary text is relegated to the margins of the literary canon. Indeed, the preoccupation with Smart’s rhetorical strategies is suggestive of an unwillingness to disturb potentially awkward questions of women’s right to represent loss and grief.\n\nAs we have already seen, the tricky question of the representation of loss, within *By Grand Central Station*, has frequently led to a critical emphasis on transcendence, which is usually embedded in the author’s use of\n\narchetypes. Alice Van Wart claims that Smart’s ‘transformation of the lovers into archetypes thematically links the lovers of the particular world with the legendary world of heroic ideals’ (44). Both Mallinson and Van Wart accept Smart’s borrowing of literary archetypes at face value. They do not appear to question whether Smart’s retreat into the world of the literary hologram is itself a symptom of the vexed issue of representation within a melancholic context.\n\nAs a pioneer of the female melancholic text, Smart was required to work within an ideological and cultural framework that preceded her entrance into the literary world. In order to make sense of such a world Smart plunders the western repertoire of myth and archetype in order to lay the foundations for her own understanding of the experience of grief and loss. The traditional melancholic text was one that was written by a cultivated male who used his writing to consolidate his position as an intellectual. The elevated status conferred on the author of such a text produced what can best be described as an empowered difference that shunned the commonplace.\n\n*By Grand Central Station* could never be described as a quotidian text. However, the novel amply demonstrates the slippage from empowered representation to devalued ‘other’ when gender enters the melancholic equation. Smart raids the literary larder so that she can produce a gourmet feast but instead serves up a dish whose strangeness is distasteful to the scholarly palate. Accordingly, Van Wart notes the ‘melange of allusions echoing Blake, Donne and Rilke’ (45) that Smart uses to convey the urgency of sexual desire:\n\nMy heart is eaten by a dove, a cat scrambles in the cave of my sex, hounds in my head obey a whipmaster who cries nothing but havoc as the hours test my endurance with an accumulation of tortures. Who, if I cried, would hear me among the angelic orders? (1992: 24)\n\nThis masterly conflation of image, metaphor and syntax captures some of the chaotic violence of the initial stages of desire. Predictably, Van Wart reads the narrator's portrayal of erotic desire as a celebration of nature that forces the enthralled subject to obey 'the imperatives of love' (45). The narrator is therefore implicated in the conservative trope that nature is always identified with the feminine. As soon as Van Wart invokes this inflexible trope, it becomes apparent that she has abandoned a more theoretically rigorous examination of the way that culture shapes and modifies our understanding of gender roles. Hence, Van Wart explains the narrator's feelings of guilt that follow this incident as the inevitable result of a 'moral code [that] the narrator cannot deny' (45).\n\nBy reading Smart's text through a traditional doctrinaire moral code, Van Wart denies the complex interplay of conflict and contradiction within the novel. Van Wart is therefore blind to the way that Smart maps meaning onto the mythological and archetypal figures that feature within this text. In the extract that is quoted above, the narrator is keenly aware that her voice will not be heard by angels who are, after all, representatives of phallocentric privilege. As we have already seen, in the introduction to this chapter, the narrator's position within *By Grand Central Station* more closely resembles the Renaissance construction of the witch. Schiesari is fully aware that the witch was demonised within Renaissance discourse because she might 'all too openly reveal what is projected onto her, a longing for the phallus though it be long gone, unattainable, or perhaps never there in the first place' (1992: 255).\n\nA similar sense of textual excess is present in *By Grand Central Station*. For Schiesari, the demonisation of the witch during the early modern period\n\narose as a result of changes within the symbolic order that displaced 'the centrality of its phallic representor, God the Father' (255). These changes coincided with the emergence of a modern sensibility that had become acutely aware of decay and the passage of time. The melancholic's fear that he was no longer protected by the textual authority of God the Father urged him to project his fear onto the figure of the witch (255). In a similar vein, Marina Warner has noted that women in early modern times tended to live longer than men. Women were therefore surplus to demographic requirements. The potential problem of empowered femininity embodied in the figure of the wealthy widow was quashed by the patriarchal law of succession which prevented women from accessing their husband's estate. Therefore 'destitute and homeless old women became a feature of nineteenth-century society' (1992: 229). Here, again, the disenfranchised single woman threatened to undermine patriarchal privileges; her unprescribed role within the family unsettled the rigid boundaries of the sacrosanct laws of primogeniture.\n\nWarner points out that like Schiesari's witch, female storytellers were traditionally represented as 'an unhusbanded female cut loose from the moorings of the patriarchal hearth; kin to the witch and the bawd' (230). Therefore the female storyteller's power to undermine the ideological boundaries of family life is doubled through the interweaving of power and narrative. Marina Warner reflects that the proverbial 'old wives' tale' demonstrates the 'instrumental use of literature to form the young ... and the earlier annexation of narrative by speakers who were trying to help themselves' (21). The storyteller was therefore a potent symbol of visual and textual excess that threatened to poison the supposedly tranquil haven of family life.\n\nAccording to Warner the storyteller also threatened to usurp the role of the more traditionally empowered family members by influencing a younger generation so that ‘the targets of narrative hatred [began] to fit in to the economy of family life’ (237).\n\nAs we have already seen, Elizabeth Smart makes liberal use of literary archetypes within her novel. Alice Van Wart claims that Smart evokes literary archetypes in order to ‘transcend imaginatively her particular circumstances’ (1986: 44). However, I would maintain that this humanist method of imposing thematic and structural cohesion through transcendence cannot be accessed by readers of Smart. For example, when she invokes the spectacle of Jupiter’s rape of Leda which according to legend led to the Trojan War, she is clearly aware of the consequences. Smart’s knowledge that ‘All legend will be born’ but ‘who will escape alive’ (25), is not cited as a simple rhetorical tool of transcendence. By invoking this calamitous image, Smart imbues the mythological archetype with the power to unsettle the reader’s expectations of what might follow. The archetype has been dislodged from its mythological pedestal and recirculated within contemporary discourse where it provokes uneasy memories of bloody internecine warfare between men and women. As Warner maintains, the literary archetype that escapes its usual orbit has the power ‘to compact emnity, recharge it and recirculate it’ (239). Therefore these dangerous images are soaked in the residue of the ‘lived experiences of women’ where they retain ‘all the stark actuality of the real and the power real life has to bite into the psyche’ (238).\n\nSmart’s reading of the ideological network that surrounds her in the first part of her novel is both fearless and uncompromising. She triumphantly and\n\nunceremoniously ransacks mythical, biblical and literary traditions to promote her vision of love. In the first part of the novel, Smart's narrator seizes conventional morality and threatens to shake every bit of orderly and stable meaning out of its restrictive confines. This wilful streak of bravado allows the narrator to select a married man as her lover and father of her children whilst inviting his wife along as an unsuspecting accomplice.\n\nAt the beginning of the novel, the narrator imitates Barker's wife whom she claims exudes 'a confidence that appals' (17). In one fell swoop she promises to rewrite past, present and future according to her own needs and desires. Preparation and willpower describe the narrator's opening gambit when the reader first encounters her awaiting the arrival of her prospective lover and his wife on a streetcorner in Monterey. Accordingly, the narrator informs us that every inch of her being has been commandeered so that\n\n'all the muscles of my will are holding my terror to face the moment I most desire. Apprehension and the summer afternoon keep drying my lips, prepared at ten-minute intervals all through the five-hour wait. (17)\n\nThe sensuality and eroticism of this unconventional lover's tryst is controversial because it opposes the basic tenets of masculine privilege, which imply, that women should be the object of men's desire. Not only has a woman engineered the lovers' fateful meeting but she has also subsidised the impecunious couple's passage to America from Japan. As Rosemary Sullivan observes, Barker and his wife had been framed in every sense of the word by their host who had orchestrated 'a scenario whose dynamic had already been set' (54). In fact, Smart was able to overcome her initial sense of disappointment with the 'lanky, bespectacled' poet who emerged from the bus in Monterey because he 'provided the cerebral exploration that she so ardently\n\ndesired' (155). Smart therefore flagrantly violates the unspoken rule that women should be the recipient of male attention rather than the instigator of passion. The bus station at Monterey is at once transformed into a confused terrain where gender and sexuality have been reshuffled to form an ideological grid that defies convention.\n\nAccordingly, normative constructions of gender and sexuality collapse once the affair begins at Big Sur. Here, the binary structure of heterosexuality is quickly called into question by the lovers who refuse to be contained by the markers of conventional sexuality. The active/passive component of the cross-sex grid is regularly effaced by the couple who explore every inch of the culturally imposed categories of bisexual, homosexual and lesbian relations. Recalling Barker's encounter with a printshop boy, the narrator sees her lover change before her eyes into an 'hermaphrodite ... with a golden indeterminate face ... with armpits like chalices' (20/21). Later, the narrator experiences the sudden falling away of enforced cultural barriers when she sees her lover transformed into 'an Assyrian girl', the second of two sisters with the narrator as the controlling 'protive' (82). Earlier on in their relationship, Smart dissolves what she sees as the rigid parameters of heterosexual role-play when she discerns the shape of a young girl in her lover's body. The ebb and flow of erotically-charged flesh encourages the narrator to abandon the binary structure of conventional coupledom by allowing her to 'rise as virile [as] a cobra, out of my lodge, to assume control' (22).\n\nDenise Heaps views this elision of binary oppositions as an example of a Cixousian sexual desire (1994: 146). Heaps maintains that Cixous's notion of écriture féminine, or 'writing said to be feminine', is concerned with the need to\n\ncelebrate the articulation of feminine desire within phallogocentric discourse. According to Heaps, Cixous believes that it is possible to launch a subversive attack on phallogocentric privileges from within patriarchal discourse. Heaps claims that for Cixous writing is ‘a space where one may valorize the feminine or deconstruct the hierarchical binary oppositions that have structured symbolic systems in general, a place where one may upset the harmony of a phallocractic binary system of thought that always subjugates the feminine’ (1994: 143). Within this construction, the rigid apparatus of the phallic economy is swept away by a joyous tide of bisexual energy that refuses to recognise patriarchal constraints. However as we have already seen, in relation to Kadiatu Kanneh’s work on the metaphors of mourning, this particular articulation of desire is blind to the complexities of history, race and class. The inscription of desire within such a text is inevitably short-lived and episodic because it is suffocated by the very structures that it purports to outwit. The binary opposition gives birth to the amorphous script that promises to deliver us from the tyrannies of sexist oppression. Therefore, Cixousian desire is reliant on a patriarchal template to map meaning onto its own more flexible contours. This is exactly what happens to the narrator of Elizabeth Smart’s novel. Gradually, her adroit manipulation of time, metaphor and space is undermined by the institutions that she had once so enthusiastically overthrown.\n\nAfter being detained at the Mexican border, Smart’s referential world begins to fall apart. Alice Van Wart remarks that this carefully contrived rhetorical world collapses because it cannot ultimately resist the weightier world of facts (50). The narrator’s dizzying world of metaphoric mayhem begins to capitulate to the demands of a material world that must be appeased in the\n\nshape of banal and hackneyed prose. Barefoot and pregnant in a seedy New York hotel room, the narrator finally acknowledges that ‘the page is as white as my face after a night of weeping. It is as sterile as my devastated mind’ (127). Accordingly, facts begin to empty out the elaborate wordplay that accompanied the delirious start of the couple’s affair. The insistent rhythm of the opening chapters finally gives way to the staccato clichés of the penultimate paragraph:\n\nI myself prefer Boulder Dam to Chartres Cathedral. I prefer dogs to children. I prefer corncobs to the genitals of the male. Everything’s hotsy-totsy, dandy, everything’s OK. It’s in the bag. It can’t miss.\n\n(1992: 112)\n\nSmart’s prose has reverted to the masculine world of facile oppositions and clichéd slang. In her essay ‘Life Out of Art: Elizabeth Smart’s Early Journals’ (1992), Alice Van Wart claims that Smart preferred the more flexible contours of the diary form to conventional journalism (22). Van Wart believes that Smart’s preference is grounded in her abhorrence of ‘the conventional modes of rhetoric based on inductive or deductive thinking and organization’ to be found in male writing (22). Further, Van Wart maintains that Smart’s style is exemplary of the ‘eidetic … open-ended, and generative’ style of writing that is particularly ‘well suited to encompass the multifarious nature of women’s lives’ (22). Although Van Wart’s reading of Smart’s writing style leaves itself open to essentialist interpretations, it is possible to discern an authorial contempt for the reductive closed forms of conventional rhetoric in the penultimate paragraph of the novel. Here, banal stereotypes are invoked to describe an imagined opposition between old and new worlds. There is a refusal of the exuberant fluidity of the figurative language contained in the opening chapters. The inscription of feminine libidinal desires is diluted in the final chapters of the novel after her interrogation by the police authorities. The narrator clings to the\n\nidea that European culture symbolised by Chartres Cathedral is infinitely preferable to the *lumpen* horror of America's Boulder Dam. Smart's earlier combative instincts, which champion the cause of unfettered love, are therefore gradually worn down by the demands of the referential world. As the narrator of the novel declares 'love is my double or nothing' (98); without its sustaining influence there can be 'no ounce of consolation if this fails' (99).\n\nThis is a landscape of indecency and fear where the unsuspecting subject should fear to tread. Rather like Stephen Hawking's 'black hole'\\(^{13}\\) that devours everything that crosses its path, Smart's narrator dances around the periphery of this gaping chasm that lures the spectator inwards with its dazzling display of overblown grandeur. In discovering this unholy place, Smart has exposed the very crux of her malady. As a female subject located within patriarchal structures, Smart mirrors the lost object trapped within her lover's own melancholic ego. She is therefore the focus of his contempt as the walking embodiment of his own lack, the hated object his own superego urges him to kill. It is a small wonder that the narrator misunderstands her lover's accusation that their affair is nothing more than a 'minor' martyrdom' (86). She is correct in her assumption that he has no 'idea of the size and consequence of my wounds' (86). For him, the wounds speak only of the poignancy of his loss marked by his ability as a poet to articulate the pain he suffers, as a consequence of his need to replace the lost object. Barker can therefore access femininity and turn base metal into gold by using it to foreground his privileged status as a masculine subject. Thus, Barker fits seamlessly into a long line of melancholics such as Shakespeare's Hamlet, who are able to eroticise their lack through comparison with women who are unable to register\n\ntheir loss within patriarchal symbolic structures. Like Smart, such women are represented within culture as the lowly hysteric or depressive who has sown the seeds of her own destruction.\n\nThe acute sense of betrayal that is experienced by the narrator when she discovers that she has been literally and metaphorically abandoned by her lover shatters her notion of a world that is illuminated by the heroic ideals of love. Instead, love becomes a pawn that is traded like any other product in a market place that is driven by the economics of exchange. Here, the narrator’s idea of euphoric love is devalued because it cannot be freely circulated or sold to the highest bidder. Hence, ‘grief trumpets its triumph. It is raving. It craves violence for expression, but can find none’ (104). The narrator’s tightly fought corner is not relinquished easily. Instead, she immerses herself in what she describes as the ‘operatic grandeur’ of unspeakable pain and loss that she believes lights up ‘Grand Central Station like a Judgement Day’ (103).\n\nOn an even grander scale, Smart’s text has been abandoned by critics and readers alike. The closing chapter of her novel closely documents the narrator’s experience of this sudden fall from grace. The textual emphasis shifts from a feeling of exultation to that of betrayal, seduction and distrust towards the end of the novel. After being abandoned by her lover at Grand Central Station, the narrator complains that she ‘will not be placated by the mechanical motions of existence’ nor be ‘betrayed by such a Judas of fallacy: it betrays everyone: it leads them into death. Everyone acquiesces: everyone compromises’ (103). The rationale behind this cataclysmic collapse is one of ownership. How and when is a subject allowed to don the magisterial ‘language of love’, and significantly for this novel, when will that robe be\n\nremoved? Elizabeth Smart discovers the reasons for this treachery at first hand through the process of writing, whilst contemporary readers can trace it through the novel's critical reception.\n\nThe closing chapter of *By Grand Central Station* plays havoc with the underlying principles of Judeo-Christian symbolism. Metaphors and imagery are picked up and discarded by the author who finds that they are totally inadequate for her needs. Accordingly, the narrator discovers that pregnancy evokes an inner landscape that is submerged by a tidal wave of water across which 'the ghost of an almost accomplished calamity beckons' (104). The sense of impending doom experienced by the narrator is reflected in the apocalyptic metaphors that she uses to describe the meeting of the two incompatible worlds that she has tried so hard to separate. Suddenly, the water is 'full of astronomical points' (104). The anarchic thrust of nature has captured the whole world in its 'magnetic death-trap' until 'everything is caught in its rush' (104). The impact of this catastrophic collision convinces the narrator that the sublime sphere of the imagination and the referential world of facts and figures cannot exist side by side. Each world has its own agenda that will be ruthlessly implemented, despite the narrator's attempts to manipulate them to satisfy her own needs. Accordingly, everything is swept away 'on the swollen river of [her] undammed grief' (104). Finally, the narrator realises that she can no longer keep a savage world at bay; 'the drowning never ceases' (104) until she feels that the weight of 'the entire sea is on top of me' (104).\n\nElizabeth Smart's novel traces the narrator's journey from youthful energy and expectation to premature disillusionment. The reader leaves the narrator alone and abandoned in a seedy New York hotel room that reinforces the narrator's own sense of moral and ideological dereliction. The journey taken by the narrator is shared by the reader who empathises with her sense of abandonment at the end of such a short and calamitous expedition. It is tempting therefore to interpret Smart's exemplary text of unrelieved mourning as a metaphor for the status of women's writing related to loss, grief and bereavement. However, I would argue that *By Grand Central Station* marks a change in the status of the melancholic women's text. In the remainder of this concluding section, I will contend that Smart's is an important text within the history of melancholic writing by women. I believe that the significance of Smart's text lies in its uncompromising celebration of love combined with its revolutionary inscription of female libidinal desire.\n\nDesire is perhaps the most powerful and destructive force within *By Grand Central Station*. Yet, unusually, it is neglected by critics of the novel who prefer to contemplate the formal and rhetorical composition of Elizabeth Smart's prose style. As I maintained, in the introduction to this thesis, desire is a profoundly disruptive force within western culture. As Jonathan Dollimore points out, the 'death/desire' convergence is central to western philosophical traditions (1998: 68). According to Dollimore, the early modern period regarded mutability 'as an instability which simultaneously disintegrates and drives both the world and the self' (68). The immanence of death in life is crucial to any informed interpretation of *By Grand Central Station*. Indeed, the novel is\n\nlittered with references to the corrosive effects of time and death. Furthermore, Smart's novel deals with another related trope; sex as the agent of death.\n\nDeath, like incest, is one of the few remaining taboos within western culture. It is therefore predictable, that within the West, such onerous philosophical questions would be debated by celebrated male intellectuals such as Spenser, Shakespeare and Milton. Death and mutability are integrated into the Western conceptualisation of loss or as Dollimore puts it 'the source of life is always already the place of death' (68). Moreover, Dollimore sees desire as the restless dynamic that continually disturbs another Renaissance conceit; namely, that 'learning how to die is learning how to live' (69). Dollimore frames the voice of melancholia as an agent of moderation within this particular construction. It follows, then, that the category of melancholia within this cultural paradigm performs a practical function. Here, melancholic wisdom helps the troubled subject to stoically accept the certainties of death.\n\nMelancholia is therefore applied as a metaphoric salve to the irritating wound of desire. As we have already observed, at some length, those who administered this 'moderating' cure were always male subjects, of privileged status, who worked hard to perpetuate the myth of their own exclusivity. Their exclusivity is moreover a product of their supposed specialised knowledge of the self-defeating process of earthly decay. As a writer, Elizabeth Smart sits uneasily within this literary and philosophical tradition. Her status as a woman within a resolutely patriarchal, phallocratic order immediately locates her in what is perceived to be an inferior discursive situation to that enjoyed by her male counterparts. Critical aversion to Smart's subversive position as a woman writing within an androcentric tradition is revealed in their tentative reaction to\n\nthe central theme of irreplaceable loss that resonates throughout this novel. By being seen to usurp a masculine position within the discourse of melancholia Smart threatens to decipher the secret code that attributes value and status to its male practitioners.\n\nSmart shatters the unwritten code within Western culture that women should ordinarily be the object of authoritarian scrutiny. This is particularly true of analytic situations where women have been constructed as the compliant ‘other’ who validates masculine, scientific discourse. Smart presumptuously appropriates this position by initiating an extra-marital affair with an unknown man in a foreign land. She has therefore wilfully unsettled the boundaries of class, race and gender by refusing to observe the complex disciplinary protocols built into dominant discursive formations. By refusing to adhere to the disciplinary regime enforced by these dominant institutions, Smart invites punishment. She flagrantly ignores patriarchal strictures that construct men as the desiring subject, thereby refusing to assume a submissive position within this power relationship.\n\nImportantly, however, for the purposes of this thesis, Smart has inserted herself and her text into the discourse of melancholia. By invading this male-dominated discourse with her transgressive text, she shifts the terms of reference, which dictate that the consolatory discourse of melancholia can only be practised by men. Smart has placed the female subject firmly within the frame of melancholic discourse where she is able to participate in the revision and subsequent reworking of the terms and conditions that govern its circulation within culture. Smart’s confessional novel is influential within this discursive field because it displays an active female subject who moreover\n\nconstructs herself as a desiring subject within the dominant heterosexual institution of marriage. Even though Smart’s rebellious attitude towards conventional morality invites the approbation of the dominant institutions of the law, she functions a reminder that these institutions are not inviolable.\n\nSmart’s irreverent attitude towards the dominant institutions of language and law is of especial significance for women who want to register their own sense of loss, disillusionment or inability to grieve. Throughout *By Grand Central Station* we see Smart’s narrator involved in a violent clash with dominant formations. Her will to make strategic interventions into these discursive regimes demonstrates that women can occupy an active subject position within avowedly patriarchal institutions and discursive practices. More importantly, for this project, the narrator’s self-presentation indicates that she has sufficient narcissistic reserves to express the catastrophic sense of loss she experiences at the end of her affair with Barker. Moreover, the narrator of *By Grand Central Station* reveals that it is possible for women writers to actively transform their sense of loss productively by participating within cultural and artistic enterprises. By engaging in these areas women are able to break the historical embargo that prevented women from contributing to the discourse of melancholia.\n\nAs we have already seen, the perceived social deviance of Smart’s anonymous narrator provoked the dominant legal-juridical institutions. The oppressive, punitive measures meted out to Smart’s narrator indicate the scale of her transgression in daring to challenge these bastions of patriarchal privilege. It is unsurprising, therefore, that some women writers continued to internalise the sense of loss and outrage engendered by their subordinate\n\npositioning within such oppressive institutions and discursive formations. The next chapter will focus on the question of postponed mourning in the work of the Chinese-Canadian writer Evelyn Lau. Lau's work is revelatory regarding problems encountered by women who attempt to reframe these negative emotions within a more empowering narrative. For a second generation Chinese-Canadian writer, such as Evelyn Lau, the internalisation of self-imposed failure by her female narrators is exacerbated by their experience of racial marginality. By postponing the thoroughgoing work of mourning Lau's narrators appear to silently endorse the cultural constraints imposed on women by the oppressive dominant discourses of patriarchy, imperialism and ethnocentrism. Only when writers begin to identify women's experience of internalised failure, as a product of the asymmetrical binaristic structure of Western discourses, will it be possible to register their understanding of grief and loss within the symbolic order of language and law.\n\n1 Beautiful Losers (1966) is the title of an elegiac novel, written by another Canadian writer, Leonard Cohen.\n\n2 Juliana Schiesari provides an extensive bibliography of feminist anthologies of premodern women writers who explored issues related to mourning and melancholia. See Juliana Schiesari 'Introduction' in The Gendering of Melancholia: Feminism, Psychoanalysis and the Symbolics of Loss in Renaissance Literature, Ithaca and London: Cornell University Press, p. 4.\n\n3 See the introduction to this thesis for a detailed description of the process of identification within psychoanalytic theory, especially p. 4. For an insightful interpretation of the part played by identification in the constitution of subjectivity, see Jill LeBihan (1997) 'Tearing the Heart Out of Secrets: Inside and Outside Murder Mysteries' Unpublished M.A. paper: University of Sheffield, pp. 1 - 20.\n\n4 Patricia Merivale's essay on the elegiac romance in Canadian fiction is interesting within this context. According to Merivale, the central protagonists within this sub-genre are the narrators who recount the story of a dead man who has influenced their own life. The elegiac romance differs from the pastoral elegy because the story of the dead man is invoked to reshape the present of the narrator who feels that their lives have been overshadowed by deceased man. Interestingly, all the novels cited in Merivale's paper are written by male authors. Further, the narrators of the novels are unanimously male along with the deceased party who exists outside the frame of the text. The homosocial element in this particular literary sub-genre operates in a similar manner to the discursive practices of melancholia where women are not represented. See Patricia Merivale (1980) 'The Biographical Compulsion: Elegiac Romances in Canadian Fiction' in Journal of Modern Literature, Vol. 8, 1, pp. 139 -52.\n\n5 Smart's evocation of the savage Californian landscape is similar to Kathryn Harrison's description of Muir Woods in northern California. Harrison describes a landscape where 'The trees bear blossoms as big as my head; their ivory petals drift to the ground and cover our tracks' (1997: 2). Both writers share a fascination that is akin to loathing when describing\n\nsouthern American states. The deep-seated sense of unease generated by these overblown landscapes serves as a metaphor for their own feelings of dislocation and displacement. The unsettling perversity implied by their prose reflects the narrators' sense of their own social deviance as an 'adulteress' and an incest survivor respectively.\n\n6 The United States of America are portrayed as an oppressive militaristic regime within the novel. America is also invoked as a metaphor for patriarchal domination. The harshness of the American regime is contrasted with the more benign aspects of Canadian life. When the narrator briefly returns home to Canada, she notes that 'after the greed already hardening part of the American face into stone, I fancy I see kindness and gentleness looking out at me from train windows' (56). This dichotomy is also worked into other contemporary Canadian novels such as Margaret Atwood's *The Handmaid's Tale* (1986).\n\n7 Smart's search to find an objective correlative is echoed in a later Canadian novel, *The Swing Era* (1993), to be discussed in a subsequent chapter of this thesis. In this novel, another youthful narrator attempts to sublimate similar feelings of isolation and dislocation provoked by her experience of living with a psychotic mother. In her case, the Catholic church and later Buddhism are used to obliterate the violent self-loathing she experiences as a result of her unconventional home life.\n\n8 In his chapter on John Donne, Dollimore contends that the recurring trope of death was invoked in early modern literature 'not simply as the end of desire, nor simply its punishment; shockingly, perversely, death is itself the impossible dynamic of desire' (76). Smart frequently cites Donne and other celebrated early modern writers to reinforce her own intensely personal vision of an apocalyptic death in life. However, it must be stressed that Smart had considerably less to gain from her portrayal of the viscous circularity of desire and death than a distinguished intellectual such as Donne. See Jonathan Dollimore (1998) 'Death's Incessant Motion' in *Death, Desire and Loss in Western Culture*, London: Penguin, pp. 71 - 83.\n\n9 In *Key Concepts in Post-Colonial Studies*, manicheanism is defined as a term 'for the binary structure of imperial ideology' (134). The rigid polarisation of good and evil implicit in this term is used as a rhetorical strategy by Smart to illustrate her own apocalyptic vision of a savage uncompromising world. See 'Manicheanism' in Ashcroft, Griffiths and Tiffin (1999) *Key Concepts in Post-Colonial Studies*, London: Routledge, pp. 133 - 135.\n\n10 Kadiatu Kanneh's gloss on Cixous' theorisation of a feminine mode of discourse in 'The Laugh of the Medusa' (1985) is significant here. Kanneh points out that Cixous' theory that women should positively affirm their difference through 'writing the body' is misinformed. Kanneh draws on Cixous' example of female public speaking to illustrate her point that women's tremulous performance within the public arena is not a reflection of 'an inherent feminine essence but of the direct results of social marginalization and intolerable sexual visibility' (142). Kanneh's premise that patriarchal society is intolerant of women who make themselves visible within the public domain is borne out by Smart's nervous behaviour throughout the police interrogation. See Kadiatu Kanneh (1992) 'Love, Mourning and Metaphor' in Isobel Armstrong (ed.) *New Feminist Discourses*, London and New York: Routledge, pp. 135 - 153.\n\n11 Eve Kosofsky Sedgwick notes that the taxonomic reframing of the drug user as addict has inserted her 'into a narrative of inexorable decline and fatality, from which she cannot disimipicate herself except by leaping into that other, even more pathos-ridden narrative called kicking the habit' (131). The cultural construction of the addict as an object of authoritarian scrutiny is similar to the pathologised identity imposed on the female depressive in the twentieth century. See Eve Kosofsky Sedgwick (1992) 'Epidemics Of The Will' in *Tendencies*, London: Routledge, pp. 130 - 142.\n\n12 I am borrowing Alan Sinfield's term, faultline, to analyse the disintegration of contentious ideological projects. Sinfield contends that 'faultline stories' occur when 'a part of our worldview threatens disruption by manifestly failing to cohere with the rest, then we reorganize and retell its story, trying to get it into shape - back into the old shape if we are conservative-minded, or into a new shape if we are more adventurous' (4). See Alan Sinfield (1994) 'Shakespeare and Dissident Reading' in *Cultural Politics - Queer Reading*, London: Routledge, pp. 1 - 20.\n\n13 Stephen Hawking compares the event horizon or entrance to the black hole in space to Dante's evocation of the gateway to Hell. Here, 'anything or anyone who falls through the event horizon will soon reach the region of infinite density and the end of time' (99). See Stephen Hawking (1997) 'Black Holes' in *A Brief History of Time: From the Big Bang to Black Holes*, London: Bantam Books, pp. 89 - 108.\n\n14 Stanley Jackson points out that the feeling of being 'weighed down' is a familiar metaphor within melancholic literature. Jackson traces its history from Homer's *Odyssey*,\n\nthrough the Renaissance to the present day. Interestingly, Jackson points out that its current incarnation has been influenced by the 'dynamics and energetics of physical science' (399) in the late nineteenth and twentieth centuries. See Stanley Jackson (1986) 'Metaphors for Melancholia' in *Melancholia and Depression: From Hippocratic Times to Modern Times*, New Haven and London: Yale University Press, pp. 395 - 399.\n\nThe Irresistible Force Meets the Unspeakable Object: Postponed Mourning In The Work of Evelyn Lau\n\nBecause in the process of elaborating a theory of sexuality, Freud brought to light something that had been operative all along, though it remained implicit, hidden, unknown: *the sexual indifference that underlies the truth of any science, the logic of every discourse* (Irigaray, 1985: 69)\n\n(i) Introduction\n\nThis chapter is an investigation into the cultural construction of female melancholia. The work of the Chinese-Canadian writer Evelyn Lau will be used to explore the ideologically contentious category of female melancholia by focusing on her use of a melancholic poetics to illustrate the female subject's exclusion from dominant signifying practices. Women's removal from such practices and the discursive formations that frame them are interrogated in two of Lau's texts. A case study of Lau's first novel *Other Women* (1995), and the vignette 'Roses' taken from her collection of short stories *Fresh Girls* (1994), will be used to illuminate the consequences of women's absence from the discursive structures through which melancholic discourses circulate. The pervasive aura of melancholy that envelops both of the narrators in the cited texts will be interrogated to assess whether or not the acquisition of language is able to mobilise the emotional affects that have been suppressed following a disappointment in object-choice. The case study that follows the introduction will focus on the psychological consequences that accompany the examples of failed or postponed mourning that are portrayed in both of these narratives.\n\nThe primary concern of this chapter is to assess the continued absence of women from dominant discursive structures that construct them as the invisible and silent other in relation to man's unified whole. This chapter will\n\ntherefore amplify the concerns raised in Chapter 2 related to Elizabeth Smart’s exclusion from the ‘literary table’ by the literary establishment.\\(^1\\). Secondly, this chapter will consider the psychological implications engendered by the female subject’s position within a family history whose linear narrative is disrupted by a series of gaps and omissions that threaten its ideological coherence. Crucially, these figurative gaps within the text, suggest the presence of an unresolved family secret that continues to haunt subsequent generations of that family.\n\nThe chapter will then focus on the female subject as the unwitting beneficiary of these mysteries and her discursive position within these secret histories.\n\nFinally, I consider the links between language, artistic creation and identity in Evelyn Lau’s writings. The question of empowerment in and through language and artistic creation will be discussed in relation to women’s subordinate position within dominant discursive structures. Evelyn Lau’s work will be used to illustrate how the patriarchal construction of femininity is analogous with the position of woman as man’s devalued counterpart within melancholic discursive formations. Moreover, throughout the chapter the female body will be framed as a conflicted construct within dominant discursive structures. Within this context, melancholic depression is perceived as a discursive pressure that is insistently inscribed on the female body.\n\n(ii) **Serial Lovers**\n\nArguments regarding the literary deployment of the serial lover or erotomaniac, who uses an endless supply of unsuitable objects to structure their lives, and by analogy the text, are by now well rehearsed.\\(^2\\) However, the position of the melancholic in literature, whose choice of object seems equally unsuitable, is by comparison relatively sparse. As we have already seen in the\n\nintroduction to this thesis, melancholic discourse has traditionally been a privileged site through which an elite masculine community was able to circulate empowered expressions of grief and loss. Women's absence from this veritable male pantheon of melancholic philosophers persisted until the nineteenth century when the emerging disciplines of medicine and psychiatry constructed the female hysteric as the disempowered other within this most reductive of binary patriarchal structures: namely the doctor/patient or analyst/analysand relationship. Here, the female hysteric effectively serviced the professional needs of a burgeoning male dominated institution that required the presence of a compliant female body on which to demonstrate its newfound skills.\\(^3\\) The cultural legacy of this changing but equally disabling even co-dependent relationship can be clearly discerned in Elizabeth Smart's articulation of boundless grief contained in *By Grand Central Station I Sat Down and Wept* (1992). As we have already observed in Chapter 2, this exemplary portrayal of loss and emotional bereavement was initially neglected by the Academy. When the novel was reinstated as a canonical text it was accorded the relatively obscure status of a cult classic that was celebrated for its verbal dexterity and figurative innovation instead of its evocation of cataclysmic loss.\\(^4\\) Once the academic focus of attention had been safely shifted onto rhetorical wordplay, the unsettling world of gaps, omissions and psychological free-fall could remain undisturbed. Smart's depiction of violent and corrosive grief therefore remained unprocessed at a literary and academic level.\n\nTextual evidence that this academic blindness still persists can be found in the work of the Canadian writer, Evelyn Lau. The protagonists of Lau's novel and short stories inhabit the kind of bleak claustrophobic spaces that Elizabeth\n\nSmart's abandoned narrator occupies at the end of her relationship with the poet George Barker. Similarly, the physical confines of apartment block, brothel or anonymous hotel room generate an atmosphere of psychological (dis)ease that signals the presence of unresolved or secret histories that remain embedded within the closed-circuit of the narrator's psyche. Similar examples of what can be described as melancholic mise-en-scène can be found in all of the texts to be considered in this thesis. For example, towards the end of *The Kiss* (1997), Kathryn Harrison's chronicle of incest survival, the narrator shares a series of sleazy hotel rooms with her father, convincing her that in her 'own story [she has] at last arrived in the dirty place where [she] belong[s]' (1997:158). Similarly, for Iris Vegan, the narrator of Siri Hustvedt's *The Blindfold* (1992), the closed, fetid spaces of New York's West 109th Street seep into her unconscious, creating a self-referential universe where fact always threatens to collapse into a dark and morbid fiction. This disquieting world of solipsistic fantasy is symptomatic of the cramped discursive space afforded to the female author of the melancholic script where the over-arching metanarrative of masculine sorrow imprisons her within its own claustrophobic frame.\n\nFurther evidence of the nihilistic vision espoused by Lau and the other writers discussed in this thesis can be detected in the objectified representations of sexuality that proliferate in all of their texts. As James Annesley notes in his analysis of sexual representation in *Blank Fictions: Consumerism, Culture and the Contemporary American Novel* (1998), the extensive coverage of sex in recent times is symptomatic of a cultural need 'to control the body, to strip away its protective layers and manipulate its\n\nmovements, ... speak[ing] of a culture in which the need to objectify is of paramount importance' (1998:41/2). Representations of casually orchestrated sex have therefore become increasingly commonplace in mainstream culture. Paradoxically, the blanket exposure of sex as a purely recreational activity has lured critical attention away from the more disturbing elements of this widely debated cultural phenomenon referred to above. In what follows, critical emphasis will be refocused on the shrouded psychological histories that reveal themselves in these very acts of objectification. The remainder of the chapter will consider the consequences of transforming the psyche and the body into a living site of mourning rather than utilising the symbolic power of language to replace the lost object. Abraham and Torok contend that intrapsychic tombs are erected within the self-enclosed dimension of the psyche when the subject feels unable to acknowledge and therefore register a loss. The loss is then incorporated within the psyche along with:\n\nThe words that cannot be uttered, the scenes that cannot be recalled, the tears that cannot be shed—everything will be swallowed along with the trauma that led to the loss. Swallowed and preserved. Inexpressible mourning erects a secret tomb inside the subject. (1994:130)\n\nThe presence of a psychological mausoleum within the psyche will be demonstrated within the work of Evelyn Lau. Before considering the textual implications of psychic incorporation, there will be a discussion of the theoretical context surrounding postponed or suspended mourning. The following section of this chapter will trace the development of theoretical responses to the notoriously elusive category of melancholia, beginning with Freud's contemplation of the dynamics of psychic substitution and ending with Julia Kristeva's postulation that language and artistic endeavour can provide the therapeutic solution to melancholic depression.\n\nFreud registered a profound interest in the complex dynamics of psychic substitution as early as 1908 in his paper 'The Relation of the Poet to Daydreaming' (1957j). Here, Freud clearly states his belief that mourning is a continual process which arises from the subject's reluctance to give up a loved object. As he puts it:\n\nAnyone who knows anything of the mental life of human beings is aware that hardly anything is more difficult to them than to give up a pleasure they have once tasted. Really we never can relinquish anything; we only exchange one thing for something else. When we appear to give something up, all we really do is adopt a substitute (1957j:175).\n\nThis emphasis on the relinquishment of the lost object is reiterated in a later paper 'On Transience' (1916), where he considers the subject's tendency to avoid directing libido towards an object which s/he anticipates losing quickly. In this paper, Freud ponders the logistics which underpin this phenomenon, concluding that the subject's reluctance to invest in transient objects is based on their experience of the anticipated pain incurred by the loss of a loved object. Freud attributes this anxiety to the impact of 'powerful emotional factors' which spoil the subject's enjoyment of beauty which provokes 'a revolt in their minds against mourning' (1957p: 80). This 'foretaste of mourning' causes the mind to 'instinctively recoil from anything that is painful' and consequently the 'enjoyment of beauty [is] interfered with by thoughts of transience' (1957p:80/1). Hence, the expectation of pain mars present enjoyment because the 'libido clings to its objects and will not renounce those that are lost even when a substitute lies ready at hand.' (1957p: 80).\n\nIn his book, *Death, Desire and Loss in Western Culture* (1998), Jonathan Dollimore contends that Freud's preoccupation with the interwoven dynamics of\n\nhuman desire and loss, adumbrated in the above essay, are revelatory of Western anxieties related to the mutability of human life. Indeed, Dollimore argues that psychoanalysis merely represents another level of sophistication in western culture’s drive to construct a theoretical model that can explain the agonising threat of this paradoxically seductive phenomenon (1998: 181).\n\nDollimore sees psychoanalysis’ expansion of human introspection as an opportunity to develop a new language that reiterates what was by now an open secret in the West that ‘death is absolutely interior to life’ (181). More importantly for this project, Dollimore conjectures that the encounter between Freud and the unknown poet outlined in ‘On Transience’, affected the composition of his later more influential essay ‘Mourning and Melancholia’ (1917). Dollimore elaborates on the significance of this encounter by drawing our attention to Freud’s assertion that ‘those who … seem ready to make a permanent renunciation because what was precious has proved not to be lasting, are simply in a state of mourning for what is lost’ (quoted in Dollimore, 1998: 181). Once more, Dollimore asserts that this statement is steeped in the rhetoric of the mutability tradition within western culture. Moreover, he identifies the traumatic fusion of loss and desire clearly delineated in this paper as the forerunner of the theory of *identification*, which was to prove so crucial to Freud’s understanding of melancholia (182). Furthermore, according to Dollimore, Freud’s interpretation of melancholia embraces ‘not just an experience of loss, but a deep identification with what is lost’ (182), thereby establishing a symbiotic psychological relationship that is riven by desire (182).\n\nFreud’s classic study of mourning and melancholia, written in 1917, continues and builds on these earlier theoretical models of loss. In this paper,\n\nFreud analyses the subject's response to various forms of loss, ranging from 'the reaction to the loss of a loved person, or to the loss of some abstraction which has taken the place of one, such as fatherland, liberty, an ideal and so on (1957i:153). The first sentence of Freud's paper frames the state of mourning as a 'normal' emotion (152), which allows the subject to withdraw his/her libidinal attachment from his/her original object choice, and thereby transfer it to a subsequent object. The process by which this is achieved may be lengthy, involving the requisite time and energy needed to persuade the ego to abandon its original libido position by introjection and 'reality testing'. Reality testing, according to Freud, describes the painful memory work that the subject must undergo if s/he is to escape the cyclical, and hence pathological nature of melancholia, where the subject is unable to relinquish their original object choice and resume object relationships in the future. Successful reality testing is only accomplished when the subject is willing to withdraw from his/her psychological investment in the object by loosening the libidinal ties that bind it through memory. This period of profound readjustment is described by Freud as a tortuous process where 'deference for reality' is gained only after every 'single one of the memories and hopes which bound the libido to the object is brought up and hyper-cathected' (1957i:154). Once this process has been completed the subject is able to accept that the object no longer exists and thus move on to make new object choices.\n\nFreud goes on to inform the reader that the circuitous route required to restore psychic equilibrium 'is not at all easy to explain in terms of mental economics', but once achieved 'seems natural to us' (154). Subsequent readers and critics alike have found his resolution of the mourning process\n\nunsatisfactory, both in its naturalising impulse and because of its reliance on melancholia as the binary opposite that proves the rule of mourning. Freud's theory constructs melancholia as pathological mourning because of a shift in the disposition of the libido, which is externalised in normative mourning by withdrawing from the lost object and proceeding to make a connection with a new one. The melancholic subject, however, withdraws his libidinal attachment to the lost object and incorporates it into his own ego. Freud believes that this situation gives rise to secondary narcissism.\n\nAccording to Freud's schema, the melancholic reinstates the object within their own ego, which is then subjected to a series of sadistic assaults from within. The subsequent lowering of self-esteem that Freud cites as a feature of melancholia, arises out of the ambivalence inherent in the subject's relationship with the lost object. Freud attributes the subject's tendency to indulge in self-reproach as a consequence of their *identification* with the abandoned object. Subsequent psychoanalysts such as Fenichel (1945), Abraham (1949) and Bibring (1953) remain unconvinced by Freud's rigid categorisation of the states of mourning and melancholia, arguing that ambivalence and identification are present in both conditions and need not represent a slippage into psychopathology.\\(^7\\) Leowald (1962), conjectures that internalisation resembles the Oedipal crisis where the relinquishment of objects leads to the formation of the superego (1962: 21). This model also serves a dual purpose in protecting the subject from the pain of loss and furthering the possibility of emancipation once this has been achieved.\n\nUnlike Freud, the psychoanalytic theorists Abraham and Torok contend that language provides the means by which the subject is able to resist\n\npathological mourning. In 'Mourning or Melancholia: Introjection versus Incorporation' (1994), the authors elaborate on what they feel is a blurred distinction between the psychoanalytic terms introjection and incorporation. The authors trace the origins of introjection back to infancy 'where the mouth's emptiness is experienced alongside the mother's simultaneous presence. The emptiness is first experienced in the form of cries and sobs, delayed fullness, then as calling, ways of requesting presence, as language' (1994:127). The cries which accompany the child's experience of the absence of the breast, eventually give way to verbal requests addressed to the mother, which partially compensate for the initial loss. The ability to convert loss into speech is viewed by Abraham and Torok as the key to nonpathological mourning, the erasure of loss through the communion of language (127/8).\n\nThe addition of the linguistic component expands on Sandor Ferenczi's original formulation in *First Contributions to Psycho-Analysis* (1952), where 'introjection' following on from his theories of transference, is identified as the normative process whereby the ego is broadened and enriched by the inclusion of libidinally charged objects. Abraham and Torok point out that this process also explains the way in which the reality of loss is integrated into the ego. Again, the authors foreground the importance of the linguistic element within this process, by explaining how the subject's inability to articulate loss inhibits mourning and frequently follows on from the fantasy of incorporation. Incorporation is described as the process whereby a subject introduces 'all or part of a love object or a thing into one's own body, possessing, expelling or alternatively acquiring, keeping, losing it' (1994: 216).\n\nBecause the fantasy arises out of a loss which the subject experiences as guilty or in some way shameful, the psyche is unwilling to make the adaptations and adjustments which would accommodate the transformation of the loss within the psychic terrain. Instead, the fantasy of incorporation imitates transformation by a form of magic, achieving this 'by implementing literally something that has only figurative meaning. So in order not to have to \"swallow\" a loss, we fantasize swallowing (or having swallowed) that which has been lost, as if it were some kind of thing' (1994:126). Ultimately, incorporation 'reveals the gap within the psyche; it points to something that is missing just where introjection should have occurred' (127).\n\nAbraham and Torok speculate that incorporation occurs when the usually spontaneous process of introjection, conversion of loss into language, becomes reflexive and the new self-awareness transforms the object into something which the subject is literally unable to swallow. Incorporation therefore occurs when 'words fail to fill the subject's void and hence and imaginary thing is inserted into the mouth in their place' (1994:128/9). Abraham and Torok's formulations construct cryptic incorporation as a psychic half-way house situated somewhere between mourning and melancholia, which is occupied by the subject who has been thrust out of the symbolic matrix. The crypt becomes a tomb when the object threatens the integrity of the subject or when exposure of the link between subject and object reveals the divisions, contradictions and erasures that characterise the relationship.\n\n(iii) The Feminine Crypt\n\nCrypts are constructed only when the shameful secret is the love object's doing and when that object also functions for the subject as an ego ideal.\n\nIt is therefore the object’s secret that needs to be kept, his (sic) shame covered up. (Abraham & Torok, 1994:131)\n\nThe next section of this chapter will concentrate on the specific psychological obstacles encountered by the female subject. As we have already seen in the introduction to this thesis, women have historically been excluded from melancholic discourses. Women’s absence from the corpus of melancholic texts therefore provides convincing evidence that women’s mourning was a disparaged practice that did not warrant public recognition. Juliana Schiesari’s work on the gendering of melancholic discourse has provided conclusive evidence that women such as Hildegard of Bingen did produce an extensive commentary on the problematic category of melancholia (1992:141). Female invisibility within the melancholic tradition must therefore be attributed to their subjugated position within patriarchal structures. The following section will illustrate how female alienation from what can be seen as the melancholic canon is compounded by their own internalisation of their own inferior positioning within the symbolic matrix. Accordingly, the work of Helene Deutsch, Abraham and Torok and Julia Kristeva will be cited to illustrate why the complex interplay of love, hate and desire make female melancholia such a difficult category to explain.\n\nAbraham and Torok’s definition of the psychic crypt cited above is revelatory of the grandiose yet self-deluding nature of the melancholic subject. The theorists’ elucidation of pathological mourning helps to clarify the confusions arising from the subject’s ambivalent relationship with the lost object. Here, the subject’s desire for love and approval from the lost object is interwoven with their fear that discovery of the guilty secret that once connected them would result in savage punishment and the destruction of their identity.\n\nHelene Deutsch and Julia Kristeva are psychoanalytic theorists who are also concerned with the complex set of bodily and psychological protocols that underlay melancholic structures. Both theorists investigate the vagaries of ambivalent love-relationships by focusing on the melancholic’s ability to cleverly disguise the origin of their despair. Deutsch writes from a distinctly Freudian perspective, using an hydraulic analytical model to explain the psychological consequences of cases of unacknowledged grief. Kristeva’s central concern is the period that proceeds language acquisition, namely the pre-objectal and the pre-linguistic, which she believes poses particular problems for the female subject who is according to Kristeva clearly more susceptible to melancholic depression.\n\nHelene Deutsch’s work on mourning is clearly indebted to Freud’s formulation of melancholic identification in ‘Mourning and Melancholia’ (1917). As the title of Helene Deutsch’s 1937 paper ‘Absence of Grief’ suggests, it is the very absence of mourning which signals pathology. Like Freud, Deutsch advances the view that identification with the lost or dead object initiates pathological mourning reactions. According to this schema, mourning may be masked or delayed indefinitely if the ego is diverted elsewhere, apparently engaged in dealing with other more pressing issues (1937:15). This diversion from the normative trajectory of mourning is the result of ambivalent feelings being projected onto the object, in accordance with Freud’s theories regarding melancholia promulgated in ‘Mourning and Melancholia’. Again, she deploys a typically Freudian hydraulic model to describe the melancholic economy, whereby absence of grief will eventually be compensated for in the expression of a series of seemingly unmotivated depressions that follow on from the\n\noriginal object loss. This finite economy is also responsible for the implementation of an array of narcissistic defence mechanisms that prevent the commencement of the work of mourning. In order to illustrate this point, Deutsch cites the example of the undeveloped ego of the child which is unable to withstand the onslaught of ambivalent impulses which arise during mourning. In order to escape the psychic strains involved in mourning, the child frequently manifests an indifference to the death or loss of a loved person (1937:13).\n\nAn analogous set of events can be observed in adults who betray no emotion after the death or loss of a loved one. The lack of affective emotion that usually accompanies bereavement occurs as a result of an insufficiently developed ego, characterised by 'the free and unoccupied portion of the ego, and on the other hand a protective mechanism proceeding from the narcissistic cathexis of the ego' (1937:15). Deutsch observes that adults who suffer from this particular phenomenon are able to relinquish libidinal ties with remarkable ease and rapidity, but as we have already seen, she notes that this behaviour is punctuated by a series of \"unmotivated depressions\" (16).\n\nDeutsch's paper leans towards Freud's work on 'Mourning and Melancholia' in its emphasis on a normative conceptual framework to describe mourning. Deutsch's paper is similarly focused on a goal-oriented drive to achieve a 'normal' and uncomplicated state of mourning. This overly deterministic concentration on the liberatory potential of the mourning process ignores the complexities of the subject's identification with the object - with the interplay of guilt and anxiety. Hence, Deutsch uses a hectoring tone to inform the reader that the process of mourning 'must be carried to completion' (1937:21) if the mysterious and unquantifiable state of normality is to be achieved.\n\nDeutsch’s dogged adherence to the Freudian paradigm that normalises mourning at the expense of the pathological state of melancholia, constrains what could be a much more informative and persuasive discussion of pathological mourning reactions. Freud’s ideological framework serves to naturalise the marginalised cultural status of the non-normative state of melancholia, constructing this state as the guilty other that shadows the culturally acceptable state of mourning. Indeed, Freud intimates that both states conclude in a similar manner when he writes that ‘the way in which it passes off after a certain time has elapsed without leaving traces of any gross change is a feature it shares with grief’ (1957:163).8\n\nUnlike Abraham and Torok, who draw attention to the complex relationship which exists between the subject and the incorporated object, Deutsch utilises a typically Freudian dialectic to prove her theory that psychic disequilibrium will be regulated by a series of displacements which ultimately relieve psychic suffering. Again, this naturalising manoeuvre, borrowed from Freud, frames the “unmotivated” depressions which she refers to in her paper as a consequence of incomplete mourning, as a simple psychic defence mechanism present since childhood which is waiting to be triggered in the melancholic adult. Hence, she is able to conclude that ‘One might assume that the very general tendency to “unmotivated” depressions is the subsequent expression of emotional reactions which were once withheld and have since remained in latent readiness for discharge’ (1937:22).\n\nUnlike Deutsch, Julia Kristeva’s work on depression and melancholia, *Black Sun* (1989), builds on Freud by analysing intrapsychic relations prior to the object loss. Her work is an exploration of what she refers to as “The\n\nThing\", which is the pre-objective and pre-linguistic space that exists before the acquisition of language. In common with Abraham and Torok's psychic crypt, Kristeva's *Thing* defies signification, forming an intrapsychic double-bind which both attracts and repels. Kristeva postulates that the depressive or melancholic subject mourns the loss of the *Thing*, to which they long to return and not the lost object described by Freud. Her work is of particular interest to this project because of its examination of feminine depression. Kristeva suggests that women experience more problems with depression because they find it more difficult to separate from the mother and by implication the *Thing*. This added obstacle *en route* to subjectivity places an extra burden on the female subject, when she is forced to move towards the symbolic. The complications arise when she seeks to recover the lost object as an erotic object. Kristeva puts forward the contentious theory that the heterosexual woman is especially challenged when she attempts to make the transition into the symbolic, because unlike the male heterosexual or female homosexual, she must expend a great deal of psychic and symbolic energy if she is to eroticise the other sex instead of the mother (1989: 74). Kristeva believes that the female subject is able to overcome this impasse and escape the demands of the maternal object by transposing this symbolic energy onto an imagined partner, a third party who as she puts it:\n\n(is) able to dissolve the mother imprisoned within myself by giving me what she could and above all what she could not give me, while remaining in a different place - no longer the mother's but that of the person who can obtain for me the major gift she was never able to offer: a new life (Kristeva, 1989: 78)\n\nThis prioritising gesture on the part of Kristeva clearly privileges and indeed valorises the heterosexual woman at the expense of the lesbian and the\n\nchildless woman, by claiming that maternity represents the high watermark of successful femininity.\\textsuperscript{11} This theoretical viewpoint is surely problematic in its blurring of the cultural and symbolic and the very different demands which each makes on the feminine.\n\nKristeva's celebration of maternity as both reward and rite of passage, from melancholia to 'successful' subjectivity, bears many similarities to the uneasy slippage between mourning and melancholia, which Freud describes in his 1917 essay.\\textsuperscript{12} However, when Kristeva writes about the disavowal of loss and the narcissistic anguish incurred by what she refers to as the 'black hole' of melancholia, her work begins to traverse similar theoretical territory to that covered by Abraham and Torok in their paper 'Mourning or Melancholia: Introjection versus Incorporation', referred to above. Kristeva acknowledges this philosophical debt during her discussion of the \"black hole\", used to illustrate the case history of Isabel, one of her melancholic patients.\n\nInterestingly, the symptoms manifested by this particular subject conform to those described by Abraham and Torok and Helene Deutsch, in their emphasis on the absence of grief and the repression of sadness and despair. The similarities between both methodologies, and the ways in which they are mapped onto the subject, are striking because of their investment in language as the curative substitute for the lost object. As Kristeva puts it:\n\nI had the impression that she (Isabel) had fitted in her psychic space one of those \"crypts\" Maria Torok and Nicolas Abraham talk about, in which there was nothing, but the whole depressive identity was organized around this nothingness. Grief, humiliating by dint of having been kept secret, unnameable, and unspeakable, had turned into a \\textit{psychic silence} that did not repress the wound but took its place, and what is more, by condensing it, gave it back an exorbitant intensity, imperceptible by sensations and representations (1989:87)\n\nHowever, the projects of Kristeva and Abraham and Torok diverge in their differing deployment of a psychoanalytic aesthetic to describe the creative act. For Abraham and Torok, artistic production mobilises metaphor, which implicates the artist into a verbal relationship with a wider ‘speaking’ community. For them ‘language acts and makes up for absence by representing, by giving figurative shape to presence it can only be comprehended or shared in “a community of empty mouths” (1994:128). In this way, metaphor is mobilised as an instrument of introjection, which enables the subject to engage in a recuperative project whereby the lost object is integrated into the psyche. Once this has been accomplished, the psychic topography is reorganised so that the subject is able to function within a community of speaking mouths. Melancholic rhetoric becomes pathological when figurative language cannot be released and is instead literalised: by denying the polyvalence of metaphor, the subject is able to protect her/himself from the shame associated with the incorporated object. Here, language acts as a return of the repressed which haunts the subject, reminding him or her of the original shame, forcing the ‘cryptophoric subject … to annul the humiliation by secretly or openly adopting the literal meaning for the words causing the humiliation’ (1994:131). Thus, incorporation is linked with the figure of antimetaphor, that effectively seals the vault concealing the objectal shame (131).\n\nFor Kristeva, the language of melancholia is a separate language that can be inserted into a field of competing discourses. Within this framework, melancholic language emerges as a result of the ‘psychic representation of energy displacements’ (1989:21), which cleverly resist psychoanalytic or\n\nKristeva to postulate that:\n\nrepresentations germane to affects, notably sadness, are *fluctuating* energy cathexes: insufficiently stabilized to coalesce as verbal or other signs, acted upon by primary processes of displacement and condensation, dependent just the same on the agency of the ego, they record through its intermediary the threats, orders, and injunctions of the superego (1989:22)\n\nHere, the act of literary creation is constructed as a solipsistic process that gives way to 'sadness as imprint of separation and beginning of the symbol's sway', which, in a curiously rehabilitative move, promises 'joy as imprint of the triumph that settles me in the universe of artifice and symbol, which I (the subject) try to harmonize in the best possible way with my experience of reality' (22). Later, Kristeva hints that the 'semiotic' and the 'symbolic', can be transformed into 'the communicable imprints of an affective reality, perceptible to the reader' (22). Language, is then slotted into an intrapsychic space which remains suspended at the level of fantasy; there is no indication that such an abstract conceptual framework is ever disturbed by cultural experience nor how such an ambiguous construction of 'sadness' impacts on the creators of literary texts. Instead the reader is confused by the dazzling interplay of rhythms, signs and forms which remain divorced from their cultural context.\n\nAbraham and Torok differ from Kristeva in their emphasis on mourning as a psychological process that enables the subject to live in and through loss. For them, arrested figuration represents the verbal signal which indicates the subject's refusal to engage in the recuperative act of mourning. Their paper insistently draws attention to the qualitative differences between mourning and melancholia: as the opposition between\n\nantimetaphor and metaphor, which embodies the verbal opportunity to transcend psychic bereavement.\n\nThe following section of this chapter will address the textual implications of suspended mourning as figured in Evelyn Lau’s first novel *Other Women*, and in ‘Roses’, a vignette taken from her collection of short stories *Fresh Girls*. In both of the close readings that follow, the symptoms of a psychic foreclosure that prevents the subject from participating in mourning are revealed in the ambiguous gaps and silences that punctuate the texts. The heady conflation of desire, hate, love and fear is palpable within the textual disruptions and ellipses that threaten to reveal the unresolved issues embedded deep within the narrator’s secret histories. Similarly, the terse prose style and insistent repetition indicate that a particular narrative is being continually reworked in order to prevent the unravelling of the concealed narrative that lies just beneath the surface.\n\n(iv) **Romancing the Other**\n\n*Other Women* (1995) relates the story of an unconsummated affair that takes place between Fiona, a successful self-employed artist, and Raymond, the married businessman whom she meets at a local-fund raising event. The sparse plot is unexceptional, covering similar narrative terrain to that contained in the most conventional romance fiction. However, the paucity of the plot combined with the deadened prose style suggest that the text is itself a site of mourning. Alternative interpretations of this flimsy, even unchallenging, narrative can be sustained. James Annesley includes Evelyn Lau’s work in the loosely defined range of blank fictions that he contends share similar aesthetic and ideological concerns (1998:3). Annesley maintains that these concerns are\n\nfocused on ‘the relationship between the individual and consumer culture’ in contemporary urban America (2). Moreover, Annesley contends that the intersecting social and economic structures described in these novels are informed by a stylistic aesthetic that conveys ‘blank, atonal perspectives and fragile, glassy visions’ (2). Lau’s terse, pared down prose style and materialistic thematics conforms to Annesley’s delineation of the subject matter of ‘blank fictions’. However, once the critical focus of attention has been shifted away from a materialist interpretation of the text onto a psychoanalytic reading of Lau’s novel, a radically different fiction begins to emerge. The ‘fragile, glassy visions’ that Annesley perceives as a defining feature of a materialist aesthetic can also be interpreted as a symptom of melancholic or depressive illness.\n\nThe opening pages of *Other Women* do reveal a pattern of brittle, even inconsequential, imagery that closely resembles Annesley’s rendition of a ‘blank’ aesthetic. The narrator’s reconstruction of her last meeting with her married lover takes place in the glacial interior of the kind of anonymous hotel room that features prominently in novels written by Lynne Tillman, Bret Easton Ellis and Susanna Moore. However, the retrospective framing of the lovers’ last meeting which is constantly reinvoked in this novel, signals the presence of an unprocessed secret history. The ghostly legacy of this indigestible secret leaves its imprint on the narrator’s recollection of the collapse of her entanglement with her lover. The affair itself is framed as a series of brief episodic encounters that do not appear to justify the magnitude of the narrator’s emotional investment in them. Indeed the narrator’s confession that ‘there were nights that had shaped the past fifteen months of their lives, nights that convinced her she was alive’ (1995: 5), is revelatory of a secret history scarred\n\nby the memory of a past that has been troubled by serial loss and abandonment. The narrative itself is contained by a spectral frame that reveals itself at critical junctures in the text. These disruptions within the narrative gesture towards a disturbing subtext of familial ambition and discontent. In the opening chapter, the lovers' final encounter is disturbed by the narrator's memory of the 'warm gold ... lamplight in her parents' house, in the impoverished neighbourhood where she grew up' (9). The nostalgic (re)vision of childhood memory is invoked here as a framing device for the inner narrative that describes the demise of the lovers' affair. Accordingly, the elegiac (re)construction of a drooping rose fluttering silently 'above its reflection in the polished wood of the end table' (9), within the lamplight of the lovers' hotel room, is analogously linked to an unreliable memory of an increasingly fictionalised childhood. Significantly, this hastily constructed pastiche of childhood comfort fails to generate the emotional security that the narrator so clearly hopes to achieve. Instead, the narrator is confronted by a scenario that is riven by contradiction and a pervasive sense of melancholic grief. Ultimately, the narrator is forced to recognise that the 'feeling of familiarity' invoked by the lamplight within the room is not reciprocated by her lover, when 'After all, his own memories of lamplight would be different' (9).\n\nWithin the text therefore, references to childhood and family history are sparse and sporadic, often framed as unwelcome reminders of a troubled past which momentarily threaten to dispel the vortex of loss that envelops the novel's mordant narrator.\\(^{13}\\) This failure to tie up the lost threads of childhood by incorporating them into the broader narrative of her subsequent history is symptomatic of the disease that blights the narrator's adult life: namely the\n\ninability to mourn successfully or to acknowledge that a bereavement has in fact taken place. The aetiology of this disease can be traced by the reader back to the narrator's troubled childhood, whilst the symptoms reveal themselves in her nostalgic longing to rewrite her childhood narrative by returning to a past which is unmarked by the moment of fundamental division from her mother.\\textsuperscript{14} Fiona's silence about the unspeakable other of her childhood emerges first as the missing backdrop to the free floating present described within the novel, and secondly in her fascination with other women, particularly Helen, the wife of Raymond. Other women offer a tantalising glimpse of what it is to be successfully 'othered' from the mother, effectively freed from the historic and potentially suffocating primary tie with the mother, or more specifically the moment of fundamental division, referred to above, when the child's demands on the mother outstrip her ability to fulfil them.\\textsuperscript{15} The physical demands of the split linguistic subject are manifested by the text's insistent emphasis on orality; the numerous references to fellatio and the disordered eating and drinking patterns which emerge as a result of this lack of alignment with the mother.\n\nFiona's doomed attempts to make good this moment of lost plenitude with the mother, through displacement onto a series of disposable object-choices such as Raymond, her married lover, are returned to obsessively as a textual mantra which informs and indeed sustains the structure of the novel. Towards the end of the novel, we learn that Fiona's previous lover was yet another married businessman who slotted her into his working schedule in a similar manner to that which was subsequently deployed by Raymond. This is a package which the narrator owns has the advantage of being 'turmoil' free,\n\nrequiring little or no emotional investment from either party so that ‘in the year they knew each other he never once asked what she did with her days’ (1995:167). This tardy confession, like so many others, is slipped into the text surreptitiously, subtly shifting the reader’s perception of the exclusivity of the narrator’s current obsession, or her ability to detect the serial nature of her object choices.\n\nFiona’s inability to identify and therefore acknowledge and articulate the underlying pattern of losses that structures her life locates her within the theoretical frame of Abraham and Torok’s paper, where the reluctance of the subject to participate in the reparative process of mourning through her/his psychic disavowal of mourning impedes her/his ability to recover, by her/his refusal to communicate her/his loss in and through language. A similar closeting of a secret and imperfect history is characteristic of Fiona’s attempts to lay a false trail leading away from her troubled relationship with her mother, which is clearly evident in her dealings with Raymond and his wife Helen.\n\nTowards the end of the novel, Fiona recalls discovering her mother’s diaries, which had remained, unbeknown to her, hidden in the bottom of her closet throughout her childhood. The recovery of the diaries is however short-lived; the dramatic uncovering of the lost artefact triggers such an emotive reaction in the narrator’s mother that she immediately destroys them, meticulously dissecting their contents with her strongest scissors, the ones with which Fiona recalls ‘she used to cut fabric’ (1995:189). The reappearance of the diaries forms a disquieting childhood memory for the adult narrator, who realises that the psychological effects of the discovery of the diaries, which recount her mother’s extra marital affair, implicate her within yet another\n\nindigestible secret history. Recalling the incident from the standpoint of an eight year old child, she is aware that ‘I felt the significance of what had happened, although I could not have put it into words. I did understand that my mother had now lost something she could never get back, and that life could not be the same again for her (189).\n\nFigurative gaps, omissions and silences related to the suppressed outer frame of the narrative occur with an increasing regularity, disturbing the linear progression of the inner narrative. Indeed, the inclusion of the scissors and the part that they play in destroying a family chronicle is transformed into a castrating metaphor that is clearly evident in other melancholic texts written by women. In Kathryn Harrison’s autobiographical novel, *The Kiss*, for example, family history is wilfully rearranged by the narrator’s maternal grandmother who removes any evidence of her erstwhile son-in-law’s role within the family structure by cutting out his physical representation in the family photograph album. This domestic artefact has therefore revealed its own literal and figurative secret history in its transformation from domestic implement into an instrument of castration. Ironically, this castrating trope draws the reader’s attention to the melancholic core of the narrative where psychological loss can never be transcended by simply reshuffling photographic evidence. The castrating action of the scissors denies the intricate and meticulous ‘working through’ of memories that Freud claimed was indispensable to successful mourning. The vigorous motion of the blades is juxtaposed with the static and monolithic family history that it attempts to dislodge. Paradoxically, the slicing of history into digestible shards of memory merely reconstructs the original tableau of unrequited loss that informs these troubled histories.\n\nAccordingly, Fiona’s insatiable appetite for incorporating an interminable stream of substitutes begins to shift from Raymond, onto his wife Helen, who is transformed into the ‘other’ woman, becoming a tantalising shadow of yet another object choice. Fiona’s is once more the opened mouth that can swallow but not speak; hence she fantasises about the unknown woman visualising a scene where ‘she could open her mouth and, with just a few words, enter Helen’s life’ (1995:8). The sheer immensity of the narrator’s need takes the form of psychological rape: her colonising zeal is no less shocking because it is anonymous. Later, she imagines that ‘she knows what it is like to live inside Helen’s body’ (72), her well-rehearsed fantasies becoming ‘increasingly intimate and violent’ (184). These projected fantasies work in reverse by illuminating the framing discourse that is located in her relationship with her mother. The intrusive and increasingly compulsive nature of her fantasies begin to imitate the unrequited yearning that the narrator experiences when she remembers her mother. The narrator’s obsession with the material realities of other women’s lives is merely a displacement of her maternal longing. This process is the figurative location where the narrator attempts to resolve her experience of maternal abandonment. By endlessly rehearsing this psychological impasse, Fiona hopes to regain the emotional plenitude that she believes once united her with her mother.\n\nFiona’s fear of maternal loss is then played out, in and through the wife of Raymond; Fiona’s putative aim is to obviate the pain and sorrow of loss by merging with Helen who has unknowingly been transformed into a surrogate mother. Fiona’s barely sublimated desire to fuse with this new maternal object is then symptomatic of the cannibalising threat of melancholia where the\n\notherness of the object is systematically consumed by the ego. Hence, Fiona claims that she 'wanted to know Helen's body so well [that] I could climb in and zip up her skin around me' (1995:184). By vampiristically incorporating the other residing in this surrogate maternal object, Fiona believes that she can conquer the pain of separation and the fear of abandonment that she experienced as a young girl. The narrator's solitary manoeuvres emerge as a figurative plea to the other woman to include her in what Abraham and Torok refer to as 'the communion of \"empty mouths\"', where calling becomes a way of 'requesting presence, as language' (1994:127), and where 'without the constant assistance of a mother endowed with language, introjection could not take place' (128).\n\nBefore Fiona can participate in such a communion of 'empty mouths' she must resist the cannibalising impulse referred to above by learning how to rework events within her own life so that she is able to implement a revised interpretation of past events that can be woven into the fabric of her present life. According to Freud, the process of introjection involves the capacity to replace the lost object with a representation that symbolises that loss within the memory (1957i:154). The memory is then transformed into a flexible model that the subject can manipulate freely so that it functions productively within the psyche. The regressive identificatory process present in the psychological process of incorporation reverses the re-structuring programme implicit in introjection by consuming the incorporated whole object. This 'magical' cannibalistic process is clearly present within Lau's narrative where it reveals itself in the repeated emphasis on orality. The narrator swallows food, parental\n\nimagos, even her lovers’ semen, wholesale, refusing the difficult and thoroughgoing work of introjection.\n\nRemoval from the imaginary to the symbolic coincides with weaning or rejection of the mother’s milk; Fiona’s endless rehearsal of this shift from one order to another represents a reversal of this process and a return to dependence on liquid oral ingestion. This reversal of sociocultural norms is clearly evident in her recollection of her first meeting with Raymond which she describes in cannibalistic terms as the moment when ‘[she] first breathed you into me, gulping you in until I became dizzy and the room circled around me’ (1995:14). Later, the normative Oedipal configuration is obliterated when the narrator reconstructs a disturbing encounter with Raymond who now appears to occupy the role of surrogate father to the narrator’s obedient daughter:\n\n‘With a child’s belief in magic I got down on my knees in front of your body. When I put my mouth over your penis above its net of hair, one moment shifted irrevocably into the next, shifted so hard I thought I heard the sound of something breaking’ (1995:23).\n\nThe reversal of conventional norms referred to above involves the ingestion of a pattern of behaviour considered pathological in the adult female; Fiona’s constant return to the primal scene is a subversion of the symbolic notion of the individuated subject; by repeating the moment of division, she threatens the very fabric of the symbolic which leads to her own marginalisation.\n\nSignificantly in this context, Abraham and Torok suggest that the prohibition of speech results in the subject ‘actually taking into … (her/his) … mouth the unnameable, the object itself. As the empty mouth calls out in vain to be filled with introjective speech, it reverts to being the food-craving mouth it was prior to the acquisition of speech’ (1994:128).\n\nFiona’s mouth represents the food-craving chasm which threatens to engulf anyone who comes into close contact with her. The ever recurring trope, where the lamplight in an anonymous hotel room is transformed into ‘the same warm gold as the lamplight in her parents’ house, in the impoverished neighbourhood where she grew up’ (1995: 9), is indicative of the kleptomaniac subject who frantically collects random artefacts for inclusion in Abraham and Torok’s ‘intrapsychic tomb’ (1994:130). Fiona never appears to function within a community. She always situates herself on the periphery of any social activity, focusing on a series of interchangeable objects such as Raymond, whom she can suck into the highly charged vortex which surrounds her.\n\nAbraham and Torok note that ‘The magical “cure” by incorporation exempts the subject from the painful process of reorganization’ (1994:127), drawing the subject into the essentially conservative trope of fantasy. Laplanche and Pontalis believe that incorporation has three meanings: ‘it means to obtain pleasure by making an object penetrate oneself; it means to destroy this object; and it means, by keeping it within oneself, to appropriate the object’s qualities’ (1973: 212). As we have already seen, Fiona attempts to import the qualities and attributes of those closest to her, such as Raymond and Helen, rehearsing their episodic encounters which are ‘gone over again and again in my hours of solitude, imbued with the colour of my desire, fondled like a fetish object, a shoe or a glove’ (1995:25). Fiona’s quest, to absorb every available object or person to fill the unspeakable chasm within, accelerates when Raymond hints that he wishes to terminate their relationship, resulting in her frantic bid to replace him with an ever increasing array of substitutes, such as alcohol, food and memory. Fiona describes this sudden fall from grace as ‘a\n\ncertain level of intoxication that felt like being inside a dream, and when she felt\nthe protective layers begin to disperse, and light start to intrude, that was when\nshe knew she needed another drink' (31). Fiona's attempts to insert herself\ninto an Oedipal triangle with the childless couple Raymond and Helen signal to\nthe reader that her incorporation of this new configuration is in fact just another\nsubstitute for her own troubled relationship with her own parents.\n\nFiona records how the encrypted shame and revulsion, associated with\nher memories of childhood, disrupt her waking moments:\n\nwhen she did finally slip, almost accidentally, into sleep, it was to dream\nabout her parents. It had always been this way - the two people she\nmanaged to ignore in her waking hours still controlled her nocturnal world.\nBut now her dreams about her family she had left behind were confused\nwith her longing for Raymond, which grafted itself upon the familiar scenes\nfrom childhood - her mother screaming, her father leaving. Only now her\nfather's face was Raymond's and her mother wore the same clothes Fiona\nhad worn the night she met the man she loved (1995:39/40)\n\nFiona's admission of the source of her pain occurs one third of the way through\nthe novel, during a holiday which she takes in order to 'break the pattern by\ngoing somewhere new' (35). By this stage in the novel it is clear that physical\nchanges of location cannot dislodge the psychic incorporation of objects and\nthe stockpiling of object substitutes is itself beginning to alter the shape of the\nnarrator's life, as well as the text. From this point onwards, the disparate parts\nof Fiona's pathology begin to converge: the disturbed sleep pattern, bulimia and\nthe obsession with Helen. We learn that her evenings are now spent 'in her\nstudio, bags of junk food and photographs of his wife Helen spread out on the\ndesk in front of her ... One after another, Fiona tears open packages of cream-\nfilled cookies and sugared donuts, conveying the contents almost robotically to\nher mouth' (71). Increasingly, Fiona's fantasies are projected onto occupying\nthe body of Helen, until she is convinced that she 'thinks she knows what it is\n\nlike to live inside Helen’s body’ (72). Fiona even confesses that ‘if she does not exist in the public’s perception of what is real, she does not’ (76); a gesture backwards to the erased point of reference which represents her childhood and which cannot therefore act as an integrative force within her adult life.\n\nPredictably, the masochistic fantasies culminate in the narrator’s murderous impulse to incorporate the body of Helen, when she imagines:\n\nher strong hands around Helen’s fine, wifely neck … choking her until she moans and spits up Raymond’s love. Then at last she can relinquish her, let her head snap back, her body limp as a doll’s that has been played with plenty and can now be retired’(1995:78).\n\nIn the final pages of the novel, Fiona admits that her preoccupation with Raymond’s wife has been ‘obscene and one-sided’ (1995:192). As we have already seen, Fiona’s obsession with Helen became ‘increasingly intimate and violent’, forcing her to fantasise about stripping Helen naked, ‘to familiarise myself with her body, her responses … I wanted to know Helen’s body so well I could climb in and zip up her skin around me’ (184). Fiona believes that if she were able to simultaneously occupy and annihilate Helen’s body she would be able to rewrite her own history and insert herself within a new and more empowering childhood narrative. Fiona’s projection onto the wives and lovers of men within her social milieu, and her valorisation of their anonymous spouses, gestures towards her belief that she is somehow responsible for the breakdown of her own particular ‘family romance’.\n\nThe conclusion of the novel sees Fiona locked into a double bind. She admits that she continues to believe that ‘there will never be anyone else for me’ (1995:192), and indeed there appears to be little prospect of Fiona ever being able to ‘spit up’ Raymond’s love in the same way that she fantasises\n\nforcing Helen to do in her fantasies. Fiona’s jealously guarded secret is her wish to replace the oedipal configuration with another more flexible model which could function productively within the field of competing discourses that crowd her adult life. Fiona swallows whole the memory of her mother’s shattered subjectivity which she believes haunts and shadows her own bid for acceptance within patriarchal structures. It sees improbable, given the evidence above, that Fiona will ever be able to construct a ‘transference bridge’ with language, that will enable her to swallow the unspeakable loss of childhood, by unlocking the silence which severs the link between mourning and artistic creation.\n\n(v) Resisting The Talking Cure\n\nIn the next section of this chapter I will examine another exemplar of melancholic incorporation contained in the work of Evelyn Lau. The following section will focus on one of the short stories contained in the collection *Fresh Girls* (1994). ‘Roses’ relates the story of an abusive relationship that is formed between an adolescent sex worker and a psychiatrist. The narrative operations in this story reveal an absolute intolerance of separation and object loss that is compounded by the narrator’s disenfranchised position as a sex-worker who is engaged in an apparently futile attempt to resist co-option into the invasive commercial network surrounding her. Lau’s slim volume of short stories recounts the tales of a series of similarly marginalised women who are striving to insert themselves into a more empowering narrative and social context. Annesley’s views on the decadent protagonists of much contemporary American fiction are significant within this context. Within his chapter on ‘Decadence’ in *Blank Fictions* (1998), James Annesley views the subject’s\n\ndesire for freedom and autonomy as the product of millennial anxieties that have been provoked by what he refers to as an 'apocalypse culture' (1998:108). Within this nihilistic context, Annesley contends that pleasurable or potentially transcendent experiences are perpetually mediated by the commercial imperatives of the material world (129). Material considerations therefore encroach on personal freedoms, preventing the individual subject from functioning autonomously within this social and economic context. This profoundly coercive situation is therefore predicated on the colonising dynamics of commodification which are characteristic of late capitalism.\n\nThe effects patriarchal domination necessarily exerts on identity formation are clearly evident in this 'Roses' where the narrator attempts to renegotiate the boundaries between subject and object. The frequent allusions within the text by the narrator to a coercive past relationship between herself and her father suggest that her participation, in carefully orchestrated scenarios of masochistic domination by the psychiatrist, represent her desire to act out the internalised rage that she experiences whenever she recollects her troubled relationship with her father. This 'prototype' relationship operates as a narrative frame that prefigures the ensuing partnership with the psychiatrist, suggesting that the anonymous narrator of this story is acting out the prohibited emotional frenzy that marked her relationship with her father. This spectral frame that haunts the central narrative operates in a similar fashion to that deployed in *Other Women*. In this narrative, however, the lost maternal object has been replaced by the paternal object. The substitution of one paternal imago for another has significant implications for the relative subject position of the narrators of these texts. The remainder of this section will illustrate how\n\npatriarchal culture exerts additional pressure on melancholic structures by encouraging the circular interior dialogue that takes place between the internalised object, the ego and the critical agency of the superego. The previous section of this chapter examined the consequences of maternal object loss by foregrounding the psychological penalties that attend the female subject's failure to separate from her first love-object. The next section will extend this analysis of object intolerance by examining how closely patriarchal conceptualisations of femininity resemble the pathological composition of melancholia.\n\nI will show how society's refusal to sanction a role for such women outside of its prescriptive regime forces the narrators of both of the Lau texts cited in this chapter to form abusive relationships with a series of unsuitable men in an attempt to escape to a new 'otherness,' which is not haunted by the constant intrusion of a past conformity to patriarchal structures. This bid to achieve mastery is often at odds with their women's positioning within the symbolic, where women are frequently trapped in the double bind of wanting to adhere to the ideology which has been implanted, whilst bitterly and rebelliously angry about their own negative relation to the symbolic order. This disabling relation to patriarchal structures situates them within a masochistic and addictive subplot which creates a paradoxical situation where their marginality forces upon them the construct of abject, which in turn leads to objectification, thus urging them to judge themselves in terms of the predicates of the symbolic order.\n\nFrequently caught in a present permeated with images of degradation and pain imported from their pasts, Lau's protagonists struggle to escape a\n\nrelentless and addictive cycle of sex, masochism and violence. This constant slippage into a masochistic and addictive aesthetic informs all of the fractured histories contained in Lau's stories, often producing a series of *tableaux vivants*, where the female protagonists seem locked into a mode of erotic contemplation which depresses their ability to act. In both of the narratives discussed in this chapter, masochism features as the addictive trope underpinning the series of repetitive and unproductive acts, which are used ostensibly to escape damaged subjectivity by regaining psychological agency. This addictive aesthetic is recycled within the theatrical spaces of anonymous hotel room or apartment block, producing a feeling of detachment from the body, which in turn induces a schizophrenic split between mind and body. The pervasive sense of inertia, which occurs as a result of this split, only serves to heighten the hallucinogenic sense of unreality which divides the world from the subject in an addictive space.\\(^{18}\\) Interpellated by a web of sociological and ideological fixes, both characters conform to the classic notion of the addict, a subject who according to Vice 'can only orientate her or himself, in addictive fashion, in relation to something outside the self, which appears to offer the opportunity for incorporation or possession, like a glass of whisky, but which also remains autonomous, like the bottle' (1992:118).\n\nThe feminist critic and psychotherapist, Charlotte Davis Kasl has noted how 'Addictive behaviour keeps shame constantly recycling, and the shame increased the tendency toward violence', forcing one of her clients to admit that 'It took increasingly more and more violence to get \"high\", to become sexually aroused, or to feel anything at all' (1990:199). Therefore, patriarchal constructions of femininity and melancholia operate in a similar manner to\n\npatriarchy and imperialism where, Ashcroft, Griffiths and Tiffin observe, both of these political metanarratives 'exert analogous forms of domination over those they render subordinate' (1998:101). Similarly, Ashcroft *et al* claim that 'both discourses share a sense of disarticulation from an inherited language and have thus attempted to recover a linguistic authenticity via a pre-colonial language or a primal feminine tongue' (102). Women's experience of disenfranchisement from dominant languages within a post-colonial context is particularly apposite for the study of melancholic disaffection figured in Evelyn Lau's narratives. As we have already seen, the narrator of *Other Women* reveals her internalised feelings of revulsion against the subordinate position that she occupies in relation to dominant signifying practices by projecting her distress onto a series of surrogate maternal objects.\n\nIn 'Roses', the narrator's experience of internalised oppression is complicated by her racial identity and her professional status as a prostitute. This double marginality is clearly evident in her tacit assumption of subordinate, even masochistic, subject positions in relation to a series of abusive male authority figures. The narrator's sense of discomfort at being negatively located within patriarchal relations is intimated at the beginning of the story when she reveals that the psychiatrist's favoured pedagogical texts included *Lolita* and *The Story of O*, both exemplary narratives of female subordination (1994: 29). Although the narrator's racial identity is never fully revealed, markers of race are strategically inserted in the text. The mask that the psychiatrist purchases from a Japanese import store to ostensibly 'scare off his rage', unsettles the cultural signifiers of race, class and gender (32). His imputed rage, therefore, emerges from his own problematised relationship to dominant signifying.\n\npractices. Indeed, his proximity to the disturbing 'otherness' of the narrator revives the spectre of his own ambiguous positioning within dominant discourses and institutions. Later, the narrator reveals that the psychiatrist is not a Canadian national. Rather, he is himself an imported citizen from overseas who unsettles this settler culture by working 'for two years in one of our worst mental institutions' (30).\n\nLau's text therefore exploits the cultural deficit that separates the Orient from the Occident according to Edward Said's notion of Orientalism. Ashcroft *et al* quote directly from Said's germinal study *Orientalism* (1978), in order to explain the underlying dynamics that maintain its structure. Orientalism is, therefore according to Said:\n\nthe corporate institution for dealing with the Orient 'dealing with it by making statements about it, authorizing views of it, describing it, by teaching it, settling it, ruling over it: in short, Orientalism as a Western style for dominating, restructuring, and having authority over the Orient. (1998: 168)\n\nThe constructed nature of this institutionalised instrument of power and authority can be clearly detected in the relationship between the psychiatrist and the narrator. Their brief encounter is grounded in 'Orientalist' aesthetics and politics, drawing on stereotypical polarised constructions of Occident and Orient to explain their manipulative and abusive exchanges. Accordingly, the narrator observes that 'after two weeks his tenderness went the way of his plants' (1994: 32). The brutal regime of carefully orchestrated abuse that follows reveals the fragility of Orientalism as a theoretically constructed category that was designed to engineer artificial power differentials. Hence the narrator invites the psychiatrist to beat her, stretching obediently across his knees in 'the way my father used to like to see me do' (33). Here, the narrator\n\nassumes the position of the colonial other who is defined by her relationship to imperial discourse. The position of the other is contingent upon her subordinate position to the coloniser thereby performing a regulatory function within the overarching metanarrative of imperialism. By internalising a marginalised subject position in relation to the imperial centre represented by the psychiatrist, the narrator automatically occupies a masochistic position that rapidly exceeds the prescriptions of role-play.\\textsuperscript{19} Indeed, the brutalising nature of their exchanges are described in aesthetic terms that reveal the extent of the narrator's marginalised relationship to dominant discourses. Within such a radically bifurcated regime, the narrator describes the explosion of pain inflicted on her by the psychiatrist in epiphanic terms:\n\nI wiggled obediently and raised my bottom high into the air, the way my father used to like to see me do. Then he moved up to rain blows upon my back. One of them was so painful that I saw colors even with my eyes open; it showered through my body like fireworks. It was like watching a sunset and feeling a pain in your chest at its wrenching beauty, the kind of pain that makes you gasp. (1994:33)\n\nAshcroft \\textit{et al}'s assertion that patriarchy and imperialism operate in conjunction to marginalise the colonised other is clearly evident in this passage. Here, we witness the narrator attempting to trace connections with a network of coercive and abusive practices that have circulated within her past.\n\nHowever, the narrator's masochistic capitulation to painful excess is itself open to other more empowering interpretations. In her analysis of 'Feminist Theory and Discourse Theory' in \\textit{Discourse} (1997), Sara Mills describes how recent developments in feminist discourse theory have produced a more sophisticated theoretical approach to Foucault's work on discourse (1997: 80). Mills demonstrates how feminist discourse theorists such as Dorothy Smith have problematised traditional Foucauldian analysis on confessional discourse.\n\nby extending his original terms of reference. Mills contends that feminist discourse analysts such as Smith have produced:\n\na more socially context-bound view of discourse, which is attentive to what individual subjects do within and through discursive structures, rather than assuming that discourses force us to behave in certain ways.\n\n(1997: 86)\n\nBy adding the variables of class, race and gender to the original Foucauldian model of power relations within confessional discourse it is possible to discern a more empowered position for women within this particular disciplinary regime.\n\nViewed through such a theoretical lens, Evelyn Lau's protagonists and narrators attempt to work through and hence recover some of the political power that has been eroded by their subordinate position within patriarchal relations. In 'Roses', the artifice of the sado-masochistic contract binding the two central protagonists exposes the underlying discursive structures that produce their stylised behavioural patterns. Moreover, it is apparent that the narrator of this text attempts to manipulate these structures productively in order to achieve a more active subject position within the hierarchically organised context of the heterosexual patriarchal power base that is embedded in this particular sado-masochistic contract. Hence, the narrator attempts to use pain as a vector of power by claiming that 'the pain cleansed my mind until it breathed like the streets of a city after a good and bright rain. It washed away the dirt inside me' (1994: 33/4). Furthermore, the narrator exploits pain to negotiate more empowered subject positions within other cultural contexts and narrative forms. Hence, the material and ideological specificities of the narrator's current situation described in the text encourage the narrator to make links with her past.\n\nThe narrator begins to formulate a fantasy of her early life that is shaped by the cultural dynamics of her present situation. Stevi Jackson elaborates on the significance of socialising discursive formations in her analysis of 'Love, Romance and Subjectivity' in her chapter on 'Women and Heterosexual Love' contained in the *Romance Revisited* (1992) collection. Jackson's commentary on women's attraction to violent coercive narratives is particularly relevant to this discussion. Jackson contends that 'Emotions are not simply 'felt' as internal states provoked by the unconscious sense of lost infantile satisfactions - they are actively structured and understood through culturally specific discourses' (1992:57). Furthermore, Jackson maintains that these discourses 'differentiate between love as nurture, being 'in love', lust and sexual arousal - all of which are conflated in the psychoanalytic concept of desire' (57).\n\nCrucially, therefore, Lau's narrator begins to fabricate a narrative of childhood bliss when she is constrained by the stylised manoeuvres of a sadomasochistic framework. Suddenly, the current scene shifts to reveal an earlier encounter with her father where:\n\nThe sounds melt like gold, like slow Sunday afternoons. I think of cats and the baby grand piano in the foyer of my father's house. I think of the rain that gushes down the drainpipes outside my father's bathroom late at night when things begin to happen. I think of the queerly elegant black notes on sheets of piano music. The light is flooding generously through the windows and I am a little girl with a pink ribbon in my hair and a ruffled dress (1994:35)\n\nThe links which the narrator has forged between the psychiatrist and her father are therefore drawn from the literary and romantic staples of Western culture. The narrative that the narrator devises is melded from a wide range of conflicting discourses. The narrator of 'Roses' attempts to anchor emotion to a limited repertoire of unsuitable narratives, firmly locating the female subject in a\n\nsubordinate position. The recuperation of the childhood narrative referred to above, is therefore transformed into an inverted *bildungsroman* where the key protagonist's quest for fulfilment always returns to its original location on the underside of patriarchal binary structures.\n\nHowever, as Stevi Jackson suggests in the conclusion to her chapter on 'Women and Heterosexual Love', 'if ... emotions are culturally constructed, they are not fixed for all time' (1992: 58). Lau's story illustrates that emotions are indeed shaped by the discourses that frame them. The concluding paragraphs of 'Roses' also expose the disruptive influence of desire upon the cultural construction of emotions as well as the durability of the discourses that frame them. Moreover, Lau's tale of coercive desire and masochistic subordination reveals a disturbing link between the construction of femininity and pathological mourning within Western discourses.\n\nIn the final paragraph of the story, the narrator recalls how the psychiatrist promised her 'a rose garden' (1994: 36). This Edenic representation of romance, like so many other tropes and clichés in the story, is immediately undercut by our knowledge that, in this case, the 'flowers of romance' are in fact bruises which range like 'a rash of raspberry dots, like seeds' (36) between the narrator's breasts. This elegiac rendition of what can only be described as a paradoxical representation of sado-masochistic romance, perfectly captures the disturbing correlation between dominant constructions of femininity and melancholia within Western discourse. Lau's narratives present a pessimistic representation of female subjectivity that operates within the same punitive boundaries as Freud's classical definition of melancholia, discussed above. As Judith Butler maintains, this is a selfnegating process where the melancholic 'is said to incorporate that other into the very structure of the ego, taking on attributes of the other and \"sustaining\" the other through magical acts of imitation' (1992: 57). Indeed, *Other Women* and 'Roses' offer representations of women who are immersed in a received narrative of pathological mourning where they appear to be unable to determine or generate meaning.\n\nHowever, as we have already seen, discursive structures are unstable sites where power relations are constantly renegotiated. Consequently, strategies of resistance are an integral part of this intrinsically fluid relationship. As Mills maintains, it is 'the process of engaging with discursive structures that constitutes us as particular types of individuals or subject positions' (1997:96). Female subjectivity as portrayed within Lau's texts is therefore a flexible construct where the individual narrators attempt to undermine the disciplinary practices that inscribe the cultural markers of pathological melancholy on their passive bodies.\\(^{20}\\) The resilience of the binary structures that systematically reinforce and thereby regulate the boundaries of subjectivities ensure their cultural longevity within discursive frameworks. There is therefore a cultural investment in the key ideological concepts of pathological femininity and melancholia that pressurises the female subject to submit to the disciplinary imperatives of dominant discourses. It is then, the self-negating production of pathologically-inflected femininity within patriarchal structures that manoeuvres Evelyn Lau's marginalised subjects into subordinate subject positions. The rigid demarcation of Lau's protagonists into cultural spheres that reinforce their marginality appears to prohibit any opportunities of self-expression or indeed self-empowerment. However, as we have already seen, the discourses through\n\nwhich melancholia circulates are subject to change and modification, femininity being perhaps the most notable example. Discursive structures do not therefore exist in isolation; they are bounded by other discourses that disturb the foundations on which their frameworks are built. The resulting fractures in the overall structure of these discursive frameworks are therefore caused by individual subjects who operate within their ideological parameters.\n\nIn the concluding section therefore, there will be an assessment of the ideological pressures exerted by women on oppressive patriarchal structures to establish what progress has been made in constructing a discursive space that is not predicated on pathological constructions of femininity and melancholia. Furthermore, there will be an analysis of the role played by language in the disestablishment of the restrictive disciplinary practice of melancholia within dominant discourses. Finally, there will be an evaluation of art as a discursive site that is traversed by conflicting power relations. The premise that art is a conflictual model that privileges the masculine subject will be followed by an appraisal of the progress made by women to participate productively within this discursive field.\n\n(vi) Conclusion\n\nWithin this chapter, I have focused attention on the intersecting modalities of mourning, melancholia and the twinned states of addiction and co-dependency that frequently underwrite a depressive subject position. Additionally, I have drawn attention to women's exclusion from melancholia as a representational form. Furthermore, I established that women's disenfranchised position within this particular discursive field was reinforced by patriarchal notions of femininity which are predicated on women's subordinate\n\nrelationship to man within western culture. Moreover, it then became possible to detect a discursive similarity between the cultural constructs of melancholia and femininity. As Juliana Schiesari, maintains in the introduction to her ground-breaking study of melancholia:\n\nThus as early as Ficino and as late as Freud melancholia appears as a specific representational form for male creativity, one whose practice converted the feeling of disempowerment into a privileged artefact. The melancholic not only became perceived as an exclusive someone but also perceived himself as exclusive (1992: 8)\n\nIt becomes increasingly clear that masculine ownership of this culturally privileged discursive construct is made possible by women's expulsion from their celebrated ideological project. The restraints that prevent women from accessing and therefore decoding the underlying rules of engagement within this discursive enterprise are therefore remarkably similar to the patriarchal structuring of femininity.\n\nIndeed, Freud's description of the constitution of the melancholic ego in 'Mourning and Melancholia' is informed by a binary dialectic predicated on the subordination of the object by the dominant subject. Hence, Freud manipulates the discursive rules that govern his definition of melancholia by maintaining that 'in this condition one part of the ego sets itself over against the other, judges it critically, and, as it were, looks upon it as an object' (1957i:157). The asymmetrical power relations implicit in patriarchal definitions of femininity are thus encapsulated within Freud's revised notion of the melancholic 'condition'. The resolutely patriarchal inflection accorded to what Freud now clearly regards as a pathological condition is reinforced by the switch in gender attribution that occurs a few paragraphs later. Once Freud has established that melancholia is a condition that should be subjected to authoritarian scrutiny, he proceeds to\n\nconstruct the erstwhile masculine melancholic subject as a ‘woman who loudly pities her husband for being bound to such a poor creature as herself.’\n\n(1957:158). Freud’s construction of the melancholic as a dispossessed woman who has internalised a version of the self-negating rhetoric, endorsed by the burgeoning medical institutions of the late nineteenth century, is symptomatic of an ideological project that was constantly threatened by other discursive structures. As we have already seen in the introduction to this thesis, revisions to existing notions of sexuality and femininity impacted upon nineteenth century medical institutions who in turn needed a plentiful supply of disadvantaged female subjects to validate their professional status. Additionally, compliant female minds and bodies were required to secure masculine integrity. As Showalter remarks:\n\nHysteria [was] tolerated because in fact it has no power to effect cultural change; it is much safer for the patriarchal order to encourage and allow discontented women to express their wrongs through psychosomatic illness than to have them agitating for economic and legal rights\n\n(1987:161)\n\nWithin the draconian context of nineteenth century institutional regimes, it is clear that cultural constructions of femininity and hysterical malfunction were yoked together to allow the patriarchal order to recreate itself at women’s expense. The penalties exacted by such institutions were amply demonstrated in the preceding chapter in Elizabeth Smart’s autobiographical account of her thwarted attempt to defy authoritarian pressure by escaping to Mexico with her married lover. After being forcibly detained by the border police, she echoes the chief inspector’s remarks:\n\nLet this be a lesson … You should have gone to different hotels, you should have lived in different countries, you should have been born in different epochs, in different worlds, then none of this would have happened (1992:49)\n\nHere, Smart articulates her own experience of a culturally constructed femininity in and through a representative of one of the most powerful and influential institutions of the patriarchal order. By ventriloquising the inspector's indictment of dissonant female behavioural patterns, Smart uses the language embedded in discourse to launch a metaphorical broadside against the inspector's harsh invective. In this example, reproduction of the inspector's directives counters the institutionalised authority invested in the policeman's statement by mocking the discursive restraints that this patriarchal figurehead attempts to impose on her status as a single white female. Therefore, Smart's exposure of the discursive components of the policeman's speech demonstrate that she cannot be manoeuvred into the familiar subordinate subject position endorsed by the patriarchal order. This particular 'rebellious daughter'\\textsuperscript{21} therefore, refuses to be placated by the discursive constraints of dominant discourse.\n\nRebellious counter-discourses indicate that those subjects who suffer oppression by such discursive constraints demand positive changes to the psychological and material realities of their existence. The overall shape of the emancipatory changes implicit in counter-discourses are frequently masked by the shadow of the oppressive construct that restricts the oppressed subject's autonomy. The subject's discontent is therefore frequently experienced as an escalating inchoate force that compels them to demand change before they have produced an agenda that explicitly clarifies their political position. This intensely claustrophobic discursive space is reflected in the cramped physical structures that contain the melancholic protagonists of Evelyn Lau's narratives. Indeed, the dilapidated physical dimensions of the anonymous quasi-public\n\nspaces described in Lau’s writings closely resemble the discursive status of melancholy femininity within the work of all of the writers under consideration in this thesis.\n\nThe bleak uncompromising spaces sketched by Lau in the novel and short story discussed in this chapter are refracted through the lens of protagonists who appear to obey an inner compulsion that forces them into an attitude of sacrificial servitude. It is this emotional rectitude that frustrates readers; indeed in her review of *Fresh Girls* for the *Observer* newspaper, Julie Myerson claims that Lau’s nihilistic narratives left her longing for the protagonists ‘to quit the sex-shop circle altogether and head out into the world’ (1995:18). The self-enclosed vision espoused by Lau’s narrators is firmly resisted by the protagonists of counter-cultural novels written by men. Within novels like William Burroughs’ *Junky* (1977) and Jack Kerouac’s *On The Road* (1976), the disenfranchised masculine narrators are depicted using the open road as metaphorical site from which they devise a counter-cultural attack that is highly critical of the dominant discourses that prevailed in post-war American culture. Accordingly, Burroughs’ literary alter-ego is able to successfully manipulate medical and judicial institutions to his own advantage, persuading Mexican ‘croakers’ or doctors to issue counterfeit prescriptions for illicit drugs’ for five pesos’ (1977:118). Writing at a similar time as Elizabeth Smart, the geographical and metaphorical terrain of the Mexican border is accessible to Burroughs. Unlike Smart, however, Burroughs is able to conduct a range of illegal activities that escape the attention of the police authorities.\n\nIt becomes increasingly clear therefore that the masochistic aesthetic that informs Lau’s writings is a product of the pathological inflection of a\n\nmelancholic femininity that is culturally engineered by dominant discourses. The emotional anomie that stifles the process of working through grief is therefore a product of inflexible discourses of feminine behaviour rather than a fixation on an imagined loss. Furthermore, the disciplinary power that is articulated in and through the female body determines the compulsive behavioural patterns described in Lau's writings rather than any underlying neurosis. The disciplinary powers invested in patriarchal discourses therefore contribute to the artificial production of femininity. Deviation from the cultural conventions encoded within the overall construction of femininity convince the female subject that her behaviour is unacceptable and cannot therefore be processed by the normalising mechanisms implicit in dominant discursive structures. Within this discursive context, melancholia or depression represents the ideological chasm that separates the set of behavioural patterns sanctioned by dominant discursive practices and those that remain outside of the constraints of the discourses of femininity.\n\nJulia Kristeva's theorisation of feminine depression and melancholia sits uneasily with the discursive explanation of female modes of grieving outlined above. There are however some common reference points within both of these theoretical approaches. Proponents of feminist discourse theory would agree with Kristeva's assertion that feminine depression occurs when the subject is unable to access dominant signifying practices. However, Kristeva's rendition of the melancholic as a 'depressed narcissist' who 'mourns not an Object but the Thing' (1989:13), would prove theoretically problematic for devotees of discourse theory. The crux of the problem resides in Kristeva's allegiance to a reciprocal working relationship between subject and object. Furthermore, her\n\nvague and inconclusive description of the ‘Thing’ as ‘the center of attraction and repulsion, seat of the sexuality from which the object of desire will become separated’ (13), fails to theorise why some women become depressed whilst others do not.\n\nKristeva overcomes this theoretical conundrum by postulating that melancholy is contingent on female sexuality where ‘its addiction to the maternal Thing and its lesser aptitude for restorative perversion’ (1989: 71) make women especially susceptible to the debilitating effects of the melancholic condition. Kristeva’s contention that women’s psychological composition renders them particularly vulnerable to melancholic depression is a concept that many feminist theorists find particularly challenging. For example, Janice Doane and Devon Hodges argue that problems arise within this theoretical equation because ‘The mother’s role is naturalized when she becomes the origin of sexual difference rather than a casualty of existing structures of sexual difference’ (1992: 61).\n\nLikewise, for Juliana Schiesari, the intensely conservative imperatives embedded in Kristeva’s theorisation of melancholy present insurmountable problems for the feminist critic. Schiesari is uncomfortable with Kristeva’s essentialist construction of the biologically interchangeable mother/daughter dyad which is crucial to her ideas on the origins of female melancholia. Schiesari believes that Kristeva’s formulations ‘replicate the very narrow set of possibilities available to women under patriarchal law, namely silent subservience or a reactive violence whose target always seems to be another woman’ (1992:92). Schiesari therefore advances the view that Kristeva’s conceptualisation of female depression merely reiterates the profoundly\n\nmysoygynistic trajectory of the phallic order. Indeed, Kristeva's explanation of feminine depression as a casualty of inadequate separation or differentiation between mother and daughter supports classic Freudian interpretations of femininity as passive, silent and pathological. This situation is clearly delineated in Lau's novel *Other Women*, where as the title suggests, women compete with other women for the imagined security offered by the phallus.\n\nSchiesari argues that Kristeva's theory fails because it is located in the imaginary instead of the symbolic order. By relegating women's melancholia or depression to the self-enclosed space of the imaginary, Schiesari maintains that Kristeva upholds the conservative ethos of the phallic order which instates what she refers to as 'misogynist rivalry with other women' (1992:93). Schiesari argues that it is imperative that female melancholy must be rearticulated at the level of the symbolic, where:\n\nOnly the radical construction of a feminine symbolic can give value and legitimacy to the voicing of women's depression, not as some personal failure to \"differentiate\" but as the very site of mourning, of expression, and of community (1992: 93)\n\nFurthermore, Schiesari contends that Kristeva's construction of a feminised quest for the lost object within the imaginary merely perpetuates the gendered hierarchies imbricated in patriarchal definitions of loss. Indeed, Kristeva's own definition of this feminised melancholic quest demonstrates the self-reflexive rhetoric embedded in her own theory. Here, the depressed woman 'wanders in pursuit of continuously disappointing adventures and loves; or else retreats, disconsolate and aphasic, alone with the unnamed Thing' (1989:13). As Schiesari correctly maintains, feminist analysis must strive to 'redeem the cause of depression to give the depression of women the value and dignity traditionally bestowed on the melancholia of men' (1992: 93).\n\nThe registering of female loss within a community that not only tolerates but actively encourages positive representations and interpretations of women's modes of grieving is imperative if we are to dismantle the patriarchal fiction that women are and always will be pathologically depressed beings. Abraham and Torok's reworking of Sandor Ferenczi's concept of 'introjection' in 'Mourning or Melancholia: Introjection versus Incorporation' exploits the sociocultural potential contained within the psychoanalytical term introjection. Their new definition of the term shifts the term to the symbolic register where it now describes the process whereby language compensates for absence within a 'comprehended or shared' 'community of empty mouths' (1994:128). The two theorists' revision of Ferenczi's original definition of transferential love is therefore expanded to accommodate the principles of positive representation of loss. Here, the melancholic or depressed solution to grief is no longer inextricably linked to the problem remaining locked inside the lost object, which is then imprisoned within the enclosed space of the imaginary.\n\nThe question of linguistic and artistic reparation, implicit in Abraham and Torok's revisionary interpretation of the psychoanalytic term introjection, will be continued in the next chapter. The liberatory potential contained in Abraham and Torok's theory of language forming a psychic bridge, which can provide the melancholic subject with the means to destroy the psychological tomb of their her/his self-censorship, will be explored in relation to Sarah Sheard's second novel *The Swing Era* (1993). The painful transitionary politics implicated in Abraham and Torok's theoretical model, referred to above, are tested within the divided and contradictory relationship that exists between a daughter and her recently deceased mother. Furthermore, the retrospective (re)evaluation that\n\ntakes place within the novel is constantly disturbed by the disciplinary pressures exerted by a society that is threatened by the restructuring of women's political and social roles.\n\n1 See Chapter 2, p. 81.\n2 See Vice (1992) for a comprehensive discussion of how the erotomaniac functions within literary texts. The chapter 'Addicted to Love' also provides insight into how the consumer of addictive texts becomes implicated in an addictive continuum through the act of reading. See Sue Vice (1992) 'Addicted to Love' in Lynne Pearce and Jackie Stacey (eds) in Romance Revisited, London: Lawrence & Wishart, pp. 117 - 127.\n3 See the introduction to this thesis for a more detailed overview of the historical construction of female hysteria, especially pp. 16 - 21.\n4 See Chapter 2 of this thesis, pp. 58 - 63. Also, see Brigid Brophy's foreword to the Flamingo edition of By Grand Central Station (1992), London: Flamingo, pp. 7 - 13.\n5 Janet Sayers interprets Freud's use of the term identification in relation to depression as the process whereby 'the libido - and with it the abandoned object (both hated and loved) - are withdrawn into the ego (quoted in Wright, 1992: 167). Later still, he implied that this involves regression from libidinal object ties, to oral incorporation of the object - that is, to an original form of emotional tie preceding and initially indistinguishable from object-love'. See Janet Sayers 'Identification' in Elizabeth Wright (1992) (ed.) Feminism and Psychoanalysis: A Critical Dictionary, Oxford: Blackwell, pp. 167 - 168.\n6 Lorraine D. Siggins provides a more detailed survey of the literature regarding mourning. Siggins provides a range of examples including those of Abraham and Fenichel who use mourning as a theoretical point of departure to elaborate on object-loss and introjection in abnormal states of mind. See Lorraine Siggins (1966) 'Mourning: A Critical Survey of the Literature' in International Journal of Psychoanalysis, 47, pp. 14 - 25.\n7 See Lorraine Siggins (1966) 'Mourning: A Critical Survey' in International Journal of Psychoanalysis, 47, 14, p 21 for an extended discussion of this issue.\n8 This is especially problematic with regard to narcissism. Freud equates narcissism with idealised romantic love, believing that the subject always sustains the tendency that emerged in infancy, to form a romantic attachment with an object which has been infused with a version of our self projected onto an other. Rosalind Minsky provides an interesting interpretation of narcissism and its implications for mourning. She provides an interesting reading of the film Truly, Madly, Deeply, drawing on the narcissistic elements inherent in the grieving subject's relationship with her dead husband. Her gloss on the film draws attention to the ambivalence that the subject always directs onto the lost object and her/his need to work through this anger if they are to resume normal relations in the future. If Freud is saying that the states of mourning and melancholia conclude in a similar manner, his original elaborate differentiation of the two states seems at best misguided and not a useful prototype for Deutsch to draw on. See Rosalind Minsky (1996) 'Freud: The Rejection of Femininity' in Psychoanalysis and Gender: An Introductory Reader, London: Routledge, pp. 25 - 75.\n9 Interestingly, Marie Cardinal refers to her own depressive illness as 'The Thing' in The Words to Say It, (1983), trans. Pat Goodheart, London: Pan Books, see especially p. 15.\n10 See especially 'Psychoanalysis and Its Abject: What Lurks Behind The Fear Of The Mother' M.F. Bruneau (1992) in Studies in Psychoanalytic Theory, Fall, 1:2, pp. 24 - 38.\n11 This seems to represent at best a simplistic and reductive account of female subjectivity and at worst a rather cynical construction of heterosexual relations at the expense of homosexual. For a similar dismissal of this sexual 'leap of faith', see Lisa Kennedy's review of Black Sun 'Art Ache: The Last Temptation of Julia Kristeva' in Village Voice Literary Supplement, (1990), November, p.15.\n12 Full discussion of Lacanian notions regarding the unconscious structured as a language is not possible here. For a more detailed commentary read, Vice (1996) 'Jacques Lacan: the Unconscious Structured As A Language', pp.115-119 and Minsky (1996) 'Lacan: The Meaning of the Phallus' pp. 137 - 178.\n13 Lau's preoccupation with her own childhood, along with its constant disruption of her adult life, is recorded in her interview with Andrew Billen (1994). Gudrun Will (1995) expresses her frustration with Lau's neo-autobiographical stance in Other Women when she writes: 'It seems clear that Fiona is a mask for the author, whose talents are simply transported to the\n\nvisual arts' (41), implying that her writing suffers from a rather simplistic mixing of fact and fiction. See Gudrun Will (1995) 'Juvenilia' in *The Vancouver Review*, Fall/Winter, pp. 41 - 42.\n\nFor an extremely lucid analysis of the cultural implications of Freudian theory regarding resolution of the Oedipal Complex, see Rosalind Minsky (1996) 'Freud: The Rejection of Femininity' pp. 25 - 77 and 'Feminist Interpretations' pp. 178 - 205 in *Psychoanalysis and Gender: An Introductory Reader* for an appraisal of the critical responses made by two French feminist theorists, Julia Kristeva and Luce Irigaray.\n\nLorrie Moore's collection of short stories, *Self-Help* (1998), is interesting within this context. In the first story, 'How To Be an Other Woman', the narrator describes a brief relationship with a married man. As the title suggests, Moore's narrative is located within the discursive framework of a therapeutic self-help manual. Moore therefore simultaneously updates and ironises the didactic imperatives of the traditional conduct manual which maps out a pattern of female behaviour that is sanctioned by dominant discourses. Significantly, for this particular project, Moore's narrative follows a similar trajectory to that outlined in Lau's *Other Women*, where the central protagonist becomes increasingly fascinated with the image of her lover's wife or partner. In both of these texts, the narrators use 'other women' as maternal surrogates with whom they attempt to resolve their ambivalent relationships with their own mothers.\n\nAs the title of Lau's novel suggests, the author's attention is be focused on the narrators' relations with other women. The novel is most successful when the author deals with Fiona's reactions to other women, particularly Helen. Critics such as Gudrun Will (1995) have also noted this, as well as their frustration with the way that the psychological implications of such relations are often treated as a side issue: 'The title of her book points to what is best in it - though even here there is a problem, in that all the interesting episodes are peripheral to the main action'. See Gudrun Will (1995) 'Juvenilia' in *The Vancouver Review*, Fall/Winter, pp. 41 - 42.\n\nI am borrowing the title of Freud's paper 'Family Romances' (1957a). Within this paper, Freud elaborates his theory that neurotics find it particularly difficult to achieve independence from parental authority. Freud contends that these individuals often replace their parents by others who typically enjoy a higher social station at the level of fantasy. Freud maintains that these parental substitutes represent the subject's wish to recover the idealised image of their parents that prevailed in early childhood. The narrator of *Other Women* attempts to elide her own troubled relationship with her parents by replacing them with her lover and his wife. See *Collected Papers Vol. V*, trans. Joan Rivière, London: The Hogarth Press, pp. 74 - 79.\n\nGill Coren (1994) notes that Lau's 'faithful devotion to the bleakness of her characters', leaves the reader 'wanting to understand them better, emotional alienation is all around but how and why? We never find out' (15). As I suggest within my argument, this is because Lau's characters have repressed their ability to mourn, because of their incorporation of a shameful secret imported from their past. This leads to their tendency to literalise situations, which is reflected in the formal structure of the text. See Gill Coren (1994) 'Cold Comfort Girl' in *The Times*, 24 December, p. 15.\n\nThe study of the Czech-Canadian artist Jana Sterbak, by Jennifer McLerran explores the manner in which disciplinary cultural pressures operate in and through the female body is significant to this discussion. Interestingly, according to McLerran, Sterbak maintains that she believes that both Czechoslovakia and Canada are characterised by a \"colonized identity\". McLerran argues that Sterbak's awareness of the pressures exerted on the subject by this 'doubling' of imperialist discourses informs her work. In McLerran's words, 'Sterbak shows us that the individual as constructed through discourse is always both subject to and subject of disciplinary power' (537). See Jennifer McLerran (1998) 'Disciplined Subjects and Docile Bodies in the Work of Contemporary Artist Jana Sterbak', *Feminist Studies* 24, 3, Fall, pp. 535 - 552.\n\nSee Sara Mills' example of anorexia exerting discursive pressure on the female body in *Discourse* (1998), London: Routledge, pp. 94 - 95.\n\nThe term 'rebellious daughter' is borrowed from Elaine Showalter (1987) in *The Female Malady: Women, Madness and Culture 1880 - 1980*, London: Virago, see p. 145.\n\nNOW YOU SEE IT - NOW YOU DON'T: MELANCHOLIC AMBIVALENCE IN SIRI HUSTVEDT'S THE BLINDFOLD\n\n(i) Introduction\n\nBut the melancholic cannot bear the continuous oscillation of things between being and nothingness which leaves its dizzying rhythm imprinted upon the world and reality, somewhere on the border between appearance and the inapparent ... He has broken with his forefathers' reasoning and with their orderly succession of dead men. Rather than accept the order of impermanence, he immobilizes all things in a dead landscape in which they may be embraced in a single gaze containing a love which crosses the borders of necrophilia.\n\n(Rella, 1987:30)\n\nThis chapter will look at the inscription of a melancholy ambivalence in Siri Hustvedt's first novel, *The Blindfold* (1992). My principal concern within this chapter is to reveal how this ambivalence reveals the narrator's reluctance to undergo the arduous process of 'reality testing' outlined in Freud's paper 'Mourning and Melancholia', first published in 1917. The defensive rhetorical strategies, adopted by Hustvedt's narrator in *The Blindfold*, differ from the narrative operations of postponed mourning observed in Evelyn Lau's work, discussed in the previous chapter. The continual repetition of identification and destruction of the other, recreated within Lau's narratives, is not present within Hustvedt's novel. Instead, the regressive identificatory process delineated in Lau's work is replaced by a fetishistic disavowal of the lost love-object in *The Blindfold*.\n\nThe narrative deployment of the lost object, as a fetish or partial object, to temporarily forego the thoroughgoing task of mourning can be clearly discerned in Hustvedt's tale of narcissistic ambivalence. Within this chapter, I intend to question what is at stake in the narrator's disavowal of the lost object.\n\nAs Laura Mulvey maintains, in the preface to her study of *Fetishism and Curiosity* (1996), fetishism is a 'psychological and social structure that disavow[s] knowledge in favour of belief' (xi). In what follows, I will focus on the terrifying knowledge the fetish conceals.\n\nBy scrutinising the use of the fetish as a structuring device within Hustvedt's text we are reminded of Mulvey's notion that the fetish is a complex and contradictory figure. In Mulvey's words:\n\nThe more the fetish exhibits itself, the more the presence of a traumatic past event is signified. The 'presence' can only be understood through a process of decoding because the 'covered' material has necessarily been distorted into the symptom. The fetish is on the cusp of consciousness, acknowledging its own processes of concealment and signalling the presence of, if not the ultimate meaning of, a historical event (1996: xiv)\n\nThis chapter investigates the nature of the paradoxical 'open secret' half-concealed by fetishism that can only be read through its mangled textual symptoms. As Mulvey points out, the fetish is typically deployed in a liminal zone where the terrifying event preceding its use always threatens to disrupt the subject's consciousness. As the novel's title suggests, the blindfold is a literal and figurative shield that allows the subject to cling to an illusory psychological *status quo*. However, the inadequacy of the blindfold as a protective device is clearly apparent in both its physical and semantic constitution. The assumption of the blindfold induces a blindness that folds the subject back into a nostalgic sphere, stifling agency by shunting the subject between a multiplying chain of deferred signifiers.\n\nThe blindfold, as fetish, within Hustvedt's book is a figurative cry for help by Iris Vegan, the novel's young narrator. As Mulvey claims, the 'fetish acknowledges its own traumatic history like a red flag, symptomatically\n\nsignalling a site of psychic pain' (1996: 12). Unlike the youthful protagonists of Lau's narratives, who carefully concealed the origins of their pain, Hustvedt's narrator insistently draws attention to the hidden presence of an historical event that constantly disturbs her consciousness. The narrator's belief in the screen that obscures the source of her pain, in turn, incites the curiosity of the reader who embarks on a quest to uncover the traumatic event embedded in the narrator's past. The need to restore what Mulvey refers to as 'the delicate link between cause and symptom' (12), provides the narrative impetus in Hustvedt's story of sliding psycho-sexual identity.\n\nThe tenuous link between cause and symptom involves a dialectic between past and present that has been temporarily severed by the confused narrator. The uneasy truce that separates past from present within some women's lives has been investigated by Linda Anderson who conjectures that:\n\n[The hysteric's] sickness is a symptom of a sickness which might thus be more accurately attributed to the symbolic itself. The woman's turning towards the past could also be taken, therefore, as a gesture of regret towards the present and towards a symbolic system, which, constructed only in terms of the masculine subject, denies her a place or a home within it (1997: 9).\n\nThis sense of exile described by Anderson is familiar to us through the work of Smart's *By Grand Central Station*. As we may recall, the narrator's sense of belonging was systematically eroded by the demands exerted by an oppressive patriarchal regime. As the novel progressed, the narrator was alienated from her geographical homeland, family, language and literary tradition. The overwhelming sense of dislocation that envelops the narrator at the end of the novel gestures towards what Anderson calls 'a nostalgic desire for what never was' (9). Smart's narrator experiences retrospective anger and frustration when she reconsiders her past from the perspective of a woman who has been\n\nabandoned by her lover and destroyed by the patriarchal machinery that orchestrated her every move. In the final chapters of the novel, the narrator is bitterly resentful of the disciplinary measures imposed on her by patriarchy's all-encompassing regime.\n\nAlternatively, in Evelyn Lau's work, the youthful narrators bypass the strenuous task of 'reality testing' by immersing themselves in the regressive process of incorporation where the lost object is encapsulated within the self. The meticulous and convoluted procedures undertaken by these young women to avoid the painstaking work of mourning are a testament to their experience of estrangement within the symbolic world of language and law. Moreover, their desire to recuperate an imaginary plenitude with the lost maternal love-object draws attention to the female subject's isolation within the symbolic domain. Indeed, the female subject's backward glance to an idealised sphere unhampered by patriarchal constraints is a measure of her profound feelings of dislocation within the patriarchal symbolic order. Anderson poses the question, 'what is it that women are trying to remember? What is it that they might have forgotten?' (1997:8). These questions are crucial to this chapter, which focuses on a young woman's need to hastily reassemble familiar reference points within her own world, in order to suppress the knowledge that she is a stranger in what once appeared to be a familiar and comfortable world. As Siri Hustvedt declares in an interview with *Contemporary Authors*:\n\nAlone and single, Iris looks for a fixed point of reference - a truth in which to ground herself - but can't find it. The world slips and slides beneath her. Her sexual identity shifts as well (1994: 2).\n\nIn what follows, I will argue that the melancholic 'hangover' that permeates Iris' existence cannot be simply discharged through the mechanism\n\nof an essentially hydraulic Freudian economy. Furthermore, I will argue that classic Freudian methodologies, predicated on the piecemeal withdrawal of emotional affect from the lost object during successful mourning, positions women within an etiolated psychological landscape where loss is always double. This doubling of loss reverberates throughout the female psyche, after the resolution of the Oedipal complex, when the little girl realises that she is castrated. The little girl's appalling discovery that this raw wound exactly mirrors the lack inscribed on the mother's body is overlaid by her realisation that her physical lack translates into a cultural lack. This all-encompassing cultural disaffection means that she is distanced from the act of representation.\n\nJuliana Schiesari claims cultural disenfranchisement means that 'in economic terms ... women's lack has been appropriated and turned against them and against any claims they may make for a lack that is productive, i.e. symbolic' (1992: 64). Loss is endlessly rehearsed within this disabling cultural paradigm preventing women from constructing an empowered subject position within language. The little girl's expulsion from the signifying economy means that she is unable to articulate her sense of a primeval loss or indeed give her grief a name.\n\n(ii) Blindfold - Or Blind Alley?\n\nBefore proceeding with the textual analysis of *The Blindfold*, I would like to clarify the category of fetishism within psychoanalysis that will be used to illuminate my discussion of Hustvedt's novel. The brief discussion that follows reveals how fetishism is deployed to allay cultural fears of the unfixed female body threatening to spiral out of control.\n\nAs Laura Mulvey maintains, 'for Freud, the body that is the source of fetishism is the mother's body, uncanny and archaic' (1996: 14). Freud's assertion begs the question, why must the mother's body be expelled from the regulated space of the symbolic? Why must the female subject fear the nurturing body that so closely resembles her own? Some of the answers to this question can be found in Freud's essay on 'Fetishism' (1957). Unusually, Freud attempts to be forthright when describing the fetish, stating that, 'to put it plainly: the fetish is a substitute for the woman's (mother's) phallus which the little boy once believed in and does not wish to forego.' (1957:199). The answer to this question is not as straightforward as Freud would have us believe. What is clear from Freud's explanation is that the exemplary fetishist remains resolutely male, steadfastly resisting the knowledge that his mother's body is in some way intolerable to the symbolic system. Fetishistic practices are thus anchored to sexual difference within a patriarchal signifying economy. After the intervention of the Oedipal complex, the subject 'in progress' must renounce the beloved body that until recently wrapped her in a seamless realm of maternal plenitude, if she is to take up a normative subject position within the symbolic.\n\nThe precarious nature of this cultural construct provides a framework for fetishistic practices. As Mulvey notes, the aesthetics of fetishism within patriarchal culture:\n\nderives from the structure of disavowal in the Freudian model ('I know, but all the same') which creates an oscillation between what is seen and what threatens to erupt into knowledge (1996: 14).\n\nFreud's own knowledge of the unwieldy processes underpinning his notion of fetishism is clearly apparent in his dismissal of alternative theories. Hence, he\n\nconfidently recommends that sceptics who 'still doubt the existence of the castration complex or who can still believe that the horror of the female genitals has some other foundation: for instance, that it derives from a supposed memory of the trauma of birth' (1957: 201/2) should rework their own particular theories in the light of his own incontrovertible evidence. Here, Freud has wilfully suppressed knowledge in order to promote belief in his own unstable theory.\n\nFreud's unsupported reference to the proponents of 'birth trauma', perhaps reveals an underlying fear of the work of female analysts such as Melanie Klein. Furthermore, his dismissal of alternative theories draws attention to his own investment in the theory of castration as the pivotal moment in the Oedipal crisis. If fetishism is deployed to ward off the memory of the loss of the primary love-object, instead of the mother's castrated body, then the whole framework of Freudian analysis threatens to collapse. Identification with the idealised mother, combined with a reluctance to give up the unstructured pre-Oedipal state, is precisely the argument put forward by subsequent analysts from Klein to Kristeva, who attempt to situate the female subject within the psychoanalytic project as an active agent rather than the excluded other of the patriarchal Symbolic. According to Julia Kristeva, in *Revolution in Poetic Language* (1986), art is the 'fetish par excellence' the mechanism that 'badly camouflages its archaeology' (115). Artistic endeavour lubricates the machinery of the symbolic process by 'reinvesting the maternal *chora* so that it transgresses the symbolic order; and, as a result, this practice easily lends itself to so-called perverse subjective structures' (115). However, Kristeva inserts a cautionary note by stating that poetic function differs from\n\nfetishistic mechanisms because it ‘maintains a signification (Bedeutang)’ (115). Therefore the text differs from a fetish because ‘it signifies; in other words, it is not a substitute but a sign’ (116). *The Blindfold*, as text, demonstrates the difficulties involved in activating the pre-symbolic semiotic stasis described by Kristeva in her essay.\n\n(iii) **The Melancholy Fetish**\n\n*The Blindfold*, focuses on the surface of the things and people that crowd the life of the narrator, the curiously named Iris Vegan.\\(^1\\) As Jennifer Levin observes, we are introduced to the chaotic world of the narrator, a graduate student at Columbia University ‘as she struggles through course work, translations, oral exams, unsuccessful love affairs and friendships, financial hardships, nervous collapse’ (1992: 33). The uneasiness underlying what Levin calls an ‘academic coming-of-age story’ (33), indicates that the narrator feels her existence to be constantly under threat. Unable to prioritise her activities the narrator sinks into a listless state where she is unable to work or play. The involuntary inertia that confines her to her tiny two-room apartment on West 109th Street forces her to focus on the minutiae of what becomes an increasingly isolated existence. Before long, Iris begins to retreat into the recent past, projecting her nervous angst onto her ex-lover, Stephen, who she imagines ‘stirring in [his] humid sheets, never comfortable, never relieved’ (1).\n\nWe learn that the events contained in the novel occurred eight years earlier (9).\\(^2\\) The retrospective framing of the key events in the novel is an indication of a number of unresolved issues embedded in the narrator’s past.. Indeed, the opening paragraph of the novel evokes a series of ghostly images\n\nfrom that time. We sense that the narrator's attachment to her mysterious past is endlessly rehearsed in the present. Hence, a simple case of mistaken identity on a New York street corner, provokes a sudden panic attack, 'in that instant, before I understand that it's someone else, my lungs tighten and I lose my breath' (9).\n\nIris' return to her past is figured as an *unheimlich* activity which threatens to destabilise her present. Her excavation of her past, announced on the first page of the novel, indicates her desire to rewrite the present. The uneasy dialectic between past and present invades Hustvedt's writing injecting an urgency that betrays her fear of the past returning to undo the present. Past events are recycled to present clues to Iris' shifting identity, which threatens to crumble beneath her. As Hustvedt maintains, Iris is surrounded by people 'who are moved by fictions of their own which infect Iris, influencing her thoughts and actions' (1994: 2). Influence is figured in the novel as invasive and pernicious signalling Iris' sense of unbelonging within an unstable world. Her rewriting of her own identity is an attempt to fix this precarious world and involves a cleansing of the unruly desires that still reverberate within her life eight years later.\n\nRosemary Betterton claims that:\n\nFeminist writing of the self ... resembles unfinished business, often taking the form of a series of movements between present and past, self and Other, towards the production of an identity that is still 'in process' (1996: 173).\n\nBetterton's commentary on the way that feminist writing negotiates the fluid categories of identity and difference is reflected in Hustvedt's assertion that 'the mystery of the novel is the omnipresent sense of not knowing: that both the self and others are ultimately enigmatic' (1994: 2). Hustvedt's\n\ntantalising, inconclusive remarks, about the central concerns of her novel, reflect her narrator's fearful fascination with ambiguous identities and spaces. Betterton borrows Kristeva's term, the subject 'in process', to illuminate her account of the relationship between the symbolic and the semiotic in women's writing. She contends that memory operates like the semiotic within language, constantly disturbing linear narratives. Importantly, for this particular text, Betterton draws a parallel between the abandoned maternal home, as figured in Pam Skelton's aptly named *Ambivalence Towards the Mother* (1989), and the lost memory of the mother's body in language. Betterton's interpretation of Skelton's painting as a paradoxical celebration of confinement and freedom can be clearly discerned in Hustvedt's conflicted metaphors of constriction and flight (1996: 176).\n\nBetterton contends that 'the ambivalent feeling of containment and conversely, breaking through boundaries, is a recurring theme' in Skelton's paintings (176). These contradictory impulses also resonate throughout Hustvedt's text. Indeed, the textual emphasis on ephemera or the fleeting moment that cannot be captured in time is intensified with the introduction of the reclusive figure, Mr. Morning. Iris accepts a job examining and tape-recording the affects of a young woman, murdered in the laundry room of Mr. Morning's apartment block. Iris is quickly drawn into the eerie world of her new employer. Iris' entry into the strange interior of Mr. Morning's shabby apartment signals a shift in the narrator's consciousness. Abruptly changing her name, to protect her identity, Iris reveals that:\n\nIt was a defensive act, a way of protecting myself from some amorphous danger, but later that false name haunted me; it seemed to move me elsewhere, shifting me off course and strangely altering my whole world for a time. When I think back on it now, I imagine that lie as the beginning of the story, as a kind of door to my uneasiness (11).\n\nIris' morbid research project unearths disturbing, unprocessed memories within her own life, reviving old conflicts between feminine passivity and her projections of agency and assertion. The unsaid or unspoken hovers above the crumbling dimensions of this shadowy interior, forcing Iris to confront elusive memories from her own past. The unsettling sense of displaced lives being uprooted to disturb the present adds to the charged atmosphere invading the space between Iris and her mysterious employer.\n\nHustvedt reveals that her novel was generated 'by a fear of secrets' (1994: 1). The fear of the secret past lurking behind every chance encounter is palpable in Hustvedt's excavation of the unknown. Morning's desire to prise 'open the very essence of the inanimate world' by meticulously describing the personal effects of the murdered woman, Sherri Zalewski, unleashes uneasy memories lurking outside the frame of Iris' immediate consciousness. These enigmatic memories are unnerving, forcing the narrator to exercise 'a kind of belated nineteenth-century positivism' (16) when describing the dead woman's effects.\n\nMorning's 'anthropology of the present' (13) disturbs, because it unsettles the easy familiarity of domestic objects and artefacts. Morning's proposal, that the most mundane objects are imbued with a secret life, is a reminder of Freud's supposition that the *heimlich* object is always shadowed by its *unheimlich* otherness.\\(^3\\) Eventually, fear of the dangerous secret essence locked inside these objects infiltrates the narrator's own apartment inducing episodes of sleeplessness, shadowed by 'shattered images of exhaustion' (19).\n\nIris' encounter with Mr Morning, whose name is increasingly suggestive of a willed corruption of the word mourning, draws her into a web of intrigue.\n\nwhere she discovers disturbing similarities between her own life and that of her sinister employer. Mr. Morning's tiny apartment is presented as a more foreboding version of Iris's own flat, with its 'tall stacks of newspapers' (10/11) teetering precariously beneath 'a window whose blinds had been tightly shut' (11). The eerie glamour of Mr. Morning's retreat it signals a descent into a shadowy borderline state mysteriously detached from the ebb and flow of everyday life. The gothic ruins of the flat function as a site of abjection, haunted by the repulsive spectre of Morning's decaying flesh. The 'amorphous danger' (11) detected by Iris on entering this deadly space begins to contaminate her whole existence. Morning's flat fascinates because it is situated at the margins of society, where, Julia Kristeva assures us, 'meaning collapses' (1982:2). Unpoliced by social regulations, Morning's flat suggests proliferating, amoral spaces or vacuums awaiting habitation. Morning's flat festers like a carbuncle on the shadowy underside of the metropolis within an alien borderline territory that prefigures Iris' psychological deterioration.\n\nThe sense of social and bodily transgression implicit within Iris's encounter with Morning emerges from the ambiguous relationship between inside and outside, present within their transactions. The dialectic between inside and outside has proved problematic for the discipline of psychoanalysis. As LeBihan notes in her analysis of the dissecting room within popular murder mysteries, the feminine has been constructed within psychoanalysis as 'something outside the symbolic; something sealed off, private; something that has to be penetrated, forced open by those that would know its dark secrets' (1997: 5). Mr. Morning's apartment is a dark and amorphous space that mirrors the dark and corrupt interiors attributed to femininity within patriarchal\n\ndiscourses. His apartment festers like a carbuncle above the busy streets of Manhattan, a grotesque example of unpoliced desires flagrantly violating ideologically imposed boundaries. Both protagonists founder within this visceral, claustrophobic space. Morning uses Iris and the dead woman to displace castration anxieties, informing Iris that he wants to keep her ‘pure and her nameless’ (28), whilst Iris uses the investigation as an experiment to test the treacherous borderline separating self from other in patriarchal discourses. Iris is fascinated by the dead woman’s artefacts that are *unheimlich* reminders of the uneasy negotiation of sameness and difference within mother/daughter relationships. The psychic conflict that ensues creates a restlessness within the narrator that provokes her shifting sexual identity later in the novel.\n\nHustvedt’s novel is an inversion of the traditional *bildungsroman* genre where a typically male protagonist achieves awareness by undergoing a series of ‘character-building’ life events. In *The Blindfold*, and other novels by contemporary women writers such as Kathryn Harrison’s *The Kiss* (1997) and Donna Tartt’s *A Secret History* (1992), the moment of ‘enlightenment’ is inserted at the beginning of the text instead of the end. These moments of ‘enlightenment’ are rarely revelatory, or even epiphanic\\(^4\\), but are generally a tropological trigger, activating the narrator’s submersion into a phantasmagoric world of the grotesque which appears to have always already existed. As we have seen, Iris’s own ‘anthropology of the present’ (13), or journey to enlightenment, differs from Morning’s more privileged scrutiny of abandoned objects. Morning’s ambiguous presence revives vague disembodied memories of something that is unspeakable and unnameable which occasionally erupts into Iris’ consciousness. Mr. Morning’s proposal to meticulously describe Sherri\n\nZalewski's effects fascinates the narrator because it offers a conduit through which she can investigate these nameless fears. Mr. Morning's request that Iris should whisper her descriptions into the tape-recorder so that the 'purity of the object won't be blocked from coming through, from displaying itself in its nakedness' (15), plays on these fears. Iris absorbs these facts readily, concluding that Morning's disturbing idiosyncrasies are underpinned by 'a weird kind of logic' (15). Morning is constructed as a latter-day Casaubon whose literally doomed project bears some resemblance to the dry scholarship which informs 'The Key To All Mythologies' in George Eliot's *Middlemarch*. However, unlike Casaubon, Mr. Morning is an accomplished communicator who is able to persuade Iris that his literary crankiness may be grounded in sound academic sense. The extent to which he achieves this aim is evidenced by the mesmerised attention that Iris pays to Mr. Morning's most eccentric monologues. When listening to a previous assistant's description of a plain white sheet, Iris confesses that 'The description itself was tedious and yet I listened with anticipation, imagining that the words would soon reveal something other than the sheet' (14).\n\nMr. Morning's investigation of the murdered woman's possessions arouse Iris's own suspicions that disturbed histories unsettle the certainties associated with a fixed identity. Mr. Morning's morbid project invokes the rhetorical figure of *prosopopoeia* \\(^5\\) which recalls the past whilst at the same time marking its perpetual absence. This inscription of a rhetorical double bind parallels Iris' investigation into the primeval space that preceded her entry into the symbolic. Her fear is therefore coloured by nostalgia for the silent unnameable lost moment of plenitude before the imposition of the symbolic.\n\nThis fateful interweaving of fear and nostalgia emerges when Mr. Morning chides Iris for forgetting to mention the odour given off by one of the dead woman’s gloves. Mr. Morning’s claim that smell evokes ‘something crucial, something unnoticed before, a place, a time or word’ that impregnates ‘the things we forget in closets and attics’ (20), revives archaic conflicting emotions within the narrator. However, Mr. Morning’s quest to fix the lost essence of the object insistently calls attention to the figurative marker that closes off the investigation and effectively stands in for the lost object. Iris discovers this for herself when she notices that ‘the more I wrote, the more specific I was about the glove’s characteristics, the more remote it became. Rather than fixing it in the light of scientific exactitude, the abundance of detail made the glove disappear’ (18).\n\nMr. Morning is driven by his ambition to achieve mastery over Sherri Zalewski’s abandoned objects, revealing a belief that ownership will obliterate the object’s horrific origins. Hence, Mr. Morning is mesmerised by a birthmark on Iris’ neck claiming that he ‘always found flaws like that poignant, little outward signs of our mortality’ (22). Here, Morning discloses masculine anxieties related to castration, death and decay; categories that are crucially implicated in the cultural construction of femininity in the West. As Elizabeth Bronfen maintains:\n\nA mastery of the father figure ultimately means usurping his lot, or one in relation to him. Mastering the maternal body, on the other hand, means mastering the forbidden and the impossible, for the maternal body serves as a figure double inscribed by the death drive - as trope for the unity lost with the beginning of life and also as trope for loss and division always already written into pleasure and imaging (1992: 35).\n\nMr. Morning’s ‘weird logic’ therefore resonates throughout western philosophical traditions as a cultural fear of women and death.\n\nMr. Morning and Iris attempt to confront their own demons through the ghostly traces left behind by an unknown woman. The fetish is a device which both parties manipulate in order to withstand the melancholic traces within their own lives. By communicating with the 'other side', Mr. Morning hopes to bypass the nagging fear that he will be undone by the 'monstrous feminine' lurking behind the calm composure of each of his female assistants. Rosemary Betterton has remarked on the transgressive potential locked into cultural representations of the female body, claiming that 'the fetishized surface of the female body masks the horror of the 'marginal matter' contained in its interior' (1996: 135). Betterton maintains that Western fears related to the abject female body are powerfully realised in the work of the American photographer, Cindy Sherman.\\(^6\\) Building on the work of Laura Mulvey in 'A Phantasmagoria of the Female Body: The Work of Cindy Sherman' (1991), Betterton reveals how Sherman's series of photographs, *Untitled* (1987), 'reconstructs her own body in a monstrous anatomy made up of prosthetic parts or else fragments it in a waste of bodily fluids, decaying food, vomit and slime' (135). Sherman has, then, according to Betterton, reproduced the mysogynistic iconography of western representations of femininity. By including a reflected image of her face in a pair of her abandoned sunglasses Sherman cleverly 'reinforces the horror of seeing a disintegration of the self' (135).\n\nBetterton explains that by reproducing a landscape strewn with her own internal debris, Sherman 'uses the grotesque, not so much to elude the objectifying gaze, as to expose its profoundly fetishistic structure' (135). Here, the fetish is revealed as a cultural 'coping' mechanism used as a salve to ease the 'diseased' wound of femininity. Sherman's excavation of the Western\n\nconceptualisation of femininity as a version of the comic grotesque has a particular resonance for Hustvedt's depiction of melancholy fetishism in *The Blindfold*. Iris fears that her psychic paraphernalia may be exposed to the scrutiny of others in a similar manner to Sherman's visible evacuation of her own bodily products in *Untitled* (1987).\n\nAs the plot develops, it becomes increasingly clear that Iris agrees to disturb the dead woman's peace because she is anxious to allay her fears that her identity is in jeopardy. Iris' fascination with the fragile remnants of Zalewski's life reflects her inward fear that her femininity is comprised of a similar assemblage of diseased artefacts threatening to puncture the cosmetic veneer of her youthful body. Iris discovers that her bid to resolve ambivalent feelings, related to her identity, cannot be assuaged by her intrusive scrutiny of the dead woman's effects. Indeed, her surveillance of Zalewski's remains adds to her anxiety. Whilst investigating her final object, a soiled cotton wool ball, Iris is 'overwhelmed by a feeling of disgust' (25). Confronted by such an inviolable entity, Iris realises:\n\nThe cotton ball told me nothing. It was a blank, a cipher; it probably had no connection to anything terrible, and yet I felt as if I had intruded on a shameful secret, that I had seen what I should not have seen (25).\n\nIris' examination of the detritus of a dead woman's life reinforces barely sublimated feelings of self-loathing related to her identity. Femininity, as perceived in the West, is the shameful secret that Iris attempts to suppress by scrutinising this motley assortment of soiled goods. By classifying Zalewski's possessions, Iris hopes to devise a means of stabilising profound fears related to cultural conceptions of disorderly femininity.\n\nIris discovers that her investment in language, evidenced by her status as a graduate student of English literature, offers little recompense. Whilst attempting to find words to describe the cotton ball, she realises that, 'the thing was lost to language; it resisted it even more than the glove' (25). Metaphors fail to produce the necessary transformation, causing the object to sink 'so completely into the other thing that I abandoned making comparisons' (25). Failure to decipher the secret histories locked into these artefacts persuades Iris to abandon her doomed project. Her decision to thrust Zalewski's effects into a garbage can somewhere off Broadway, is informed by insecurities related to her own understanding of the gross materiality of her own body. However, the durability of the cultural fears associated with grotesque femininity remain after the items have been cast aside. After consigning Zalewski's pitiful paraphernalia to the trash can, Iris flees from them 'as if they were about to rise up and pursue me' (38).\n\nFlight is a crucial metaphor within the novel. Iris' actions signal a flight from the cultural definition of femininity as passive and inert. Yet, paradoxically Iris also attempts to adhere to the predicates of the symbolic order by taking up a subordinate position in relation to male figures such as Morning and later on, Professor Rose. As Hustvedt notes, Iris 'courts the attentions of men and hides from them, finally acting out her own erotic ambiguity by disguising herself as a boy' (1994: 2). Iris' 'waywardness' is a symptom of the conflicted desires resonating throughout her body culminating in her ambivalent attitude towards her own female flesh fluctuating and disintegrating around her. After the intriguing incident with Mr. Morning, Iris continues to run away from an increasingly bizarre series of situations and people. These include a brief affair\n\nwith the unscrupulous Professor Rose who asks Iris to assist him translating and editing an obscure German novella, titled *The Brutal Boy*. Written in 1936, during an upsurge of fascist sentiment, the novel celebrates the antics of a young boy named Klaus, who like Iris, 'begins to be troubled by cruel fantasies that appear in his head without warning' (134). Nudging the boundaries of 'civilised' culture Klaus escapes the stifling restrictions of his bourgeois background by taking his warring and paradoxical emotions onto the street where he is 'happy just to walk where he should not walk and see what he should not see' (135). Predictably, life begins to imitate art, when Iris begins to assume Klaus' identity, believing that she 'understood Klaus', entering into his 'story completely' (140).\n\nIris' 'magical' appropriation of Klaus' fictitious identity proves to be as illusory as her role within Morning's doomed 'anthropology of the present' (13). Believing that the 'brutal boy found his second incarnation in me', Iris acts out her neuroses in the streets and bars of New York's lower East Side, frequenting a series of seedy establishments such as Magoo's and the Babydoll Lounge. She 'dresses up' in Klaus' attire, exchanging her regular clothes for a suit and fedora. Her sexual transformation is completed by her decision to cut off her hair, an action that fills her with a sense of 'steely satisfaction' (167). Iris's foray into the seamier side of New York life begins to fall apart when her new 'identity' is discovered by her acquaintance, the fashionable art critic, Paris. Pressurised by yet another morally bankrupt male authority figure Iris discovers that she is unable to sustain this masquerade. Unable to successfully imitate the actions of her fictional alter ego, Iris begins to drown within this self-imposed exile of downtown sleaze. Eventually, the outward trappings of\n\nconventional life disintegrate leaving Iris stranded in a theatrical world as fragile and inconsequential as her attempted disguise.\n\n(iv) Conclusion: The Unbearable Nothingness of Being\n\nSiri Hustvedt’s novel investigates the slippery relationship between inside and outside that sustains the ideological boundaries separating masculine and feminine within patriarchal regimes. Her novel explores the manner in which cultural notions based on Western fears that these boundaries may collapse, are mapped onto bodily landscapes as well as inanimate objects. Mr. Morning’s inscrutable ‘anthropology of the present’ (13), begins to make sense when we include it within these resilient justificatory belief-systems. Indeed, Morning’s ‘weird logic’ (15) operates along similar principles to those espoused by Freud in his theorisation of fetishism. As we have already seen, Freud believes that masculine fear of the monstrous-feminine, hiding behind the cosmetic facade of feminine beauty, is disguised by his use of the fetish, instated to dissolve ‘the terrifying shock of threatened castration at the sight of the female genitals’ (1957I : 201). Likewise, Morning applies this creaking cultural theory to his intricate examination of a dead woman’s personal effects in an attempt to resolve anxieties related to the unstoppable feminine essence that he feels may seep out of these objects to contaminate his own existence.\n\nFear of the female body as a transgressive site capable of upsetting deeply entrenched assumptions related to sexual difference pervades this narrative. Hustvedt’s plot reveals the relative ease with which masculine subjects can manipulate these assumptions to their own advantage. Morning and Paris engage in archaeological projects to uncover the ‘disgraceful’ nature of unbridled femininity teasingly located within the ‘mysterious’ female body.\n\nMorning's confident perusal of his feminine 'spoils' reveals his furtive enjoyment of this cultural game where the fetish is deployed as an oxymoronic marker which simultaneously signals anxiety and mastery. Similarly, Paris revels in his manipulative interrogation of Iris' 'dressed up' masculinity.\n\nMorning's preoccupation with the supposed excessive femininity locked into Zalewski's ephemera reveals an underlying fear that is paradoxically overlaid by a sense of fascination related to his mastery of the object, however fleeting or transient. As Mulvey maintains, 'danger and risk are exciting' (1996: 14) for the fetishist. Iris quickly realises that she is unable to participate as an equal partner in the 'games, riddles, innuendo' (25) devised by Herbert Morning, even though she does experience a 'familiar shudder of excitement' before examining the dead woman's effects. Iris' fears are twofold; firstly, she is disturbed by an unspeakable dread that she will regress to the inchoate mess of unregulated sexuality culturally ascribed to women and secondly that her sexual identity is constantly called into question by those around her. We may recall that Iris' shifting psychosexual identity is clearly evident in her relationships with male authority figures. In both of her relationships, with Herbert Morning and later Professor Rose, she readily assumes the subordinate status of an assistant employed to fulfil the grandiose ambitions of each employer. Yet, Iris' discomfort within these inferior roles, which closely resemble the cultural status of femininity within the West, are clearly visible in her transactions with these men. Iris recoils from both men whilst simultaneously seeking their approval, finding refuge in a fictional masculine identity unhampered by the need to accede to patriarchal authority.\n\nIris is torn by the need to satisfy the demands of both father and mother. Unconvinced by the privileges bestowed on the girl child if she transfers her affections to the paternal figure, within patriarchal culture, Iris remains haunted by the memory of the primary love-object, her mother. Iris feels uneasy within the condensed linear timescales favoured by patriarchal regimes, witnessed by the constant pressure of time that induces alternating states of mania and exhaustion. Trapped between these bipolar states, Iris eventually succumbs to a catastrophic migraine that requires hospitalisation. Iris' symptoms become more pronounced within the hospital when she fails to respond to conventional treatment. Whilst undergoing treatment, Iris becomes obsessed by the intriguingly named Mrs. O.\\(^7\\) Mrs. O is an overwhelming figure who dominates Iris' ward, the 'object of rumour, gossip, and speculation' (98). Iris notes that 'like most people confined to an institution, she had been divested of a past life' (98). A statement which prepares the reader for Iris' projection of fearful longing onto this enigmatic maternal figure. Iris' vision of Mrs. O. is overlaid with half-remembered images from her own past, until 'what remained was a fragmented being, a person shattered into a thousand pieces [which] inhabited the room like a crowd of invisible demons' (97). Hovering precariously, somewhere between life and death, Iris peers into Mrs. O's face, trying to 'dredge up the lost face and name', drawn by 'an uncanny sense of familiarity' which leaves 'a residue, a doubt that stayed with me' (99). Iris is left to ponder 'What had spawned that moment of recognition? Was it really something in her expression or was it something inside me?' (99).\n\nIris scans her memory in vain to recapture an image that eludes her. Iris' experience of re-remembering is uncomfortable, plagued by suspicion and\n\nuncertainty. She is haunted by the *unheimlich* quality of these vestigial memories where the cosiness of familiar objects is overshadowed by a dangerous and defamiliarised other. Iris experiences these ambivalent sensations when she considers Mrs. O's multiple personae whose 'plurality gave the room an air of expectation' (100). Mrs. O's insinuating presence disturbs Iris' confidence in her own bodily and psychological unity by troubling ideologically imposed boundaries that separate inside from outside, convincing her that something within the unspeakable, unnameable depths of her being responds to Mrs. O. The invasive migraines that follow are symptomatic of Iris' experience of corporeal unity being transformed into the undifferentiated flux of the borderline condition.\n\nIris' suspended state of being within the hospital ward is a symptom of her illness; her exhaustion a sign that she is tired of trying to fulfil the predicates of the symbolic. As we have already seen, Linda Anderson considers the plight of the hysteric, whose neurotic investment in the past forces her to continually repeat past events, at the expense of historical or linear time (1997: 8).\n\nAnderson re-evaluates this Freudian construction by closely following Elizabeth Grosz's position that the hysteric's 'sickness is a symptom of a sickness which might be more accurately attributed to the symbolic itself' (9). Similarly, Iris's retreat from the world is a temporary disavowal of the demands of the symbolic and a symptom of her own discomfort within its coercive regime.\n\nIris' unprocessed longings within the hospital indicate a melancholic disposition which proves to be as untreatable as her migraine. Her distorted vision, brought on by frequent migraine attacks, prevents the painstaking work of mourning, gradually inducing profound sleep. Iris' 'irresistible' (105) sleep is\n\nan emphatic refusal of 'reality testing' and the tiresome process of balancing loss and compensation exacted by successful mourning.\\(^8\\) As we shall see in a later chapter, Kathryn Harrison suffers from episodes of narcolepsy following her incestuous relationship with her father. Sleep, in both of these instances, signals a departure from the harsh disciplinary regime imposed by the symbolic. It also marks a 'safe' return to the undifferentiated state preceding the symbolic that cannot be tolerated during consciousness.\n\nIris' frequent lapses into contradictory states of paranoid lassitude are evidence of an underlying problem. Iris longs to return to the ease of a primordial state, unscarred by the divisions imposed by the symbolic, where sexual difference is experienced as a ruthless scientific rendering of two unequal parts. Iris' need to return to this 'unknowable' realm is revealed in the incident where she wakes to find herself in bed with Mrs. O. Iris experiences 'an erotic sensation' (105) when awakening from her dream, which is almost simultaneously quashed by a wave of revulsion that translates into 'a physical memory that shuddered through me without warning' (106). The physical horror that attends Iris' erotic sensations emanates from a cultural loathing of the feminine as an unmediated mass whose tentacles reach out to compromise the rigid division of self and other within a patriarchal order.\n\nHowever, Iris refuses to submit to the totalising force of the psychological revulsion induced by the cultural association of woman and death. Hospital is merely a temporary respite from the arduous task of negotiating the stumbling blocks integrated into a symbolic matrix that will not tolerate the culturally dissonant conflation of women and death. At a subliminal level, Iris is reluctant to yield her inchoate memories of blissful unity preceding her entry into the\n\nsymbolic register. The startling sensation of eroticised pleasure she experiences with Mrs. O is evidence of her residual attachment to this moment in her past.\n\nRefusal to relinquish a lost object or memory is the most crucial symptom in the Freudian model of melancholia as pathological or impossible mourning. As he puts it, the melancholic condition 'seems puzzling to us because we cannot see what it is that absorbs him (sic) so entirely' (1957i: 155). Here, again, Freud's methodology obscures his own understanding of this bewildering condition. Iris is a fictional example of a cultural phenomenon, where women are not allowed to register their profound sense of loss on entering the symbolic. Anderson is keenly aware of the manner in which the Freudian construction of mourning and melancholia is based on an asymmetrical model that neglects the thoroughgoing work of mourning attending every woman's induction into the symbolic order. Her analysis of Vera Brittain's *Testament of Youth* (1933) traces the inscription of unresolved grief in this autobiographical text.\n\nAnderson describes how Brittain protects the memory of her lover, Roland, killed during the Great War, through marriage to a worthy but less inspiring man. Brittain is, according to Anderson, unwilling to submit the memory 'to change and the normal process of forgetting' because she is reluctant to surrender her memory to 'the world of symbolic exchange' where it would reside in 'the same world as the rest of her experience' (1997: 98). Other feminist theorists, such as Kathleen Woodward, are also sceptical of Freud's need to categorise and contain the unrepresentable aura of affect attached to loss and memory, claiming his reluctance is redolent of 'the dominant tradition\n\nin Western culture of the emotions as negative: the emotions are associated with woman - and with death - and they are something to be gotten rid of' (1993: 94). Moreover, she challenges the popular notion of psychoanalysis as the 'talking cure', believing instead that 'the goal of analysis ... is not so much to give affect voice - a subtle vocabulary, a rich poetics - as to purge it once it has been remembered. Affect in short is represented as pathogenic, often \"paralyzing\" (1993: 94). Furthermore, emotional experience is seen as 'something that needs to be \"discharged\" or \"abreacted\" through the labor of analysis or \"work\", Freud's preferred term' (1993: 95).\n\nHere, Freud reveals his psychological aversion to a 'feminised' realm of affect that resists 'reality testing'. Freud's refusal, of the woman's libidinal attachment to this unrepresentable sphere, is responsible for the blind-spot within Freud's theory of melancholia. This theoretical hiatus is made clear when he confesses:\n\nIn yet other cases one feels justified in concluding that a loss of the kind has been experienced, but one cannot see clearly what has been lost, and may the more readily suppose that the patient too cannot consciously perceive what it is he has lost (1957i: 155).\n\nFreud's emphasis on the masculine pronoun provides a clue to his blindness. By approaching melancholia from a masculine perspective that remains primarily focused on male attachment to loss, Freud removes female loss from his agenda. Although it is important that we should not succumb too readily to Gillian Beer's charge of 'presentism', that is, rereading 'the past from the unavoidable perspective of present cultural influences and knowledges, without denying the specificity and difference of the past' (1989: 223), we should remind ourselves that Freud shifts attention onto the woman when he enters\n\nthe 'devalorised' zone of the nagging wife who 'loudly pities her husband for being bound to such a poor creature' (158).\n\nUnlike more illustrious male counterparts, such as Hamlet, whose melancholic attachment to the past, 'comes very near to self-knowledge' (156), women are only allowed to register their sense of alienation or dislocation through a male partner. Freud has very neatly touched on women's inability to represent loss within the symbolic register without contemplating how their inferior status within a patriarchal regime compounds this situation. Freud's observation that the melancholic wife feels able to complain because 'everything derogatory that they say of themselves at bottom relates to someone else' (158), reveals the asymmetrical structure of gendered relations in the West where women's experience of loss can only be represented through masculine discourse. Anderson's dissection of Vera Brittain's struggle to come to terms with the competing demands of mourning and melancholia are significant here. Anderson notes that Brittain's autobiographical novel, *Testament of Youth*, represents a 'willed and courageous act of survival' by its author to integrate both categories into a symbolic order 'which violently casts out alterity as madness or death' (1997: 100). Hence, Brittain's own version of 'reality testing' 'leads her back slowly to 'normality' and the 'melancholic' survival of an imaginary past, which makes both language and temporality strange' (100).\n\nAnderson's conceptualisation of melancholia as a marker of 'excess', 'an alterity ... which remains outside realism, a voice of desire and lamentation ... drawn to limits and edges' (100), indicates a feminine 'resistance to a symbolic order which exacts from us not just the acceptance of loss, but the negation of\n\nthe loss and the denial or symbolic killing of the (m)other' (99). Anderson's vision of melancholia as an expression of resistance to an oppressive regime is a departure from the Freudian definition of melancholia whose symptoms so closely cross-check with his description of disabled even pathological femininity following the resolution of the oedipal phase. Here, according to Luce Irigaray, in *Speculum of the Other Woman* (1985), melancholia represents the logical conclusion of the Oedipal complex for the little girl, once she 'discovers her own castration and that of her mother - her \"object\", the narcissistic representation of all her instincts - she would have no recourse other than melancholia' (cited in Schiesari, 1992: 63).\n\nVera Brittain's inscription of melancholic longing, according to Anderson, is registered at the margins of the symbolic, constantly worrying the ideological boundaries that separate pathological, melancholic femininity from the acceptable face of public mourning. Her contention that women retain a feminised space for themselves within the patriarchal order, where they are able to mark the very specific losses endured by women within the symbolic, constructs women as active agents within their own narratives, able to embark on their own journey towards psychic resolution. However, Brittain's autobiographical novel is, ironically, a testament to the resilience of the discourses that construct woman as the melancholic Other threatening to dissolve the cultural division between acceptable public mourning and private, feminised melancholia. As Anderson concludes, Brittain's 'rational' marriage, combined with her decision to abandon her study of English, in favour of History, reflects her need 'to value reason and rationality and to conceive of the future in terms of imperatives and obligations' (100).\n\nAs a wife and mother, Brittain is assimilated into the confines of the patriarchal order, dutifully avoiding the dangerous liminal zone that threatens to collapse public mourning into private melancholia. Her decision, to adhere to the predicates of the symbolic order, differs from Iris Vegan’s more precarious purchase on ‘rational’ subjectivity. However, Iris’ mental blanks and visual gaps bear witness to her unwillingness to surrender her memory to the ‘world of symbolic exchange’ (1997: 100). Just as Brittain’s text helps her to overcome an unnameable loss, Iris’ fascination with the inner ‘life’ of abandoned objects is figured as a fetish which temporarily soothes her experience of sexual and cultural ambivalence within the symbolic economy. Iris’ fascination with what Gordon Burn calls ‘the thingness of things’ or the ‘mystery of the mundane’ (1993: 23), is symptomatic of the terror induced by a world that has been shorn of familiar reference points, bereft of its primary love-object. Hence, a dirty white glove, disused hand-mirror or soiled wad of fibre stand in briefly for the mother’s body, offering a tenuous link with a murderous past.\n\nSiri Hustvedt’s novel explores a contradictory world of fear and fascination where subjectivity is threatened by the mysterious attractions of the disaffected Other. The anarchic ‘pull’ exerted by the ‘disorderly’ Other from the fringes of the symbolic order, infiltrates the body of Iris Vegan, undermining her tenuous grip on reality. Accordingly, she uses an increasingly bizarre set of objects and people to stand in for the mother’s body. Iris is invaded by conflicting appetites and desires which she attempts to appease. However, her strategy of appeasement is doomed to fail within a symbolic, which as we have already seen, ‘casts out alterity as madness or death’ (1997: 100).\n\nUnsurprisingly, therefore, Hustvedt declares that she does not regard Iris' behaviour as dysfunctional. As she puts it:\n\nDespite the fact, that her behavior on occasion veers into the pathological, I don't regard her as a bizarre person ... she courts the attentions of men and hides from them, finally acting out her own erotic ambiguity by disguising herself as a boy, Klaus, the character in a German novella she has translated with the professor she loves (1994: 2).\n\nHustvedt presents a profoundly disturbing description of femininity careening out of control. An ingenious series of disguises is required to hide the horrific evidence of desiring femininity that must be ruthlessly expelled from an uncompromising symbolic order. Femininity is portrayed as guerrilla warfare, where the female subject escapes enemy fire by her clever manipulation of role-play and disguise. Hustevedt concludes that 'Iris is made through the eyes of others' (1994: 2); unfortunately her own eyes must remain resolutely closed.\n\nThe discussion of feminine identity and maternal loss will be extended in the following chapter. Julia Kristeva's study of maternal loss in *Black Sun* (1989) is used to illuminate a daughter's struggle to come to terms with the death of her psychotic mother in Sarah Sheard's *The Swing Era* (1993). Accordingly, Kristeva's theory that language and artistic production offer some compensation for maternal loss is cited to help explain the difficulties encountered by a daughter who struggles to involve herself in a flexible discourse that will allow her to 'move on' by working through the unfinished business that separates mother and daughter within the symbolic economy.\n\n---\n\n1 In a TLS review of *The Blindfold*, Gordon Burn reads the naming of Iris as an intertextual game carried out by Siri Hustvedt and her husband, the writer, Paul Auster. As he puts it: 'There are other literary nods and winks between wife and husband: Iris (\"Siri\" backwards) is the name of a character in *Leviathan*, who is the wife of a New York writer, when she is in hospital, a friend brings Iris \"a volume of poems called *Unearth* by an American poet I had never heard of\" (Paul Auster). See Gordon Burn (1993) 'Mysteriously Mundane' in *The Times Literary Supplement*, No. 4690, p. 23.\n\nKenneth A Bruffee argues that the legacy of the past being played out within the present is a feature of Elegiac Romance. Although *The Blindfold* does not fall within the remit of this particular genre, the reader has a sense of the past manipulating the present and even holding it to ransom. Bruffee sees the narrative structure of Elegiac Romance as a 'dynamic metaphor which expresses the peculiarly modern emotional predicament in which the will of the present is imprisoned by the persisting will of the past' (469). See Kenneth Bruffee (1971) 'Elegiac Romance' in *College English*, Vol. 32, pp. 465 - 76.\n\nFreud maintains that 'the 'uncanny' is that class of the terrifying which leads us back to something long known to us, once very familiar' (370). See S. Freud, 'The Uncanny' in *Collected Papers vol. IV*, trans. Joan Rivière, London: The Hogarth Press, pp. 368 - 407.\n\nIn her excellent analysis of fiction-elegy, Karen E. Smythe argues that self-reflexive tropes such as the epiphanic moment are the preferred form of consolation for modernist fiction-elegists such as Joyce and Woolf' (21). Smythe contends that such tropes are consolatory because they produce a liberatory or cathartic effect on the reader even if the narrator's discovery is merely revelatory as in the case of Gabriel Conroy in Joyce's 'The Dead'. Smythe asserts that rebirth in language is undercut in the late modernist elegies of Mavis Gallant and Alice Munro where \"disfigured epiphanies\" suggest that 'the past cannot be rectified, is rarely pleasurable, and should not be transformed into an atemporal deluding fiction' (21). See Karen E. Smythe (1992) *Figuring Grief: Gallant, Munro, and the Poetics of Elegy*, Montreal: McGill - Queen's University Press.\n\nKaren Smythe's comments on *prosopopeia* in fiction-elegy are helpful here. She suggests that unlike modernist writers who use *prosopopeia* to emphasise the metaphoric potential within the trope in order to foreground presence within the absent, late modernist writers emphasise the synecdochic characteristics of metonymy and memory which conversely draw attention to the hostilities that frequently mark the gap between past and present (1992: 13).\n\nGordon Burn draws attention to the work of the French conceptual artist, Sophie Calle in his review of *The Blindfold*. Burn notes that Calle is fictionalised as 'Marie Turner' in Paul Auster's novel, *Leviathan*. Burn notes the interchangeable thematic concerns of both novels in his quotation from *Leviathan*, 'It was an archaeology of the present, and attempt to reconstitute the essence of something from only the barest fragment: a ticket stub, a torn stocking, a blood stain on the collar of a shirt'. See Gordon Burn (1993) 'Mysteriously Mundane' in *The Times Literary Supplement*, 4690, p. 33.\n\nHustvedt's enigmatic naming of 'Mrs. O' seems deliberate here. Her name plays on Pauline Réage's, *The Story of O*, which traces O's total capitulation to the disciplinary measures imposed on women within the patriarchal symbolic order. Additionally, the figure O could be interpreted as a symbol of the undifferentiated realm of the pre-symbolic.\n\nI am borrowing Linda Anderson's term which is used to describe Kristeva's definition of mourning as an economy of losses and compensations. See Linda Anderson (1997) 'Vera Brittain: 'Not I But My Generation' in *Women and Autobiography in the Twentieth Century: Remembered Futures*, London: Harvester Wheatsheaf, pp. 77 - 100.\n\n(i) Introduction\n\nThe previous chapter focused on the inscription of melancholic ambivalence in Siri Hustvedt's *The Blindfold* (1992). We may recall, that the narrator's narcissistic ambivalence prevented her from undergoing the painstaking work of 'reality testing', outlined by Freud in 'Mourning and Melancholia'. In what follows, I will build on the evidence sustained in the last chapter, maintaining that the disavowal of the lost maternal object was engendered by a cultural fear and loathing of the female sexual body. As we have already seen, this fear of bodily contamination and disintegration is heightened when it is projected onto the maternal body. Moreover, these ambivalent projections are fatally intertwined in the mother/daughter relationship, where physical and psychological proximity exacerbate cultural anxieties related to the active, desiring female body.\n\nThis chapter will investigate the implications of the 'monstrous-feminine' embedded in Western notions of motherhood. These fears culminate in apocalyptic projections of annihilation by the primal mother whose monstrous presence threatens the subject's bodily and psychic unity. These concerns will be explored in Sarah Sheard's novel *The Swing Era* (1993). Sheard's novel focuses on the complicated ties binding the narrator to her recently deceased, psychotic mother. The narrator's anguished quest to achieve agency through self-definition is constantly threatened by memories of maternal breakdown and her knowledge that she is implicated in a family history of mental illness passed\n\ndown through the female line. Sheard's book illustrates how these profoundly ambivalent impulses reverberate within the mother/daughter relationship. Her intimate dissection of the chaotic 'swings', battering this uneasy alliance, remind us of Freud's belief that 'the loss of a love-object constitutes an excellent opportunity for the ambivalence in love-relationships to make itself felt and come to the fore' (1957i: 161). I will challenge Freud's observation that:\n\nWhere there is a disposition to obsessional neurosis the conflict of ambivalence casts a pathological shade on the grief, forcing it to express itself in the form of self-reproaches, to the effect that the mourner himself is to blame for the loss of the loved one, i.e. desired it (1957i: 161).\n\nI will argue that Freud's framing of pathological mourning, as a failure to relinquish the lost-object through withdrawal of libido, fails to explain the little girl's inability to transcend her sense of overwhelming loss upon entering the symbolic world of language and law. Her 'reward' for successfully negotiating the Oedipal complex is dependent on her assumption of an identity predicated on her understanding of herself as the embodiment of physical and cultural 'lack'. As Luce Irigaray remarks in *Speculum of the Other Woman* (1985), woman's inferior position within the symbolic economy 'affords women too few figurations, images, or representations by which to represent herself' (quoted in Schiesari, 1992: 64). The self-reproaches identified by Freud, as a hallmark of melancholic disorder, translate into feminine frustrations directed against their self-defeating identity, located outside the productive symbolic economy of language and law.\n\nFreud's theory that the melancholic subject is vulnerable to the potentially fatal condition of secondary narcissism (1957i: 161) is interrogated in this chapter. Julia Kristeva's study of feminine depression, in *Black Sun* (1989), is integrated into the analysis of maternal object-loss to illustrate the difficulties\n\nencountered by a daughter who is intent on inscribing her sense of loss and abandonment by her first love-object, within a discourse that constructs her as an outsider. Before revealing how these concerns struggle for recognition within Sheard's novel I will attempt to place my argument within conflicting psychoanalytic debates surrounding femininity, sexuality and the effects of maternal deprivation.\n\n(ii) Death Letters\n\nAlthough we know that after such a loss the acute state of mourning will subside, we also know we shall remain inconsolable and we will never find a substitute. No matter what may fill the gap, even if it be filled completely, it nevertheless remains something else. And actually this is how it should be. It is the only way of perpetuating that love which we do not want to relinquish (quoted in Siggins, 1966: 17)\n\nThe letter quoted above was written to Freud's long standing friend Ludwig Binswanger, in response to the news of the death of his son. The analyst opens the letter by notifying his friend that the death of his daughter, Sophie Freud-Halberstadt, occurred 36 years to the day of writing the letter.\\(^2\\) The letter was also written twelve years after his definitive work, 'Mourning and Melancholia', first published in 1917.\\(^3\\) Freud's private correspondence, addressed to an old friend, appears to refute the conceptual framework he constructed to describe the normative state of mourning in this important essay. As he puts it:\n\nThe testing of reality, having shown that the loved object no longer exists, requires forthwith that all the libido shall be withdrawn from its attachments to this object ... when the work of mourning is completed the ego becomes free and uninhibited again (1957i: 154)\n\nIndeed, Freud's private position appears to closely resemble his definition of melancholia in this famous essay. According to Freud, deference to reality is an essential element in successful mourning, the vital ingredient that\n\nrescues the subject from the endless repetition of pathological mourning, more commonly known as melancholia. Although Freud’s recollection of his daughter’s death suggests that his response to her death falls into the healthy category of mourning, where ‘there is nothing unconscious about the loss’ (155), his deliberate perpetuation of the grieving process locates him within the liminal zone of unresolved, pathological mourning outlined in his essay.\n\nLinda Anderson’s interpretation of the differing trajectories of mourning and melancholia, contained in Freud’s essay, clearly identifies the normative status of mourning in relation to the endless rehearsal of loss within melancholia. According to Anderson, Freud considers that:\n\nIt is only through the acknowledgement of loss that the work of mourning can be completed; yet the melancholic, we could say, by denying the loss, also lives it endlessly; denies their own existence rather than the loss (1997: 96)\n\nBy clinging to an unreconstructed image of his deceased daughter Freud also endlessly denies his departed loved-one, lost a generation earlier. Freud’s stubborn refusal, to immerse himself in his own hydraulic economy of losses and gains, suggests that his experience of loss, on both a personal and a global scale,\\(^4\\) has subtly shifted the academic foundations supporting his original theory. Conditions of production obviously affect the contents of a personal letter written to an old friend and those contained in an academic paper, but even allowing for these, Freud appears to be shifting his original position, identified in ‘Mourning and Melancholia’, when he informs Binswanger that after such a loss the subject will ‘remain inconsolable and will never find a substitute’ (1929: 386).\n\nHowever, in her critical survey of literature related to mourning, Lorraine Siggins traces Freud's reluctance to relinquish the lost object in earlier papers such as 'On Creative Writers and Daydreaming' (1908), where he states:\n\nWhoever understands the human mind knows that hardly anything is harder for a man than to give up a pleasure which has once experienced. Actually, we can never give anything up; we only exchange one thing for another. What appears to be renunciation is really the formation of a substitute or surrogate (quoted in Siggins, 1966: 17)\n\nIt is difficult to square Freud's philosophical observations, detailed in a private reminiscence addressed to an old friend, with his authoritative stance in 'Mourning and Melancholia', where he clearly considers libidinal withdrawal from the lost-object, as a requisite for successful mourning (1957i: 154). Indeed, Freud's refusal to succumb to the rigorous procedure of 'reality testing', in his own experience, suggests that he is unwilling to surrender his intimate memories to the more commonplace register of everyday losses and gains. By embracing his anguished memories of the sudden death of a loved-one, Freud's position closely resembles Vera Brittain's steadfast refusal to let go of the memory of her lover, Roland, shot down during the Great War in her autobiographical novel, Testament of Youth, published in 1933. As we have already seen, Linda Anderson conjectures that Brittain's refusal to yield to the intrusive process of 'reality testing' was governed by her unwillingness to 'allow her memory ... to become part of her own experience' (1997: 99).\n\nFreud's very similar reluctance, to submit his memory to the world of 'symbolic exchange', suggests that he is also 'refusing the compensations of language, unwilling to surrender 'the real thing' (99). Jonathan Dollimore also detects the many inconsistencies and discrepancies in the constellation of papers written prior to the publication of 'Mourning and Melancholia' in 1917. In\n\n‘On Creative Writers and Daydreaming’ (1908); ‘Thoughts for the Time on War and Death’ (1915) and particularly ‘On Transience’ (1916)\\(^5\\), Dollimore notes that Freud integrates the western philosophical concern with mutability into ‘the pain of melancholic desire rooted in loss, and the pull of death’ (1998: 182).\n\nDesire is indeed the hidden disruptive element in Freud’s theorisation of normal and pathological mourning. By protecting his recollections of his daughter Freud constantly rekindles his desire to perpetuate the irreplaceable nature of his love for his beloved ‘Sunday child’. By offering his experience of catastrophic loss to his old friend Binswanger, Freud clearly wishes to ease the pain and sorrow associated with sudden bereavement. However, his friendly advice assumes a pathological cast when it is read alongside his earlier theoretical paper where he declares that when ‘the work of mourning is completed the ego becomes free and uninhibited again’ (154).\n\nPrivately, Freud appears to have achieved a different understanding of the nature of introjection within the mourning process. As Siggins points out, other psychoanalysts such as Karl Abraham recognise that introjection features in ‘the normal process of mourning, too, the person reacts to a real object by effecting a temporary introjection of the loved person’ (quoted in Siggins, 1966: 17). However, Freud’s extended mourning still remains outside the frame of normative mourning within Abraham’s more flexible conceptual model. Siggins’ own position on pathological mourning reactions reflects the difficulties associated with establishing when mourning becomes dysfunctional.\n\nSignificantly, Siggins declares that she believes that mourning becomes pathological:\n\nIf the process of mourning is unduly prolonged. Such a prolongation of mourning may be due to a delay in beginning the process, or to a retarding of the process once it has begun, or both. This is, of course, a\n\nmatter of degree: while extremes are readily classified, the dividing line is often unclear (1966: 20)\n\nSiggins' definition of pathological mourning could be applied to Freud's description of his own experience of extended mourning in his letter to Binswanger. However, as she maintains, the dividing line between these two categories is notoriously unstable. Siggins points out that Freud only mentions identification when discussing melancholia in 'Mourning and Melancholia'. In a later essay, 'The Ego and the Id' (1923), Siggins draws attention to a subtle shift in his attitude towards identification. In this essay, Freud conjectures that identification plays a pivotal role in all psychological transactions, claiming that 'it may be that identification is the sole condition under which the id can give up its objects' (quoted in Siggins, 1966: 17).\n\nFreud's belated recognition of the role played by identification within all relationships is crucially important to this thesis. As Diana Fuss notes in the introduction to *Identification Papers* (1995), 'identification is an embarrassingly ordinary process, a routine, habitual compensation for the everyday loss of our love-objects' (1). Fuss goes on to argue that Freud 'summons and reworks the concept of identification to keep firmly in place a normative theory of sexuality based upon oedipal relations' (12). This conservative revisionary process can also be detected in his attitude to mourning. Freud carefully separates the categories of mourning and melancholia, when discussing the process of identification, in order to bolster his theory that the normative process of mourning helps to explain the pathological condition of melancholia. Freud extols the therapeutic role played by identification in mourning in his letter to Binswanger, claiming 'this is how it should be, it is the only way of perpetuating that love which we do not want to relinquish' (quoted in Siggins, 1966: 17).\n\nFreud's defensive attitude towards his theorisation of sexuality and melancholia through the mechanism of identification reinforces women's negative position within the discourses of mourning and melancholia.\n\nBuilding on the work of feminist film theorists who have examined the dynamics of identification and disidentification in relation to spectatorship, Fuss notes how the generative gap separating identification and desire for the male spectator, 'is collapsed for the female spectator' (7). This leads to a process of overidentification with female protagonists on the screen. This process 'operates for women as \"desire to desire\" - the desire to take on and to inhabit the desire of the other' (7). Fuss recognises that identification is of fundamental importance to feminism, whilst acknowledging at the same time, the difficulties associated with building a politics of identification around the unstable dynamics of the unconscious. Within this chapter, however, I want to examine the narrative operation of identification in *The Swing Era* (1993). Sheard's text demonstrates how these dynamics operate in relation to the violent, potentially destructive relationship binding mother to daughter. As Fuss points out:\n\nIdentification operates on one level as an endless process of violent negation, a process of killing off the other in fantasy in order to usurp the other's place, the place where the subject desires to be (1995: 9)\n\nThe close reading following this section reveals how these regressive dynamics are figured in Sheard's narrative. However, my concern within this chapter, is to reveal how Sheard's text demonstrates the cannibalistic tendencies described by Fuss in her study of identification and how they can be transformed to produce a situation where the subject is able to share Freud's desire to perpetuate 'that love which we do not want to relinquish' (1966: 17). Sheard's study of maternal loss reveals how memory can be used as a site of\n\nresistance withstanding the damaging regime of self-punishment that Freud perceives to be the chief characteristic of melancholic behaviour.\n\nJulia Kristeva's work on feminine depression in *Black Sun* (1989) offers another way of reframing melancholic discourses to formulate a more empowered response to problems associated with grieving. Kristeva's controversial views on melancholic depression are connected to language acquisition. She believes that by naming our loss we are able to transcend the debilitating stasis of melancholia. Words are therefore transformatory tools used to carve a way out of the suffocating realm of asymbolia where meaning collapses (1989: 24). Anderson views this arduous process of translating loss into gain as a 'ceaseless transposing of affect into symbol' where 'words ultimately cover an absence; in speaking we are also naming our loss' (1997: 98). Naming of loss is a difficult, potentially treacherous, area for the female subject within Kristeva's rationale. As Kristeva points out in a conversation with Dominique Grisoni, she believes that female depression is 'more difficult to treat because a woman's attachment to her mother is often insurmountable' (1996: 81). Kristeva's profoundly pessimistic analysis of maternal loss borrows heavily from Western philosophical traditions. Jonathan Dollimore reveals how deeply misogynist ideologies informed these traditions culminating in psychoanalytic texts conflating women with death. According to Dollimore, these ideologies are grounded in cultural narratives 'ranging from chronic unconscious male fear of engulfment or even castration in sexual intercourse, to the difficulty of the boy child leaving the mother for another woman' (1998: xxiii).\n\nThese explanations resonate throughout Kristeva's description of the 'death-bearing woman' who overshadows the female subject's bid to achieve individuation. The mother's power, according to Kristeva, resides in her daughter's 'specular identification with the mother as well as the introjection of the maternal body' (1989: 28). Identification with the destructive force of contagious femininity lies at the core of Kristeva's dissection of melancholic discourse. Kristeva confuses woman's traditional association with the unstable flux of nature leading to a situation where identification with the mother inevitably creates self-loathing within the daughter.\\(^6\\) Given the self-defeating nature of this particular narrative, it becomes increasingly difficult to contemplate how the female subject can reactivate the 'realm of signs' where, according to Kristeva, the excess of affect eventually produces new languages that dispel the asymbolia associated with melancholic discourse (28).\n\nThe remainder of this chapter will address the difficult question of maternal identification as it is figured in *The Swing Era*. Sheard's vivid portrayal of maternal loss rehearses the compulsive dynamics tying mother and daughter into an oppressive relationship which reinscribes misogynist myths related to the 'death-bearing woman'.\n\n(iii) **The Swing Era**\n\nA strong egoism is a protection against disease, but in the last resort we must begin to love in order that we may not fall ill, and must fall ill if, in consequence of frustration, we cannot love (Freud, 1914e:42).\n\nSarah Sheard's novel, *The Swing Era* (1993), opens with the narrator's recollection of a party held to celebrate her eighth Birthday. We learn that her mother has arranged a themed party for her daughter - a treasure hunt,\n\ninvolving her in lengthy preparations, designed to show her affection for her beloved daughter. A few lines later, the reader discovers s/he is being invited to participate in a mystery where the uncovering of vital clues may lead them to the secret treasure that lies at the heart of the family home. However, it becomes clear that this is no ordinary home, and therefore no ordinary secret. Rather, we are being asked to witness the last stand of its two co-conspirators honouring a pact marking their last engagement. Suitably clad, in swashbuckling attire, mother and daughter welcome their guests into an intensely theatrical domestic space. This will be the last occasion on which the daughter will be allowed to play a key role in this particular drama; in future she will be granted only a walk on part.\n\nWith hindsight, the narrator marvels that the children arriving at the door ‘seemed not to notice anything unusual’ (1), about her mother, whose beauty acts as a magnetic focus, luring people in leaving them wanting to know more. Later, we learn that the secret lying at the heart of this scene of domestic bliss is the mother’s ‘madness’, which takes the form of manic depressive mood swings which terrorise and fascinate husband and daughter.\n\nLike any good detective story, the reader is provided with all the vital clues to help her, like Frederika, to unravel the mystery that surrounds their beguiling host. For the house contains as many snares as those present in the fantastic space of the child’s birthday party, whilst the ‘theatrical warnings’ (2), issued by the mother, point to a much darker presence than the ‘crocodile’ lurking under the stairs. In a theatrical swoop, the mother reveals the cake which takes the form of ‘Port Airedale impeccably rendered in coloured icing, the turrets of our house clearly recognizable, Belvedere Park behind, the\n\nwinding hill downtown, Hart River, the Sound, our school - all there, even a sailboat tacking into harbour' (2).\n\nWe learn that the child's birthday gift from the mother is a compass, a fitting but ominous signifier of the uncertain events to follow. The compass is evoked as metaphor for the uncertain conditions prevailing within this divided home; it's 'blue-tipped needle' hovers expectantly, 'ambivalent at first, as though, unwilling to point', the narrator notes how it would 'swing around and around and then wobble back towards home: True North, this way' (2). The reader's attention is redirected backwards towards home, in a play on the pioneering notions associated with the expression True West. The reader's attention is instead nudged in the northerly direction of home where the key issues in the novel wait to be resolved. From this point onwards, we are fast-forwarded into the events that immediately precede the main events of the novel. The reader is hurried through a series of dramatic events that form the backdrop to the narrator's formative years. These years depict a childhood and adolescence saturated in religions of various denominations, ranging from the Catholic church of her childhood, steeped in ceremony and religious dogma, to life as a novice priest in faraway Nepal.\n\nSandwiched almost imperceptibly between these disparate pieces of the jigsaw is a brief record of the narrator's visit to her mother's psychiatrist. Frederika's decision to downplay the significance of this visit, where she is first made aware of the hereditary nature of the disease which affects the female members of her family, can be read as an early symptom of repression, where the narrator endeavours to combat the threat of psychic fragmentation in and through sublimation. The fear surrounding the collapse of the narrator's\n\npsychic structures, organises and informs the structure of the text, producing the stop-start sequence of events which leads to the condensation of crucial and dramatic moments in the text. These constant temporal shifts between childhood, present and the recent past in Nepal, reflect the narrator's quest for continuity, repeatedly undermined by her fear of betrayal by history that has already destroyed the infrastructure of her mother's family.\n\nA sense of history traversed by a complex network of crossed wires and closed circuitry persists throughout the novel. History prompts negotiations and recollections in this novel, hovering uneasily between the future and the past forcing painful memories of betrayal and abandonment. Frederika treads warily in the Nepalese temple, glimpsing deliverance in the 'stinging blows' that interrupt a recollection of her 'mother's crazy laughter in the middle of the night' followed by the inevitable sound of 'the ambulance pulling up' (11). On her return home from Nepal, Frederika learns from her father that her mother accidentally electrocuted herself whilst taking a bath by tugging on the overhead light. The accident has a casual nonchalance that gently mocks the two remaining family members left to negotiate an uneasy truce in the wake of sudden and unpredictable death. Clearly at odds with her new knowledge of such an unwelcome yet remarkable sequence of events, Frederika learns from her father that the accident might have been avoided if the electrical circuitry within the home had been regularly overhauled. He explains 'The wiring was old. He'd always meant to fix it' (28), revealing a history of 'living' with undue attention, ultimately causing the disintegration of this small, severely dysfunctional family unit. Half-hearted attempts at therapy push father and\n\ndaughter into a fragile truce where both protagonists tiptoe around the gaping omission of the woman who formed the third and vital point of their triangle.\n\nThe reader's attention is drawn to the mother's disembodied presence which follows father and daughter like a guilty shadow, disturbing the delicate balance of family loyalty linking father to daughter. The mother as revenant troubles their fragile alliance, haunting the desultory drinking sessions designed to offset the aching loneliness of sudden bereavement. Maternal memories invade Frederika's mind producing apocalyptic visions of her mother's 'electrified body crashing back into her bathwater' (29), stirring up the pungent 'funereal' smell enveloping the household (29).\n\nThe remainder of the novel is a testament to Frederika's battle to wrap up the unfinished business started with her mother. Frederika's return home is a reverse pilgrimage whose messiness is contrasted with the ascetic regime enforced by the monks in Nepal. In order to negotiate some sort of peace with her dead mother, Frederika knows that she must learn how to comfortably occupy the borderline state separating both extremes if she is to resist the dictates of the 'swing era'.\\(^7\\) Frederika owns that her retreat to Nepal was undertaken so that she could learn 'how to live moment to moment, free of anger and anxiety' (12). Her sudden ejection out of this order, back to the repository of unrepressed desires masquerading as home, signals a biblical return to the wilderness. Frederika knows that her 'anonymous' life in Nepal has been destroyed by the demons back home when she explains that 'Until this visitation', she had travelled 'Halfway around the world to escape - in vain' (13).\n\nFrederika's fear of the disruptive nature of repressed drives is a learned experience based on her intimate knowledge of her mother's chaotic mood swings. Her overwhelming fear of being engulfed by the ferocity of these unregulated drives is demonstrated by her attitude towards the flesh, particularly her own body. Recalling the discontents of her early life, immersed in religion, she reveals how she 'intended to live a life of the mind' where she would 'tread [her] own path, in contemplative, serene footfalls' a life miraculously free from anger, stress and fear (3). She swallows her 'rage and disappointment' (3) when she discovers that 'girls could not become priests', betrayed once again by her monstrous female flesh. Frederika punishes her body, distrusting the monstrous ebb and flow of bodily fluids proclaiming her femininity.\\(^8\\) Frederika's punitive reaction to her own body is based on her internalisation of powerful traditions within the West where woman is associated with the destructive forces of nature. Her attachment to religious dogma is invoked as a means of containing the disruptive flow of femininity seething within her veins. Later in the novel, this internalised revulsion manifests itself in the multitude of self-inflicted scars covering her body.\n\nFrederika reads her own body in terms of the grotesque that constantly violates bodily boundaries by the power of its uncompromising primal flux. Clearly, the mind is valorised at the expense of the betraying/treacherous body, and organised religion, appears to offer a range of symbolic props which help to stave off her feelings of painful dislocation.\n\nEverywhere she looks, Frederika sees her own loneliness and isolation. Within the confines of the church, she is surrounded by tragic exemplars; turning to face the alter, she witnesses 'the mournful gaze of Christ in stained\n\nglass, his own heart bleeding in his hand' (4). Later in Nepal, the emergence of sexual desire is harshly repressed. Frederika acknowledges that she 'had grown accustomed to inhabiting a neutral zone of (my) body'; like her fellow travellers, she 'surrendered sexual expression in (her) quest for something beyond' (14). The fragility of this construct is poignantly realised in an encounter with a Swiss trekker. His sexual appraisal of her body inadvertently resurrects the old mind/body conflict, causing her to resort to the familiar tactic of vilifying her 'naked body, scarred and mottled', worthy only of the offensive epithet 'Dog meat'.\n\nOn returning to Port Airedale, Frederika resumes the act of mourning, started before she left for Nepal. Predictably, the old strategies of self-hate and loathing are projected onto the landscape of her hometown, which she describes as an 'aboveground burial accorded to junk that was too much to cart away' (21). This unsightly blot on the landscape registers as extreme loathing with the narrator, reminding her of own flight from this scene of dereliction, 'in a hermetic compartment of one kind or another ... hurtling past intervals of such landscape, unbreathed, unenterable, at right angles to my own progress from past into future I'd inherited the linear track, kept to it all this time' (21).\n\nFrederika's progress from past into future is distorted by the condensations and displacements plaguing her every move. Like the faulty circuit, which had abruptly hauled her mother in, Frederika's sudden flights from real events within the present are destined to fail until she confronts the horrors that she feels lie embedded within family and history.\n\nThe narrator reluctantly takes the first steps towards achieving these objectives by revisiting the scene of her mother's death, 'trying to imagine how it\n\nmust have been for her, alone in this room witnessed only by these gleaming tiles, the pedestal sink in which I’d baptized my dolls’ (31). By investigating the specificities of her mother’s death, Frederika is attempting to clear a space where she can begin to negotiate with the silent object that colonises her ego. At last, she declares, the ‘finality of her absence squatted down inside my throat, heavy, unbudgeable I who had once wanted it so badly. I could admit that now’ (30). Frederika’s task is a formidable one, where she must learn to destroy the closed circuit of unconscious hatred which she has broken off from the mother and redirected against herself, thereby transforming this burden into a flexible discourse which is able to bridge past, present and future.\n\nFrederika wants to maintain an equitable existence where she can tread the middle ground separating rigid adherence to law and religion on the one hand and a collapse into delirium on the other. In the past, she had assumed a variety of predominantly religious roles as a defence against the repressed hostility that welled up in her every time she contemplated her relationship with her deceased mother. Frederika continues to cling to ascetic regimes where bodily reminders of mutating flesh are partially compensated for by the Puritanical regimes underpinning religious practices. Frederika applies this fastidious logic when she interprets her mother’s death, seeing the indelible imprint of the electrical circuit on her mother’s body as evidence of religious intervention. Her discovery of ‘a horn mark … scorched into the sole of her foot and a second burn, which could not be explained, on her left hip’ (31) merely intensifies the sacramental significance of the moment. Electricity is invoked as a positive charge reaching across generations in the motif inscribed on her mother’s body. Frederika is reminded of her mother’s revelations of her\n\ntreatment for shock therapy. She recalls her mother’s description of the searing impact of this barbaric practice reverberating throughout her body, creating ‘a hissing noise in her ears, like tires on a wet night, and a light that flared like a struck match’ (32). Her mother’s ability to master traumatic pain, and transform it, with a theatrical sleight of hand, into something which belongs to her alone, is envied by her daughter who tells us that she had ‘always dreaded electricity … watching it strike trees onshore, dreading its approach’ (32).\n\nTrying to recapture her mother’s features, and her mother’s utterances, the narrator is at last attempting to empathise with the fabulous figure who had ‘gone to such lengths to escape mothering me’ (32). This new approach involves a redrawing of the physical geography of the house, which is hastily mapped onto Frederika’s consciousness. Familiar territory is disassembled, made strange within this *unheimlich* psychic space where the past unsettles the fragile certainties of the present. We learn that unlike her nineteenth century forbears, this particular ‘mad woman’ inhabited the basement not the attic\\(^9\\), transforming it into a magical underworld, which seems to mock the strict regimentation of life ‘above stairs’. Frederika recalls how this parallel universe, bounded by its own laws, regularly disturbed the uneasy bond linking father to daughter. By wilfully suppressing this troublesome ‘oppress-ence’, Frederika remembers how she tried to ‘pretend the basement wasn’t part of our house’ (keeping her) ears shut against her whenever she was there, although this had been more difficult in winter when the furnace carried her voice up through the hot-air vents (34).\n\nThis oscillation between attempted normalcy and outrageous deviance within the household resembles Frederika’s precarious mental state. The act of\n\nplanting flowers on her mother's grave recreates the painstaking work involved in separating these two worlds. Her fear that these opposing realms may collapse into each other is revealed by her agonised response to the unearthly proximity of decaying flesh and freshly turned soil. Physical activity cannot suppress the rush of conflicting emotions shouting for recognition, 'Keep her down, What, still angry ... While she remains absolutely breathless ... Keep her down and get on with it ... The best is behind me, the worst beneath me. Keep her down ... ' (42). This incident resonates with all the unspeakable horrors of abjection which Kristeva outlines in *Powers of Horror* (1980).\\(^{10}\\) The narrow girdle of earth which threatens to collapse mother into daughter, and vice versa, resembles the dynamics of abjection, with its implicit threat of annihilation brought about by its disrespect for borders and hence the sanctity of subject and object. Frederika hesitates when she has finished planting her flowers 'afraid to move for fear I'd pass out, knowing that my mind had folded a pleat of memory into time-not sure how deep the fold or whether what I'd lost would ever come back' (43). Like Kristeva's recalcitrant daughter, Frederika feels she is literally mired in the 'shame of compromise, of being in the middle of treachery' (1996:156).\n\nFrederika feels like a traitor in the midst of a vicious circle of guilt and retribution which operate in a similar fashion to Kristeva's boomerang, 'a vortex of summons and repulsion (which) places the one haunted by it, literally beside itself' (1982:153). Frederika's urgent need to resolve the conflicting emotions accompanying her mother's death is revealed by her need to reinterpret the 'undecipherable' death of her mother (138) through a sign which she has recovered herself. The arduous task of reworking the past is figured within the\n\ntext as an inversion of the Freudian concept of 'reality testing'; Frederika uses the past as a yardstick to measure the present. Frederika's 'reverse mourning' is clearly evident in her search to empathise with her dead mother's needs at the time of conception by investing this crucial moment with a biblical intensity and lyricism. Did her mother ever pray 'Please, oh Father, cause a daughter to enter my belly?' (32). Later, her father recalls predicting that she would 'be a girl, although even in labour my mother was convinced she'd delivered a boy. You've made a mistake, Doctor, she had said. Look again. No mistake' (33).\n\nSex and gender threaten to sink into an abyss of nothingness where borderlines remain open to the invasion of the abject Other.\n\nFrederika no longer feels that she has the time or luxury to ponder the metaphysics of loss if she is to resume a 'normal' life. Frederika is, in fact, intent on constructing a philosophy, or ethical framework, which will protect her from the 'mistakes' encoded into her paternal heritage. If she is able to trace the faulty gene which has beset her life to date, she believes may be able to deliver herself from its legacy of anxiety, depression and hypomania. This explains her 'enthusiastic' response to the Catholicism of her childhood and later the Buddhist retreat in Nepal. Her fascination with the principles of Yin and Yang, 'the Asian principle of opposites' (38), reflects her need to restore complementarity to her life, instead of the heady cocktail of occidental oscillation and 'swings' she associates with her mother's illness.\\(^{11}\\)\n\nFrederika's search for recognition and acceptance by organised religions and institutions is carried over to the relationships she attempts to foster outside her home. Frederika's retrospective analysis of her relationship with her elderly neighbour, Rennie, is a particularly striking example of a young\n\nadult's desperate need to find a 'safe house' representing a stable point of reference in an otherwise chaotic, unstable environment. Despite its unruly squalor, Cawthra House acts as a hospice during Frederika's adolescent years, providing 'a respite from (her) family situation' (45), where she is able to 'leak a little of the shame and anger out' (45). The narrator's construction of Rennie, as a surrogate mother who inculcates a sense of self within the narrator, during a crucial stage of her development as an adolescent, eases the pain of her increasingly pathological fixation with the causes of her mother's and hence her family's psychological breakdown. Interestingly, Frederika notes that the name Cawthra House is in fact onomatopoeic, observing that it's title sounds 'like a catch in the throat' (44). The events following this incident, show how easily this 'catch' in the throat can mutate into the proverbial lump in the throat. This indigestible lump can only be processed when the subject is ready to acknowledge that a loss or bereavement has taken place. Frederika's confused response to her mother's death reveals how the past constantly disturbs the present reviving memories of other abrupt departures within her short life. Her mother's death reminds Frederika of Rennie's sudden demise. Watching the departing ambulance carrying away Rennie's body, the stunned narrator remarks that 'no tears came and I stopped feeling anything at all for some time after that' (49).\n\nFrederika experiences Rennie's death as a betrayal that disguises the disturbing, arbitrary nature of death. By denying death, Frederika attempts to reduce its devastating power. This complete absorption in self hampers her relations with others, particularly her new-found friend Lucille, who urges Frederika to stop clinging to the past so that she can forge new relationships.\n\nand rebuild her future. Lucille works hard to dislodge the destructive narcissism entrenched in Frederika's personality culminating in her discovery of the narrator's self-inflicted scars:\n\nShe stroked back and forth, pressing harder and harder on the scars themselves, until the memory of how I'd made them shook me suddenly with a convulsion like orgasm. I squeezed my eyes shut and drew up a knee to fend off her probing but she was onto me, knew she'd begun to uncover what she was curious about (1993: 100).\n\nBy massaging Frederika's fiercely guarded wounds Lucille begins to nurse Frederika out of her solipsistic world of anguished contemplation. Lucille's revelation of Frederika's festering scars liberates her from this claustrophobic space nudging her into a dimension where she is able to begin the rigorous work of 'reality testing'.\n\nLucille is the catalyst, who shakes Frederika out of her reverie, forcing her to confront the crippling effects of her self-absorption. She refuses to accept Frederika's projections or the defensive mechanisms that she constructs as a consolation for her own suffering. Her recognition of Frederika's impassioned renunciation of her origins is achieved through her own experience of isolation as a lesbian within Port Airedale. Both women are engaged in the difficult task of researching and rewriting their own lives. We learn that Lucille is reading history at university, or as she puts it, 'the history of history ... men dipping their wicks in ink' (85). Significantly, for this novel, Frederika discovers that the historiographer in Lucille 'loved to excavate the subject of mothers' (95), a revisionist practice shared by the narrator. Both women embark on a healing process based on revising impossible desires, even if Lucille appears to have secured the authorial role carefully dictating the textual changes in Frederika's narrative.\n\nAs a lesbian, Lucille is a marginalised figure in the conservative enclave of Port Airedale. Her position, as outsider, influences the utopian narratives which she relates to Frederika about her uninhibited life as a student in the cosmopolitan city of Montreal. These open-ended narratives are little more than narcissistic flights of fantasy, where the key protagonist, Lucille, objectifies herself as the focus of a communal 'G-force of lust' (92). Her willingness to immerse herself in fantastic narratives shaped entirely by selective memories of her recent past is another defensive strategy she shares with Frederika.\n\nFrederika's narratives are by contrast characterised by subterfuge, shorn of the narcissistic excess of many of the images colouring Lucille's accounts of her sexual exploits in the heady metropolis of Montreal. At the mid-point of the novel both women's 'life' narratives are weighed down by memories of defining moments in their pasts. The second half of the novel reveals the difficulties involved in rewriting personal narratives to embrace the challenge of new experiences instead of simply commemorating the dead.\n\nBoth women meet at transitional points in their own narratives where the intersection of past and present forces them to re-evaluate their lives. Luce's discovery of Frederika's scars represents a cathartic turning point in the novel, disguising Lucille's own more covert attempts at a new self-fashioning. Fear of exposing the narcissistic wound, concealing their own unsuccessful desires, forces both women to recall their lives in a series of snatched kaleidoscopic images. These images collapse at the point where action is required in order to propel the narrative along a liberatory trajectory involving the re-scripting of their hopes and desires. This is painfully realised in the moment where Luce coaxes the pain out of the scars that brutalise Frederika's body. Luce takes Frederika\n\nto the brink of the precipice where she is able to briefly tolerate the undoing of the defences surrounding her experience of failed mourning.\n\nLuce forces Frederika to confront this secret core of unprocessed desire embedded deep within her psyche by touching on her fear of future pain by reminding her ‘it’s the present that counts’ (102). Luce cleverly manipulates Frederika’s fear of disturbing the past by mocking her retreat into the sanitised world of organised religion. Luce reveals how Frederika’s religious principles mask a chronic ‘indifference to passion’ by reminding her of the dictionary definition of the word passion as, ‘Strong emotion. Outburst of anger; sexual love; strong enthusiasm for a thing’ (102). Frederika responds by yoking ‘Passion’ with the ‘suffering of Christ on the cross’ (103), shifting herself back into the narcissistic world of static contemplation. Luce’s volatile accusations disguise her reluctance to disclose details of her secretive past which remain cloaked in fantasy. Instead, she retreats into the security of a valorised identity as a lesbian warrior, challenging Frederika to ‘Try being a lesbian, anywhere. You’re a coward in a monk’s clothing’ (103). Luce’s hasty departure signals her own fear of working through the losses associated with her marginalised existence as a lesbian.\n\n(iv) Death Throes\n\nMoreover, serious depression or paroxysmal clinical melancholia represents a true hell for modern individuals, convinced as they are that they must and can realize all their desires of objects and values. The Christly dereliction presents that hell with an imaginary elaboration; it provides the subject with an echo of its unbearable moments when meaning was lost, when the meaning of life was lost. (Kristeva, 1989:133)\n\nFollowing Luce’s departure, Frederika confesses ‘although I was accustomed to being alone and liking it, I still felt a wrench of pain each time I\n\nrecalled her words—and pure loneliness' (104). Unwittingly, both women have taken the first steps towards confronting the narcissistic pain subtending failed mourning or depression. Their initial reactions of shame and rage arise because they are unable to tolerate the discovery of the melancholic core lodged deep within themselves. Their failure to find any redeeming virtue in each other to compensate for the agonising loss of discovery intensifies the feelings of emptiness following their parting.\\(^{12}\\)\n\nIn the penultimate chapter of the novel Frederika and Luce decide to go on a last-minute canoeing holiday. Sheard's choice of imagery in the closing chapters is deliberate. She combines the energising and destructive forces of nature in the text to reveal the harrowing process of undoing the past in order to move on. Water is figured as a structuring device in the text signalling the interrelatedness of desire and death within the novel. Water combined with electricity brings about Frederika's mother's death in the first part of the novel. In the closing chapters, water translates into the nurturing feminised medium bridging past with present. Immersing herself in the river, during her canoeing trip, Frederika celebrates the 'opaque jelly of warm water [which] closed over my eyes and plugged my ears ... I wanted to stay under forever' (146). The amniotic sac of water envelops Frederika, transmitting the voice of her mother; silenced for so long, sounding 'sweet, like a bird's, sending shivers across [her] heart' (146/7).\n\nThis complex blend of imagery and intertextuality draws on numerous accounts of feminist awakenings, such as Kate Chopin's novel of the same title, where Edna Pontellier searches in vain for a context to nurture her burgeoning self-awareness. Edna's quest for self-definition foreshadows Frederika's bid to\n\nintroject the memory of her dead mother. Water becomes the medium enabling her to surmount her inability to mourn, acting as an extended metaphor within the text, transforming memory into a recuperative device instead of an act of retribution. Accordingly, the floodgates of memory open up when Frederika is immersed in the water, evoking the memory of a childhood incident that took place on the same stretch of river. The narrator recalls a skating expedition with her mother. The explosive force of the memory produces a (re)vision of her mother. Her ‘elegant tracery’ on the ice emerges as a symbolic language Frederika feels she can incorporate therapeutically within her own life. Once the indecipherable becomes legible, Frederika believes the incident has been willed to her, displaying her mother’s anxiety to ‘teach me everything she knew while there was still time’ (148).\n\nFor the first time in the novel Frederika resists the temptation to hide behind the ‘strenuous activity of burrowing out endless (false) refuges’ (148). Her knowledge that she is ‘responsible for [her] own suffering and therefore [her own] happiness’ (148) releases the hidden core of shame and rage associated with her mother. By introjecting the memory of her mother Frederika swallows the previously indigestible object shadowing her existence. Frederika’s response to her redefined psychological topography is registered in a textual sense by a change in the figurative language used to express loss. Now, Frederika realises that her past is unique, part of an ongoing process that speaks of her own struggle to achieve selfhood. A new curative aesthetic is introduced into the text replacing the religious iconography of her youth with secular images from the present.\n\n(v) Conclusion\n\nBy breaking the taboo of silence surrounding her mother's life and death, Frederika takes the imaginative leap into language that Kristeva maintains partially alleviates the oppressive burden of melancholia (1989: 24). Kristeva has written, 'if it lives, your psyche is in love ... the psyche is one open system connected to another, and only under these conditions is it renewable' (1987:15). Sarah Sheard's novel illustrates the immense hurdles preventing the subject from participating in the holistic process of regeneration outlined by Kristeva. More importantly, Sheard's text dissects the endless repetition of failed mourning revealed through her narrator's reluctance to relinquish her attachment to the memory of her dead mother.\n\nSheard's book reveals how failed or unsuccessful mourning figures as a visible and textual sign that the interactive processes, outlined by Kristeva, have ground to a halt. The uncomfortable stasis emerging from this sudden failure to process grief illustrates the pain associated with a refusal to mourn. Refusal to mourn is summed up by Jacques Derrida in 'Fors' (1977) as a process of cryptic incorporation. As he puts it:\n\nWhat the crypt commemorates as the incorporated object's \"monument\" or \"tomb\", is not the object itself, but its exclusion, the exclusion of a specific desire from the introjection process: a door is silently sealed off like a condemned passageway inside the self (1977: 72).\n\nDerrida's description of the melancholic self is revelatory of the ambivalence marking their relationship with the dead object. By steadfastly refusing to acknowledge death the melancholic subject forestalls the terrifying experience of processing grief.\n\n*The Swing Era* reveals how melancholic incorporation is sustained within a severely dysfunctional family. Furthermore, the novel illustrates how its silent\n\nmanoeuvres are perpetuated within social structures and the philosophical traditions informing them. Frederika feels she has everything to lose by acknowledging her mother's mental illness and her own place within her family history. By locking the memory of her mother deep within a psychic crypt, Frederika is persuaded that she can successfully deny the reality of her life and death. Moreover, she wants to believe she can escape her mother's infectious influence by retreating into the institutionalised world of organised religion. The fear of contamination by her overbearing parent magnifies her rejection of her own femininity. Frederika's vilification of her own flesh mirrors a wider cultural hostility to the female and maternal body. By refusing food, sex, friendship and love, Frederika believes she can keep her bodily margins free from defilement.\n\nSheard's book demonstrates the durability of the cultural taboos surrounding madness combined with misogynist interpretations of the female body. Moreover, Sheard's text reveals why we should be suspicious of Freud's injunction to his friend Binswanger, that we should perpetuate 'that love we do not want to relinquish' (quoted in Siggins, 1966: 17). The historical association of women with the body and nature in Western philosophical traditions makes it especially difficult for the female subject to introject the memory of her mother's body when it has been labelled as a grotesque, subversive force within Western culture. Conversely, Freud's position as a celebrated analyst and leading intellectual, at the time of writing, enables him to take advantage of the masculine appropriation of culture in the West. The master theoretician can enjoy his privileged position within melancholic discourses by translating his symptoms of painful withdrawal into inspired rhetoric. It is therefore relatively\n\neasy for him to perpetuate a love that is not based on identification with that which he must deny in order to maintain his cultural integrity.\n\nJulia Kristeva's analysis of melancholic ambivalence in *Black Sun* (1989) shows how deeply ingrained such discourses are within Western culture. Her notion of the 'death-bearing woman' merely reinvokes misogynist constructions of the female body as a destructive agency within culture. Her contention that 'matricide is our vital necessity, the sine-qua-non of our individuation' (27/8), reinvests cultural concepts of the castrating phallic mother with new vigour. As Janice Doane and Devon Hodges point out, Kristeva's assumption that she is gendering the Western discourses of depression and melancholia is a mistaken one. Her essentialist account of feminine sexuality as an 'addiction to the maternal Thing and its lesser aptitude for restorative perversion' (quoted in Doane and Hodges: 1992: 62), reveals her indebtedness to patriarchal cultural narratives declaring that 'women are more sick than men and that this sickness is an intrinsic feature of femininity' (62).\n\nFurthermore, Kristeva's assertion that poetic language can help the melancholic subject to substitute language for loss seems equally misguided. Her theory fails to explain how the female subject is supposed to operate within the world of social interaction if she cannot identify with her primary love-object. Serial denial equates to serial killing, within Kristeva's account of feminine depression. If we must murder that which we love most, in order to survive, how can we hope to function productively as social beings within a culture where identification is the act that helps us to achieve our sense of self-hood?\n\nIn the final chapter of this thesis I will evaluate the position of the resisting daughter within discourses of suspended mourning. Kathryn\n\nHarrison's autobiographical account of incest survival in *The Kiss* (1997), challenges the narrative conventions governing the place of the dutiful daughter in relation to her father in the traditional romance plot. By shifting the paradigm, to instate a resisting daughter with an abusive father, Harrison undermines the ideological assumptions informing this particular genre. Harrison's account of paternal loss reshapes the narratives of postponed or failed mourning observed in the previous chapters. By resisting the temptation to 'safely' incorporate the lost paternal object by secretly identifying with his cultural status as patriarchal figurehead, Harrison forces herself to confront the spectre of thwarted filial desire.\n\nSarah Sheard's novel, illustrates the visceral nature of the melancholic state which relentlessly infiltrates the subject's worldview, placing them in physical and psychological jeopardy. Perhaps Kristeva's most important contribution to the question of melancholia, can be found in her emphasis on the subject's need to engage in an amatory discourse which connects artistic creation and mourning. Instead of treating melancholia as the poor relation of the more distinguished mourner, Sheard's text advocates a more compassionate response to the subject who longs to grieve.\n\n---\n\n1 The monstrous feminine is Barbara Creed's term. Creed defines the 'monstrous feminine' as femininity masquerading in an alien form. Creed maintains that representations of the monstrous feminine can be found in films such as *Alien* where they are expelled in order to protect the symbolic order. See Barbara Creed (1986) 'Horror and the Monstrous-Feminine: An Imaginary Abjection' in *Screen*, 27: 1.\n\n2 See Elizabeth Bronfen (1992) for a comprehensive overview of Freud's reaction to the death of his daughter Sophie Freud-Halberstadt. Significantly for this project, Bronfen notes that the 'language Freud uses to describe his reaction to the unexpected death of his Sunday-child is significantly poised between a deference to the irrevocable reality of death and a defiance of what an unconditional acknowledgement of death would imply: namely the ego's relinquishing of its narcissistic libidinal cathexis'. See 'The Lady Vanishes' in *Over Her Dead Body: Death, Femininity and the Aesthetic*, Manchester: Manchester University Press, p. 15.\n\n3 In 'The Lady Vanishes' (1992) Elizabeth Bronfen sees Freud's correspondence regarding the death of his daughter Sophie, as a 'rhetorical move from the Other to the self, which reads the death of the daughter as a sign for his own vulnerability and mortality (15). She also emphasises that 'Any articulation of another's death ... invariably returns to the surviving speaker. It returns to support the ego's narcissistic cathexis because it is coupled with a realisation of\n\none's own mortality' (15). See Elizabeth Bronfen (1992) 'The Lady Vanishes' in *Over Her Dead Body*, Manchester: Manchester University Press, pp. 15 - 16.\n\nInterestingly, Elizabeth Bronfen (1992) draws the reader's attention to the difference between Freud's response to the death of his daughter Sophie and that of his father in 1896. Bronfen cites Freud's admission in the second edition of the *Interpretation of Dreams* (1908) that his father's death constituted 'the most important[e]significant, bedeut[sm] event, the most poignant [cutting, einschneidendsten] loss, of a man's life' (16). In his letter to Wilhelm Fliess (2 November 1896), Bronfen places emphasis on Freud's confession that the old man's death had produced a 'writer's block' which had induced a sense of rootlessness in the author (16). By contrast his reaction to his daughter's death appears to have been experienced on a more personal specific level. 'That is to say, his father's death, though relegated to the realm of the impersonal, the general, is explicitly acknowledged as having led to his theory on dreams, by way of the detour through self-analysis. The death of his daughter is, on the other hand, explicitly acknowledged as belonging to the realm of the personal and specific' (17). Bronfen's elucidation of the widely differing responses elicited by the two deaths are of significance to this project because they focus on Freud's narcissistic reaction to the news of Sophie's death sublimated in work which helped him to 'restore his wounded narcissism ... Writing about death seems to become a way of regaining control after the disrupting experience of death, of reassuring continuity in the face of discontinuity, of mastering the absence of the Sunday-child ('snatched away as if she had never been') (17). See Elizabeth Bronfen (1992) 'The Lady Vanishes' in *Over Her Dead Body: Death, Femininity and the Aesthetic*, Manchester: Manchester University Press, pp. 15 - 39.\n\nLorraine Siggins notes that all of these papers deal with Freud's 'repeated affirmation (that) a loved object is never really relinquished' (17). See Lorraine Siggins (1966) 'Mourning: A Critical Survey of the Literature' in *International Journal of Psychoanalysis*, 47, pp. 14 - 25.\n\nJonathan Dollimore discusses the gendering of the Western preoccupation with death, desire and loss in the introduction to his study of this subject. He argues that misogynist traditions within Christianity, particularly the narrative of the Fall, associate women with death. Because women are traditionally associated with nature within these narratives they are constructed as agents of death and mutability. Dollimore illustrates how 'feminists' such as Camille Paglia have internalised these essentialist doctrines within their work, arguing that 'the historical repugnance to woman has a rational basis: disgust is reason's proper response to the grossness of procreative nature' (quoted in Dollimore, 1998: xxiv). See Jonathan Dollimore, 'Sexual/Gender Differences' in *Death, Desire and Loss in Western Culture*, London: Penguin, pp. xxiii - xvii.\n\nSee Joy Cantor (1989) 'On Giving Birth to One's Own Mother'. In an interesting reading of Delmore Schwartz's 'In Dreams Begin Responsibilities', Cantor discusses the stasis which results from unprocessed memory. She believes that the key metaphor of the story teaches us 'that if one does not acknowledge and overcome one's angry fascination with one's internalized parents, then one will unconsciously project them outward onto everyone one encounters' (85). See Joy Cantor (1989) 'On Giving Birth to Ones Own Mother' in *Triquarterly: Evanston*, 75, pp. 78 - 91.\n\nIn her excellent analysis of the representation of the female body in Western art, Rosemary Betterton examines the cultural legacy of women's association with nature against the masculine appropriation of the mind and spirit. She argues that these traditions had led to 'the grotesque female body which eats, has sex, menstruates, excretes and ages [being] systematically denied and suppressed within European bourgeois culture' (137). These powerful traditions of disgust for the female body within Western culture can be clearly discerned in *The Swing Era*. See Rosemary Betterton (1996) 'Body Horror?': Food (and sex and death) in Women's Art' in *Intimate Distance: Women, Artists and the Body*, London: Routledge, pp. 130 - 161.\n\nI am of course referring to Gilbert and Gubar's seminal work *The Madwoman in the Attic: The Woman Writer and the Nineteenth-Century Literary Imagination*. See Sandra Gilbert and Susan Gubar (1979) *The Madwoman In The Attic*, New Haven: Yale University Press.\n\nThis particular incident is a powerful reminder of Kristeva's use of the metaphor of milk cream to evoke the abject pain involved in the separation of infant from parent. Sheard's phraseology is remarkably similar to Kristeva's in the passage where she describes the daughter's rejection of the milk cream separating her from her parents, 'since food is not an \"other\" for \"me\", who am only in their desire, I expel myself, I spit myself out, I abject myself within the same motion through which \"I\" claim to establish myself' (3). See Julia Kristeva (1982) *Powers of Horror: An Essay on Abjection*, New York: Columbia University Press.\n\nIn his discussion of Buddhism, Jonathan Dollimore points out that Buddhism revokes the notion of the transcendent autonomous self resonating throughout Western philosophical thought. Instead, Buddhism maintains there is no soul, the individual is 'only a fleeting series of discontinuous states held together by desire, by craving', therefore 'the extinction of desire is the goal of human endeavour' (55). Dollimore's account of the basic tenets of Buddhism shows why Frederika is attracted to a religious tradition committed to eradicating the pain inherent in desire. See Jonathan Dollimore (1998) 'The Illusion of the Self: Buddhism' in Death, Desire and Loss in Western Culture, London: Penguin Press, pp. 53 - 56.\n\nHere again we can see the theoretical overlapping of notions of addiction with those of pathological mourning. Sue Vice's examination of love-addicted texts compares the differences between pathological love described in novels such as Josephine Hart's Damage (1993) and the more reciprocal model explored in Jane Rule's Desert of the Heart (1964). According to Vice, the latter novel eschews the convention of ending love through death offering instead a narrative which offers 'life, and uncertainty' (125). This is of course analogous with the situation played out between Luce and Frederika in The Swing Era (1993). See Sue Vice (1992) 'Addicted to Love' in Lynne Pearce and Jackie Stacey (eds), Romance Revisited, London: Lawrence & Wishart, pp. 117 - 127.\n\nKiss and Tell: 'The Writing Cure' in Kathryn Harrison's *The Kiss* (1997)\n\n(i) Introduction\n\nWhen we define the Photograph as a motionless image, this does not mean only that the figures it represents do not move; it means that they do not emerge, do not leave: they are anaesthetised and fastened down, like butterflies. Yet once there is a *punctum*, a blind field is created (Roland Barthes, 1982: 57).\n\nRoland Barthes' description of the photograph in *Camera Lucida* (1982) reveals his fascination with the static image captured in celluloid. However, it is possible to detect a restlessness disturbing the surface of his display of academic contemplation. His frustration with the unrelenting stillness of these arrested images gathers momentum, changing his dissertation on the nature of photography into a testament of grief for the loss of his beloved mother. Barthes scrutinises the bland surface of his photographs for the 'punctum' or blind field (57) that offers a privileged insight into the private world of the silent image, so suddenly withdrawn from the public gaze. In an ironic twist of fate, *Camera Lucida* was published posthumously following Barthes' death in a road traffic accident in 1980. To the reader of this most intimate of theoretical texts, the real-life postscript accompanying the book is a fitting epitaph to two lives that had remained resolutely entwined during life. Barthes' impassioned bid to make the photograph 'speak' by locating its tantalising, hidden essence pervades his text, making his untimely expulsion from the corporeal body to that of the ethereal image captured in celluloid, translate into a fully realised *liebstod*, where the bereft son and his beloved mother replace the traditional lovers of the conventional romance plot.\n\nBarthes' allegiance to his mother eschews the framework of traditional romantic fiction where the lover must overcome a variety of obstacles in order to achieve closure.\\(^1\\) In his case, the quest is pursued beyond the grave, challenging the narrative operations of romantic fiction as well as the formal restraints of academic discourse. *Camera Lucida* exploits the gap between scepticism and the suspension of disbelief. His pursuit of the photograph's lost essence is intimately connected with a desire to recuperate lost ownership. In other words, his desire to recover the past is contingent on his wish to recreate his past, as he knew and understood it. This possessive impulse is made clear when he discovers a photograph of his mother as a young girl. He renames the lost snapshot as the 'Winter Garden' photograph, thereby carefully filing his claim for ownership of her overlooked image. Here, melancholic grief is interchangeable with a desire for ownership, to recover the past as it once was. His bid to recapture his mother's lost essence continually feeds his obsession. As he puts it:\n\nFor I often dream about her (I dream only about her), but it is never quite my mother, sometimes, in the dream, there is something misplaced, something excessive: for example, something playful or casual - which she never was: or again I know it is she, but I do not see her features (but do we see, in dreams, or do we know? (1982: 66)\n\nBarthes repeated emphases draw attention to his growing sense of frustration connected to his failure to resurrect his mother's elusive presence. His pedantic attention to detail reveals a darker quest to possess his mother's 'sovereign innocence' (69) on his own terms.\n\nBarthes' elegiac theoretical text remains outside the frame of the discourses of mourning and melancholia, occupying a space which, according to Kathleen Woodward, exists somewhere 'in between' mourning and\n\nmelancholia' indicating that grief may be 'interminable but not melancholic in the psychoanalytic sense, a grief that is lived in such a way that one is still *in* mourning but no longer *exclusively* devoted to mourning' (1991: 90). Thus, according to Woodward, when 'we speak of a person as being *in* mourning, what inevitably we have in mind in classical Freudian terms is that at some time in the future she, or he, will be *out* of mourning' (90). By framing mourning as a normative even prosaic procedure Woodward reveals how Freud is able to theorise melancholia as a pathological condition.\n\nMelancholia is then 'characterized primarily as a *state* not a *process*. It is denial of the reality of loss. It is a \"disorder\", a \"disease\" (90). Woodward's interpretation of the Freudian model of melancholia as a pathological state commemorating failed or unsuccessful mourning informs the theoretical framework of this chapter.\n\nIn this chapter, I will focus on the implications of Woodward's formulation of melancholia as a process that changes and develops over a period of time. I will examine how Woodward's revisionary interpretation of Freud's theory of melancholia as an evolving process affects gender. I will examine this issue by comparing Barthes' self-conscious assumption of an indeterminate, open-ended process of mourning with Kathryn Harrison's occupation of a similar role, following her incestuous relationship with her father, in her autobiographical novel *The Kiss* (1997). The analysis of gender within Woodward's reworking of Freud's 'clear-cut' binary definition of mourning and melancholia entails a re-evaluation of the daughter's role within the discourse of mourning. Her location within this extra-Oedipal territory also affects her position within the framework of the conventional romance genre.\n\nwhere she is constructed as a daughter who resists paternal power. By unsettling the margins of the romance plot, Harrison’s ‘resisting’ daughter upsets the asymmetrical model of gender relations practised in the West. Moreover, her adolescent status threatens culturally sanctioned representations of romance within Western discourses. I will reveal how adolescence has traditionally been constructed as a problematic category disrupting the normative, linear transition between childhood and adulthood.\n\nAs Jo Croft remarks in her essay, ‘Writing the Adolescent Body’ (1998), ‘adolescence is conceived, paradoxically, both as an epoch of sexual uncertainties and as an anchor for the most normative accounts of sexuality’ (1998: 190). All of the narrators considered in this thesis are troubled by their position within this contradictory, age-based category. Their location within such a conflicted discursive field suppresses their ability to achieve agency through a clear and well-defined sense of selfhood. As we have already seen, the narrators discover their narratives perpetually undermined by adult-centred discourses that cannot decide whether to construct them as alienated outsiders or troubled, introspective narrators about to be assimilated into the dominant narrative of docile, non-threatening femininity.\n\nMore importantly, for this project, I will discuss how such novels have been framed as transient narratives charting their narrators’ uneasy passage through the troubled stage of adolescence. As Jo Croft maintains, the adolescent text, ‘raises several key questions about the relationship between literary production, historical narratives and the body’ (1998: 191). As Croft points out, the intersection of these three categories has produced a body of work that has been ‘defined and delimited by its relationship to physical\n\nchronology' as a 'phase we all go through' or something 'we put behind us' (191). Adolescence, therefore, bears an uncanny resemblance to the pathological state of melancholia which Freud confidently assures us 'passes off after a certain time has elapsed without leaving traces of any gross change' (1957i: 163). Both categories figure within cultural narratives as contentious, potentially embarrassing, transitional zones to be hurried through before complying with the culturally sanctioned roles ascribed to women within patriarchal structures.\n\nAs we shall see, in Kathryn Harrison's chronicle of incest survival, problems arise when the adolescent narrator's history has been compromised by her abusive father. Once the paradigm of dutiful daughter and overbearing father shifts within the sentimental family romance,\\(^2\\) their narrative is transformed into an ongoing process, where the unresolved crises of young adulthood cannot be contained by the constraints of the adolescent 'rite of passage' novel. Harrison's experience of parental abuse, which results in the loss of her father through incest, means that her 'desire to write' can never be inscribed within what Croft refers to as the 'common-sense' period of adolescence when 'literary production is typical, predictable and developmentally healthy' (191). Instead, Harrison's dramatisation of parental neglect and abuse extends beyond the margins of normative conceptions of the introspective adolescent journal endorsed by dominant discourses. Her story is integrated into a wider, evolving text where the production of narrative helps her to articulate a link between art and successful mourning. The 'talking cure' is transformed into the 'writing cure' which dissolves the selfreferential nugget of indigestible, unbearable loss lodged deep within the core of her troubled history.\n\n(ii) Daddy's Girl\n\nThe following section focuses on the literary implications of Harrison’s juxtaposition of the incest survival chronicle with the heterosexual romance plot. By yoking these dissonant, antithetical discourses together Harrison dismantles the self-affirming apparatus of the sentimental family romance narrative. Harrison challenges the conventional ‘family romance’ plot by succumbing to her father’s sexual advances. By physically embodying her father’s desire Harrison upsets the strict decorum governing literary representations in the father-daughter ‘romance’. As Lynda Zwinger points out, in her assessment of the ‘The Daughter’s Daughter’ in Daughters, Fathers and the Novel: The Sentimental Romance of Heterosexuality (1991), ‘the father-daughter story both reinforces and is reinforced by generic rules, has as its object precisely the fixing of subject/object positions’ (131). Zwinger goes on to argue that if these dynamics become unstable or disorderly, ‘heterosexuality as it is culturally constructed and enforced’ begins to look like ‘a permeable unstable fiction’ (131). Furthermore, Zwinger states that the daughter must present herself as a compliant, marriageable body whom the father is able to exchange, according to the rules of exogamy, in order to protect his position as patriarchal figurehead (133). Significantly, for this project, Zwinger points out that the daughter’s removal from the patriarchal economies, referred to above, destabilises paternal authority by foregrounding the ‘hidden’ possibility of heterosexual desire underpinning the\n\nsentimental romance plot. By ‘keeping the daughter home’, Zwinger suggests that the father’s intention towards his offspring appears to be dangerously ‘complicit with the prescriptions of patriarchal heterosexuality’ (133).\n\nHarrison’s narrative reveals an unstable, even chaotic, family unit torn apart by the devastating centrifugal forces of race and class. Harrison’s maternal grandparents effectively banish her father from the family home when they discover his modest, non-Jewish origins. Her father’s expulsion from the midst of this conservative, bourgeois family undermines his paternal authority. His exclusion from what Zwinger calls the ‘family plot of heterosexuality’ (118) causes the collapse of this unwieldy, dispersed family structure. Harrison’s unnamed father returns periodically to visit his estranged wife and daughter, a shadowy *unheimlich* spectre whose presence suggests the dissolution of the clear-cut legal boundaries absolving his responsibility as husband and father. His infrequent visits revive the uncanny spectacle of a feminised figure striving to retrieve his status as the unifying, phallic signifier within his first family.\n\nThese visits become increasingly intrusive and insistent, culminating in the kiss that Harrison perceives as ‘a transforming sting’ administered by her father ‘in order that he might consume me’ (70). Significantly, Harrison interprets this insidious wound as a parental ruse designed to induce her ‘desire to be consumed’ (70). She infers that her father’s kiss operates as a transgressive virus within the text that threatens to disrupt the ideological assumptions underpinning conventional family life. Harrison notes that the ‘transforming sting’ operates like a ‘narcotic that spreads from my mouth to my brain’ (70). Harrison’s description of the sting that permeates her whole\n\nbody merging inside with outside operates as an extended metaphor throughout the text. The text bristles with anxieties related to precarious boundaries or margins. In this particular instance, her father's kiss exposes his daughter's private, inner space to his own paralysing gaze, objectifying an interior that in cultural terms threatens his fragile masculinity.\n\nJill LeBihan examines these slippery marginal zones in her analysis of the popular consumption of murder mystery stories. As she points out:\n\nIf we connect the grotto with the crypt, then, we have something like the familiar understanding of the feminine in psychoanalysis: something outside the symbolic; something sealed off, private; something that has to be penetrated, forced open by those that would know its dark secrets (1997: 5).\n\nHarrison's father wishes to penetrate his daughter's dark interior in both a physical and an ideological sense. Metaphors of exploration have long been associated with the notion of masculine endeavour. However, in this case, the valorised imperialist concept of colonial discovery is analogous with the more pejorative aspects of Western capitalism. Here, the frontiers of the narrator's body are plundered by her father's crucifying gaze in order to nullify the danger posed by her unpoliced feminine boundaries. He wishes to keep his daughter's body 'sealed off', a private 'practice' ground of eroticised horror. His apparent ownership of this feminised testing ground fails to dilute the horrifying ambiguity of his daughter's forbidden interior. By succumbing to the compulsive horror emanating from his daughter's body he is made aware of his fractured status within the Symbolic as a symbol of corruption, the disorderly inadequately gendered husband and father.\n\nHarrison declares that 'the kiss is the point at which I begin, slowly, inexorably, to fall asleep, to surrender volition, to become paralyzed' (70). By\n\nslipping away from the predicates of the Symbolic order, Harrison 'escapes' into yet another liminal zone located somewhere between living and dying.\n\nShe is aware of the invasive properties of the kiss, growing:\n\nLike a vast, glittering wall between me and everything else, a surface offering no purchase, nor any sign by which to understand it. I can see past and through it to the life I used to have, but mysteriously, the kiss separates me from that life (1997: 71).\n\nThe ideological wall or barrier operates in a similar manner to Luce Irigaray's premise that 'the mirror image reflects a male imaginary, and, within this system of representation and desire, the woman's 'sex organ represents the horror of having nothing to see' (quoted in Betterton, 1996: 136). The narrator begins to see herself in terms of the Symbolic as a fractured medley of disseminated bits and pieces dissociated from any familiar reference points. Within such a system of representation the narrator loses sight of herself as a 'unified' subject circulating within the familiar social networks of family, school and home. She begins to subside into the 'cold, sinking torpor' of shock that absorbs signifying systems such as language, gestures and speech until she can 'only answer people's questions internally, my voice won't speak the words I hear in my head' (75).\n\nHer father's anti-Oedipal stance, within the novel, threatens those who come within his orbit. Family members find their role within the Oedipal script mysteriously displaced by his slippery, maverick status. Her father's appropriation of differing subject positions within his family ranging from father, husband and lover opens up the cultural interface between fear and fascination which Stallybrass and White maintain 'always bears the imprint of desire' (1986: 191).\n\nJulia Kristeva claims that ambiguous borderline states convey a similar sense of uneasy fascination in her study of abjection. In *Powers of Horror* (1982), Kristeva maintains that the 'inbetween, the ambiguous, the composite' threatens social hierarchies by disturbing clear-cut systems of identity, system and order (4). She claims that abjection unsettles 'civilised' binary divisions, adopting a stance that is:\n\nImmoral, sinister, scheming, and shady: a terror that dissembles, a hatred that smiles, a passion that uses the body for barter instead of inflaming it, a debtor who sells you up, a friend who stabs you (1982: 4).\n\nKathryn reads her own body as a site of abjection that is regularly visited by her abusive father. She objectifies her body as an *unheimlich* space that is out of control. Yet, paradoxically, that very same body is rigidly policed by the masculine gaze. Rosemary Betterton sees a similar invocation of desire and disgust in representations of the female body by artists such as Cindy Sherman, Helen Chadwick and Jana Sterbak. Following Luce Irigarary, she reads the contradictory status of women's bodies within Western culture as the product of phallic systems of representation (1996: 136). As Irigaray points out, these systems of representation:\n\nPut woman in the position of experiencing herself only fragmentarily, in the little structured margins of a dominant ideology, as waste, or excess, what is left of a mirror invested by the (masculine) \"subject\" to reflect himself, to copy himself (quoted in Betterton, 1996: 136)\n\nAs we have seen above, Kathryn begins to see her body as a monstrous shape-shifting phenomenon responding silently to the intrusive masculine gaze. This culturally determined hostility is inscribed on the surface of her body in a miasma of self-inflicted scars, the abandoned remains of a 'lifetime of hidden thwarted desire (97). Her own mortified body exists as a shadow of her father's more substantial form which she notes\n\nappetites satisfied, hurts soothed' (96). She interprets his florid excess as the antithesis of her own flesh 'always silenced, its hunger and pain ignored' (96).\n\nHarrison's novel uncovers a shadowy facsimile of patriarchal norms and values shading imperceptibly into the sentimentalised fiction of the family romance. As Zwinger maintains, the production of the 'modern bourgeois family novel' or 'the middle class father-daughter romance' is dependent on the construction of the daughter as the 'quiescent object of (impassive) paternal desire' (118). The subtle shift from adoring, mystified daughter to sexualised object is achieved without rancour or dissent in *The Kiss*, suggesting a disturbing consonance between the Oedipal dynamics of the sentimental romance plot and its close cousin, the incestuous narrative.\n\nMarina Warner hints at the dangerous *unheimlich* nature of such narratives in her appraisal of the father-daughter incest tale in *From the Beast to the Blonde: On Fairy Tales and Their Tellers* (1995). In 'The Silence of the Fathers', she recounts Freud's decision to protect the identity of the abusive father in his case study of Aurelia Kronich in his *Studies on Hysteria* (1895). According to Warner, Freud's 'delicacy' attests to his knowledge of the widespread nature of incest and its prevalence within the middle class families who formed the mainstay of his client group in turn of the century Vienna (350). She points out that his denial of paternal incest in this case study 'speaks volumes about the sensitivity of the issue for him' (350). I would argue that Freud's sensitivity arose from his repressed knowledge that the Oedipal dynamics underpinning his theory of sexual difference are virtually interchangeable with those of the father-daughter incest narrative. As we noted in the previous chapter, Diana Fuss gestures towards Freud's\n\nconscious reworking of the concept of identification to bolster his theory of normative sexuality (see p. 191). Indeed, his anaesthetised description of the process of identification required to successfully resolve the Oedipal complex remains unconvincing. Freud slides over the complex nature of identification in 'The Passing of the Oedipal Complex' (1924), when he states that:\n\nThe object-cathexes are given up and replaced by identification. The authority of the father or the parents is introjected into the ego and there forms the kernel of the super-ego, which takes its severity from the father, perpetuates his prohibition against incest, and so insures the ego against a recurrence of the libidinal object-cathexis. The libidinal trends belonging to the Oedipus-complex are in part desexualised and sublimated, which probably happens with every transformation into identification; in part they are inhibited in their aim and changed into affectionate feelings (1957w: 273).\n\nThe simple transition from libidinally charged object-cathexes into anodyne affection, outlined in this paper, is achieved with ruthless efficiency. Freud cleanses the infectious category of desire from his description of the mechanics of identification in order to present a theoretically sound clinical paradigm. Diana Fuss draws attention to Freud's historical reluctance to include the unruly category of desire into his neat conceptualisation of identification. She notes his awareness of the interrelatedness of identification and desire in 'Mourning and Melancholia' where he describes identification as 'a preliminary stage of object choice ... the first way' (quoted in Fuss, 1995: 12). Fuss argues that Freud's intransigent attitude towards identification, amounting to a willed repression of its complex relationship with desire, occurs because it forms the 'theoretical lynchpin' of his theory of oedipality (12). Fuss asks 'what is identification if not a way to assume the desires of the other? And what is desire if not a means of becoming the other whom one wishes to have?' (12).\n\nFuss diss-assembles the Freudian scientific jigsaw in order to expose the contaminating influence of desire fatally intertwined with the more sedate category of identification.\n\n(iii) **My Heart Belongs to Daddy**\n\nThe following section will assess the complications arising when the identification/desire opposition becomes blurred. Kathryn Harrison’s chronicle of thwarted desire and eviscerating loss following her relationship with her father opens up the closed binary of identification/desire within the Oedipal drama. By cracking open the repressed history of desire, shadowing the orderly process of identification, we are able to observe its disruptive influence on the sentimental family romance.\n\nHarrison’s decision to use *Sleeping Beauty* as a textual frame for her chronicle of incest survival suggests her disenchantment with conventional literary texts where the dutiful daughter is constructed as the object of her father’s sentimental desire. Marina Warner’s description of her passionate interest in fairy stories indicates why Harrison may have selected the folk tale over more literary renditions of the resisting daughter. Warner attributes her fascination with this genre to the fairy tale’s power to evoke memories of childhood marked by the ‘vividness of experience in the midst of inexperience’ and the ‘capacity for daydreaming and wonder’ (1995: xiv). Interestingly, Warner adds that she has ‘since discovered that there is nothing in the least childlike about fairy tales, and this, together with the suspect whiff of femininity hanging around them, attracted [her] to study them’ (xiv). Warner’s appraisal of the transformative capacity of the fairy tale illuminates Harrison’s\n\ndecision to insert her testament to incest survival within the parameters of the folk tale. By reframing her story within the generic category of the fairy tale, Harrison partially recuperates some of the 'capacity for daydreaming and wonder', drained out of her own childhood history of emotional neglect and abandonment. Furthermore, we may speculate that Harrison also detects the 'suspect whiff of femininity' lingering around her own story of patriarchal domination and abuse.\n\nThe title of Harrison's novel exploits the conventional romantic awakening that accompanies the kiss in fairy tales such as 'Sleeping Beauty'. She deliberately distorts the narrative thrust of this tale by substituting her absentee father for the handsome prince promising deliverance from an oppressive regime. Instead, the narrator is inducted into a nightmarish dystopia where she is carefully concealed as her father's hidden object of desire. Interestingly, in the light of Harrison's inversion of this story, Warner points out that our traditional understanding of the tale as revelatory of virtue rewarded is false. Grimm's sanitised version of Giambattista Basile's fourteenth century romance, *Perceforest*, cleanses the original story's preoccupation with sex without consent. Warner states that 'Sleeping Beauty' has been successively revised in response to fluctuations in readership (1995: 220). The tale was retold in order to accommodate cultural shifts within the family related to the daughter's position within the home. Significantly, for this chapter, these cautionary tales focused on the daughter threatening to exceed her decorous role within a script that demands that she should always submit in mind if not body to the needs of her father (220).\n\nAs Warner points out, fairytales are replete with heroines who 'take refuge from violation or unfair accusations in silence' (xxi). However, the silent refuge can be readily transformed into a textual platform within these tales giving 'women a place from which to speak' (xxi). The female protagonists within these tales are then able to manipulate the patriarchal codes embedded within dominant discourses to their own advantage. Warner points out that fairy tales tend not to fit into a simple binary of passive or active but are instead written in an optative mood that anticipates and encourages change (16). These tales are therefore 'works in progress' that resist conventional closure. In fact, these open-ended tales operate as a primitive form of therapy that anticipates the Freudian notion of 'working through'. Warner maintains that the typical heroine of these tales is framed 'imagining the fate that lies ahead and ways of dealing with it' (16). The resourceful narrators are therefore portrayed as active agents who refuse to be constrained by oppressive ideologies. The heroine's ability to launch strategies of resistance is fully realised in 'Donkeyskin' where an embattled daughter resists the advances of her father by hiding in a filthy donkeyskin. According to Warner, the heroine is finally able to re-establish her sense of worth by exposing her mass of golden hair (xxi). As we shall see in the textual analysis, following this section, the tricks of transformation and rapid metamorphoses contained in 'Donkeyskin' are remarkably similar to those outlined in *The Kiss*. Hair is a powerful symbol of potent sexuality in the novel used to simultaneously disguise and reveal the narrator's 'disorderly' femininity.\n\nThe dust jacket of the hardback 4th Estate edition of the novel draws attention to hair as an ambivalent signifier of youthful sexuality. The iconography of the frontispiece hints at the castration anxieties reverberating throughout the text. A pair of opened scissors covered in hair rests uneasily behind the gothic letters proclaiming the novel's intriguing title. The opened scissors strike a jarring note gesturing towards the novel's subtext of repressed, forbidden sexuality. Marina Warner reveals how hair used as disguise paradoxically reproduces 'the traditional iconography of the very passion [the heroine] is fleeing' (355). Animal hairiness traditionally invoked images of monstrous concupiscence which were projected onto social outcasts or those 'practising vice' (357).\n\nWarner's comprehensive analysis of the cultural significance of hair draws attention to its role in the formation of identity. As Warner points out, 'in the quest for identity, both personal and in its larger relation to society, hair can help' (372). Significantly, for this project, Warner reveals that hair has been used to represent loss in rituals of fertility and mourning (373). She suggests that the Victorian predilection for tokens and *memento moris* invokes a sense of the uncanny because the artefact is 'neither dead nor alive [making] the beholder's flesh creep' (373). Similarly, Warner adds, 'maidenhair can symbolize maidenhead - and its loss too' infused with 'the flux of sexual energy that this releases' in fairy tales like 'Rapunzel' (373). Towards the end of *The Kiss*, Harrison reveals that her hair contributed to her sense of self; either pinned up or let down, it constituted a 'dressed up' identity within which she could hide. Her decision to cut her hair before her mother's death is fraught with conflicting emotions connected with notions of\n\nselfhood and sexual identity. Harrison confesses to her mother that she used her long hair as a 'safeguard of my femaleness' (196). By relieving herself of the burden of this powerful symbol of disruptive femininity, Harrison promises her mother that 'she can die knowing the affair between her husband and her daughter is finished' (196). More importantly, by divesting herself of this explosive reminder of sexual coercion, Harrison feels able to take control of her own destiny.\n\nHair is figured as a potent metaphor of sexual compromise within this novel. Harrison shields her youthful body from her father's intrusive gaze in her reassuring cloak of golden hair. As we have already seen, she confesses that her hair was 'the safeguard of my femaleness when I'd given up my breasts and my period' (196). Hair is the uncanny signifier that transgresses boundaries and thresholds in the novel, blurring rigid divisions between sexuality and 'innocence', youth and maturity. By discarding her hair, Harrison feels able to escape the confusion and compromise of her youth. The textual interpretation of *The Kiss* following this section reveals that such clear-cut classifications and definitions are rarely achieved.\n\n(iv) **Kiss and Tell**\n\nKathryn Harrison uses her autobiographical narrative to work through the emotional devastation following the end of her relationship with her father. The narrator mourns the loss of her father as a result of their incestuous affair. Her narrative implicitly and explicitly tests reality in a Freudian sense by meticulously tracing the emotional history of their forbidden alliance. The agonising process of letting go involves the equally complicated task of\n\nrewriting the future without her father's overwhelming presence. This gaping hole, in the weave of her narrative, challenges the fictional daughter to tell her story without the culturally sanctioned linkage of dutiful daughter with adoring father. Harrison's novel reveals the treacherous terrain covered by the literary daughter who attempts to usurp her father's authority. Shorn of the oppositional splits upholding the notion of sexual difference in the West, Harrison's affair draws attention to the culturally constructed nature of heterosexual desire within the sentimental family romance.\n\nParadoxically, the narrator's position, as the physical embodiment of her father's desire, means that she is unable to participate within patriarchal models of femininity. Her temporary loss of her father followed by their incestuous relationship illustrates the fragility of Oedipal relations within the family romance. The narrator's role within this newly distorted family scene illuminates the socially constructed nature of sexuality within Western culture. Her knowledge of the civilised veneer shrouding her family's conflicting political/sexual agenda affords the narrator a privileged view of the artificial even theatrical nature of sentimental heterosexuality at the heart of family life. As Linda Zwinger points out the theatricality of sentimental heterosexuality is revealed in:\n\nThe stylized flirtation with transgression, the mock violations, the elaborate fictions of complicity and mutuality, the creed that a woman cannot be violated against her will (if she gets it, she asked for it) - these are elements of the father-daughter romance; a romance predicated upon the figure of the sentimentalized, desirable daughter and shadowed by the figure of the defeated son (1991: 9).\n\nBy violating the incest taboo, which props up the fiction of orderly relations within the Oedipal family drama, she begins to write herself out of\n\nthe conventional father/daughter narrative and into the uncharted territory of the resisting, dangerously sexualised daughter. The reconfigured narrative that ensues foregrounds the figure of the defeated son\\textsuperscript{3} attempting to restore his authority as the patriarchal figurehead at the helm of the familial vessel.\\textsuperscript{4}\n\nHarrison’s abusive father fits neatly into this role, witnessed by his failure to secure this privileged status within his first marriage. By allowing himself to be ‘bought off’ by the narrator’s maternal grandparents, he merely reinforces his position as an impostor wreaking havoc in the crumbling edifice of his first family’s tortured lives. Harrison’s novel rewrites the family romance plot by substituting the daughter instead of the father at the heart of narrative producing a counter-discourse to the well-worn tale of the father’s overreaching desire.\n\n*The Kiss* shares similar thematic concerns to those raised in Evelyn Lau’s novel, *Other Women*, discussed in Chapter 3. Both of these novels focus on daughters harbouring secret and indigestible histories. These texts reveal the disturbing symptoms produced by their narrators’ psychic incorporation of clandestine family histories. In *Other Women*, the forbidden family subtext remains shrouded in mystery illustrating the narrator’s reluctance to let go of her concealed family history. Her undisclosed secret becomes a reassuringly familiar structuring device within her own psychological narrative that is less threatening than a direct confrontation with the hidden nature of her concealed shame. The symptoms of cryptic incorporation reveal themselves when both narrators attempt to shed their psychological burden. Both narrators adopt different strategies to deal with their unresolved grief and therefore achieve emotional regeneration with\n\nvarying degrees of success. As we have seen above, Lau’s narrator postpones the reparative process of mourning by seeking comfort in endless substitutes, who stand in for the original object loss. In contrast, the narrator of *The Kiss* recreates herself as the ‘bad’ object that no one could possibly love. This oppositional strategy provides her with the impetus to re-establish her identity outside of her family home.\n\nHarrison’s novel is situated in a liminal zone somewhere between childhood and adulthood. The narrative rehearses notions of ‘in-betweenness’ peopled by those who exist outside the social order. Outsiders are used as structuring devices within the novel, which is located within the suspended state of the American road genre. Ideas of the outsider as an attractive depoliticised ‘Other’ resisting conventional norms and values are attractive to the young narrator. Lulled by the seductive rhythm of her father’s car, she drifts past endless tourist destinations where once familiar landscapes are made uncannily strange. The narrator notes that:\n\nIncreasingly, the places we go to are unreal places: the Petrified Forest, Monument Valley, the Grand Canyon - places as stark and beautiful and deadly as those revealed in satellite photographs of distant planets. Airless, burning, inhuman (1997: 3).\n\nThese dark cadaverous spaces, exposed to the blank gaze of the spectator, begin to resemble the narrator’s distorted sense of her own body.\\(^5\\) The defamiliarised inner reaches of her own body are mapped onto the unforgiving landscape, which is increasingly divorced from the reassuring confines of time or context. Their silent passage through forgotten times and places is ‘separated from family and from the flow of time, from work and from school’ (4). These deadly touristscapes are framed as film stills, forming the backdrop to the narrator’s pathological relationship with her body. Like the\n\never-changing landscape creeping past the window she begins to glimpse her body in snatched bits and pieces.\n\nThe snapshot images of archaic landscapes reveal the narrator's fear that her cheating body will merge into the deadly Californian landscape where 'the road always stretches endlessly ahead and behind us, so that we are out of time as well as out of place' (3). She discovers a hidden affinity with the bleached anarchic vistas that respond to a deep-seated fear of her own femininity. There is a seamless assimilation of inner and outer landscapes within the narrator, dissolving the ideologically imposed boundaries separating the subject from the abject 'Other'. Moving along a road that dissolves as soon as it is formed, the narrator consumes a series of deathly images. This evokes a disturbing panorama of sexual unease, where the narrator is captured, 'standing against a sheer face of red rock one thousand feet high; kneeling in a cave dwelling two thousand years old' (4).\n\nThe stylised framing of dissonant images parallels the narrator's feelings of dislocation within this alien landscape. Harrison defamiliarises the reassuring *mise en scène* of the family photograph, reproducing her feelings of estrangement travelling on the road with her father. The endless displacement and deferral of emotion characterising the road movie seeps into the plot producing a constant backdrop of lush movietone imagery where roads disappear in a shroud of blue fog and trees bear gigantic blossoms as big as the narrator's head (4). The narrative operates as a camera within the opening scenes of the novel, silently consuming towns, cities and a succession of anonymous motel rooms. The images reproduced in the text are encrypted within a series of petrified tableaux stripped of colour and\n\nintimacy. These transient images are textual reminders of Derrida's theory that incorporation 'negotiates clandestinely with a prohibition it neither accepts nor transgresses' (1977: 72).\n\nThe harsh flash of exposure briefly illuminates their clandestine meetings posed against the silent backdrop of cities 'where we've never been before' (3). Derrida maintains that 'secrecy is [an] essential' ingredient of cryptic incorporation speaking only 'to silence or to ward off intruders from its secret place' (72). Photographic images are symptomatic of cryptic incorporation within the novel, silently commemorating 'the exclusion of a specific desire from the introjection process' (72).\\(^6\\) The narrator's father takes numerous photographs of his daughter in increasingly compromising positions promising her they will 'show you who you are' (159). The photographs are figured as secret supplements, camouflaged within the inner reaches of the psyche which, according to Derrida, 'hides as it holds' (1977: 67). The illicit cache of photographs is an ambivalent reminder of a secret history conducted between father and daughter where both protagonists fear to expose the nature of their forbidden relationship.\n\nPhotographs operate as cryptic writing within the text. Their indelible imprints mimic the process of cryptic incorporation where indigestible objects are magically incorporated into the melancholic psyche (see Derrida 1995: 71). By taking pictures of his daughter, the narrator's preacher father deludes himself that he can 'love the dead as a living part of me, dead save in me' (Derrida: 71). The narrator discerns the traces of thwarted melancholic desire in his photographs which 'have the same qualities as those documenting medical anomalies' (Harrison: 159). Later, she recognises a similar 'flat and\n\ndispossessed' expression on the faces of soldiers, injured during the Civil War, silently gesturing towards the 'places where bullets entered, and perhaps, exited' (159).\n\nThe narrator's remaining family resist the laborious process of introjection, preferring to identify with the incorporated object commemorating a wasteland of unresolved grief. The narrator's grandmother hurriedly removes her father's image from family photographs, repeating the magical trick of incorporation where uncomfortable memories are ingested as monolithic unprocessed objects into the psyche.\\(^7\\) The narrator is intrigued by her father's uncertain presence within the few surviving photographs held by her mother, noting his marginal status within the frame where he 'seems as incidental as a bystander' (6). Her father is a visual signifier of impossible, unresolved desire within these snapshots, anticipating his subsequent position as the encrypted marker of her mother's failed marriage.\n\nDisturbed sleep patterns hint at the presence of grafted markers of secret despair within mother and daughter. The narrator's mother uses sleep as an antidote for her unrelieved mourning, escaping into this silent refuge, 'whenever she can' (7). Meanwhile the narrator learns how to cradle her own unprocessed grief within the 'cottony somnolence' of sleep, mastering the 'trick of selective self-anesthesia' that leaves her 'awake to some things and dead to others' (137). Magically imitating her mother's enchanted sleep, she slumbers, 'in response to impossible desire' (137). Indigestible sorrow squats deep within the narrator's maternal family. Harrison's mother flits through a series of romantic involvements with other men, whilst remaining 'romantically fixated ... on my father' (10). Meanwhile, his second wife tells the narrator\n\nthat she ‘takes as her husband a man who is not entirely present to her, who is always looking back over his shoulder at my mother and at me’ (10).\n\nFailure to articulate grief in and through the reparative act of mourning figures as a shared reference point within the narrator’s family. Blocked or failed mourning binds family members together, bolstering their unspoken resolve to hide the source of their ‘impossible desire’ (137). The family’s reluctance to shift the memory of the narrator’s father locks them into a mode of repetition precluding the reparative act of remembering. By ingesting his memory wholesale, the family prolongs their sojourn within the vacuum of unresolved, impossible mourning. The narrator’s father is also imprisoned within this airless, joyless space where the spectre of his ‘failed’ past is figured as an insurmountable impediment to the act of mourning. His resistance to the painful task of converting loss into language is revealed in his obsessive interest in photography. By simply rewinding a film, he hopes to restore his position as patriarchal figurehead within his first family.\\(^8\\)\n\nThe narrator’s father attempts to use photography as an interpretative weapon to unlock the secrets buried deep within the steely vault of his first wife’s privileged East Coast family. She remembers how he told her that he began to take photographs ‘to compensate for … his lack of imagination’ (87). Disturbingly, he reveals to his daughter that his camera is his constant travelling companion: ‘without its help he can’t visually recall where he’s been’ (87). Her recognition that her father ‘can’t picture things in his head’, thinking ‘only in words, a text unrelieved by any sensual memory’, offers an unsettling insight into his distorted psychic topography. Her father’s disclosure that he is unable to synthesise literal and sensual imagery reveals the extent of his\n\nillness. By abruptly severing the transformative capacity of memory and imagination from the literal word, he perpetuates his secret history of thwarted masculinity. Abraham and Torok's theory of *antimetaphor* illustrates his inability to express thoughts in figurative language and so convert language into loss. As Esther Rashkin maintains, in 'A Recipe for Mourning', *antimetaphor* suggests the presence of a 'tainted secret' that 'must not be shared in a communion of other mouths' (1995: 370). Rashkin describes the violent repression of figurative language as 'pathological rhetoric' that literalises 'the words associated with the lost object's shame as a means of undoing or nullifying that shame' (370). Rashkin interprets *antimetaphor* as a tropological denial of 'the shame associated with the loss' realised through the destruction of the 'metaphoricity of words' (370).\n\nBy steadfastly denying figurative representation, the narrator's father closely guards the secret shame of his impotent, failed masculinity. The narrator traces the origins of her father's perception of his own failed masculinity through his subordinate relationship with his own father. She reveals how he understands his own father, and 'thus his own manhood', through his 'mythic, sexual appeal' based on a powerful combination of 'violent sexual jealousy' and 'fatal sexual vanity' (121). His revelation that his father's sexual magnetism caused women to follow him in the street hints at his feelings of inadequacy when compared to this all-conquering figurehead. His perception of his own marginalised status, within patriarchal structures, explains his disorderly relationship with his own daughter.\n\nWorking within a Lacanian theoretical model, Elizabeth Grosz claims that the phallus is the essential if illusory link organising relations between the\n\nsexes so that 'the phallus *qua* signifier map[s] the position(s) each occupies as a feminine or masculine subject in the patriarchal symbolic order' (1990: 116). The illusory, even 'virtual', nature of this psychic topography, described by Grosz, implies that patriarchal 'security' is tenuous and therefore always under threat. Indeed, Grosz points out that masculine anxieties related to sexual performance and impotence culminate in a 'desperate search of the other through whom the man can have his position as the possessor of the valued/desired organ confirmed' (118). Viewed from this theoretical angle, the narrator's father translates into a wilderness figure attempting to recuperate paternal phallic authority by occupying his daughter's body, telling her that \"You belong to me\" (85).\n\nEscalating fear of betrayal and impotence underpin his decision to violate his eldest daughter in his maternal home. The narrator is aware that he 'needs to do it at his mother's house. He needs the power granted by her presence, and he needs to thwart that power' (128). Her father's violation of this most ancient taboo, in the heart of his maternal home, is a forcible reminder of his emasculated status within his own household. Her father's unspeakable act forces the narrator to confront his masochistic relationship to his own masculinity. She realises that he 'resents his servitude, along with the castration implied by the robes he's forced to wear (he calls them skirts)' (126). Moreover, the narrator is aware of the violent de-idealisation of his own masculinity, forcing him to find 'a target in mothers: in mine and in my grandmother, who took away his wife and child; in the church itself, through whose wall he once put his fist' (126).\n\nThe narrator's reappraisal of her father, following their abusive encounter, strips him of the romantic discursive apparatus traditionally ascribed to the outsider who rescues the 'heroine' from the dreary anomie of suburban life. Instead, she begins to see an indeterminate figure, neither masculine nor feminine, who uses her body to reassert the fiction of his own paternal authority. Kaja Silverman's discussion of 'The Ruination of Masculinity' (1992) in Rainer Werner Fassbinder's films illustrates how demasculinated figures, such as Harrison's father, seem doomed to repeat their troubled pasts. In films such as *In a Year of Thirteen Moons*, the castrated central protagonist endlessly repeats the agonising events leading up to his mental collapse, reconceiving 'figural history as the ruthless subordination of the present and the future to the past' (250). The erosion of the transformative figure of hope, in relation to a better future, is refused in Fassbinder's cinema, which, Silverman maintains, 'produces representative after representative of psychic stasis' (251). She argues that this debilitating vacuum occurs because:\n\nIts prototypical characteristics cannot muster all of their mental resources on behalf of a better world, not only because self-presence is an impossible goal, and agency extremely limited, but because they carry within themselves a malign past which cannot help but repeat itself. It is consequently not only the social order which seems resistant to change, but subjectivity as well (1992: 251).\n\nSilverman's portrayal of a bleak emotional landscape, doomed to endless repetition, reprises the scene of dereliction binding father to daughter in *The Kiss*. The text is constructed in a series of flashbacks focusing on the narrator's father's perpetual absence. His reappearances within the text provoke harsh and bitter memories related to his failure as son, husband and father. The seamless assimilation of the present, by the past, reinvokes the\n\nmurderous cycle of annihilation through identification, miring all three protagonists in the graveyard of melancholic ambivalence.\n\n(v) Conclusion\n\nIn the introduction to her study of identification, Diana Fuss claims that this process 'invokes phantoms. By incorporating the spectral remains of the dearly departed love-object, the subject vampiristically comes to life' (1995: 1). This necrophilic activity can be clearly observed in Kathryn Harrison's story of paternal betrayal and abandonment. As Fuss astutely maintains, 'these revenants of the unconscious frequently take us by surprise. Identifications startle us by the apparent suddenness of their emergence, the violence of their impact, the incalculability of their effects' (1/2). Harrison's novel uncovers a panoply of unreconstructed psychical histories, shadowing the strained relationships within her own family. The powerful, even catastrophic, consequences following cases of repressed or pathological identification are painfully rehearsed in Harrison's rendition of the unbearable loss of her father through a consensual, incestuous relationship, initiated by him.\n\nHarrison's retrospective narrative exposes the destructive nature of failed identification, which, according to Fuss, 'sets in motion the complicated dynamic of recognition and misrecognition that brings a sense of identity into being, also immediately calls that identity into question' (1995: 2). Harrison's fateful encounter with her father occurs during the formative years of adolescence. Adolescence has been historically constructed as an ambiguous and therefore dangerous category that is complicated by its\n\ntendency to be approached through the normative frame of adult-based theoretical models. Indeed, Harrison’s father approaches his daughter from a similar standpoint by exploiting the cultural notion of youthful femininity being briefly exposed to subversion and manipulation by unscrupulous adults. His perverse preoccupation, with his daughter’s naked image, bears witness to his wish to capture the evaporating text of adolescent femininity on celluloid before it disintegrates.\\(^9\\) His furtive project is sustained by a desire to access the fleeting sexual charge embedded in his erotically challenging offspring.\\(^10\\)\n\nIronically, the ‘flat dispossessed’ aura surrounding his photographs reflects back the circular monotony of his own self-imposed exile within what Silverman describes as ‘an unchanging and unchangeable world, in which past, present, and future fold back upon each other in an endless reprise of the same’ (1992: 253). The narrator’s father inhabits yet another liminal zone suspended between the demands imposed by parents, family and the church. The physical reality of his second family is haunted by the overwhelming force exerted by his first wife and her reclusive family. His inability to introject the shamed lost object of his masculinity accounts for his compulsive ‘attraction’ to the source of his unreconstructed grief. His extended stay in such an intolerable vacuum is a result of his fear of exposure. He fears the discovery of his defective, incomplete manhood witnessed by his failure to convince his first wife and her family that his masculinity remained intact.\n\nInterestingly, Kaja Silverman observes that the bleak atrophic vision promulgated by Fassbinder *In a Year of Thirteen Moons* is infused with an aura of delirious masochistic pleasure. She suggests that, ‘although there may be no escaping the vicious circle of pain and oppression, there is\n\nnevertheless a way of functioning within it which permits life to be sustained, at least for a time, and which occasionally yields moments of an intense and self-transcending pleasure' (1992: 255/6). Silverman's vision of transcendent survival, within an alternative sphere situated at the 'razor's edge of negativity' (256), invites comparisons with the masochistic self-deprecation practised by Harrison's father in *The Kiss*. Furthermore, her contention that masochistic ecstasy in Fassbinder's film is figured as a paradoxical utopian realm, predicated on the 'exquisite suffering' of its central protagonist, has important implications for the manner in which male subjects continue to be inscribed within melancholic discourses.\n\nIndeed, Silverman's description of the utopian trajectory of Fassbinder's film bears an uncanny resemblance to Roland Barthes' willed resistance to mourning in *Camera Lucida*. As Silverman points out, Fassbinder's cinema is 'utopian not only in its attitude of unremitting refusal, but in the access which it yields to a psychic \"elsewhere\", an access which is synonymous with what I will call \"masochistic ecstasy\"' (257). The similarities between Silverman's appraisal of Fassbinder's representation of masochistic sublation and Barthes' theory of sustained mourning, adumbrated in *Camera Lucida*, are particularly striking. Barthes remarks that:\n\nIt is said that mourning, by its gradual labor, slowly erases pain; I could not, I cannot believe this; because for me, Time eliminates the emotion of loss (I do not weep), that is all. For the rest everything has remained motionless (quoted in Woodward, 1990: 97/8).\n\nKathleen Woodward emphasises how Barthes externalises the figure of his deceased mother in his essay. By choosing to preserve the pain associated with bereavement, Barthes resolutely and self-consciously declines to participate in Freud's prescription for successful mourning through\n\nthe arduous process of 'reality testing'. His decision to wilfully prolong the\neviscerating pain of loss is remarkably similar to Silverman's description of\n'rapturous ... exquisite suffering' in Fassbinder's treatment of masochistic\necstasy in his film *In a Year of Thirteen Moons*.\n\nWoodward concludes that Barthes 'explores photography as a\n\"wound\", as a way of refusing to allow the pain of his mother's death to\nsubside and of asserting his attachment to her' (105/6). However, Woodward\nturns aside from the masochistic dynamics implicated in Barthes' rehearsal of\nhis mother's death by failing to question what he stands to gain from\nrepeatedly 'witnessing and producing his own loss' (107). Silverman's\nanalysis of masochistic divestiture in *In a Year of Thirteen Moons* helps us to\nunderstand why the male subject would choose to locate himself within this\n*cul-de-sac* of unrelenting pain. She argues that Fassbinder's representation\nof masochistic ecstasy, in this film, reveals 'the thrill of foregoing mastery ...\nthe thrill at being lifted up and out of sadism, and at residing within rather than\n\"swallowing\" the other' (1992: 267). Silverman's theorisation of a psychic\n'other' place, where the male subject can shed the 'defensive operations' that\n'sustain normative male subjectivity', translates into yet another example of\nthe male subject's mastery of melancholic discursive practices. Silverman's\nconceptualisation of a psychic retreat, where the masculine subject can\nunload the 'cultural fictions' covering 'the abyss at the center of subjectivity'\n(256), illustrates why melancholic discourses are still dominated by male\npractitioners such as Fassbinder.\n\nAs Juliana Schiesari points out, the discourse of melancholia\ncelebrates 'heroic suffering and consecrates the situation of lack as blessed'\n\nSilverman's dissection of the paradoxical losses and gains implicit in her notion of masochistic empowerment, through pain, illustrates how Roland Barthes and Harrison's abusive father survive within such an ostensibly moribund, self-defeating space. It is no accident that both men focus on photographic representations of 'departed' family members in order to replay and hence relive the delirious pain subtending their own 'heroic suffering'. Corey K. Creekmur suggests that photographic representations reflect their creator's desire to 'fix, isolate and analyse motion through the production of amazing stills' (1978: 47). Creekmur's description of authoritative control through the medium of photography is illustrative of a masculine need to name and control. His notion of the photograph as a starkly manipulative space explains why masculine figures such as Barthes or Harrison's father reject the thoroughgoing process of mourning. By immolating themselves within the closed space of unresolved grief both men exist within a reassuringly familiar patriarchal context that supports their privileged status within its ranks.\n\nIn *On Photography* (1978), Susan Sontag describes the powerful appeal of photography as a 'mass art form' practised 'mainly as a social rite, a defense against anxiety, and a tool of power' (8). Sontag's describes photography as a conservative process that can be manipulated in a pornographic sense. By promiscuously circulating photographic images she implies that is possible to reinforce the power of dominant discourses by constantly reiterating monolithic interpretations of set pieces such as the family photograph. Harrison illustrates how easily these stylised tableaux can be undermined when she reveals the shady underside of these conventions.\n\nduring her trips to the heritage landscapes of southern California. She readily exploits these duplicitous images revealing how easily they yield up their dark, *unheimlich* interiors. By actively engaging with the discourse of photography she creates counter-cultural images that threaten her father's oppressive manipulation of the photographic image.\n\nUnlike her father, Harrison's fictional narrator is unable to access the discursive valorisation of de-idealisation prevailing within Western philosophical traditions and practices. As Schiesari points out, 'the more the artist suffered, especially through self-denial, the more he became emblematic of superior aesthetic virtues' (1992: 8). Roland Barthes clearly benefits from the traditional construction of the tortured melancholic man of letters, consumed by the 'Sisyphean labour' (1982: 86) involved in endlessly rehearsing the past. Even Harrison's disaffected father manages to accrue power through his history of 'inspired' suffering engendered by his experience of thwarted desire. The narrator draws on cultural narratives upholding the fiction of masculine superiority through suffering, when she concludes that, 'now I have known him, and he me, the rest of my life depends on our exile from each other' (202). She remains transfixed, 'anesthetized and fastened down' (1982: 57), within her father's circular melancholic rhetoric.\n\nHarrison leaves us with the confession that 'the loss of my father will haunt me as it did in the days long past, when I saw a man with no face walk in the halls in our house. Somewhere in the world is a father I can't know' (202). Harrison's novel is a therapeutic text mourning the loss of a significant Other who traditionally performs a crucial, centralising role within the sentimental family romance. The novel helps her to test reality, in a Freudian\n\nsense, by meticulously working through the confusing and painful aftermath of her forbidden relationship with her father. As Freud points out, this all-consuming task is 'carried through bit by bit, under great expense of time and cathectic energy, while all the time the existence of the lost object is continued in the mind' (1957: 154). Harrison's concluding remarks suggest that her version of 'reality testing' will persist throughout her life. As a wife, mother and grandmother, she will constantly rework her ideas of what these categories mean without her father. Freud conjectures that 'mourning is regularly the reaction to the loss of a loved person, or to the loss of some abstraction which has taken the place of one, such as fatherland, liberty, an ideal and so on' (153). Harrison's loss is both conscious and unconscious, combining the physical loss of her father with the unconscious loss of liberty engendered by the ideological destruction of her own idealised 'fatherland'.\n\nHer book is a testament to the destruction of the desires and dreams projected onto her idea of what such a father should represent. Her novel commemorates the demise of her own sentimental family romance plot traditionally held together by the fictional authority invested in the father as a patriarchal figurehead. The collapse of this reassuring fiction impels her to inscribe her story within a counter-discourse where the daughter replaces the patriarchal father at the heart of the narrative. In overcoming this monumental ideological hurdle she transforms her story from a pathological commemoration of shameful, secret desire into a textual representation celebrating her right to grieve.\n\n---\n\n1 Stevi Jackson concludes that the 'happy ever after' conclusion of fairy tales and romances papers over the contradictions between these two forms of love. This narrative closure indicates that the excitement lies in the chase, not the 'happily ever after' (53). Barthes' unrelenting grief for his dead mother deviates from the repetitive trajectory of the\n\nheterosexual romance plot in its bid to extend the quest for ideological fulfilment beyond the grave. *The Kiss*, reveals how the traditional 'happy ever after' conclusion of fairy tales frequently mask a much darker fiction where ideological struggles continue long after the tale's official closure. See Stevi Jackson (1992) 'Women and Heterosexual Love' in Lynne Pearce and Jackie Stacey (eds), *Romance Revisited*, London: Lawrence & Wishart, pp. 49 - 63.\n\nI am borrowing Linda Zwinger's definition of the sentimental family romance plot to describe the asymmetrical power structure traditionally enforced within Western patriarchal structures. According to Zwinger, 'the story of heterosexuality ... points to the production of a genre (the modern bourgeois family novel), a story (the middle class father-daughter romance, and a figure (the sentimental daughter) all designed for and invested with the particular purpose of rendering null and void any daughterly desire to deviate from that patriarchal incorporation' (118). See Linda Zwinger (1991) 'A Child Never Banished From Home: The Daughter's Daughter' in *Daughters, Fathers and the Novel: The Sentimental Romance of Heterosexuality*, Wisconsin: Wisconsin University Press, pp. 117 - 140.\n\nI am borrowing Linda Zwinger's term 'the defeated son' to describe Harrison's father's subordinate position within her mother's family. Zwinger contends that the desirable daughter must be sentimentalised within the conventional family romance in order to 'protect her desiring father from himself, as desiring what he should not take' (9). The father's inferior status within Harrison's maternal family disturbs the contrived dynamics of sentimental family life outlined by Zwinger. See Linda Zwinger (1991) 'Introduction' in *Daughters, Fathers and the Novel: The Sentimental Romance of Heterosexuality*, Wisconsin: Wisconsin University Press, pp. 1 - 9.\n\nLinda Zwinger points out that sentimental daughters often prop up the patriarchal authority of the fictional father in novels such as *Pride and Prejudice* and *Emma*. She notes that these novels present 'paternal deficiencies which must be made good, and made good they are by the daughter in the story who most fully occupies a (metaphorically) writerly position' (126). Here, we see the daughter occupying a melancholic role that mimics what Zwinger sees as 'the ultimate patriarchal duty of orchestrating exogamous exchange' (126). Traditionally, therefore, the sentimental daughter perpetuates patriarchal mandates through her hysterical identification with her father. By refusing the melancholic role of the sentimental daughter Kathryn Harrison fatally undermines the patriarchal privileges accorded to the father within the traditional family romance. See Linda Zwinger (1991) 'A Child Never Banished from Home: The Daughter's Daughter' in *Daughters, Fathers and the Novel: The Sentimental Romance of Heterosexuality*, Wisconsin: Wisconsin University Press, pp. 124 - 127.\n\nJill LeBihan's description of the critical category of the grotesque is enlightening in this particular context. LeBihan builds on Mary Russo's description of the grotesque, as a bodily metaphor, resembling 'the cavernous anatomical female body' (quoted in LeBihan, 1997: 4) by synthesising it with Derrida's notion of cryptic incorporation. By connecting the grotto with the crypt, LeBihan points out that 'we have something like the familiar understanding of the feminine in psychoanalysis: something outside the symbolic; something sealed off, private; something that has to be penetrated, forced open by those that would know its dark secrets' (5). (5). The mysterious menace of the Californian landscape, described by Harrison, closely resembles the cultural demonisation of the female body described above. See Jill LeBihan (1997) 'Tearing the Heart Out of Secrets: Inside and Outside Murder Mysteries', Unpublished Masters Paper, Sheffield: Sheffield University, pp. 1 - 20.\n\nCorey K. Creekmur draws attention to the defensive operation of the photograph in the work of mourning. He argues that the photographic imprint 'persuades' the ego that the lost object will exists in the imaginary, thereby avoiding 'any painful confrontation of the reality of the object's absence' (46). See Corey K. Creekmur (1978) 'The Cinematic Photograph and the Possibility of Mourning', *Wide Angle*, 9: 1, pp. 41 - 49.\n\nThe destruction of her father's image within the family album is similar to Evelyn Lau's description of her mother's secret letters in *Other Women*. Both women reveal a deeply entrenched reluctance to undergo the thoroughgoing work of introjecting grief by magically excising the source of their unreconstructed grief and anger. See Evelyn Lau (1995) *Other Women*, London: Minerva, p. 189.\n\nKathryn Harrison's first novel, *Exposure* (1993), is a thriller that focuses on yet another daughter's troubled relationship with her father. Within this novel, the central protagonist, Ann Rogers, is photographed by her father in a series of compromising studies including masturbation and self-mutilation. After her father's suicide Ann works works for a commercial\n\nphotographic studio in New York producing videos of weddings and christenings. The theme of obsessive and intrusive photography anticipates the theme of paternal abuse in *The Kiss*. Interestingly, Robert Zeigler sees Ann's work at Visage Video as an healing exercise that contrasts with her father's pathological fixation with the photographic image. See Robert Zeigler (1996) 'The Body in Pictures in Kathryn Harrison's *Exposure*' in *Notes on Contemporary Literature*, Vol. 26, 5, pp. 6 - 7.\n\nThe fictional father in *Exposure* is also disturbed by his daughter's adolescent status. Robert Zeigler postulates that his suicide is caused by 'his inability to circumscribe Ann in his pictures and thereby stop her progression into adolescence' (7). Zeigler suggests that Edgar Rogers' disillusionment with his daughter's maturing body hinges on his fear that he will be unable to control her body. As a result of her father's manipulative preoccupation with her bodily image Ann feels that her own identity is in jeopardy. As Zeigler puts it: 'Harrison shows that even the most author-centered text cannot control interpretations. Subordinated to her father as no one, Ann is also universalized in the Museum of Modern Arts' retrospective on Edgar's work as the property of everyone' (7). See Robert Zeigler (1996) 'The Body in Pictures in Kathryn Harrison's *Exposure*' in *Notes on Contemporary Literature*, Vol. 26, 5, pp. 6 - 7.\n\nCarol Mavor focuses on the interface between adolescence and photography in her essay on the work of the Victorian artist Clementina Hawarden. Mavor argues that Hawarden's studies of her daughters exploit the idea that adolescence and photography merged together form a cultural window that is briefly open to subversion and manipulation. As she points out, the photograph is 'developed extra quickly, like a Polaroid picture, like a fourteen year old girl, like her last breath before death. So much, so fast' (93/5). See Carol Mavor (1997) 'Becoming: The Photographs of Clementina Hawarden, 1859 - 1864' in *Genre*, 29, Spring/Summer, pp. 93 - 134.\n\n(i) Conclusion\n\nI could have everything I ever wanted, but I held back. Now that I could have it, there was no need to rush the moment. Once I had it, it would change, and I would never have this moment - the moment of changing from not having to having - again ... Every second was in itself complete and fulfilling and totally interesting. It was the best few minutes of my life, and if I could have stopped time there altogether I would have, and you would see me still in that room, the orange light hitting the dust beams in the air, and the water, and her southern smile (Jane De Lynn, 1991: 51/2).\n\nUnfortunately, lying makes us feel omnipotent. It creates a terrible loneliness. Here, tonight, I feel cut off from you and from everyone. Truth telling, therefore, has to be an ultimate value, until it clashes with another ultimate value, pleasure, at which point, to state the obvious, there is conflict (Hanif Kureishi, 1998: 136).\n\nIn a recent *Guardian* article, Elaine Showalter attempts to stem the tide of criticism directed at the British women's novel of the 90's. The article was commissioned in response to Loïa Young's damning indictment of contemporary British women's fiction as 'insular; parochial and piddling' (1999: 2). As chair of the Orange Prize, for British women's fiction, Young complained that British women writers were 'thinking small' in contrast to their American counterparts who were taking 'small intimate stories and setting them against this vast physical and cultural landscape' (quoted in Showalter, 1999: 3).\n\nShowalter attempts to put the record straight by placing recent work by writers such as Michele Roberts, Jeanette Winterson and Pat Barker in a wider cultural framework which owes as much to the British New Woman novel of the 1890s as recent developments in marketing and electronic technology (3).\n\nShowalter reminds the reader that Young's 'damning verdict' is by no means rare. She points out, that Young's invective was matched by the 'dire\n\njudgements' heaped on the New Woman novel of the 1890s, proving how 'cyclical and familiar such literary perceptions have become' (2). Furthermore, Showalter reveals that she has detected a worrying tendency to ignore or patronise women's fiction deemed to be 'too popular, domestic or feminine' (3).\n\nAs a literary historian, Showalter views such intolerance as evidence of:\n\nA perpetual bias against feminine subject-matter and female subjectivity, as prevalent now as a century ago, [which] tends to belittle stories about women's lives, especially the unpoor, unaged and unmad, as if they could not be worth serious literary attention (1999: 3)\n\nShowalter's polemic endeavours to redress the cultural denigration of recent women's fiction by emphasising its position within an evolving tradition of women's writing. She is then able to locate the allegedly xenophobic British women's novel of the 90s within one of the tradition's many peaks and troughs. Showalter attributes the apparent loss of faith in British women's writing to 'the gap between reader responses and authorial concerns' (2/3), brought about by readers' familiarity with previously forbidden territory such as incest or female sexual fantasy, which has now been addressed by an earlier generation of women writers. Showalter implies that the British women's novel is currently undergoing 'a paradigm shift' (2), carefully regrouping its forces, before moving on to tackle weightier issues. By 'assimilating influences that are global', or responding 'to the hybrid and multicultural society of modern Britain' (3), Showalter confidently assures the reader that 'the insularity and locality of setting that characterised British women's writing a century ago has now largely disappeared' (3).\n\nShowalter's stalwart defence of the British women's novel of the 90s reveals a hidden assumption that women's writing is still perceived to be the impoverished poor relation of writing by men. It is difficult to imagine male\n\nnovelists being subjected to the same degree of public and academic scrutiny by both readers and peers. Indeed, the accompanying soundbites, provided by literary 'luminaries' such as Rose Tremain, Lisa Jardine and David Lodge, suggest that women's writing is a 'suitable case for treatment' forever marginalised by the authority and *gravitas* accorded to writing by men. Tremain suggests that English writers are compromised by their inability 'to transport themselves to a more colossal landscape' (3), whilst Jardine maintains that 'women are now writing counter-current novels, that run against the grain of the tradition, and they can do that anywhere' (3).\n\nAll three women's commentaries reveal underlying insecurities related to women's ability to produce work that actively engages the reader or indeed extends beyond the limitations of the middle-class 'aga-saga'. Indeed, Showalter's argument yields a disturbingly apologetic subtext where women writers must once more demonstrate their ability to engage with wider 'global' issues set against 'vast physical and cultural landscapes' (3). Showalter's tendentious approach, to an alleged domestification of recent women's writing, suggests that Catherine Belsey and Jane Moore's declaration, after Jardine, that the collapse of the West's grand narratives have resulted in a radical restructuring of the central tenets of humanism, seems somewhat premature (see Belsey and Moore, 1989: 18). Both Young and Showalter, unwittingly encourage a return to the grand sweep of such narratives, even if their judgements are tempered by their familiarity with the deconstructive turn of much recent poststructuralist theory. Indeed, both critics adopt a curiously imperialist stance when appraising the work of other women writers, exerting a degree of domination over their subordinate status, which Ashcroft *et al*\n\nmaintain describes the crucial intersection of feminism and post-colonialism (1998: 101).\n\nLiterary and cultural invisibility is familiar terrain for the woman writer. As this thesis demonstrates, women were excluded from the discourse of melancholia even though recent research suggests that women did contribute towards this area (see Schiesari 1992; Radden 1987). As we have seen, in relation to Schiesari’s work on melancholia as a gendered discourse, the cultural investment in women’s expressions of loss suffered in comparison to the philosophical and academic kudos accorded to celebrated male melancholics such as Ficino, Petrarch or even the fictional character, Hamlet. As she astutely maintains, women’s historic failure to register within this discursive field has occurred because:\n\nthe *discourse* of melancholia has historically designated a *topos* of expressibility for men and has accordingly given them a means to express their sorrows in a less alienated way, while relegating women to an inexpressive babble whose only sense (at least for the doctors of melancholia) is their need for a good man (1992: 15)\n\nSchiesari’s commentary on the way that the discourse of melancholia legitimates the production of masculine expressions of loss, whilst devaluing women’s work within this particular field, is remarkably similar to the way that academics such as Young infer that some British women’s writing is ‘narrow, claustrophobic and narcissistic’ (1999: 2). Her declaration that recent women’s fiction amounts to little more than an ‘interminable flood of gaseous chatter’ which threatens a lamentable ‘feminisation of the literary marketplace’ (quoted in Showalter, 1999: 2) reveals the close links between the production of femininity and melancholia within Western culture. It is simply unimaginable to\n\nenvisage critics describing Hamlet's expressions of loss and grief as a flood of 'gaseous chatter' sullying the 'literary marketplace' (2).\n\nHanif Kureishi's recent novel, *Intimacy* (1998), illustrates how the cultural politics related to gender operate within melancholic or depressive discourse. Kureishi's book is an elegiac narrative relating the story of the author's mid-life crisis that coincides with his decision to leave his partner and two young children. Kureishi's inchoate grief is exacerbated by what he refers to as a 'new restlessness' (131) afflicting affluent, middle-aged professional men. The critical comments, on the cover of the Faber and Faber paperback edition of the novel, congratulate the author on his 'astute and painful dissection of male sexual restlessness' told with 'seriousness, tenderness and upsetting aplomb' (*Mail on Sunday*). Meanwhile, *The Observer* celebrates Kureishi's 'excoriating' honesty, whilst *The Independent on Sunday* proclaims that 'Intimacy speaks to, and for, a lost generation of men: those shaped by the Sixties, disorientated by the Eighties and bereft of a personal and political map in the Nineties'. The congratulatory rhetoric, accompanying the novel's publication, firmly situates Kureishi's novel in the great tradition of melancholic *auteurs* such as Petrarch or Nerval, whose work according to Western metaphysical thought, displayed the gift of artistic creativity refracted through a growing cult of sensitivity (see Schiesari 1992; Radden 1987). Kureishi's prose reflects this sense of privileged lack when he declares that, 'I believe in individualism, in sensualism, and in creative idleness. I like the human imagination: its delicacy, its brutal aggressive energy, its profundity, its power to transform the material world into art' (1998: 132).\n\nThe carefully cultivated sensitivity embedded in Kureishi's worldview, merely reiterates the rigid binarism implicit in melancholic discourses where masculine sensitivity is purchased at the expense of women's devalued utterances. Freud's assertion, that the melancholic 'has a keener eye for truth' (1957i: 156), is clearly evident in Kureishi's studied discomposure.\n\nSignificantly, however, in the light of Professor Young's deprecating remarks about the woman's novel of the 90s, Kureishi's portrait of metropolitan ennui is received as a striking example of transcendence achieved through the art of writing. The 'personal' within this novel is resolutely 'political' speaking, as we have already seen, 'to and for, a lost generation of men' (*Independent on Sunday*: backcover).\n\nAs Sara Mills maintains, in her analysis of 'Feminist Theory and Discourse Theory', the feminist rallying cry 'the personal is political' still retains some of its resonance today because it redefines the meaning of the word political (1997: 79). In this particular instance, the feminist slogan demonstrated how the 'political' infiltrates the minutiae of everyday domestic routine, helping a generation of women to understand that the division of labour within households was a structural and political issue rather than a private arrangement between two individuals (79). It seems that some feminist critics, such as Young, are beginning to lose sight of the way that power relations are negotiated in and through discursive formations. Young's observation, that 'the novel as a work of art is disappearing ... the reason is that more and more in our modern age, novels are written by women for women' (2), suggests a disturbing undercurrent of 'feminised' self-loathing combined with an even more worrying blindness to the way that political power is disseminated within\n\ndiscursive structures. If Kureishi’s novel can address ‘a lost generation of [melancholic] men’, it would seem reasonable that novels written by women should be able to address the political interests of women readers.\n\nMore importantly, for the purposes of this thesis, Young’s premise that women’s participation in the literary production of the novel is undermining its artistic and theoretical credibility demonstrates how readily oppositional or dissonant discourses can be assimilated by the dominant institutions of the day. Juliana Schiesari illustrates how melancholic discourse has continually appropriated the sense of loss encapsulated within the devalued status of women’s mourning. This loss has been recuperated in order to ‘legitimate the male in his “excessive” suffering, even in his “femininity”’, leaving ‘women as an oppressed and nameless (or generic) other’ (1992: 13). This tendency for dominant masculine discourses to reappropriate feminine ideological thought, has been noted by other feminists such as Tania Modleski, who has raised concerns that the recent emergence of gender studies within academia has co-opted feminist thought for the benefit of male academics working within this field (see Modleski 1991). Moreover, Young’s concern that recent women’s fiction suffers from ‘a disproportionate emphasis on female sexuality’ (quoted in Showalter, 1999: 2), shows how dominant discourses evolve in response to the needs of the disciplinary society they are designed to service and maintain.\n\nAs Mills points out, after Foucault, confessional discourse operates along hierarchical lines constructing compliant subjects who automatically and unself-consciously occupy a subordinate position within this discursive structure (1997: 81). Mills, sees therapy as the quintessential confessional discipline, where the typically female analysand is encouraged to internalise societal problems as her\n\nown in the presence of an empowered male therapist (81). Mills’ commentary on the disciplinary nature of confessional discourse reveals how discursive formations perpetuate cultural narratives that shape and reorder people’s lives.\n\nMills’ analysis of psychoanalytic therapy is especially significant for this thesis, which examines how and why women have been excluded from the discourse of melancholia. Indeed, as a discursive practice, melancholia reveals how exclusionary politics operate to marginalise and in many cases prevent women from accessing its own elitist androcentric rhetoric. As Diana Fuss points out, in her study of identification, Freud shores up his unwieldy construction of sexual difference when he attempts to theorise identification’s relationship to the oppositional figure of desire (1995: 11). According to Fuss:\n\nFreud distinguishes identification (the wish to be the other) from sexual object-choice (the wish to have the other). For Freud, desire for one sex is always secured through identification with the other sex; to desire and to identify with the same person at the same time is, in this model, a theoretical impossibility (1995: 11)\n\nFuss neatly dismantles the suspect engineering supporting the Freudian construction of identification, which performs such a crucial role in his theory of mourning and melancholia. Fuss correctly maintains that identification and desire ‘form the cornerstone of Freud’s theory of sexual identity formation’ (11). Yet, as Fuss points out, ‘psychoanalysis’s basic distinction between wanting to be the other and wanting to have the other is a precarious one at best’ leaving ‘its epistemological validity seriously open to question’ (11).\n\nBy unravelling the convoluted plot of gender acquisition, within Freudian theory, Fuss reveals the ‘artificial’ constructed nature of Freudian theory. Her dissection of the unstable reference points within his theorisation of identification and desire demonstrates how cultural narratives are sometimes\n\nshaped by dubious conceptual models assembled to support a theoretical point. These already 'suspect' theories, reflecting the cultural prejudices sanctioned by dominant discourses, are distributed through discursive networks influencing the way that the sexes relate to each other as well as the stories they tell about each other. However, as Mills explains, feminist discourse theory reveals how discursive procedures are flexible open-ended structures constantly reworked and revised by successive generations (1997: 82). By contextualising confessional discourse, Mills argues that women are able to reinterpret oppressive subject positions by disavowing the received rhetoric of 'failure' and 'self-blame' in favour of an informed critique of the production of femininity and sexuality within Western culture.\n\nHowever, as this thesis demonstrates, received narratives related to femininity within the West are mired within a deeply entrenched misogynist framework that proves difficult to resist. These oppressive structures intersect with other discursive formations, such as melancholia, to produce a narrative that conveys the message that women are more prone to suffer from depression than men because of the way in which they are inducted into the Symbolic order (see Radden 1987; Schiesari 1992; Kristeva 1989). The durability of these discursive formations is demonstrated by their power to influence feminist intellectuals, such as Julia Kristeva, who maintains that the 'greater frequency of feminine depressions' is contingent on defective feminine sexuality with 'its addiction to the maternal Thing and its lesser aptitude for restorative perversion' (1989: 71). These unsupported statements, related to feminine depression, illustrate how dominant discourses have 'conspired' to\n\nproduce a theoretical position that is both masochistic and self-defeating for women.\n\nKristeva's unproblematic assumption of the more punitive aspects of the discourses of femininity and melancholia are a testament to their ability to influence the cognitive powers of a distinguished philosopher and intellectual. However, the five novels under consideration in this thesis reveal how discourses are situated within an ever-changing social context. As the feminist discourse analyst Dorothy Smith points out:\n\nMembers of discourse orient to the order of the discourse in talk, writing, creating images whether in texts or on their bodies, producing and determined by the ongoing order which is their concerted accomplishment and arises in the concerting (quoted in Mills, 1997: 86).\n\nIt is possible to trace women's active engagement in the production of femininity and melancholia in the five narratives considered in this thesis. Elizabeth Smart's account of the violent suppression of her ecstatic discourse by the hostile patriarchal machinery surrounding her in post-war America differs from Kathryn Harrison's refusal to grant her father the intellectual and aesthetic kudos traditionally accorded to the melancholic male figure, however repulsive, reviled or dispossessed. Sheard and Harrison's texts dramatise women actively reinterpreting their own life narratives, reassembling the self-defeating elements which had previously encouraged them to internalise the negative version of femininity promulgated by dominant discourses. Within both of these narratives women are portrayed as active agents who use language to carve out more empowered subject positions which in turn enrich their relations with others.\n\nThese narratives deploy a new curative aesthetic where art or language is used to transform what had hitherto appeared to be insurmountable\n\npsychological obstacles to the reparative act of mourning. The narrators of both of these texts are examples of resisting daughters who ultimately refuse to passively insert themselves within the all-encompassing snare of dominant discourses (see Zwinger 1991; Mills 1997). Both novels suggest that the transition from the silent world of the melancholic to what Abraham and Torok call a 'community of mouths' (see Abraham and Torok 1994; Rashkin 1995) is achieved at great expense, both physically and emotionally.\n\nAll of the novels considered in this project present female subjectivity under threat from an oppressive and prescriptive patriarchal regime. The narrators of all five novels are portrayed as women striving to break free from the restrictive confines of femininity as it is figured within the patriarchal Symbolic. As I have already mentioned, these women must reorganise and restructure the received narrative of femininity if they are to transform the endless rehearsal of loss integrated into the perennial script of melancholic femininity. In order to achieve such a transformation the women must engage with the unsayable or forbidden subtext of sexual difference within patriarchal structures. These women use language as an ideological weapon to write their way into creating a new identity predicated on the notion that the unsayable must be said and heard. In their lives, the personal is indeed the political, even if their rescripted narratives threaten the integrity of the nuclear family at the heart of the Symbolic order.\n\nAt the end of the twentieth century, the 'writing cure' has replaced the 'talking cure' within melancholic discourse. The reshaped and reordered narratives, discussed above, are testaments to women's will to register their right to mourn within a patriarchal system designed to ensure women's silence.\n\nThe melancholic life narrative is the medium where such women work through their loss, away from the intrusive presence of the analyst who sanctions what can be said within psychoanalytic confessional discourse. The open page is the new arena where women are able to reclaim their devalued emotions so that they can at last begin to articulate their losses and begin to mourn, so that writing through becomes synonymous with working through.\n\n(i) PRIMARY REFERENCES\n\nHarrison, Kathryn (1997) *The Kiss: A Secret Life*, London: Fourth Estate.\n\nHustvedt, Siri (1992) *The Blindfold*, London: Sceptre.\n\nLau, Evelyn (1994) *Fresh Girls and Other Stories*, London: Minerva.\n\nLau, Evelyn (1995) *Other Women*, London: Minerva.\n\nSheard, Sarah (1993) *The Swing Era*, Toronto: Alfred A. Knopf Canada.\n\nSmart, Elizabeth (1992) *By Grand Central Station I Sat Down and Wept*, London: Flamingo.\n\n(ii) SECONDARY REFERENCES\n\nAbraham, Karl (1949) 'A short study of the development of the libido; viewed in the light of mental disorders' in *Selected Papers on Psychoanalysis*, London: The Hogarth Press.\n\nAbraham, Karl and Maria Torok (1994) 'Mourning or Melancholia: Introjection versus Incorporation' in *The Shell And The Kernal*, London: University of Chicago Press, pp. 125-38.\n\nAbrams, M.H. (ed.) (1988) *A Glossary of Literary Terms*, London: Holt, Rinehart and Winston.\n\nAdkins, Lisa (1998) 'Feminist Theory and Economic Change' in Stevi Jackson and Jackie Jones (eds), *Contemporary Feminist Theory*, Edinburgh: Edinburgh University Press, pp. 34 - 50.\n\nAllison, Dorothy (1995) *Trash*, London: Flamingo.\n\nAlthusser, Louis (1976) *Essays on Ideology*, London: Verso.\n\nAnderson, Linda (1997) *Women and Autobiography in the Twentieth Century: Remembered Futures*, London: Harvester Wheatsheaf\n\nAnnesley, James (1998) *Blank Fictions: Consumerism, Culture and the Contemporary American Novel*, London: Pluto Press.\n\nAppignanesi, Lisa (1984) *Desire: ICA Documents*, London: ICA.\n\nAppignanesi, Richard and Oscar Zarate (1992) *Freud for Beginners*, Cambridge, Icon Books.\n\nApter, Emily (1991) ‘Spitting Hairs: Female Fetishism and Postpartum Sentimentality in the *Fin de Siècle’* in Lyn Hunt (ed.) *Eroticism and the Body Politic*, Baltimore: John Hopkins University Press, pp. 164-90.\n\nAries, Phillippe (1974) *Western Attitudes Toward Death: From the Middle Ages to the Present*, trans. Patricia M. Ranum, Baltimore and London: John Hopkins University Press.\n\nArmstrong, Isobel (ed.) (1992) *New Feminist Discourses*, London: Routledge.\n\nAshcroft, Bill., Gareth Griffiths and Helen Tiffin (eds) (1994) *The Post-Colonial Studies Reader*, London and New York: Routledge.\n\nAtwood, Margaret (1994) *The Robber Bride*, London: Virago.\n\nAtwood, Margaret (1997) *Alias Grace*, London: Virago.\n\nBalint, Michael (1952) ‘On Hate and Love’ in *International Journal of Psychoanalysis*, 34, pp. 355 - 362.\n\nBanerjee, Jacqueline (1994) ‘Grief and the Modern Writer’ in *English: The Journal of the English Association*, Spring, 43:175, pp. 17 - 36.\n\nBarreca, Regina (ed.) (1990) *Sex and Death in Victorian Literature*, London: Macmillan.\n\nBarthes, Roland (1973) *Mythologies*, London: Paladin.\n\nBarthes, Roland (1982) *Camera Lucida: Reflections on Photography*, trans. Richard Howard, London: Cape\n\nBassin, Donna (1994) ‘Maternal Subjectivity in the Culture of Nostalgia: Mourning and Memory’ in Donna Bassin and Margaret Honey (eds) *Representations of Motherhood*, New Haven: Yale University Press, pp. 162 – 73.\n\nBates, Catherine (1998) ‘Castrating the Castration Complex’ in *Textual Practice*, 12, 1, pp. 101 - 119.\n\nBecker, Howard (1973) *Outsiders*, Basingstoke and New York: MacMillan.\n\nBeer, Gillian (1989) ‘Representing Women: Re-presenting the Past’ in Catherine Belsey and Jane Moore (eds) *The Feminist Reader: Essays in Gender and the Politics of Literary Criticism*, Basingstoke: MacMillan Press.\n\nBelsey, Catherine (1994) *Desire: Love Stories in Western Culture*, Oxford: Blackwells.\n\nBelsey, Catherine and Jane Moore (eds) (1989) *The Feminist Reader: Essays in Gender and the Politics of Literary Criticism*, Basingstoke: MacMillan Press.\n\nBernheimer Charles and Claire Kahane (eds) (1985) *In Dora’s Case*, London: Virago.\n\nBetterton, Rosemary (1996) *Intimate Distance: Women, Artists and the Body*, London: Routledge.\n\nBetterton, Rosemary (1996) ‘Body Horror? Food (and Sex and Death) in Women’s Art’ in *Intimate Distance: Women, Artists and the Body*, London: Routledge, pp. 130 – 161.\n\nBibring, Ernest (1953) ‘The Mechanism of Depression’ in Greenacre (ed.) *Affective Disorders*, New York: Ithaca University Press.\n\nBillen, Andrew (1994) ‘The Billen Interview: Evelyn Lau’ in *The Observer* 04 December, p. 8.\n\nBlanchard, Lydia (1982) ‘Women in Love: Mourning Becomes Narcissism’ in *Mosaic*, Winter, 15:1, pp. 105 - 118.\n\nBowie, Malcolm (1991) *Lacan*, Fontana Modern Masters Series, London: Fontana.\n\nBowlby, John (1960) ‘Grief and Mourning in Infancy and Early Childhood’ in *Psychoanalytic Study of the Child*, 15, pp. 9 - 52.\n\nBowlby, John (1961) ‘Childhood Mourning and its Implications for Psychiatry’ in *American Journal of Psychiatry*, 118, pp. 481 - 498.\n\nBraiddotti, Rosi, (1989) ‘Organs Without Bodies’ in *Differences*, Vol. 1, pp. 147 - 61.\n\nBrandt, Joan (1991) ‘The Power & Horror of Love: Kristeva On Narcissism’ in *Romantic Review*, Vol. 82, pp. 89 -104.\n\nBrennan, Teresa (ed.) 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(1963) ‘The Role of Grief in Psychoanalysis’ in *International Journal of Psychoanalysis*, 44, pp. 97-103.\n\nWhitford, Margaret (1991) *Luce Irigaray: Philosophy in the Feminine*, London: Routledge.\n\nWill, Gudrun (1995) ‘Juvenilia’ in *The Vancouver Review*, Fall/Winter, pp. 41-42.\n\nWilliams, Linda Ruth (1995) *Critical Desire: Psychoanalysis and the Literary Subject*, London: Edward Arnold.\n\nWittig, Monique (1992) *The Straight Mind and Other Essays*, London: Harvester Wheatsheaf.\n\nWoodward, Kathleen (1991) *Aging and its Discontents: Freud and Other Fictions*, Bloomington, Indiana University Press.\n\nWoodward, Kathleen (1991) ‘Freud and Barthes: Theorizing Mourning, Sustaining Grief’ in *Aging and its Discontents: Freud and Other Fictions*, Bloomington: Indiana University Press, unpaginated.\n\nWoodward, Kathleen, (1992-93) ‘Grief-Work in Contemporary American Cultural Criticism’ in *Discourse*, Winter, 15:2, pp. 94-112.\n\nWright, Elizabeth (ed) (1992) *Feminism and Psychoanalysis: A Critical Dictionary*, Oxford: Blackwell.\n\nWurtzel, Elizabeth (1995) *Prozac Nation: Young & Depressed in America*, London: Quartet.\n\nYoung, Elizabeth and Caveney, Graham (eds) (1992) *Shopping in Space: Essays on American 'Blank Generation' Fiction*, London: Serpent's Tail.\n\nZahavi, Helen (1992) *Dirty Weekend*, London: Flamingo.\n\nZahavi, Helen (1994) *True Romance*, London: Minerva.\n\nZeigler, Robert (1996) ‘The Body in Pictures in Kathryn Harrison’s Exposure’ in *Notes on Contemporary Literature*, November, 26: 5, pp. 6 - 7.\n\nZwinger, Linda (1991) *Daughters, Fathers and the Novel: The Sentimental Romance of Heterosexuality*, Wisconsin: University of Wisconsin Press.\n\nSHEFFIELD HALLAM UNIVERSITY\nLEARNING CENTRE\nPSALTER LANE CAMPUS\nSHEFFIELD, S11 6UZ"}}},{"rowIdx":204879,"cells":{"text":{"kind":"string","value":"DATED 15 FEBRUARY 2012\n\nTHALES UK LIMITED (1)\nand\nTHALES PENSION TRUSTEES LIMITED (2)\n\nDEED OF AMENDMENT\nrelating to\nthe THALES UK PENSION SCHEME\n(Partial transfer of AVCs/Calculation of Death Benefits)\n\nTHIS DEED OF AMENDMENT is made on 15 FEBRUARY 2014\n\nBETWEEN:\n\n(1) THALES UK LIMITED (No. 868273) whose registered office is at 2 Dashwood Lang Road, The Bourne Business Park, Addlestone, Weybridge, Surrey KT15 2NX (the “Principal Employer”); and\n\n(2) THALES PENSION TRUSTEES LIMITED (No. 6466974) whose registered office is at 2 Dashwood Lang Road, The Bourne Business Park, Addlestone, Weybridge, Surrey, KT15 2NX (the “Trustee”).\n\nINTRODUCTION\n\n(A) The Thales UK Pension Scheme (the “Scheme”) was established by a Definitive Deed and Rules dated 9 January 2008 and it is now administered in accordance with the Second Definitive Deed and Rules dated 30 June 2008 (as amended from time to time in accordance with the Schedule attached to this Deed) (the “Rules”).\n\n(B) The Trustee is the current trustee of the Scheme.\n\n(C) The Principal Employer is the current principal employer of the Scheme.\n\n(D) Under Rule 5 of Part A of the Rules, the Principal Employer, with the consent of the Trustee, may by deed change all or any of the provisions of the Scheme.\n\n(E) The Principal Employer and the Trustee have agreed to amend Rule 26 of Part A, Rule 61 of Part C and Rule 86 of Part G of the Rules to allow Members to transfer out the value of their additional voluntary contributions held in the Scheme whilst retaining their main scale benefits in the Scheme. In addition, Rule 8.2(b) and Rule 8.3(b) of each Appendix One to each of the Schedules in Parts E and F are amended to clarify the calculation of Adult Dependant’s and Dependant Children’s Pensions. These amendments will take effect on and from the date of this Deed.\n\n(F) None of the amendments made by this Deed offend the restrictions on the power to amend the Scheme contained in Parts A, B or C of the Rules or require the execution of this Deed by the Section 1 Trustees and/or the Section 2 Trustees.\n\n(G) None of the amendments made by this Deed are regulated, protected or detrimental modifications for the purposes of sections 67 to 67I of the Pensions Act 1995.\n\n(H) The Scheme actuary has given a confirmation pursuant to section 37 of the Pension Schemes Act 1993.\n\nLEGAL EFFECT OF THIS DEED\n\n1 Amendments made by this Deed\n\n1.1 By this Deed the Principal Employer with the consent of the Trustee, pursuant to the power to amend the Scheme under Rule 5 of Part A of the Rules and any other enabling power, hereby AMENDS Rule 26 of Part A, Rule 61 of Part C, Rule 86 of Part G and Rules 8.2(b) and 8.3(b) of each Appendix One to each of the Schedules in Parts E and F of the Rules with effect on and from the date of this Deed in accordance with clauses 1.2 to 1.7 below.\n\n1.2 Rule 26 of Part A of the Rules is amended by adding a new Rule 26.12 as set out below:\n\n“26.12 With the consent of the Trustees and the Principal Employer, a Member may transfer the value of his voluntary contributions held in the Scheme (as determined by the Trustees) to an Other Scheme whilst retaining his other Scheme benefits in the Scheme.\n\nUpon a transfer payment being made under this Rule 26.12, the Member will immediately cease to be entitled to any benefits from the Scheme which relate to his voluntary contributions which have been transferred to an Other Scheme and the receipt by the trustees or managers of the Other Scheme will be a complete discharge to the Trustees in respect of the benefits transferred. He will remain entitled to his other Scheme benefits in the Scheme and the Rules shall be read accordingly.\n\nThe Trustees shall not make a payment under this Rule 26.12 until the Member who has requested the transfer has signed a discharge and release in a form approved by the Trustees and the Trustees have received this form.”\n\n1.3 Rule 61 of Part C of the Rules is amended by adding new Rules 61.12 to 61.14 as set out below:\n\n“61.12 If, at the time of the transfer, the Scheme is a Sectionalised Scheme, the transfer under this Rule 61 shall be designated as coming out of Section 2.\n\n61.13 This Rule 61 is subject to Rule 82.10 of Part F of the Rules.\n\n61.14 With the consent of the Trustees and the Principal Employer, a Member may transfer the value of his voluntary contributions held in the Scheme (as determined by the Trustees) to an Other Scheme whilst retaining his other Scheme benefits in the Scheme.\n\nUpon a transfer payment being made under this Rule 61.14, the Member will immediately cease to be entitled to any benefits from the Scheme which relate to his voluntary contributions which have been transferred to an Other Scheme and the receipt by the trustees or managers of the Other Scheme will be a complete discharge to the Trustees in respect of the benefits transferred. He will remain entitled to his other Scheme benefits in the Scheme and the Rules shall be read accordingly.\n\nThe Trustees shall not make a payment under this Rule 61.14 until the Member who has requested the transfer has signed a discharge and release in a form approved by the Trustees and the Trustees have received this form.”\n\n1.4 Rule 86.5 of Part G of the Rules is amended by deleting the word “or” at the end of Rule 86.5(a), deleting the full stop at the end of Rule 86.5(b), adding “;or” at the end of Rule 86.5(b) and adding a new Rule 86.5(c) as set out below:\n\n“(c) a transfer of the value of a Member’s voluntary contributions (as determined by the Trustees) has been made in accordance with Rule 86.5A of Part G and either Rule 26.12 of Part A or Rule 61.14 of Part C of the Rules.”\n\n1.5 A new Rule 86.5A is inserted after Rule 86.5 of Part G of the Rules as set out below:\n\n“86.5A Subject to the consent of the Trustees and the Principal Employer, pursuant to Rule 26.12 of Part A or Rule 61.14 of Part C a Member may transfer the value of his voluntary contributions held in the Scheme (as determined by the Trustees) to any Other Scheme whilst retaining his other Scheme benefits in the Scheme.”\n\n1.6 The first paragraph of Rule 8.2(b) in each Appendix One to each of:\n\n(a) Schedules One to Five inclusive of Part E of the Rules; and\n\n(b) Schedules One to Four inclusive of Part F of the Rules\n\nis amended so that it reads as set out below:\n\n“(b) The pension payable under (a) will be equal to thirty three (33) per cent of the Active CARE Member’s CARE Salary or DC Scheme Life Assurance Member’s DC Salary (as applicable), such salary definitions being calculated, for this purpose, as at the date of his death rather than as at the 1 April immediately preceding the date of his death LESS:”\n\n1.7 The first paragraph of Rule 8.3(b) in each Appendix One to each of:\n\n(a) Schedules One to Five inclusive of Part E of the Rules; and\n\n(b) Schedules One to Four inclusive of Part F of the Rules\n\nis amended so that it reads as set out below:\n\n“(b) The pension payable under (a) is a maximum of thirty (30) percent of the Active Care Member’s CARE Salary or DC Scheme Life Assurance Member’s DC Salary (as applicable), such salary definitions being calculated, for this purpose, as at the date of his death rather than as at the 1 April immediately preceding the date of his death LESS:”\n\n2 General Conditions\n\n2.1 The amendments made by this Deed apply to all Members of the Scheme with effect on and from the date of this Deed.\n\n2.2 Words and phrases used in this Deed which are not defined in this Deed have the same meanings as they have in the Rules.\n\n2.3 If (were it not for this clause 2.3) any amendment or addition to the Rules set out in this Deed would adversely affect any Member or Beneficiary of the Scheme in respect of his subsisting rights (as defined in section 67A(6) of the Pensions Act 1995) acquired before the date of this Deed, such amendment or addition to the Rules will not apply to such a Beneficiary or Member but only to the extent that it would have such an adverse effect.\n\n2.4 If any part of this Deed is held to be invalid or unenforceable, the rest of this Deed will be construed (to the maximum extent possible after making suitable grammatical and other minor consequential changes) as if it had been executed omitting the invalid or unenforceable words and will remain in full force and effect.\n\n2.5 This Deed may be entered into in the form of two or more counterparts each executed by one or more signatories but, taken together, executed by all of them and, provided each signatory duly executes such a counterpart, each of the executed counterparts, when duly exchanged or delivered, shall be deemed to be an original, but taken together, they will constitute one instrument.\n\nIN WITNESS of the above this Deed has been executed by or on behalf of the parties and delivered on the date written at the beginning of this Deed.\n\nSIGNED as a DEED by\n\nTHALES UK LIMITED acting by a Director and its Secretary (or two Directors)\n\nDirector\n\nDirector/Secretary\n\nSIGNED as a DEED by\n\nTHALES PENSION TRUSTEES LIMITED acting by a Director and its Secretary (or two Directors)\n\nDirector\n\nDirector/Secretary\n\n| Date | Description |\n|--------------------|-----------------------------------------------------------------------------|\n| 9 January 2008 | First Definitive Deed and Rules |\n| 30 June 2008 | Second Definitive Deed and Rules |\n| 18 June 2009 | Deed of Amendment (Upper Earnings Limit) |\n| 18 June 2009 | Deed of Amendment (Former Racal Members: dependants’ pensions and enhanced revaluation) |\n| 31 March 2010 | Deed of Amendment (Pension Deduction) |\n| 5 April 2012 | Deed of Amendment (Care Salary/DC Salary, part-timers, death benefits and trivial commutation) |\n| 5 April 2012 | Deed of Amendment (TPP GAD Members - options on late retirement) |\n\nActuarial Certificate\n\nEffect of Scheme Amendment\n\nActuarial Certificate given for the purposes of Regulation 42, The Occupational Pension Schemes (Contracting-Out) Regulations 1996\n\nName of Scheme Thales UK Pension Scheme\n\nTo: The Trustees of the Thales UK Pension Scheme (\"the Scheme\")\n\nAs actuary to the Scheme, appointed under Section 47 of the Pensions Act 1995, I am required under Regulation 42 of the Occupational Pension Schemes (Contracting-Out) Regulations 1996 to confirm in writing the effect on the Scheme of the amendments described in the draft deed of amendment (Partial transfer of AVCs/Calculation of Death Benefits).\n\nFor the purposes of Section 37(1) of the Pension Schemes Act 1993 (\"the 1993 Act\") (prohibition on alteration of rules of contracted-out schemes unless the alteration is of a prescribed description), I can confirm the following:\n\n1 In respect of all previous rule amendments, the Scheme has satisfied the statutory standard in accordance with section 12A of the 1993 Act and will continue to do so if the alterations are made.\n\n2 The Scheme has satisfied the conditions of section 9(2B) of the 1993 Act and the alterations do not otherwise prevent the Scheme from satisfying those conditions.\n\nI have based this certification on the following information, data and documents:\n\n- Draft Deed of Amendment ref Legal01#22566156v7[ALB4]\n- Second Definitive Deed and Rules relating to the Thales UK Pension Scheme dated 30 June 2008\n\nSignature\n\nName Mark Condron\n\nQualification Fellow of the Institute and Faculty of Actuaries\n\nDate of signing 15 October 2012"}}},{"rowIdx":204880,"cells":{"text":{"kind":"string","value":"\n\nHighlights of new AM & FM regulations\n\nThe new regulations respecting radio broadcasting has 3 parts: Part 1 covers regulations general to both AM and FM radio broadcasting; Part 2 regulates AM radio broadcasting only; and Part 3 deals with FM radio broadcasting.\n\nThe CRTC Fact Sheet points out that insofar as Part 1 is concerned, a number of sections have been eliminated \"either because they were unnecessary to meet the requirements of the Broadcasting Act, obsolete, or dealt with matters regulated by another agency.\" Those sections eliminated were:\n\n- programs on birth control and venereal disease\n- advertising in newscasts\n- appeals for donations\n- lotteries\n- station contests\n- offensive promotional programs\n- CBC affiliation agreements\n- rebroadcasting\n- financial returns\n- chain broadcasting\n- the advertising of bonds, shares and other securities.\n\nIt was pointed out that radio broadcasters are to use the same content categories and sub-categories used by FM broadcasters as set out in Public Notice CRTC 83-43. They are not required however, to make a commitment to \"operate within a specific format group, nor will the content categories become part of their Promise of Performance.\"\n\nIt was also pointed out that \"Regulations regarding radio networks have been eliminated except for the prohibition against a station affiliation with a foreign network.\" The Commission reminds licensees however, that its policy on temporary network operations \"remains in effect.\"\n\nWith regard to Part 2 AM Regulations, the Commission stresses that the new regulations \"maintain the 30 percent Canadian content requirement for AM radio,\" however the daily and weekly limits on advertising time \"have been eliminated for a 2-yr. trial period.\" As well, the market served by an AM station is now defined as \"the area encompassed by the station's 5 millivolt per metre service contour.\" This definition is used to define joint and independent FM licenses.\n\nDealing with Part 3 FM Regulations, the Commission, in an effort \"to increase the production of quality Canadian-produced foreground programming, exposure of new Canadian artists and to stimulate Canadian program syndication, has adopted an incentive program.\" This program will operate as follows:\n\n1) minimum daily levels for combined foreground and mosaic format programming remains at 50 percent for joint licensees and 33 percent for independent licensees;\n2) minimum levels for foreground format programming have been reduced to 15 percent for joint licensees and 9 percent for independent licensees;\n3) the hourly limits on commercial content are eliminated; and\n4) the maximum number of commercial minutes permitted on a daily basis remains at 150. However, any commercial messages contained in 3 specified types of foreground programs (arts reports, public affairs, Canadian syndicated programs, programs devoted to Canadian artists etc.) will not be included in calculating the maximum commercial minutes permitted.\n\nThe Fact Sheet also points out that a new feature of the regulations \"exempts all Canadian musical selections from the restriction of the maximum repeat factor of 18 repeats per week in order to encourage airtime for new Canadian artists.\"\n\nRun/DMC holds on to No. 1 on MuchMusic 30\n\nWalk This Way by Run/DMC holds onto the No. 1 berth on MuchMusic's Top 30 (Oct. 3/86) for the second week. Glass Tiger closes in at No. 2 with Someday and Cyndi Lauper's True Colours moves up to 5 from 9, with Corey Hart's I Am By Your Side making a significant gain up to 7 from 13.\n\nAlso making impressive moves are Janet Jackson's When I Think Of You (10-15), Tina Turner's Typical Male (12-16), Heaven In Your Eyes by Loverboy (13-19), Don Johnson's Heartbeat (15-23), The Lady In Red by Chris deBurgh (20-27), and Eddie Money's Take Me Home Tonight (25-28).\n\nNew to the chart this week is Billy Idol's To Be A Lover, in at 24, Jumpin Jack Flash by Aretha Franklin, new at 28, and Steve Winwood's Freedom Overspill, in at 29.\n\nNew adds include Bruce Hornsby & The Range (The Way It Is), Five Star (Can't Wait Another Minute), Jason & The Scorchers (19th Nervous Breakdown), and Love & Rockets (Ying & Yang).\n\nPersonnel changes for Honeymoon Suite\n\nRob Preuss joins Honeymoon Suite as keyboardist for the band's forthcoming live dates, including their appearance at Japan's Yamaha World Popular Song Festival (see RPM Sept. 20/86). Preuss takes the place of Ray Coburn, who has left the band.\n\nThe band's management stresses the move is temporary and Preuss will be appearing with the band on their upcoming Canadian dates.\n\nInterestingly enough, however unfortunate, it was Coburn who wrote Those Were The Days, the song which led to the band's invitation to Tokyo. Preuss however, former founding member of The Spoons, is no stranger to writing \"a good song\", having been credited with co-writing such hits as Nova Heart and Tell No Lies.\n\nApparently the band will decide, following their tour, whether or not Preuss will remain with Honeymoon Suite on a full-time basis - and become a member of their songwriting team.\n\nLightfoot to be inducted into Juno Hall Of Fame\n\nGordon Lightfoot will be the recipient of the 1986 Juno Hall of Fame Award. In making the announcement, Peter Steinmetz, President of CARAS, noted: \"Gordon (Lightfoot) has been an internationally renowned and respected musician for many years, and his contributions to the music industry have made him most deserving and worthy of this award.\"\n\nBorn in Orillia, Ont., Lightfoot began his singer/songwriter career by the time he had graduated high school. He was first discovered by Toronto producer Art Snider, who recorded him for the Chateau label. Lightfoot went on to record for United Artists, Reprise and now, Warner Bros.\n\nLightfoot's latest Warner Bros album, East Of Midnight, features the Anything For Love track, a collaboration with David Foster.\n\nLightfoot will be inducted into the Juno Hall of Fame during this year's awards presentation at the Toronto Harbour Castle Hilton Convention Centre (Nov. 10).\n\nEaton Auditorium saved from developer's hammer\n\nToronto's Eaton Auditorium, one of the few, acoustically sound theatre's of its kind in North America, has been saved from becoming rental office space.\n\nThis is the second time the auditorium, situated at College and Yonge Streets, in the old Eaton's College Street store, has been saved by Ontario's highest court. In this case, the Ontario Court of Appeal rejected the appeal by Toronto College Street Centre Ltd., concluding that the bylaw passed by the City Council under the Ontario Heritage Act designating the site as \"historical value\" would apply to both the inside and outside of the building.\n\nEleanor Koldofsky, a major player in the fight to save the beautiful old theatre, was both relieved and \"extremely happy\" at the decision. \"We began our fight to save the Eaton Auditorium 11 years ago,\" she said, \"and how reassuring it was that we were able to gather so many concerned citizens to join our Friends of Eaton Auditorium Citizens' Committee. What a pity it would have been, had this beautiful auditorium been lost.\"\n\nKoldofsky went on to point out that it would only take a few months to restore the auditorium, which had been closed since 1976.\n\nTimes HAVE changed . . . Ellie!\nNo sooner had the ink dried on my column last week . . . the phones went berserk (EC: I told you they read this column . . . that was just a test!!) over my asking the question: Can you name a dozen non-Cancon records that broke as monsters in Canada before they were established in the U.S.? Well . . . Don Oates at CBS has a list which included Paul Young’s No Parlez, Jennifer Rush’s Power Of Love, Faster Than The Speed Of Light and Secret Dreams by Bonnie Tyler, and Men At Work’s Who Could It Be Now and Business As Usual. Ed Preston remembered a couple from his days at CHML Hamilton: Bert Kaempfert’s Wonderland By Night, and Teresa Brewer’s Till I Waltz Again With You. WEA’s Dave Tollington recalls Boney M’s Rivers Of Babylon and Rasputin, Abba’s Fernando and Dancing Queen, Genesis, Phil Collins, and Peter Collins, who actually broke in Quebec first, a-ha’s Take On Me, the B-52’s Rock Lobster, Marianne Faithful’s Broken English, Howard Jones’ Human Lives, and Lindsay Buckingham’s Trouble, which was a huge Canadian hit. Nanda Lwin, who keeps close tabs on everything we do here, phoned to tell me that Rock Me Amadeus by Falco, was No. 1 on the RPM 100 singles chart before any U.S. action, and Total Eclipse Of The Heart by Bonnie Tyler. I hate to pose the question - are there more?\n\nAre the WEA Wackers on the ropes?\nIt’s getting close to the end of the softball season and the big question is - who will be the winner of the RPM Cup for this year’s Ontario Music Industry Softball Tournament. In the 5 game series, currently going on, WEA was looking good against A&A, but they lost power in the last game and lost a tight one (4-3). There’s another game next Monday (Oct. 6) - and this could be the clincher for . . . whoever!!\n\nThey did get to Flora!!\nYou have to hand it to the VIDEOFACT people . . . they were able to culture a very quick friendship with Communications Minister Flora MacDonald . . . who followed-up on the promise by Marcel Masse for a big bundle\n\nThe Honourable Flora MacDonald with Moses Znaimer, John Martin and Bernie Finkelstein.\n\nof money from their new Sound Recording Development Program. VIDEOFact will now receive an additional $300,000 for the production of Canadian music videos, which will give them an operating budget of $500,000 for the current year. . . . and we have 4 smiling faces to go with the bucks.\n\nHow soon we forget!!\nAfter 30 years of having record people crawl up their “mikes” CHUM AM changed their format. Well . . . the air was blue. The critics had a heyday . . . and some of the record companies became paranoid about calling on the station . . . even going so far as to cutting them off. (EC: Isn’t that typical??) It so happened that the “tall” record exec . . . the other one . . . made a call on the station and found himself welcomed with open arms. The result was a high-powered promotion that will benefit both the station and the label. It’s the old . . . very old . . . Canadian story. We like to play favourites . . . don’t we??\n\nYou can’t expect consistency!!\nWell . . . the controversy goes on, and it goes on at the highest level. Are charts necessary? Why not just play the hockey game and forget the score? Why improve when you can blame the system? How often do the losers yell “foul” or “no credibility” when they should be out improving their game. And, let’s talk about the “highlighter brigade” those talented people who sit by the hour highlighting all their records on all the charts, and every mention of any of their records, anywhere! Good promotion, good merchandising results in better chart listings and the name of the game is to expose and sell the product and the charts will pick it up. When a record is climbing the charts it is showing potential. When it starts to descend, it may be because it has been neglected. How often have I heard the term “wait to see what happens?” Too often during that wait . . . the record started to sink. So blame the chart and this time, take the highlighter and draw an arrow . . . pointing down. Finally . . . how many records are in the Top 30 this week? The answer to that question indicates that somewhere, someone is working on these records. They are by many artists and from various companies. Stop to think how that top record got to number one. Then stop and ask how the record in the No. 29 position got to that slot. If you come up with the honest answer, you’ll be in a better position to move your product up the chart. Not just one chart, but all the charts . . . and don’t expect any consistency . . . not from the charts, but from the people who complain about them.\n\nIt’s all for a good cause!!\nA&M’s Gerry Lacoursiere is one of the leading hustlers in a Toronto promotion flying the banner of Squash Hunger. All proceeds gathered from this 2-part campaign will go towards Toronto’s Food Banks, which are in trouble (there are 150 food banks in Toronto alone). Celebrities from all facets of the entertainment world will take to the courts at the Carlson Court Raquet Club (Oct. 19), where spectators, for the price of $5.00 can watch Q107’s Gary Slaight take on Ross Davies of CHUM FM and a whole bunch more. There will also be a Celebrity Auction at the same location from 12 Noon to 1 pm. Part 2 of the campaign will be a Squash Hunger Ball at Toronto’s Copa on Oct. 20 starting at 7 pm. The 7 major record distributors will preview their new product and there will be lots of giveaways. All it will cost to get in will be $5.00. The Copa is donating $1,000 to the campaign as well as the club for the evening. I’m expecting a press release on this campaign.\n\nI’ve run out of room!!\nI’ve got so much more, but no more room. I’ll just have to pass all the leftover goodies on to my pals at the “dailies”.\n\nWORLD RECORDS\nCustom pressing, tape duplication & packaging\n\n500 45's *$359.00 1000 45's *$489.00\n1000 Albums & Jackets *$1690.00\n\n* all prices include mastering, metal parts, labels and dust sleeves, albums include full process colour high gloss jackets from customer supplied process film, and shrink wrapping.\n\n2-3 Week Delivery\nCompletely Guaranteed\nInhouse Art & Typesetting\n\n686-2828\nDirect Toronto Line\nBASELINE RD. W. BOWMANVILLE, ONT. L1C 3Z3\n\n| Rank | Artist | Title | Label | Catalog # | Chart |\n|------|--------|-------|-------|-----------|-------|\n| 1 | RUMORS | The Rumours Club | A&M AM714-W | N/A | W |\n| 2 | SPIRIT IN THE SKY | Doctor & The Medics I.R.S. | IRS 52880-J | N/A | H |\n| 3 | STUCK WITH YOU | The Beatles | Parlophone | 92-68677-P | F |\n| 4 | FRIENDS AND LOVERS | Garth Drinver/Carl Anderson | Epic ZS4.06122-H | N/A | F |\n| 5 | TAKE MY BREATH AWAY | Berlin | Columbia | 38.05803-H | H |\n| 6 | VENUS | The Rolling Stones | London LDS227-Q | N/A | F |\n| 7 | WALK THIS WAY | Run DMC | Island/WEA | 92.87107-P | H |\n| 8 | TRUE COLORS | Cyndi Lauper | Arista | 92.84481-P | H |\n| 9 | HIGHER LOVE | Stevie Wonder | Island/WEA | 92.87107-P | H |\n| 10 | DANCING ON THE CEILING | The Ritchie - Motown | 1843 | N/A | H |\n| 11 | HEARTBEAT | Don Johnson | Epic | 34.06385-H | H |\n| 12 | TYPICAL MALE | The Turtles | Capitol | 5615-F | H |\n| 13 | THE LADY IN RED | Chaka deBurgh | A&M AM2848-W | N/A | H |\n| 14 | SOMEDAY | Glass Tiger | Capitol | 73004-F | H |\n| 15 | WORDS GET IN THE WAY | The Madonnas | Island | 92.05120-H | H |\n| 16 | THROWING IT ALL AWAY | The Staple Singers | Island | P1J2530-F | H |\n| 17 | MISSIONARY MAN | Eric Clapton | RCA PB1441-N | N/A | H |\n| 18 | GLORY OF LOVE | Peter Cetera | Warner Bros | 92.86827-P | H |\n| 19 | TWIST AND SHOUT | The Beatles | Apple | 712146-F | H |\n| 20 | WHEN I THINK OF YOU | Jack Jackson | Atlantic AM2855-W | N/A | H |\n| 21 | I AM BY YOUR SIDE | The Marts | A&M AG0923-F | H |\n| 22 | A MATTER OF TIME | The Beatles | Apple | 78.0108-H | H |\n| 23 | DREAMTIME | David Bowie | RCA 914327-N | H |\n| 24 | MAD ABOUT YOU | Belinda Carlisle | I.R.S. | IRS-52815-J | H |\n| 25 | PAPA DON'T PREACH | The Blues Brothers | Epic | 92.84477-P | H |\n| 26 | TWO OF HEARTS | Stevie Wonder | Atlantic | 78.93817-H | H |\n| 27 | HEAVEN IN YOUR EYES | Loveboy | Columbia | 38.06178-H | H |\n| 28 | BABY LOVE | The Beatles | Atlantic | 78.94177-P | H |\n| 29 | HUMAN | Human League | Virgin | VS1326-W | H |\n| 30 | LOVE ZONE | Billy Ocean | Jive | JV7176-H | H |\n| 31 | SWEET FREEDOM | The Beach Boys | MCA | 52857-J | H |\n| 32 | IN YOUR EYES | Peter Gabriel | Geffen | 92.86227-P | H |\n| 33 | WE DON'T HAVE TO TAKE OUR CLOTHES OFF | Marianne Stewart | Virgin | 10-VS1296-W | H |\n| 34 | DANGER ZONE | The Police | Columbia | 38.05803-H | H |\n| 35 | YOU CAN CALL ME AL | Parlophone | Warner Bros | 92.86677-P | H |\n| 36 | I'LL BE OVER YOU | Ostro | Columbia | 38.00280-H | H |\n| 37 | (FOREVER) LIVE AND DIE | The Beatles | Parlophone | 92.86677-P | H |\n| 38 | THE EDGE OF HEAVEN | WHAM! | Columbia | 38.05182-H | H |\n| 39 | SLEDGEHAMMER | Rick Ocasek | Geffen | 92.87187-P | H |\n| 40 | PATIO LANTERNS | The Doors | Elektra | BD5.614-Q | H |\n| 41 | SWEET LOVE | Anita Baker | Elektra | 98.96577-P | H |\n| 42 | EMOTION IN MOTION | Rick Ocasek | Geffen | 92.86177-P | H |\n| 43 | PRESS | James Carney | Capitol | 5597-F | H |\n| 44 | WHEN I FALL IN LOVE AGAIN | Zucchero, Casablanca | 13001-F | H |\n| 45 | BOY INSIDE THE MAN | Tom Cochran/Red Rider | Capitol | 72301-F | H |\n| 46 | NASI | Michael Jackson | A&M - AM-2830-W | H |\n| 47 | WHAT DOES IT TAKE | George Benson | WEA | 25.8638-P | H |\n| 48 | TAKE IT EASY | Andy Taylor | Atlantic | 78.94147-P | H |\n| 49 | LOVE TOUCH | The Bee Gees | Warner Bros | 92.8668-P | H |\n| 50 | THAT WAS THEN, THIS IS NOW | Mary Odemar/Peter York | Arista | AS1.9505-N | H |\n| 51 | TRUE BLUE | Madonna | Sire | 92.89911-P | H |\n| 52 | MONEY'S TOO TIGHT | The Beach Boys | Capitol | 92.86287-P | H |\n| 53 | ALANA LOVES ME | Kim Wilde | Alert | 805515-Q | H |\n| 54 | I CAN'T WAIT | Nu Shooz | Atlantic | 78.94467-P | H |\n| 55 | ANKEE ROSE | Deanna Rose | Warner Bros | 92.86567-P | H |\n| 56 | INVISIBLE TOUCH | Genesis | Atlantic | 78.94077-P | H |\n| 57 | IT'S YOU | The Beach Boys | Capitol | 5623-F | H |\n| 58 | MAN SIZE LOVE | Kim Wilde | MCA | 52841-J | H |\n| 59 | 25 OR 6 TO 4 | Chicago | Full Moon | 92.36287-P | H |\n| 60 | TO BE A LOVER | The Beach Boys | Capitol | 5623-F | H |\n| 61 | INNOCENT (With an Explanation) | The Beach Boys | Capitol | 5623-F | H |\n| 62 | THE NEXT TIME I FALL | Peter Cetera/Amy Grant | Warner Bros | 92.85977-P | H |\n| 63 | TO BE A LOVER | The Beach Boys | Capitol | 5623-F | H |\n| 64 | POINT OF NO RETURN | Nick Lowe | Warner Bros | 92.85927-P | H |\n| 65 | I DIDN'T MEAN TO TURN YOU ON | Robert Palmer | Island | 90745-J | H |\n| 66 | WHO'S JOHNNY | DeBarge | Geffen | 1842GF-J | H |\n| 67 | LOVE WALKS IN | Van Halen | Warner Bros | 92.86267-P | H |\n| 68 | JUMPIN' JACK FLASH | Aretha Franklin/Keith Richards | Arista AS1.9526-N | H |\n| 69 | GIRL CAN'T HELP IT | Journey | Arista | 92.05302-H | H |\n| 70 | SAY IT, SAY IT | E.G. Daily | A&M - AM | 2825-W | H |\n| 71 | ON MY OWN | Pati LaBelle/Michael McDonald | MCA 52770-J | H |\n| 72 | RUTHLESS PEOPLE | Lionel Richie | MCA | 5737-J | H |\n| 73 | LOVE COMES QUICKLY | Pe Shop Boy | EMI America | 8338-F | H |\n| 74 | LOVE WILL CONQUER ALL | Lionel Richie | Motown | 1806-E | H |\n| 75 | I FEEL THE MAGIC | Belinda Carlisle | Virgin | 92.5288-J | H |\n| 76 | CRUSH ON YOU | The Beach Boys | MCA 52774-J | H |\n| 77 | X-RAY EYES | Eye Eye | Duke Street | DSR81025-J | H |\n| 78 | EARTH ANGEL | The Bee Gees | MCA | 52905-J | H |\n| 79 | LOVE ALWAYS | DeBarge | Geffen | 1857-J | H |\n| 80 | SOMEBODY'S OUT THERE | Triumph | MCA 52898-J | H |\n| 81 | RAGE HARD | Frankie Goes To Hollywood | Island | 97048-J | H |\n| 82 | HOLDING OUT FOR YOU | The Bee Gees | MCA | 52911-J | H |\n| 83 | JODY | The Beach Boys | Capitol | VL2365-W | H |\n| 84 | TAKE ME HOME TONIGHT | Eddy Moeur | Columbia | 48.06231-H | H |\n| 85 | COMING AROUND AGAIN | The Beach Boys | Capitol | 5623-F | H |\n| 86 | FIND MY WAY BACK | Beach Boys | Capitol | 5630-F | H |\n| 87 | CANADA'S ONLY NATIONAL 100 SINGLE SURVEY |\n\n| 1. | 2. | 3. | 4. |\n|----|----|----|----|\n| 5. | 6. | 7. | 8. |\n| 9. | 10.| 11.| 12.|\n\nIT'S AT MIDEM AND NOWHERE ELSE.\n\nMIDEM is an irreplaceable event for the record and music publishing industry. Through MIDEM, all the trends and developments of the market are reflected. And at MIDEM'86, there was every sign that this market was alive and well.\n\nThis vitality will be further strengthened in 1987, with the impact of video, the development of the compact disc and the momentum of the latest trends in music.\n\nMoreover, decision makers and leaders of the industry know that their presence at MIDEM is, or will be, a mark of their success.\n\nMIDEM is the meeting place for everyone in the business looking to buy or sell titles, catalogues and to establish new distribution agreements. MIDEM puts your titles, your productions and your artists in the lead. A number of galas will be held to promote young talent. For you, MIDEM has invited radio and television programmers, plus 900 journalists from all over the world.\n\nIf you want to make yourself known, launch new products, discover new possibilities and reach 7600 professionals from 53 countries, then the place to do it is on your stand at MIDEM... and nowhere else.\n\nMIDEM'87\nINTERNATIONAL RECORD, MUSIC PUBLISHING AND VIDEOMUSIC MARKET\n\nYour contact: Xavier Roy Vice President-International Director\nHead Office: 179, avenue Victor-Hugo - 75116 Paris - France Tel: (33) 1 - 45.05.14.03 - Telex: 630547 MIDEM - Fax: (33) 1 - 126.96.36.199\n\nUNITED KINGDOM\nPeter RHODES, Sales Director\nInternational Exhibition Organisation LTD,\n9 Stafford Street, LONDON W1X3PE\nTel: (01) 499.23.17\nTelex: 25230 MIPMDG.\n\nUSA\nFrank KELCZ, International Sales Manager\nPerard Associates Inc.\n38 West 32nd Street, NEW YORK City, N.Y. 10001.\nTel: (212) 9677600 - Fax: (212) 9677607\nTelex: 4979122 PERAD UI\n\nJAPAN\nKozo YAMAMOTO, Director\nYoichi YOSAKI, Sales Manager\nTokyo Bureau Inc., 2-14-20 – Minami – Aoyama\nMinato ku, Tokyo 107\nTel: 03.405.5118 - Fax: 03.401.5864\nTelex: 2427388 YATBI J\n\n| 1990 | 1991 | 1992 |\n|------|------|------|\n| 1 | 2 | 3 |\n| 4 | 5 | 6 |\n| 7 | 8 | 9 |\n| 10 | 11 | 12 |\n| 13 | 14 | 15 |\n| 16 | 17 | 18 |\n| 19 | 20 | 21 |\n| 22 | 23 | 24 |\n| 25 | 26 | 27 |\n| 28 | 29 | 30 |\n| 31 | | |\n\n*Note: The calendar is for illustrative purposes only.*\n\nequally as influential and hence, considering the various factors - winning a Juno must be quite an achievement.\n\nThe talent involved should all be proud of their respective efforts, which should not be diminished whether nominated or not. Determining those nominees is a formidable task. However, it is the economics of our geographically disproportionate nation that allows for such a liberal policy as a panel of experts to choose winners in certain categories.\n\nWith the passage of time, the Junos have evolved into an extensive appreciation of our musical culture and grew last year to incorporate several new categories: Best R&B and Best Reggae/Calypso recordings, as well as 2 classical categories. Unfortunately, spacial requirements would be too great to allow adequate coverage for each group or individual.\n\nWhat follows are concise passages highlighting those artists who have been nominated in multiple categories for their considerable achievements this past year.\n\n**GLASS TIGER (5)**\n\nThis Capitol group and their debut album are currently tasting what has eluded many Canadian acts over the years: international success. The Thin Red Line quickly rose through the charts, moving into the No. 3 berth this past April, and spawned the chart topping single, Don't Forget Me, which was followed by the title track and presently, Someday. The Newmarket, Ontario band have been nominated for Most Promising Group, Single and Album of The Year. As well, they received nominations for Best Video and Recording Engineer of The Year.\n\n**BRYAN ADAMS (3)**\n\nThis A&M recording artist was last year's \"big winner\" and this year he has received nominations for Single of The Year (Diana), Male Vocalist and Composer of The Year.\n\nHis 1984 release, Reckless, surpassed the diamond plateau (1 million units sold), yet the single for which he has been nominated was neither released in a 7\" configuration nor was it included on the domestic pressing of the album. His songwriting ability has garnered much international attention and acclaim lately.\n\n**DAVID FOSTER (3)**\n\nA native of Victoria, B.C. this Atlantic recording artist and well-established producer is currently enjoying chart action for his debut solo project, which includes the hit, Love Theme taken from the St. Elmo's Fire soundtrack. He has been nominated for the latter, as Producer of The Year, Instrumental Artist and Composer of The Year.\n\n**ONE TO ONE (4)**\n\nOriginally from Ottawa and now based in England, One To One, signed to Carl Leighton-Pope's Bonaire label, have done well with their debut album. There Was A Time, was the first single taken from their debut LP, which was titled Forward Your Emotions. They have been nominated in the Single of The Year category, and are also up for Most Promising Group, Producer and Engineer of The Year (Leslie Howe).\n\n---\n\n**CONGRATULATIONS**\n\n**DOUG CAMERON**\n\non your Juno nomination for\n\n\"Most Promising Male Vocalist Of The Year\"\n\nThanks to the industry for your support!\n\nWatch for the October release of Doug's new single and video . . .\n\n\"One Moment Of Love\"\n\nPromoted Nationally By:\n\nMary Lynn\nMPL (Marigold) Promotions\nTelephone: (416) 484-8789\n\nThe first step in the process is to identify the specific needs and requirements of the organization. This can be done through a thorough analysis of the current state of the organization, including an assessment of its strengths, weaknesses, opportunities, and threats (SWOT). The next step is to develop a clear vision and mission statement that will guide the organization's efforts. This should be followed by the development of specific goals and objectives that align with the vision and mission.\n\nOnce the goals and objectives have been established, the next step is to develop a plan for achieving them. This plan should include a detailed action plan that outlines the steps that need to be taken to achieve the goals and objectives. It should also include a timeline for completing each step and a budget for the project.\n\nThe final step in the process is to implement the plan and monitor its progress. This involves regularly reviewing the progress of the project and making adjustments as necessary to ensure that the goals and objectives are being achieved. It is important to keep the stakeholders informed about the progress of the project and to seek their input and feedback throughout the process.\n\nIn conclusion, developing a strategic plan for an organization is a complex but essential process. It requires careful planning, clear communication, and a commitment to achieving the organization's goals and objectives. By following these steps, organizations can develop a strategic plan that will help them achieve their desired outcomes and position themselves for success in the future.\n\nJUNO AWARDS\n\nHighwayman, an album that featured performances by Willie Nelson, Kris Kristofferson, Waylon Jennings and Johnny Cash. Her most recent album, Heartbreak To Happiness, is coincidentally, released with the gospel Hymns Of Gold package.\n\nLUBA (2)\nA popular Montrealer, this Capitol recording artist has been nominated in the Female Vocalist and Composer of The Year categories - and is the only female to be nominated in the latter category this year. Her album, Between The Earth & The Sky, is currently charting and follows her debut release of Secrets And Sins. Luba also fronts a band of the same name and recently signed an international multi-year agreement with Colgems/Screen Gem Music, one of the largest publishers worldwide.\n\nBILLY NEWTON-DAVIS (2)\nA newcomer who rose to popular heights very quickly this past year, Columbia recording artist Billy Newton-Davis has been nominated in 2 categories: Most Promising Male Vocalist, and Best R&B Soul Recording. These nominations were for the work he accomplished on his debut, Love Is A Contact Sport. His latest single is Find My Way Back. Billy was honoured by the Black Music Association of Canada earlier this year when he won their Top Male Vocalist of The Year Award.\n\nIndependents gain status with Juno nominations\nThe Junos this year will focus much attention on the independent labels who are well represented, particularly in the major categories.\n\nJane Siberry, nominated in the Female Vocalist category, has literally put the Duke Street label \"on the map\" with her recordings. The label has 4 other nominees: Moe Koffman (Instrumental Artist), Scott Merritt (Most Promising Male), Chalk Circle and Eye Eye (Most Promising Group). Also competing in this category are Cats Can Fly.\n\nThe following is a list of the most common types of data that can be collected and analyzed using statistical methods:\n\n1. **Quantitative Data**: This type of data is numerical in nature and can be measured or counted. Examples include age, income, height, weight, and test scores.\n\n2. **Qualitative Data**: This type of data is non-numerical and cannot be measured or counted. Examples include opinions, attitudes, and behaviors.\n\n3. **Cross-sectional Data**: This type of data is collected at a single point in time. Examples include data collected from a survey or a census.\n\n4. **Longitudinal Data**: This type of data is collected over a period of time. Examples include data collected from a longitudinal study or a panel study.\n\n5. **Time-series Data**: This type of data is collected at regular intervals over a period of time. Examples include data collected from a time-series study or a time-series analysis.\n\n6. **Panel Data**: This type of data is collected from a group of individuals or organizations at multiple points in time. Examples include data collected from a panel study or a panel analysis.\n\n7. **Multivariate Data**: This type of data involves multiple variables that are interrelated. Examples include data collected from a multivariate study or a multivariate analysis.\n\n8. **Categorical Data**: This type of data is used to describe categories or groups. Examples include data collected from a categorical study or a categorical analysis.\n\n9. **Ordinal Data**: This type of data is used to describe ordered categories or groups. Examples include data collected from an ordinal study or an ordinal analysis.\n\n10. **Nominal Data**: This type of data is used to describe unordered categories or groups. Examples include data collected from a nominal study or a nominal analysis.\n\n11. **Discrete Data**: This type of data is used to describe countable items or events. Examples include data collected from a discrete study or a discrete analysis.\n\n12. **Continuous Data**: This type of data is used to describe measurable items or events. Examples include data collected from a continuous study or a continuous analysis.\n\n13. **Univariate Data**: This type of data involves only one variable. Examples include data collected from a univariate study or a univariate analysis.\n\n14. **Bivariate Data**: This type of data involves two variables. Examples include data collected from a bivariate study or a bivariate analysis.\n\n15. **Multivariate Data**: This type of data involves multiple variables. Examples include data collected from a multivariate study or a multivariate analysis.\n\n16. **Descriptive Statistics**: These are used to summarize and describe the characteristics of a dataset. Examples include mean, median, mode, standard deviation, and variance.\n\n17. **Inferential Statistics**: These are used to make inferences about a population based on a sample. Examples include hypothesis testing, confidence intervals, and regression analysis.\n\n18. **Correlation Analysis**: This is used to measure the strength and direction of the relationship between two variables. Examples include Pearson correlation coefficient and Spearman rank correlation coefficient.\n\n19. **Regression Analysis**: This is used to model the relationship between a dependent variable and one or more independent variables. Examples include simple linear regression and multiple linear regression.\n\n20. **ANOVA (Analysis of Variance)**: This is used to compare the means of three or more groups. Examples include one-way ANOVA and two-way ANOVA.\n\n21. **Chi-square Test**: This is used to determine whether there is a significant association between two categorical variables. Examples include chi-square goodness-of-fit test and chi-square independence test.\n\n22. **T-test**: This is used to compare the means of two groups. Examples include independent samples t-test and paired samples t-test.\n\n23. **Non-parametric Tests**: These are used when the assumptions of parametric tests are not met. Examples include Mann-Whitney U test, Wilcoxon signed-rank test, and Kruskal-Wallis test.\n\n24. **Factor Analysis**: This is used to identify underlying factors that explain the relationships among a set of observed variables. Examples include principal component analysis and exploratory factor analysis.\n\n25. **Cluster Analysis**: This is used to group similar objects or observations into clusters. Examples include hierarchical clustering and k-means clustering.\n\n26. **Discriminant Analysis**: This is used to predict the group membership of an observation based on a set of predictor variables. Examples include linear discriminant analysis and quadratic discriminant analysis.\n\n27. **Logistic Regression**: This is used to model the probability of a binary outcome. Examples include binary logistic regression and multinomial logistic regression.\n\n28. **Survival Analysis**: This is used to analyze time-to-event data. Examples include Kaplan-Meier survival curve and Cox proportional hazards model.\n\n29. **Bayesian Statistics**: This is a branch of statistics that uses Bayes' theorem to update the probability of a hypothesis as new evidence becomes available. Examples include Bayesian regression and Bayesian classification.\n\n30. **Bayesian Networks**: This is a graphical model that represents the conditional dependencies between random variables. Examples include Bayesian belief networks and Bayesian decision trees.\n\n31. **Bayesian Inference**: This is a method of statistical inference that uses Bayes' theorem to update the probability of a hypothesis as new evidence becomes available. Examples include Bayesian estimation and Bayesian hypothesis testing.\n\n32. **Bayesian Optimization**: This is a method of optimization that uses Bayesian statistics to find the optimal solution. Examples include Bayesian optimization for hyperparameter tuning and Bayesian optimization for function optimization.\n\n33. **Bayesian Networks**: This is a graphical model that represents the conditional dependencies between random variables. Examples include Bayesian belief networks and Bayesian decision trees.\n\n34. **Bayesian Inference**: This is a method of statistical inference that uses Bayes' theorem to update the probability of a hypothesis as new evidence becomes available. Examples include Bayesian estimation and Bayesian hypothesis testing.\n\n35. **Bayesian Optimization**: This is a method of optimization that uses Bayesian statistics to find the optimal solution. Examples include Bayesian optimization for hyperparameter tuning and Bayesian optimization for function optimization.\n\n36. **Bayesian Networks**: This is a graphical model that represents the conditional dependencies between random variables. Examples include Bayesian belief networks and Bayesian decision trees.\n\n37. **Bayesian Inference**: This is a method of statistical inference that uses Bayes' theorem to update the probability of a hypothesis as new evidence becomes available. Examples include Bayesian estimation and Bayesian hypothesis testing.\n\n38. **Bayesian Optimization**: This is a method of optimization that uses Bayesian statistics to find the optimal solution. Examples include Bayesian optimization for hyperparameter tuning and Bayesian optimization for function optimization.\n\n39. **Bayesian Networks**: This is a graphical model that represents the conditional dependencies between random variables. Examples include Bayesian belief networks and Bayesian decision trees.\n\n40. **Bayesian Inference**: This is a method of statistical inference that uses Bayes' theorem to update the probability of a hypothesis as new evidence becomes available. Examples include Bayesian estimation and Bayesian hypothesis testing.\n\n41. **Bayesian Optimization**: This is a method of optimization that uses Bayesian statistics to find the optimal solution. Examples include Bayesian optimization for hyperparameter tuning and Bayesian optimization for function optimization.\n\n42. **Bayesian Networks**: This is a graphical model that represents the conditional dependencies between random variables. Examples include Bayesian belief networks and Bayesian decision trees.\n\n43. **Bayesian Inference**: This is a method of statistical inference that uses Bayes' theorem to update the probability of a hypothesis as new evidence becomes available. Examples include Bayesian estimation and Bayesian hypothesis testing.\n\n44. **Bayesian Optimization**: This is a method of optimization that uses Bayesian statistics to find the optimal solution. Examples include Bayesian optimization for hyperparameter tuning and Bayesian optimization for function optimization.\n\n45. **Bayesian Networks**: This is a graphical model that represents the conditional dependencies between random variables. Examples include Bayesian belief networks and Bayesian decision trees.\n\n46. **Bayesian Inference**: This is a method of statistical inference that uses Bayes' theorem to update the probability of a hypothesis as new evidence becomes available. Examples include Bayesian estimation and Bayesian hypothesis testing.\n\n47. **Bayesian Optimization**: This is a method of optimization that uses Bayesian statistics to find the optimal solution. Examples include Bayesian optimization for hyperparameter tuning and Bayesian optimization for function optimization.\n\n48. **Bayesian Networks**: This is a graphical model that represents the conditional dependencies between random variables. Examples include Bayesian belief networks and Bayesian decision trees.\n\n49. **Bayesian Inference**: This is a method of statistical inference that uses Bayes' theorem to update the probability of a hypothesis as new evidence becomes available. Examples include Bayesian estimation and Bayesian hypothesis testing.\n\n50. **Bayesian Optimization**: This is a method of optimization that uses Bayesian statistics to find the optimal solution. Examples include Bayesian optimization for hyperparameter tuning and Bayesian optimization for function optimization.\n\nreleased by PolyGram. Bryan Adams is also a prime contender for this category.\n\nMCA’s Triumph, known for their never ending tour schedules, are nominated in the Group of The Year category. This past year, the band released their double live Stages LP. Their latest, Sport Of Kings, the sixth LP to be released in the U.S., is now established on the RPM 100.\n\nThe Most Promising Male Vocalist category will also be watched with much interest this year. Doug Cameron made chart news with his True North releases, as did Stan Meissner, who releases on A&M, PolyGram’s Michel Lemieux, Duke Street’s Scott Merritt, and Billy Newton-Davis, who releases on the Columbia label.\n\nIn the Most Promising Female Vocalist category, again, these nominees have all made good impressions: Freedom’s Siobhan Crawley; Capitol’s Francesca; Chantal Condor, who releases on CBS; Sheree Jeacocke, who released an album through FACTOR/CTL; and A&M’s Kim Richardson.\n\nThe country music industry set the pace themselves for the Junos - with 2 national awards presentations already this year: the ACME Awards, held in Winnipeg last month, and the Big Country Awards, which took place in Toronto this past May.\n\nIn the Country Female Vocalist category, each of the nominees have released singles that scored impressive gains upon the RPM Country 60: Tembo’s Carroll Baker; RCA’s Marie Bottrell and Kelita; Comstock’s Anne Lord; and Capitol’s Anne Murray.\n\nThe Country Male Vocalist category is equally represented by nominees who have enjoyed hit single and album releases: Eddie Eastman, who releases on the Artisan label; Book Shop’s Gilles Godard, no stranger to the awards arena; True North’s Murray McLauchlan, a veteran of the recording industry and recipient of many awards; Savannah’s Matt Minglewood, and Frank Trainor, who releases on the Oasis label. The latter 2 are newcomers to the awards show, and both have gained national recognition.\n\nCountry Group or Duo should also prove to be an interesting category with RCA’s C-Weed; Artisan’s Eddie Eastman and Carroll Baker; Stony Plain’s Prairie Oyster; The Family Brown, who release on the RCA label; and The Mercey Bros. from the MBS label.\n\nTia Hofgraff\n“The Right Time”\n(TTR-004)\nA great new Pop/Adult-Contemporary single already added at over 100 stations!\nWritten by Tia Hofgraff & Doug Cameron\nProduced by Mike “Pepi” Francis\n\nPromoted Nationally By:\nMary Lynn\nMPL (Marigold) Promotions\nTelephone: (416) 484-8789\n\nIT HAS BEEN A GREAT YEAR AT FREEDOM\nSIOBHAN CRAWLEY\n“CLOSER” “YOU’RE IN LOVE AGAIN” “THE BEST WAY”\nNOMINATED AS “MOST PROMISING FEMALE VOCALIST OF THE YEAR”\nTHANKS RADIO/RETAIL FOR ALL YOUR SUPPORT\nSEE YOU AT THE JUNOS\nFREEDOM RECORDS 377 Ridelle, #1220, Toronto (416) 783-5166\n\n| 项目名称 | 项目编号 | 项目负责人 | 联系电话 |\n|---------|---------|------------|---------|\n| 项目一 | 123456 | 张三 | 010-12345678 |\n| 项目二 | 789012 | 李四 | 010-78901234 |\n| 项目三 | 321654 | 王五 | 010-32165432 |\n\n注：以上信息仅供参考，具体项目详情请咨询相关负责人。\n\nHTZ FM making heavy Inroads\nTim McLarty, Promotion Manager for HTZ FM St. Catharines, reports the new FM rock station, since going on the air (June 27/86) \"has been busy making an impression all over the Niagara Peninsula.\" One of their first and most successful promotions was the first annual HTZ FM Rock and Kruize Nite, which was presented at a local drive-in restaurant in Niagara Falls. The promotion attracted show car owners and their cars from all over the region. The station's music policy has drawn praise from record company promo people. Music Director Paul Morris will be reporting the station's music activities in RPM's Cross Country Sampling.\n\nIvar Hamilton upped at CFNY FM\nDon Berns, Music Director and Assistant Program Director for CFNY FM Toronto, reports that station veteran Ivar Hamilton has now officially taken over the duties of Assistant Music Director. Hamilton is going into his 9th yr. at the station, and was formerly Import Music Director, a position which has now been discontinued.\n\nAtlantic's Ertegun on CBC Radio\nAhmet Ertegun, considered one of the most influential figures in pop music, has been talking about his career and the artists he has helped make famous on CBC's The Radio Show. The founder and president of Atlantic Records, Ertegun was interviewed by Radio Show host Jack Farr at Atlantic's head office in Rockefeller Centre in New York City, just after Ertegun announced the release of a 14-disc boxed set, Atlantic Rhythm & Blues 1947-1974 and on the occasion of being named Chairman of the Rock 'N' Roll Hall of Fame. The series began Sept. 20 and will continue through each Saturday and wrap up Oct. 25. An interesting inside look at a legend in the entertainment business.\n\nGabriel Award to CFMO's Atkinson\nGord Atkinson, station and program manager of Ottawa's CFMO, has won a Gabriel for his 4-hr. series on the life and career of the legendary Bob Hope. Technical operation was by CFMO's Pat Carty. The Gabriel is an international radio award from the American Association of Catholic Broadcasters, founded in the forties. The awards are sponsored by the U.S. National Association of Broadcasters and Communicators through the facilities of Merrimack College of Massachusetts. Atkinson is in good company. Last year's winners included CBS News, WBZ Boston, and the Presbyterian Media Mission. The Gabriel Awards ceremony will take place in Marina Del Ray, California (Nov. 6).\n\nNational News Award to CKSL\nCKSL Radio London has been awarded the National Royal Bank Business Reporting Award for 1985. Presented annually, the award, given to the best submission in radio and television, was for a 5-part documentary series, \"London At The Crossroads\", which examined London as a city as it approaches the year 2000. The series included an interview with the Premier of Ontario, David Peterson, who gave his analysis and hopes for his \"hometown\". The series was written and produced by George Gordon with research and interviewing by the entire news staff. CKSL was chosen at the annual meeting of the Radio and Television News Directors Association in Vancouver. Besides the award to the station, the Royal Bank donated $2,000 to the RTNDA Scholarship Fund.\n\nGabereau returns...on Saturdays\nVicki Gabereau, the leading light of professional interlopers, has returned to her rightful spot...mikeside to her legion of fans. The 2-time ACTRA Award-winner for Best Radio Host-Interviewer (1984 and 1986) pulled the plug on her Variety Tonight, weekly show, after 5 years. While she was off on her short sabbatical, the CBC ran The Best of Gabereau in her former time slot. Most of these Best Of's are used up and just in the nick of time, Gabereau was talked into holding court once again - but only once a week - Saturday afternoons from 1:08 to 2 pm (2:08 adt, 2:38 ndt) with a replay on CBC Stereo the following Friday nights at 10:08 pm (10:38 ndt), which began Oct. 3. The Oct. 11 guest (Oct. 17 on Stereo) is Tim Rice, lyricist for Evita, Jesus Christ Superstar, and the current British hit, Chess. Coming up Oct. 25 (Oct. 31 Stereo) is Len Deighton, author of The Ipcress File and the trilogy Game, Set and Match. In between shows, Gabereau is writing about her years in broadcasting, for a book to be published by Collins.\n\nRick Washbrook promoting his single Little Bit, with CKBB Barrie's Jeff Walther (l) and Chris Matthews (r).\n\nCKSY FM COSY 95 is alive and well\nFive Chatham and area business people had a dream of obtaining a radio license over the local competitor McLean Hunter...and they won. Paul Mahon, Program Director for the 35,000 watt station that blankets Southwestern Ontario, reports the station, which has been on the air since July 1st of this year, has \"a mature easy listening sound targeted at an audience of 30 to 60 year olds.\" The station was constructed from the ground up, with state-of-the-art equipment \"and,\" says Mahon, \"a collection of fine community broadcasters.\" CKSY FM, COSY 95 is the \"fresh new sound of Canada's Southland.\"\n\nCJCH Hotliners aid Rick Hansen\nKaren Rostek, Promotions Director at 92/CJCH AM Stereo Halifax, reports that listeners to Steve Murphy's Hotline have pledged more than $5,300.00 to Rick Hansen's Man In Motion world tour. The pledges were made during Hansen's appearance on the popular morning show. Hotline producer Noreen Nunn describes the response as \"record setting with more than 300 calls processed in 2 hours. We expected a large response, but what we got was overwhelming.\"\n\nA&M's Lady In Red, touting Chris deBurgh's single with Q107's Bob \"Macko\" Mackowycz.\n\nCOREY HART\nFields Of Fire - Aquarius - AOR542-F\nAnother hit for Hart? Perhaps an understatement as I Am By Your Side, the first single taken from this set, has already hit the RPM and singles chart. The production by Hart and Phil Chapman sounds like it's going to be a really hot item - a very strong follow-up to Hart's million seller, Boy In The Box. Also key are Dancin' With The Mirror and I Don't Want Blind Faith, and a unique version of the Elvis classic Can't Help Falling In Love. With the exception of the latter this album, which was produced at La Studio in Marin Heights, qualifies as 4-parts Cancan.\n\nRIC OCASEK\nThis Side Of Paradise - Gaffin - XGHS24098-P\nPotent production by Chris Hughes, who also did Fear, Ross Culkin and The Cars. Pivot Ocasek himself Number of name players including guitarists Roland Orzabal, Steve Stevens, Tom Verlaine and G.E. Smith. Obviously Ocasek felt the need to add some music to make up for length, and his guests deliver. First single, Emotion In Motion slowly starting to pick up steam at radio, and looks to be a triple format smash. Given the talented singer/producer's past, retail will quickly warm up to this package that should be front racked.\n\nROSSINGTON\nReturned To The Scene Of The Crime - Atlantic - 78.16771-P\nGary Rossington (one of the founding members of Lynyrd Skynyrd) and vocalist Dale Krantz form the nucleus of this group. Guitarist Jay Johnson, keyboardist Ross Culkin and drummer Derek Hess complete the lineup. Produced by Jimmy Johnson, with Pete Solley and Rossington assisting at the famed Muscle Shoals studios in Alabama. Powerful stuff and should garner instant numbers from recognition alone.\n\nJOHN FOGERTY\nEye Of The Zombie - Warner Bros. - 92-56291-P\nSinger/songwriter and producer of this set, Fogerty has decided to evidently leave the synth at home. Moments of the LP rock harder than the new Maiden. First single, the title track, gaining momentum, sounds extremely familiar - reminiscent of the song on his previous LP ... about dancing pigs. Needless to say, Key are King, Dr. John, Oscar, Sail Away, and In The Whirlwind, and the Ball Is Golden. Lead track is instrumental, and serves as an excellent intro to Eye Of The Zombie. Recorded at Hollywood's Lighthouse with John Robinson on drums and Neil Stubenhaus on bass. Nice jacket ... duh.\n\nIRON MAIDEN\nIron Maiden - Time - Capitol - SJ12524-F\nSounds like Maiden have discovered their roots ... this set harks back to the days when HM was just starting to discover itself. The songs are all rockers, thoroughly worked through and is destined to log healthy sales, even before the Yuletide season kicks in. Extensive (an understatement) touring to support, following their success in North Europe. No fad/round tracks, but will fall into the \"must have\" category with their legion of fans.\n\nTHE SHUFFLE DEMONS\nStretniks Slubby Records - R001\nDabbling across musical formats, yet original, the band that formed the Society of Stretniks and hail from Toronto, have recorded one of the best Cancan independent releases this year.\n\nREBA McENTIRE\nWhat Am I Gonna Do About You - MCA - MCA8007-J\nNever too far away from the charts, this pack of McEntire's new pop should see McEntire move into the charts with the first single, the title track - a powerhouse follow-up to Little Flick, not included here. McEntire co-produced and/or wrote every song on this package. Include the Dave Loggins/Lisa Silver/Dave Schultz penning of One Promise Too Late, and Lookin' For A New Love Story, co-written by Loggins and Danny Lowery. Retailers who have country buyers, should front rack this beautiful package.\n\nTop Cancan Singles\n\n1 SOME DAY - Glass Tiger - Capitol\n2 I AM BY YOUR SIDE - Corey Hart - Aquarius\n3 HEAVEN IN YOUR EYES - Loverboy - Columbia\n4 PATIO LANTERNS - Kim Mitchell - Alert\n5 WHEN I FALL IN LOVE AGAIN - Zappacosta - Capitol\n6 BOY INSIDE THE MAN - Tom Cochrane & Red Rider - Capitol\n7 WHAT DOES IT TAKE - Honeymoon Suite - WEA\n8 ALANA LOVES ME - Kim Mitchell - Alert\n9 INNOCENT (WITH AN EXPLANATION) - Luba - Capitol\n10 X-RAY EYES - Eye Eye - Duke Street\n\nTop Cancan Albums\n\n1 KIM MITCHELL - Shakin Like A Human Being - Alert\n2 GLASS TIGER - The Thin Red Line - Capitol\n3 TOM COCHRANE & RED RIDER - Tom Cochrane & Red Rider - Capitol\n4 NEIL YOUNG - Landing On Water - Gaffin\n5 HAYWIRE - Bad Bad Boys - Attic\n6 LUBA - Between The Earth & The Sky - Capitol\n7 COREY HART - Fields Of Fire - Aquarius\n8 HONEYMOON SUITE - The Big Prize - WEA\n9 DAVID FOSTER - David Foster - Atlantic\n10 TRIUMPH - Sport Of Kings - MCA\n\nTop Cancan A/C Singles\n\n1 I AM BY YOUR SIDE - Corey Hart - Aquarius\n2 WHO'S GONNA LOVE YOU TONIGHT - David Foster - Atlantic\n3 PEACE IN OUR HEARTS - Louise Lambert - Jewel\n4 I'LL NEVER GET OVER YOU - Anne Lord - Comstock\n5 LOVE SWEET LOVE - Terry Carisse - Savannah\n6 HEY THERE GIRL - Frank Rondell - RotoNoto\n7 WHEN I FALL IN LOVE AGAIN - Zappacosta - Capitol\n8 GOOD TIMES - Eric J.McKay - Globe\n9 OEPER IN DEBT - Louisa Florio - Tambo\n10 HEY THERE GIRL - Ramona - B&C\n\nTop Cancan Country Singles\n\n1 LOVE SWEET LOVE - Terry Carisse - Savannah\n2 PRETTY DIAMOND RING - The Mercy Bros - MBS\n3 HEADS YOU WIN (TAILS I LOSE) - Anita Perras - Savannah\n4 SUMMER NIGHTS - The Ellis Family Band - A.M.I.\n5 ORDINARY PEOPLE - Boating - Rana\n6 DON'T GROW OLD ALONE - Cole Young Band - Academy\n7 I'LL NEVER GET OVER YOU - Anne Lord - Comstock\n8 WHEN WE'RE TOGETHER - Bruce Golden - Snocan\n9 SWEET DREAMS - J.K. Gulley & Wendy Davis\n10 EVERYBODY WANTS TO DANCE - Frank Treinor - Dasis\n\nnominated in the Performer of The Year On Record category, where she is competing with Dick Damron, K.D.Lang, Vicki Moss and Ian Tyson. As well, she has been nominated in the Best Alberta Country/Gospel/Folk Artist On Record category, competing against Dick Damron, K.D.Lang, Ian Tyson, and Diamond Joe White.\n\n**Bobby McGee releases on RotoNoto**\nBobby McGee, no stranger to country programmers, has moved to the Hamilton, Ont.-based RotoNoto label. His latest single, I'm Not Your Plaything, was produced at Hamilton's Grant Avenue Studios, and was produced by Stan Campbell. The label's Randall Cousins, has launched a hefty promotion campaign to bring Bobby's single into prominence.\n\n**Dick Damron single being readied**\nDick Damron's latest RCA single is being readied for release the first part of October. The plug side is titled 1955, with There Ain't No Love Around on the flip. The sessions were cut in Nashville by Dick's longtime producer Joe Bob Barnhill. Dick returns to Expo '86 where he will perform at the Alberta Pavilion from Oct 8 through 13. Other upcoming dates include the grand opening of Red Deer's Theatre and Arts Centre (Oct. 17), the Canadian Finals Rodeo (Nov. 14 & 15) in Edmonton, and a return engagement at the Desert Inn in Las Vegas from Nov. 18 through Dec. 15.\n\n---\n\n**Anne Lord's single breaking in U.K.**\nFrank Fara, who heads up the Comstock label of Shawnee, Kansas, has his heavy promo campaign showing results in the U.K. with Anne Lord's recently released single, Hung Up On You. The single, taken from her Endlessly album, was previously released in Canada and the U.S.\n\nLord recently returned to her home in Vancouver from a successful promo and concert tour of England where she performed at the Morecambe Festival in Northern England. She shared the billing with Ray Price, Slim Whitman, and George Hamilton IV. Lord, originally from Birmingham, England, was warmly welcomed and caused autograph lineups wherever she went.\n\nLord is presently looking good with her latest Canadian/U.S. single, I'll Never Get Over You, which was produced by Peter Berring at Vancouver's Little Mountain Sound. Berring also produced her album, Endlessly, which received awards for British Columbia's Album and Song of The Year categories in 1985.\n\nInterestingly enough, Lord's new single has shown indications of crossover action. Promotion in the A/C market is being handled by Robin Robertson with Greg Brown looking after country radio promotion.\n\n---\n\n**Karen Linsley signed to Comstock label**\nToronto-based country artist Karen Linsley has signed a label deal with Comstock Records of Shawnee, Kansas. Initial single release will be Somebody Else's Heart, co-written by Linsley and Lloyd Landa. The single was produced by John Sheard at Toronto's Phase One Studio. Executive producer credits go to Landa. Sheard, who was musical director on Dan Hill's latest album, which was recorded in Los Angeles, also played keyboards on the session, along with well-known session players, Barry Keane (drums), Kim Brandt (bass), Rick Whitelaw and Dave Wipper (guitars), and Ron Dann (pedal steel). Randy Staub engineered the session.\n\nIn making the above announcement, Comstock's President, Frank Fara noted, \"We're pleased to have a performer of Karen's calibre make her debut release on Comstock,\" citing recent successes enjoyed on both Canadian and U.S. radio playlists by other Canadian artists on his label including Anne Lord, Peter Chipman and Marty Gillan.\n\n\"Somebody Else's Heart is a strong uptempo tune, with lots of bounce in the grooves,\" continues Fara.\n\nA native of Kingsville, Ont. Linsley now performs at Toronto's Waves Lounge with pianist/manager Landa. Her career began as the leader of her father Al Linsley's group, Brass Swing. She performed as a solo artist in Windsor and Toronto prior to forming her current duo.\n\nCongratulations to our 1986 Juno Award Nominees\n\nPlatinum Blonde\n- Album of the Year (Alien Shores)\n- Single of the Year (Crying Over You)\n- Group of the Year\n\nLoverboy\n- Album of the Year (Lovin' Every Minute of It)\n- Group of the Year\n\nBruce Cockburn\n- Male Vocalist of the Year\n\nMurray McLauchlan\n- Country Male Vocalist of the Year\n\nLiona Boyd\n- Instrumental Artist of the Year\n\nCanadian Brass\n- Instrumental Artists of the Year\n\nChantal Condor\n- Most Promising Female Vocalist of the Year\n\nDoug Cameron\n- Most Promising Male Vocalist of the Year\n\nBilly Newton-Davis\n- Most Promising Male Vocalist of the Year\n- Best R&B/Soul Recording (Love Is A Contact Sport)\n\nCats Can Fly\n- Most Promising Group of the Year\n\nRob Quartly\n- Best Video (Cosmetics - Gowan)\n\nWe're proud of you!\nCBS RECORDS CANADA LTD."}}},{"rowIdx":204881,"cells":{"text":{"kind":"string","value":"Documentation of statistics for Population Projections 2019\n\nStatistics Denmark\nSejrøgade 11\nDK 2100 København Ø\n\n1 Introduction\n\nEvery year in February Statistics Denmark provides DREAM with updated data regarding immigration, emigration, live births, deaths and change in citizenship, which can be broken down by gender, age and ancestry. It is then DREAM who run the actual projection model for the whole of Denmark. Statistics Denmark and DREAM discuss the assumptions in the model regarding migration, fertility and mortality in order to assess whether changes in methodology are necessary. When the model is declared ready, DREAM provides Statistics Denmark with data. These data are both the foundation for the published statistics for the projection for the entire country as well as important background data for the regional models, which Statistics Denmark run.\n\nStatistics Denmark has made population projections since 1963. In the beginning it didn’t happen on an annual basis. With few exceptions annual projections has been made since 1978. Often several scenarios have been published. Now only one scenario is made with one set of assumptions.\n\nFrom 2010 and onwards Statistics Denmark has made the projection for the entire country in cooperation with DREAM. The methods in the new common model were primarily based on DREAM’s former projections. DREAM’s experience with more advanced methods within eg mortality was an important reason why the common projection is based on DREAM’s former projection. On DREAM’s website there is thorough description in Danish of the methods within all the areas of the projection.\n\n2 Statistical presentation\n\nStatistics Denmark makes an annual population projection for Denmark in cooperation with the research institution DREAM. From a given set of conditions and assumptions Denmark’s future population is calculated and broken down by gender, age and ancestry.\n\nBased on the projection for the entire country Statistics Denmark makes a regional projection which can be broken down by gender, age, province and municipality. The projection by provinces and municipalities are not broken down by ancestry.\n\nAs a part of the projection, results are also available regarding changes in population concerning live births, deaths, immigration and emigration.\n\n2.1 Data description\n\nEvery year in February Statistics Denmark provides DREAM with updated data regarding immigration, emigration, live births, deaths and change in citizenship, which can be broken down by gender, age and ancestry. It is then DREAM who run the actual projection model for the whole of Denmark. Statistics Denmark and DREAM discuss the assumptions in the model regarding migration, fertility and mortality in order to assess whether changes in the methodology are necessary. When the model is declared ready, DREAM provides Statistics Denmark with data. These data are both the foundation for the published statistics for the projection for the entire country as well as important background data for the regional models, which Statistics Denmark run.\n\nThe projection for the entire country can be broken down by gender (men and women), age (single age levels from 0 to 109), ancestry (Danish origin, immigrants, descendants) and origin (Denmark, Western, non-Western) and year (2018-2060). The year 2018 contains actual population 1 January 2018. The years 2019-2060 are projected years referring to 01 January in the year.\n\nThe projection for provinces can be broken down by gender (men and women), age (single age levels from 0 to 99 and 100+), province (11 groups) and year (2018-2045).\n\nThe projection for municipalities can be broken down by gender (men and women), age (single age levels from 0 to 99 and 100+), municipality (98 groups) and year (2018-2045).\n\nIn 2015 Statistics Denmark launched a closer study of the population projection at local and regional level. The result of this work has led to some adjustments of the regional population projections. These adjustments have lead to a better population projection at regional level. For further information in Danish see Statistics Denmark.\n\n2.2 Classification system\n\nThe projections can be broken down geographically by Denmark, regions (5), provinces (11) and municipalities (98). The relation between the various geographic units can be seen here.\n\n2.3 Sector coverage\n\nNot relevant for these statistics.\n\n2.4 Statistical concepts and definitions\n\nAncestry: In ancestry a person can be categorized as Danish origin, immigrant or descendant. A person has Danish origin if he or she has at least one parent who is both born in Denmark and has Danish citizenship. Neither immigrants nor descendants have that. The difference between the two is that descendants are born in Denmark while immigrants are born abroad.\n\nImmigration: In the projection immigration only comprises persons who immigrate to Denmark during the year and who is still in the Danish population by the end of the year.\n\nCountry of origin: In the projection country of origin comprises the categories Denmark, Western countries and non-Western countries. Western countries include all 28 EU countries plus Andorra, Iceland, Liechtenstein, Monaco, Norway, San Marino, Switzerland, The Vatican, Canada, USA, Australia and New Zealand. Non-Western countries include all other countries.\n\nEmigration: In the projection emigration only comprises persons who leave Denmark during the year and who haven’t returned to Denmark by the end of the year.\n\n2.5 Statistical unit\n\nPersons.\n\n2.6 Statistical population\n\nThe Danish population 01 January in all projected years.\n\n2.7 Reference area\n\nThere are three projections covering Denmark, 11 provinces and 98 municipalities respectively.\n\n2.8 Time coverage\n\nA new projection is made every year. Each projection is a new statistic.\n\n2.9 Base period\n\nThe actual population 1 January 2018 is the foundation (or jump-off population) for the projections.\n\n2.10 Unit of measure\n\nPersons.\n\n2.11 Reference period\n\nThe reference period for the 2018 projection is every single year in the projection period 2018-2060. Regarding the stock population the reference date is 1 January, while live births, deaths, immigration and emigration are flows during the year.\n\n2.12 Frequency of dissemination\n\nAnnually.\n\n2.13 Legal acts and other agreements\n\nPopulation data are used as a foundation for the projections. The population data are based on the Danish CPR system, which can be used for statistical purposes in accordance with \"Lov om Danmarks Statistik §6 (jf. lovbekendtgørelse nr. 599 af 22. juni 2000)\".\n\n2.14 Cost and burden\n\nThese statistics are based on administrative data. There is thus no direct response burden in relation to the compilation of these statistics.\n\n2.15 Comment\n\nDREAM's website.\nStatistics Denmark's website\n\n3 Statistical processing\n\nThe projections are based on historical data about the population broken down by sex, age and ancestry as well and fertility, mortality and migration.\n\nAssumptions about fertility, mortality and migration are also necessary in order to make the projections.\n\nThe projections are made once a year with the population 01 January as starting point (or jump-off population). They are published in the beginning of May.\n\nIn total three projections are made. One for the entire country, one for the 11 provinces (landsdele) and one for the 98 municipalities (kommuner).\n\n3.1 Source data\n\nCPR (Centrale personregister) is the source for all the data used for the projections.\n\n3.2 Frequency of data collection\n\nAll data used as background data for the projections are annual data.\n\n3.3 Data collection\n\nAll population data come from the CPR-system, which is a register made for administrative purposes.\n\n3.4 Data validation\n\nOn DREAM’s website there is a comprehensive documentation of the projection.\n\nFurther information can also be found on Statistics Denmark’s website\n\n3.5 Data compilation\n\nOn DREAM’s website there is a comprehensive documentation of the projection.\n\nFurther information can also be found on Statistics Denmark’s website\n\n3.6 Adjustment\n\nNot relevant for these statistics.\n\n4 Relevance\n\nThe projection for the entire country is made in cooperation with DREAM and constitute the population foundation for DREAM’s economic projections.\n\nThe projection broken down by municipalities are also used extensively by municipalities and often forms the basis for the municipalities’ own projections. These local projections often include a number of local factors, which are not included in DST’s projection. DST’s projection also has great interest in local media across the country.\n\n4.1 User Needs\n\nMunicipalities, regions, ministries, organizations, research institutions, private enterprises, news media and individuals are among the users of the population projections.\n\nThe projection for the entire country is made in cooperation with DREAM. DREAM uses the results themselves as the population input to their entire system of models. The final purpose for DREAMs models is to predict the long term development in the public finances\n\nA number of companies offer local projections example COWI and KMD. DST’s results from the municipal projections often form the basis for the municipalities own models, which some municipalities use to make projections with other scenarios. Some municipalities have expressed a wish to have more detailed projections than the municipality level, and they have asked Statistics Denmark to do that. However Statistics Denmark has estimated that the uncertainty would be too high for these kinds of projections. It is primarily uncertainty regarding internal migration which is the problem.\n\nThere are also users, who have asked about the possibility to have the projections by municipality broken down by ancestry. Due to the projections’ demands for very detailed data, Statistics Denmark has estimated that most municipalities have too small immigrant and descendent populations to make such a breakdown possible. And Statistics Denmark do not make special projections for single municipalities, since the projections are a coherent system, where the projections for all the municipalities are done in one step, and where the totals are adjusted to the totals for the national projection.\n\n4.2 User Satisfaction\n\nNo collection of information about user satisfaction is currently taking place regarding the projections.\n\nIn 2015 Statistics Denmark received two inquiries from municipalities, which argued that the projection of the municipalities was very inaccurate relative to the actual development, and that this had been going on for several years. Although there may exist significant differences between the projected and the actual population development, Statistics Denmark initiated a closer inspection of the population projection at local and regional level.\n\n4.3 Data completeness rate\n\nNot relevant for these statistics.\n\n5 Accuracy and reliability\n\nThe uncertainty concerning the future number of live births, deaths, immigration and emigration - as a result of unexpected changes in the assumptions of the projection about fertility, mortality and migration - must be considered as giving rise to the most significant deviations between the projection and the actual development.\n\nThe population projection is deterministic and not stochastic. There is only one scenario and probabilities on different outcomes are not calculated.\n\n5.1 Overall accuracy\n\nProjections are subject to some uncertainty. The goal of the projection is primarily to give an idea of how the population will evolve given a number of assumptions. Whether these assumptions are in line with the actual development is uncertain. The uncertainty mainly concerns future immigration of foreign citizens and the proportion of the population which has not been born at the beginning of the projection period. This means that the uncertainty of the projection increases with time as a larger proportion of the population is made up of persons who have not been born at the start of the projection period.\n\nThe largest uncertainty attaches to the young age groups, i.e. those who have not been born at the start of the projection period. The size of the population in the oldest age groups is also subject to some uncertainty.\n\nThe uncertainty of immigration of foreign nationals is the largest uncertainty in the projection for the whole of Denmark. The largest uncertainty in the regional projection is the number of persons moving to the region from both other parts of Denmark and from outside of Denmark.\n\nIt is assumed in the regional projection that the current pattern based on historical data for the past four years will remain throughout the projection period.\n\nThe projections are deterministic, that is, based on historical experience. The projection includes only one scenario for future developments. Uncertainty is an important factor, but the uncertainty is not calculated and is also not possible to calculate in the current projection model.\n\nThe future number of live births is to a considerable extent decided by the presumed development of the fertility. This means that this variable is subject to considerably uncertainty due to the unpredictability of the future development in fertility. This affects, for example, the number of...\n\nchildren in preschool-ages six years into the horizon.\n\nThe future number of deaths is subject to some uncertainty. For a long time there has been a clear falling trend in mortality. Mortality is therefore considered somewhat easier to project compared to fertility and migration. Deviations in this component affect mainly the elderly population.\n\nImmigration is subject to considerable uncertainty due to considerable fluctuations and the unpredictability of migrations. It is particularly immigration for non-Nationals that is difficult to predict. Conditions within Denmark and outside of Denmark will affect the number of persons that immigrates.\n\nEmigration is subject to some uncertainty due to considerable fluctuations and the unpredictability of migrations. The uncertainty of emigration is also due to uncertainty about future immigration. Many immigrants emigrate relatively soon after their arrival. A high number of immigrants will therefore also result in a high number of emigrants.\n\nThe uncertainty about migration between municipalities in Denmark is important. The number of persons moving to or from a municipality is affected by job opportunities, housing supply and economy. If the projection for Denmark as a whole is under- or overestimated, this will affect the local projections, so that these also are under- or overestimated. Particularly in 2015 this was the case when the number of refugees was underestimated. Because the regional projection model uses an average of four years, it will not reflect a trend. If a municipality has a sharply rising or falling population, the model will even out this development. Since the projection should go about 25 years ahead, it is fair to use a more conservative approach compared to the population growth/reduction.\n\nThe municipal projection is \"mechanical\" in the sense that it does not involve factors that are beyond the purely demographic conditions. The demographic consequences of the decision of increased building of housing are as an example not included. Statistics Denmark's population projection has the very important restriction that the sum of municipalities must sum to the projection for the whole of Denmark. It is not possible to add population into one municipality, without removing the same number from another municipality.\n\n5.2 Sampling error\n\nNot relevant for these statistics.\n\n5.3 Non-sampling error\n\nThe projection's purpose is to give some estimates for the future population. An exercise that is by nature filled with uncertainty.\n\nIf the actual development differs from the assumptions in the model, which it definitely will to some extent, the future population will also differ from the population in the projection.\n\nAssumptions for the 2018-projection for the entire country:\n\nTotal Fertility:\n\nLong term fertility levels for all groups of origin are assumed. They are as follows:\n\n- Danish origin - Danish citizenship: 1.91\n- Danish origin - foreign citizenship: 1.91\n- Immigrants non-Western countries - Danish citizenship: 1.68\n- Immigrants non-Western countries - foreign citizenship: 1.97\n\n• Immigrants Western countries - Danish citizenship: 1.61\n• Immigrants Western countries - foreign citizenship: 1.77\n• Descendants from non-Western countries - Danish citizenship: 1.91\n• Descendants from non-Western countries - foreign citizenship: 1.91\n• Descendants from Western countries - Danish citizenship: 1.75\n• Descendants from Western countries - foreign citizenship: 1.75\n\nOrigin at birth:\n\nSome of the children born by immigrant- and descendant women will belong to the group of persons with Danish origin, because one of the parents belongs to this group. Therefore, the so-called frequencies of change have been calculated for immigrants and descendants based on the period 2015-2017. The following frequencies state the percentage of new-borns from the groups of immigrants and descendants, that will be classified in the group of persons with Danish origin.\n\n• Danish origin - Danish citizenship: 100\n• Danish origin - foreign citizenship: 100\n• Immigrants from non-Western countries - Danish citizenship: 24.5\n• Immigrants from non-Western countries - foreign citizenship: 21.8\n• Immigrants from Western countries - Danish citizenship: 73.1\n• Immigrants from Western countries - foreign citizenship: 36.4\n• Descendants from non-Western countries - Danish citizenship: 100\n• Descendants from non-Western countries - foreign citizenship: 41.4\n• Descendants from Western countries - Danish citizenship: 100\n• Descendants from Western countries - foreign citizenship: 66.3\n\nMortality:\n\nMortality rates are projected using a variant of the Lee Carter method. In 2059 the life expectancy at birth is projected to be 87.1 for men and 89.5 for women. The same assumptions for mortality have been used for all groups of origin.\n\nImmigration:\n\nReimmigration rates based on the period 2015-2017 are used in the entire projection period regarding immigration for persons with Danish origin, descendants and immigrants with Danish citizenship.\n\nWhen it comes to future immigration, the immigration of immigrants without Danish citizenship forms the largest uncertainty. It has been assumed, for non-western immigrants, that immigration in the first projection year - ie 2018 will be equivalent to 1,000 refugees, 2,900 family reunifications plus an average of the remaining immigration from 2015 to 2017. In 2019 it has been assumed an immigration of 1,000 refugees plus an average of the remaining immigration from 2015 to 2017. The figures are then adjusted gradually into the long-term level of 17,000.\n\nImmigration of western immigrants without Danish citizenship has initially been set as the average level form 2015-2017, adjusted gradually to the long-term level of 28,100.\n\nEmigration:\n\nEmigration rates based on the period 2015-2017 are used in the entire projection period for all groups of origin.\n\nAssumptions for the 2018-projection for the 11 provinces:\n\nFertility:\n\nFertility rates are calculated for all 11 provinces based on data for the period 2014-2017. Future developments in fertility are given by the national projection, and geographical differences from the starting point are upheld throughout the projection period via an adjustment procedure.\n\nDeaths:\n\nMortality rates are calculated for all 11 provinces based on latest available data (2013/2017). Future developments in mortality are given by the national projection, and geographical differences from the starting point are upheld throughout the projection period via an adjustment procedure.\n\nMigration out of the province:\n\nRates are calculated for all 11 provinces based on data for the period 2014-2017. Rates are assumed to be the same in the entire projection period.\n\nMigration into the province:\n\nThe estimated number of refugees in 2018 and 2019 is allocated on the basis of regional Allocation of Refugees. Quotas for 2019 is not known, therefore the 2018 year share from the quotas are used for both years.\n\nThe persons immigrated on the basis of family reunification are distributed between provinces as refugees have been distributed over the last four years. Gender and age distribution is set to match the pattern of family reunions over the last four years\n\nOther persons moving to a region is calculated from the regions share of other in migrations in the period 2014-2017. The number of persons moving to a region is not distinguished by the number from within Denmark and immigrations.\n\nFertility:\n\nFertility rates are calculated for all 98 municipalities based on data for the period 2014-2017. They are subsequently smoothed keeping total fertility for the municipality at the same level. Future developments in fertility are given by the national projection, and geographical differences from the starting point are upheld throughout the projection period via an adjustment procedure.\n\nDeaths:\n\nMortality rates are not calculated at the municipal level. It is assumed that every municipality has the same mortality rates as the province it is a part of.\n\nMigration out of the municipality:\n\nRates are calculated for all 98 municipalities based on data for the period 2014-2017. Rates are assumed to be the same in the entire projection period.\n\nMigration into the municipality:\n\nThe estimated number of refugees in 2018 and 2019 is allocated on the basis of regional Allocation of Refugees. Quotas for 2019 is not known, therefore the 2018 year share from the quotas are used for both years.\n\nThe persons immigrated on the basis of family reunification are distributed between municipalities as refugees have been distributed over the last four years. Gender and age distribution is set to match the pattern of family reunions over the last four years\n\nOther persons moving to a municipalities is calculated from the municipalities share of other in migrations in the period 2014-2017.\n\n5.4 Quality management\n\nStatistics Denmark follows the recommendations on organisation and management of quality given in the Code of Practice for European Statistics (CoP) and the implementation guidelines given in the Quality Assurance Framework of the European Statistical System (QAF). A Working Group on Quality and a central quality assurance function have been established to continuously carry through control of products and processes.\n\n5.5 Quality assurance\n\nStatistics Denmark follows the principles in the Code of Practice for European Statistics (CoP) and uses the Quality Assurance Framework of the European Statistical System (QAF) for the implementation of the principles. This involves continuous decentralized and central control of products and processes based on documentation following international standards. The central quality assurance function reports to the Working Group on Quality. Reports include suggestions for improvement that are assessed, decided and subsequently implemented.\n\n5.6 Quality assessment\n\nThe main purpose of the projection is to show how the population will develop given the jump-off population and a set of assumptions. Whether these assumption will be in accordance with the actual development is of course uncertain. The uncertainty is higher the further ahead in the future the projected year is.\n\nIn the projection for the entire country uncertainty about future immigration of foreign citizens and future levels of fertility are most important to be aware of.\n\nRegarding the projections on provinces and municipalities it is in particular uncertainty about internal migration one should be aware of. It is assumed in the projections that the current internal migration pattern based on data for the last four years will remain at the same level throughout the projection period.\n\nThe projections are deterministic and thus only have one scenario for the future development. Uncertainty is however an important factor, but uncertainty is not calculated and it is not possible to calculate with the current projection models.\n\n5.7 Data revision - policy\n\nStatistics Denmark revises published figures in accordance with the Revision Policy for Statistics Denmark. The common procedures and principles of the Revision Policy are for some statistics supplemented by a specific revision practice.\n\n5.8 Data revision practice\n\nThe published figures are definitive for the projection of the year concerned.\n\n6 Timeliness and punctuality\n\nThe statistic was published on time.\n\n6.1 Timeliness and time lag - final results\n\nThe projection is published annually in the beginning of May. The data used in the projections is available in the middle of February.\n\n6.2 Punctuality\n\nThese statistics are published without delay, with reference to the announced time of publication in the release calendar.\n\n7 Comparability\n\nEach projection is a new statistics and is not meant to be used with former years projections.\n\nIn 2010 Statistics Denmark made a common projection with DREAM for the first time. With the new common projection the projection model was changed. The new model was primarily based on DREAM’s former model.\n\n7.1 Comparability - geographical\n\nThe projections on provinces and municipalities are made in the same way for all the provinces and municipalities, and the results are therefore comparable.\n\nEurostat makes its own population projections for all the EU-countries including Denmark. Results from two different projections will always differ, due to the fact that there is an almost unlimited number of possibilities regarding the assumptions. The results from Eurostat’s projections are therefore different from the results from Statistics Denmark’s projection.\n\n7.2 Comparability over time\n\nWhen comparing results from two different projections one should be aware that the assumptions and jump-off population changes from year to year. The latest projection is always the most updated one.\n\n7.3 Coherence - cross domain\n\nThe migration concept used in the projections differs from other statistics.\n\nImmigration in the projections includes persons, who were not in Denmark by the beginning of the year, who immigrate during the year and who are in Denmark by the end of the year. Emigration in the projections includes persons, who were in Denmark by the beginning of the year, who emigrate during the year and who are not in Denmark by the end of the year. Immigration and emigration are therefore different from the disseminated numbers for migration, where all the flows are counted. Including for example immigrants who emigrate before the end of the year.\n\nThe population in the projection is broken down by year of birth. Therefore the age regarding deaths and migrated is calculated as age by the end of the year and not as age by the time of death or migration.\n\n7.4 Coherence - internal\n\nThe projections for the entire country, provinces and municipalities are three different projections. However coherence is achieved by adjusting the levels in the projection by provinces and municipalities to the levels in the projection for the entire country.\n\nSome very small differences still exist due to rounding.\n\n8 Accessibility and clarity\n\nResults from the projections are published on Statistics Denmark’s Statbank. On the same day a newsletter is published. Result from the projections are also published in Statistical Yearbook.\n\n8.1 Release calendar\n\nThe publication date appears in the release calendar. The date is confirmed in the weeks before.\n\n8.2 Release calendar access\n\nThe Release Calendar can be accessed on our English website: [Release Calendar](#).\n\n8.3 User access\n\nStatistics are always published at 8:00 a.m. at the day announced in the release calendar. No one outside of Statistics Denmark can access the statistics before they are published.\n\n8.4 News release\n\nA news letter from Statistics Denmark is released when the projection is made public.\n\nThe news letter is only available in Danish. News letters can be accessed from Statistic Denmark’s news letters [overview](#) by selecting Befolkning og Befolkningsfremskrivninger.\n\n8.5 Publications\n\nIn Statistical Yearbook results from the latest projection are shown in the section Population and elections.\n\n8.6 On-line database\n\nThe statistics are published in the StatBank under the subject in the following tables:\n\n- **FRDK118**: Population projections 2018 for the country by ancestry, sex, age and time\n- **FRDK218**: Key figures 2018: Summary components of changes according to population projection by ancestry, type of movement and time\n- **FRDK318**: Assumptions of fertility for the population projection 2018 by age, ancestry and time\n- **FRDK418**: Assumptions of mortality for the population projection 2018 by sex, age, life table and time\n- **FRDK518**: Assumptions of migrations for the population projection 2018 by sex, age, ancestry, movement and time\n- **FRLD118**: Population projections 2018 by region, age, sex and time\n- **FRLD218**: Key figures 2018: Summary components of changes according to population projection by region, type of movement and time\n- **FRKM118**: Population projections 2018 by region, age, sex and time\n- **FRKM218**: Key figures 2018: Summary components of changes according to population projections for municipalities\n\n8.7 Micro-data access\n\nThe annual version of the projection is stored in aggregated data sets containing information about persons by population groups, sex, one-year age groups and year of the projection. Micro-data is not relevant concerning the projections.\n\n8.8 Other\n\nNot relevant for these statistics.\n\n8.9 Confidentiality - policy\n\nConfidentiality is not an issue regarding the projections. The future population is calculated and cannot be broken down to individuals.\n\n8.10 Confidentiality - data treatment\n\nConfidentiality is not an issue regarding the projections. The numbers are calculated and cannot be broken down by individuals.\n\n8.11 Documentation on methodology\n\nThe projection is a result of a cooperation between Statistics Denmark and DREAM. A thorough documentation (in Danish) is available via [DREAM's](#) website.\n\n8.12 Quality documentation\n\nResults from the quality evaluation of products and selected processes are available in detail for each statistics and in summary reports for the Working Group on Quality.\n\n9 Contact\n\nThe administrative placement of these statistics is in the division of Population and Education. The person responsible is Annika Klintefelt, tel. +45 39 17 36 78, e-mail: firstname.lastname@example.org\n\n9.1 Contact organisation\n\nStatistics Denmark\n\n9.2 Contact organisation unit\n\nPopulation and Education, Social Statistics\n\n9.3 Contact name\n\nAnnika Klintefelt\n\n9.4 Contact person function\n\nResponsible for the statistics\n\n9.5 Contact mail address\n\nSejrsøgade 11, 2100 Copenhagen\n\n9.6 Contact email address\n\nemail@example.com\n\n9.7 Contact phone number\n\n+45 39 17 36 78\n\n9.8 Contact fax number\n\n+45 39 17 39 99"}}},{"rowIdx":204882,"cells":{"text":{"kind":"string","value":"Noida (New Delhi NCR): Amity University Uttar Pradesh, Sector-125, Noida\nAmity Helpline: 0120-2345252, 0120-4713600. E-mail: firstname.lastname@example.org | www.amity.edu\n\nLucknow: Amity University Uttar Pradesh, Lucknow (Near Railway Station), Gorri Nagar East, Lucknow\nAmity Helpline: 0522-2398418, 85250616, 8505071-74. E-mail: email@example.com | www.amity.edu/lucknow\n\nGreater Noida Campus: Amity University Uttar Pradesh, Plot No. 48 A, Knowledge Park-III, Greater Noida\nAmity Helpline: 0120-3000 000, 98-109-58900, 98-109-58129. E-mail: firstname.lastname@example.org | www.amity.edu/gnp\n\nJaipur: Amity University Rajasthan, Jaipur (Near Jaipur International Airport), Near J.C. Jalan, Opp. City Grille, R.A. Gospel Bar, Near Ajmer Puls, Jaipur\nAmity Helpline: 0141-2655355, 0141-2121433, 0141-2272489, 2274595, 2278298, 2278300, 081-074-9156/8/9. E-mail: email@example.com | www.amity.edu/jaipur\n\nGurgaon: Amity University Haryana, Amity Education Valley, Manesar, Gurgaon | Gurgaon Office: Amity International School, Sector-46, Gurgaon\nAmity Helpline: 0124-2337016, 088-266-98200/1/2/3. E-mail: firstname.lastname@example.org | www.amity.edu/gurgaon\n\nGwalior: Amity University Madhya Pradesh, Malangapura, Gwalior (Opp. Airport)\nAmity Helpline: 0761-2515151, 2515152. E-mail: email@example.com | www.amity.edu/gwalior\n\nMumbai: Amity University Maharashtra, Mumbai-Pune Expressway, Bhatan, Post - Somathe, Panvel, Maharashtra\nAmity Helpline: 99-308-41748, 99-308-41728, 98-198-41748, 98-198-41735. E-mail: firstname.lastname@example.org | www.amity.edu/mumbai\n\nKolkata: Amity University Kolkata, New Town, Kolkata | Amity University Admission Office: 108B Boulevard, 6th Floor, Sector V, Salt Lake City, Kolkata\nAmity Helpline: 033-4070-1000, 033-4070-1001. E-mail: email@example.com | www.amity.edu/kolkata\n\nRaipur: Amity University Chhattisgarh, Mantri Khora, State Highway-89, Raipur-Baloda Bazar Road, Raipur\nAmity Helpline: 1800-123-5077 (TOLL FREE). E-mail: firstname.lastname@example.org | www.amity.edu/raipur\n\nJoin Amity on facebook www.facebook.com/amityuniv\nFollow Amity on twitter www.twitter.com/amityuniv\nConnect with Amity on YouTube www.youtube.com/amityuniv\nDownload Amity University apps on iPhone, Nokia, Android, Black-Berry and Windows 8. Visit www.amity.edu/apps\n\nThe Amity University logo is represented in a shield divided into dark blue and golden yellow sections by an upward sweeping line that depicts growth and progress in life, achievable through education. While the shield shape represents the resolute shelter of truth, two contrasting yet adjacent colours connote a blend of modernity with tradition. The dark blue with contemporary cues of technology, performance and advancement strikes a synergy with the golden yellow radiance of tradition, culture and values.\n\nThe flame represents the purity and passion for knowledge, while the upper and lower parts of the flame replicate the arch of ‘A’ and the bend of ‘U’ respectively, the two leading alphabets of Amity University.\n\nCONTENTS\n\n| FACULTY | 34-41 |\n| --- | --- |\n| RESEARCH | 44-45 |\n| • Hub of Research Activities | 44-45 |\n| • Major Research in Biotechnology | 46 |\n| • Major Research in Microbial Technology | 47 |\n| • Major Research in Nanotechnology | 48 |\n| • Major Research in Advanced Research & Studies | 49 |\n| • Amity Centre for Design and Renewables & Alternative Energy | 50-51 |\n| • Amity Science, Technology & Innovation Foundation | 52-53 |\n| • Patenting Success | 52-53 |\n| • Amity International Centre for Postharvest Tech. and Cold Chain Management | 54-55 |\n| • Amity Student Innovation | 56-57 |\n\n| CURRICULUM | 60-81 |\n| --- | --- |\n| • System of Education | 60-61 |\n| • Under Degree Programmes | 62-65 |\n| • International Linkages | 66-67 |\n| • Quality Policy | 68-69 |\n| • Amizone | 70-71 |\n| • Personality Development | 72-73 |\n| • Military Training | 74-77 |\n| • Extra Curricular Excellence | 78-79 |\n| • Amity Campuses | 80 |\n| • Grooming for Interviews | 81 |\n| • Values & Ethics | 82-83 |\n| • Student Counselling | 84-85 |\n\n| INDUSTRY INTERACTION | 90-91 |\n| --- | --- |\n| • Industry Captains | 90-91 |\n| • Global Gurus | 92-93 |\n| • Statesmen | 94-95 |\n| • International Academicians | 96-97 |\n| • Amity International Centre Lecture Series | 98-99 |\n| • Amity Corporate Awards | 100-101 |\n| • Amity Innovation Incubator | 102-105 |\n\n| EVENTS | 108-109 |\n| --- | --- |\n| • Music & Entertainment | 108-109 |\n| • Society & Arts | 110-111 |\n| • Sangathan | 112-113 |\n\n| AMITY INITIATIVES | 114-117 |\n| --- | --- |\n| • Sports Initiatives | 114-117 |\n| • Social Initiatives | 118-119 |\n\n| SCHOLARSHIPS & LOANS | 122-123 |\n| --- | --- |\n| • India’s Largest Scholarship Programme | 122-123 |\n| • Corporate Scholarships | 124 |\n| • Education Loans | 125 |\n\n| INFRASTRUCTURE | 128-129 |\n| --- | --- |\n| • Classrooms | 128-129 |\n| • Syndicate Rooms | 130 |\n| • e-Learning Studios | 131 |\n| • Auditoriums | 132-133 |\n| • Laboratories | 134-165 |\n| • IT Network | 165-167 |\n| • Libraries | 168-171 |\n| • Sports Facilities | 172-177 |\n| • Hostels | 178-181 |\n| • Cafeterias & Food Courts | 182-183 |\n| • Indoor Arcade (Gaming Zone) | 184-185 |\n| • Departmental Store & Bank/ATM | 186 |\n| • Bookshop | 187 |\n| • The Amity Store | 188 |\n| • Personal Care & Parking Facilities | 189 |\n| • Security | 190-191 |\n| • Library | 192 |\n| • Medical Facilities | 193 |\n\n| WINNING MOMENTS | 196-197 |\n| --- | --- |\n| • Placements | 196-197 |\n| • Convocation | 198-199 |\n| • Amity Alumni | 200 |\n\nAmity is India’s leading Education Group imparting education from Pre-nursery to Ph.D., with diverse Institutions of Higher Learning, Foundations, Forums, Academies and Think Tanks. Some of them are:\n\n**UNIVERSITIES**\n- Amity University Uttar Pradesh\n- Amity University Rajasthan\n- Amity University New Delhi\n- Amity University Madhya Pradesh\n- Amity University Mumbai\n- Amity University Rajasthan\n- Amity University West Bengal\n- Amity University, Chhattisgarh\n\n**HIGHER EDUCATION INSTITUTIONS**\n- Amity School of Law\n- Amity College of Commerce & Finance\n- Amity Global Business School\n- Amity School of Design\n- Amity Institute for Clinical Research and Molecular Diagnostics\n- Amity Institute of Advanced Forensic Science Research\n- Amity Institute of Advanced Legal Studies\n- Amity Institute of Advanced Research\n- Amity Institute of Applied Sciences\n- Amity Institute of Agriculture, Research & Studies\n- Amity Institute of Biotechnology\n- Amity Institute of Applied Sciences\n- Amity Institute of Astronomical Science, Research & Studies\n- Amity Institute of Herbal Studies\n- Amity Institute of Information Sciences\n- Amity Institute of Horticulture Studies & Research\n- Amity Institute of Human Sciences, Surveillance, Research & Studies\n- Amity Institute of Information Technology\n- Amity Institute of International Communication\n- Amity Institute of Marine Science & Technology\n- Amity Institute of Microbial Biotechnology\n- Amity Institute of Nanotechnology\n- Amity Institute of Monitoring & Advancement System\n- Amity Institute of Nano-Technology\n- Amity Institute of Neon Production, Research & Studies\n- Amity Institute of Neurobiology Research and Studies\n- Amity Institute of NGL Management\n- Amity Institute of Ocean Science & Technology\n- Amity Institute of Ocean Science & Technology\n- Amity Institute of Organic Agriculture\n- Amity Institute of Optics\n- Amity Institute of Post-Harvest Training & Management\n- Amity Institute of Psychology and Allied Science\n- Amity Institute of Public Health\n- Amity Institute of Renewable & Alternative Energy\n- Amity School of Event Management\n- Amity School of Food Science & Technology\n- Amity School of Fine Arts\n- Amity School of Foreign Language\n- Amity School of Hospitality\n- Amity School of Insurance, Banking & Actuarial Science\n- Amity School of Liberal Arts\n- Amity Medical School\n- Amity School of Natural Resources & Sustainable Development\n- Amity School of Performing Arts\n- Amity School of Physical Education and Sports Science\n- Amity School of Rural Management\n- Amity School of Rural & Agriculture Management\n- Amity School of Science & Spirituality\n- Amity School of Social Sciences\n- Amity School of Urban Management\n- IIMC School of Built Environment\n\n**CENTRES OF EXCELLENCE**\n- Amity Academy Staff College\n- Amity Centre for Brain Research Centre\n- Amity Centre for Artificial Intelligence and Robotics\n- Amity Centre for Yoga & Meditation\n- Amity Centre for Leadership Development\n- Amity Centre for Marketing Excellence\n- Amity Centre for Micro-Financing\n- Amity Centre for Medicinal Plants & Traditional Knowledge\n- Amity Centre for Optimization of Internal Processes\n- Amity Centre for Potential Assessment and Enhancement\n- Amity Centre for Product Development & Commercialization\n- Amity Centre for Providing Urban Amenities in Rural Areas\n- Amity Centre for Public Private Partnership\n- Amity Centre for Quality\n- Amity Centre of Peace and Conflict Resolution\n- Amity Centre for Quality Assurance Enhancement\n- Amity Centre for Quantum Generation\n- Amity Centre for Robotics\n- Amity Centre for Sports Marketing & Management\n- Amity Centre for Tourism\n- Amity Centre for Urban Planning & Management\n- Amity Centre for Water Governance\n- Amity Centre for Water Studies\n- Amity Centre for Yoga & Meditation\n\n**FORUMS/ACADEMIES/THINK TANKS**\n- Academy of Design\n- Amity Academic & Administrative Services\n- Amity Alumni Association\n- Amity Aviation Academy\n- Amity Bridge Club\n- Amity Book Depot\n- Amity Chess Academy\n- Amity Corporate Network\n- Amity Foundation\n- Amity Crisis Strategies & Management\n- Amity Educational Consultancy Services\n- Amity Entrepreneurship from the Unilever Privileged Schools\n- Amity Film Institute\n- Amity Hockey League\n- Amity Intelligence & Vigilance Establishment\n- Amity International Geologists Forum\n- Amity Litera-Culture Club\n- Amity Music Club\n- Amity Museum\n- Amity Riding & Polo Academy\n- Amity Scintia City\n- Amity Self Defense Academy for Girls\n\n**SCHOOLS**\n- Amity International School, Saket, New Delhi\n- Amity International School, Poshan Vihar, New Delhi\n- Amity International School, Mayur Vihar, New Delhi\n- Amity International School, East Delhi\n- Amity International School, Noida\n- Amity International School, Sector-43, Gurgaon\n\n**125,000 Most Brilliant Students**\n\n**4,500 Faculty & Scientists**\n\n**1,000 Acres Of Campuses**\n\n**250 Degree Programmes**\n\n**300 Hi-Tech Labs**\n\n**607 Patents Filed By Faculty in the last years**\n\n**300 Govt. Funded Research Projects**\n\n**5 Million sq.ft. of Buildings**\n\n**15,000 On-campus Hostel Seats**\n\n**27,000 On-campus Placements in the last years**\n\n**FOUNDATIONS**\n- Amity Foundation\n- Amity Biotechnology Foundation\n- Amity Council for Scientific & Industrial Research\n- Amity Foundation for Child Welfare Foundation\n- Amity Foundation for Corporate Social Responsibility\n- Amity Foundation for Ecology and Biodiversity\n- Amity Foundation for Health & Technology, Research & Development\n- Amity Foundation for Higher Learning\n- Amity Foundation for North-East Initiative\n- Amity Foundation for Social Sciences Foundation\n- Amity Humanity Foundation\n- Amity International Military Education Society\n- Amity Indo German Commerce, Science & Technology Foundation\n- Amity Indo-Singapore Commerce, Science & Technology Foundation\n- Amity Indo-South America Commerce, Science & Technology Foundation\n\n**PRE-SCHOOLS**\n- Amroon, New Delhi\n- Amroon, Bangalore\n- Amroon, Visakhapatna\n- Amroon, Gurgaon\n- Amroon, Hyderabad\n- Amroon, Lucknow\n- Amroon, Singapore\n- Little Woods Nursery, Dubai\n- Little Woods Nursery, Jebel Ali\n\n**AMITY’S INTERNATIONAL CAMPUSES**\nLondon, Singapore, Dubai, Abu Dhabi, New York, California, Mauritius, South Africa, China & Romania\n\n**AMITY CAMPUSES IN INDIA**\nRanchi, Jharkhand, Guwahati, Assam, Chandigarh, Chennai, Ghaziabad, Greater Noida, Gurgaon, Greater Hyderabad, Indore, Jaipur, Kochi, Kolkata, Lucknow, Mumbai, New Delhi, Noida, Patna, Pune, Rajpur and Tirunavaya\n\n**COMPREHENSIVE EXAMINATION**\n- Amity Institute for Competitive Examinations\n- Amity Centre for Science Olympiads\n\n**AMITY’S INTERNATIONAL CAMPUSES**\nLondon, Singapore, Dubai, Abu Dhabi, New York, California, Mauritius, South Africa, China & Romania\n\nEach student of Amity will become a success story.\n\nAmity is not just a group of institutions which imparts world-class education, but an experience where everyone associated is part of a dream, a mission to see that we nurture truly great leaders.\n\nIn my over 30 years stay in West Germany I realised, through interacting with the over 6000 Europeans working for me, that we Indians have the intelligence, the talent and the potential to be the more successful people in the world. That is why we established the Ritnand Balved Education Foundation in 1986 to start institutions which will groom young future leaders to be complete, value-driven human beings and competent professionals with a deep passion for humanity. These will be the people who will lead the world.\n\nToday, we are proud that Amity is synonymous with practical, industry-focussed education, and attracts the best students. The fact that our alumni are working in the best companies across the world is a testament to our extremely talented faculty who inculcate, by example, in each student the spirit of dedication, sincerity and loyalty, and to all the corporates who support our mission with so much enthusiasm.\n\nEach one of our students will be a success story. This is my dream; this is my commitment.\n\nMy mission is nation building through education and beyond.\n\nDr. Ashok K. Chauhan\nFounder President, Ritnand Balved Education Foundation (The Foundation of Amity Institutions and the sponsoring body of Amity Universities)\nChairman, AKC Group of Companies\n\nRECOGNITIONS & ACCREDITATIONS\n\n- Recognized by University Grants Commission (UGC)\n- Member of Association of Indian Universities\n- Recognized by Department of Science & Technology, Govt. of India as Scientific & Research Organisation\n- ISO 9001:2008, ISO 27001:2005, ISO 14001:2004, ISO 22000:2005 and ISO 50001:2011 Certificate from British Standards Institution (BSI)\n- Recognized by Central Counselling Board\n- Listed in United Nations list of Global Universities\n- IET U.K. Accreditation for B.Tech Programmes\n- ACBSP Accreditation for Management Programmes\n- Distance Education Programmes accredited by Distance Education Council\n- Law Programmes accredited by Bar Council of India\n- Architectural Programmes accredited by Council of Architecture\n- Educational Programmes accredited by National Council of Teachers Education\n- ‘Premier Status’ Accreditation from ASIC, UK\n- Member of Association of Commonwealth Universities\n- Member of International Association of Universities\n\nALWAYS RANKED TOP\n\nQS HAS RANKED AMITY AMONGST THE TOP UNIVERSITIES IN ASIA.\n\nQS is the leading university rankings organisation in the world. The only not-for-profit pvt. university from India to be included in the rankings, Amity’s QS Asia 2015\n\nSource: QS University Rankings: Asia 2015\n\n| INSTITUTE | RANK | RANKED BY |\n|-----------------------------------------------|-----------------------|------------------------------------------------|\n| Amity University | No.1 | The Times of India & India Today |\n| Amity Business School | Amongst Top 10 | The Times of India |\n| Amity Institute of Biotechnology | No.1 | Biospectrum |\n| Amity School of Engineering & Technology | Amongst Top 5 | The Times of India |\n| | No.1 among Engg. Schools established in the last 20 years | India Today |\n| | Amongst Top 10 for Academics | Dataquest |\n| Amity Law School | Amongst Top 5 | Outlook |\n| Amity Institute of Telecom Engineering & Management | Amongst Top 5 | Outlook |\n| Amity School of Hospitality | Amongst Top 10 | Outlook |\n| Amity School of Insurance, Banking & Actuarial Science | No.1 | AC Nielsen ORG-MARG |\n| Amity School of Fashion Technology | Amongst Top 5 | India Today |\n| Amity School of Communication | Amongst Top 5 | India Today |\n| Amity School of Distance Learning | No.1 | The Times of India |\n\nWe are creating centres of thought leadership across the world, where faculty, scientists and brilliant students can explore and expand the frontiers of knowledge.\n\nDr. Atul Chauhan \nChancellor, Amity University \nPresident, Rituand Balved Education Foundation \nCEO, AKC Group of Companies\n\nAmity is a forward-thinking University where world-class education and research develops intellectuals who shall change the world tomorrow.\n\nMaj. Gen. K. Jai Singh \nGroup Vice Chancellor, Amity Universities \nExecutive Senior Vice President, \nRituand Balved Education Foundation \nFormer Additional DG – Systems, Indian Army \nJt. Secretary, Cabinet Secretariat \nAdvisor, DRDO\n\nOur endeavour is to nurture holistic world citizens, who are driven by human values and equipped to excel on a global stage.\n\nDr. Aseem Chauhan \nChancellor, Amity University \nAdditional President, \nRituand Balved Education Foundation \nCEO, Amity Capital Ventures\n\nAt Amity, we focus on each & every student, to bring out their full potential and empower them with a winning attitude.\n\nDr. B. Shukla \nVice Chancellor, \nAmity University Uttar Pradesh \nM.Tech. (IIT Kharagpur), \nPh.D. Queen’s University, U.K. \nCouncil member of AIMA\n\nAMITY UNIVERSITY\nNoida (New Delhi NCR) Campus\n\n• 60 acre sprawling, most hi-tech Campus\n• 250 Under Graduate and Post Graduate Programmes\n• 4.1 million sq.ft. of buildings\n• India’s first university to install a one megawatt Rooftop Solar Power Plant\n• India’s First ISO Certified Green University Campus\n\nAMITY UNIVERSITY\nLucknow Campus\n\nEach Amity student is groomed to be a leader in whatever field they choose.\n\nMaj. Gen. K.K. Ohri, AVSM (Retd.)\nPro Vice Chancellor\nAmity University Lucknow Campus\n\n- Spread over 40 acres\n- Centrally located in Gomti Nagar, Lucknow\n- World-class teaching environments such as labs, auditoriums, libraries etc.\n- 2000 on-campus hostel seats\n\nAt Amity, we are committed to unearth the hidden potential of each of our student. The successful lives, smiling faces and wonderful careers of our students is our religion and our ultimate prayer.\n\nProf. (Dr.) Gurinder Singh \nAmity Group Addtl. Vice Chancellor \nDirector General, Amity University, Greater Noida Campus\n\n- 21 acre wi-fi campus\n- Amphitheatre-style classrooms\n- Hi-tech labs\n- Sports facilities\n- 500 seater on campus separate hostel for boys & girls\n- 500 seater auditorium\n- On campus cafeteria\n- 24x7 clinic\n\nI feel proud to say that Amity offers the same high standards of learning as top global universities.\n\nProf. (Dr.) S.K. Dube \nVice Chancellor, Amity University Rajasthan \nFormer Director, IIT Kharagpur\n\n• 150 acre sprawling, hi-tech, residential campus\n• 3,100 on-campus hostel seats\n• On-campus golf range, riding club and sports complex\n• Awarded as Best Private University at “World Education Summit 2014”\n\nAMITY UNIVERSITY HARYANA\nGurgaon Campus\n\nSpread over 110 acres | 3,000 seater on-campus hostel | 19 Inter-Disciplinary Practice, Research and Outreach Centres | 25 minutes from IGI airport, New Delhi | 20 acre sports complex\n\n“When you have the most advanced campuses and the most hi-tech learning environment, students begin with globally benchmarked opportunities.”\n\nProf. P. B. Sharma\nVice Chancellor, Amity University Haryana\nFormer Vice Chancellor, Delhi Technological University\nFormer Principal, Delhi College of Engineering\n\nAMITY UNIVERSITY MADHYA PRADESH\nGwalior Campus\n\nAmity offers global opportunities to its students by empowering them with the highest educational standards, leadership qualities and positive attitude.\n\nLt. Gen. V.K. Sharma, AVSM (Retd.)\nVice Chancellor\nAmity University Madhya Pradesh\n\n• 100 acre most hi-tech campus\n• Opposite Gwalior airport and 15 minutes from Gwalior city\n• Fully equipped labs, amphitheatre style classrooms, sports complex etc.\n• On-campus residential accommodation\n\nAMITY UNIVERSITY\nMAHARASHTRA\nMumbai Campus\n\n• 1 km. long frontage on Mumbai-Pune Expressway\n• Designed by a globally renowned architecture firm of the US, of the Boston University and California State University fame\n• Extra-curricular facilities for soccer, cricket, tennis, shooting range, archery, basketball etc.\n• 100 Mbps wi-fi campus\n\nAt Amity, students are nurtured following global learning standards. And surely, it makes all the difference.\n\nMr. V.V. Khole\nVice Chancellor, Amity University Maharashtra\nFormer Vice Chancellor, University of Mumbai\n\nAMITY UNIVERSITY WEST BENGAL\nKolkata Campus\n\n• Amphitheatre-style classrooms\n• Hi-tech labs\n• Sports facilities\n• On-campus cafeteria\n• Wi-fi campus\n\nAMITY UNIVERSITY CHHATTISGARH\nRaipur Campus\n\nAmphitheatre-style classrooms | Hi-tech labs | Sports facilities | On-campus cafeteria | Wi-fi campus\n\nAMITY’S CAMPUSES ABROAD\n\nIndia’s only Education Group with Campuses in London, Singapore, Dubai, Abu Dhabi, New York, Mauritius, South Africa, China & Romania\n\nAs part of its endeavour to integrate meaningful international exposure into a dynamic, well-researched curriculum, Amity has established campuses in India’s only Education Group with Campuses in London, Singapore, Dubai, Abu Dhabi, New York, Mauritius, South Africa, China & Romania. These international campuses which are independent of Amity University offer the same benchmarks of excellence through campuses located in the heart of their respective cities. The campuses also carry the Amity stamp of excellence with the highest accreditations, top international faculty and access to world-class facilities.\n\nTHE AMITY GLOBAL ADVANTAGE\n\nWORLD-CLASS FACILITIES: All the 11 campuses offer access to top libraries, restaurants, cafes, gym and spa, all within a walking distance, apart from regular on-campus facilities.\n\nHIGHLY SUBSIDISED FEES: Amity has highly subsidised fees to ensure that world-class education opportunities are well within the reach of all meritorious students.\n\nCOMPLETE ASSISTANCE: Amity students get full assistance in visa application and travel preparations before departure and airport pick-up-on-arrival.\n\nCOUNSELLING SERVICES: A dedicated Guidance and Counselling Centre assists students right from charting out career strategies against a backdrop of their strengths and preferences to addressing a variety of personal concerns like adjusting to a new environment and settling down in a new city.\n\nTHE AMITY TRUST: Amity has over the last 2 decades built offering globally accredited education in its 8 Universities, 150 Institutes and 11 Global Campuses. Parents can rely sending their ward to Amity’s global campuses rather than any unknown foreign institution.\n\n“Getting taught by leading international faculty across global business hubs and interacting with top business houses will transform students into global leaders.”\n\nDr. Peter Taylor,\nDirector, Amity University [in] London\n(Former Director, MBA, UEL Business School, London; Marketing management expert with over 35 years of teaching experience across Europe, Canada and Asia)\n\nExcerpts from an article in\nThe Guardian, London, 1st Dec. 2009\n\nA foothold in Bedford Square\n\n...The UK Border Agency has recently been overspending up, leaving the market clear for reputable players, such as Limkokwing International School of Commerce, the American InterContinental University and Amity, the Indian Group which opened in Bedford Square last September...\n\n“The traditional model has always been for British universities to set up satellites abroad,” says Dr Peter Sharp, head of the UK’s Higher Education Funding Council for England. “But now the empire is shrinking. Foreign private institutions are now establishing themselves in the UK and undercutting British universities in price while offering the exact same qualifications.”\n\nThe real difference between an MBA from a UK University campus and one from an Amity campus is price. An overseas student could expect to pay in the region of £11,000 a year, at Amity the same student would pay just £7,800...\n\nAccording to Dr Peter Taylor, Director - Amity Global Business School, London, “We are developing a domestic model of alternative which offers the benefits of a smaller organisation, offering much fewer courses but intensity and teaching quality equivalencies, smaller classes and more personal attention”.\n\nAMITY UNIVERSITY [IN] LONDON\n\nCentrally Located\nHoused in a Grade 1 heritage building, Amity University [in] London is located in Bedford Square in the academic Bloomsbury area of Central London, right next to the British Museum.\n\nWorld-Class Facilities\nStudents study in state-of-the-art classrooms, equipped with the latest teaching technologies. They also have access to The Senate House Library, a 15 storey building next to Amity London, housing 4 million books and numerous online journal facilities. The students are provided with laptops for easy access to the campus wi-fi facility. Besides on-campus facilities, restaurants and cafes are also within a walking distance.\n\nGlobally Recognised Degrees\nThe students at Amity London are awarded globally recognised UG & PG degrees in management.\n\nFully Accredited\nAmity University [in] London has been reviewed by Quality Assurance Agency (QAA), UK for higher Education and has been granted the Highly Trusted Status by UK Visas and Immigration (UKVI).\n\nPROGRAMMES OFFERED\n\n• Executive MBA\n• B.Sc. (Hons.) Computing\n• BA (Hons.) Business Studies\n\n(To apply visit www.amity.edu/london)\n\nAMITY SINGAPORE\n\nCentrally Located\nAmity Singapore is located just above the Raffles Place MRT in the heart of Singapore’s CBD, the commercial & business hub of the city and offers easy access to the multinational business and financial institutions. It is at a walking distance from Boat Quay, the Merlion and Singapore Management University.\n\nDegree from Anglia Ruskin University\nThe students at Amity Singapore are awarded a degree from Anglia Ruskin University, one of the largest in UK with a 160 year old history and ranked International Education & Work Leader by RAE (Research Assessment Exercise) or from the University of Northampton Ranked Top 50 in UK, shortlisted for the Times Outstanding Business School of the Year Award.\n\nFully Recognised and Accredited\nAmity Singapore has been registered with the Council of Private Education (CPE), Singapore and awarded EduTrust Provisional.\n\nWorld-class Facilities\nStudents at Amity Singapore have access to the National Library, the biggest library in Singapore. The hi-tech classrooms are equipped with multimedia and audio-visual equipment to facilitate effective learning, while tutorial classes, group discussions, meeting rooms and the seminar hall ensure personalised attention and learning beyond the classroom.\n\nPROGRAMMES OFFERED\n\n- MBA\n- M.Sc. Management\n- LLM\n- B.Sc (Hons.) - Computing\n- BA (Hons.) - Business Studies\n- BA (Hons.) - International Business Strategy\n- BA (Hons.) - Business Management\n- BA (Hons.) - Tourism Management\n- BA (Hons.) - Accounting & Finance\n- Diploma Programmes\n- ACCA\n- GCE O Level Programmes\n- ABE Courses from Level 4 to Level 7\n\n(To apply visit www.amitysingapore.sg)\n\nAMITY DUBAI\n\nCentrally Located\nAmity Dubai is located in Dubai International Academic City (DIAC), the education hub of Dubai with more than 12,000 students studying in 13 international higher education institutes.\n\nMulti-cultural Campus\nStudents hailing from different countries come together, and thereby get an opportunity to study in a multi-cultural environment.\n\nAmity University Dubai Scholarships\nAmity has instituted over 125 scholarships per year in the following categories:\n- Emirati students\n- Girl students\n- Meritorious students\n- Orphan children\n- Means scholarships\n\nPROGRAMMES OFFERED\n\n- MBA - General/Insurance & Banking/Hospitality Mgmt./Entrepreneurship/3 Country Prog. (Dubai, USA & UK)/Retail Mgmt./PR & Event Mgmt./Tourism Admn./Transport & Logistics/Real Estate & Urban Infrastructure/Working Professional Mode\n- BBA - General (with Specialisation in Mktg./Finance/HR/Insurance & Banking/3 Country Prog. (Dubai, USA & UK)/Entrepreneurship/Working Professional Mode\n- B.Sc. - Hotel Mgmt., Forensic Sc./Interior Design\n- B.A. - Tourism Administration • B.Com (Hons)\n- B.Tech - Computer Sc./Elec. & Telecom/Aerospace Engg./Civil Engg./Nanotech./Nuclear Sc. & Tech./Solar & Alternate Energy\n- B.Arch (Approved by Council of Arch) • Foundation Programme\n\n(To apply visit: www.amityuniversity.ae)\n\nAMITY MAURITIUS\n\nCentrally Located\nAmity Mauritius is located in the Mindspace Building of Cyber City in Ebene, next to the most reputed corporates.\n\nDegrees from Amity Institute of Higher Education, Mauritius\nThe students at Amity Mauritius are awarded a degree from Amity Institute of Higher Education. These are internationally recognised degrees for higher studies or getting job anywhere across the globe.\n\nAccredited Institution\nAmity Mauritius has been accredited by Tertiary Education Commission, Mauritius, a Govt. of Mauritius body that has been formed to promote, plan, develop and coordinate post-secondary education in Mauritius.\n\nPROGRAMMES OFFERED\n- MBA + MBA - International Business\n- MFM - Master in Financial Management\n- BBA - Bachelor of Business Administration\n- B.Sc. (Hons.) IT\n- BTA - Bachelor of Tourism Administration\n- BFA (Hons.)\n- ACA\n\n(To apply visit www.amity.edu/mauritius)\n\nAMITY USA\n\nAmity offers various career oriented programmes through its campuses in New York and California.\n\nGlobally Recognised Degrees\nThe students at Amity USA are awarded globally recognised degrees.\n\nPROGRAMMES OFFERED IN NEW YORK\n- MBA + MS\n\n(To apply visit www.amity.edu/global)\n\nAMITY CHINA\n\nCentrally Located\nAmity in BIT is located in Weigongcun, near Zhongguancun, widely known as the Silicon Valley of China. Amity in Nanjing University is spread over 460 acres in Jiangning Economic and Technological Development Zone.\n\nDual Degrees\nStudents are awarded dual degrees from Amity University and Beijing Institute of Technology (BIT)/Nanjing University of Aeronautics & Astronautics (NUAA).\n\nFully Accredited\nLicensed in BIT/NUAA, which are accredited by Ministry of Education, Govt. of China. BIT is a top ranked University of China. NUAA is the No. 1 university of China in Aeronautics, Astronautics & Civil Aviation.\n\nPROGRAMMES OFFERED\n\nDUAL DEGREES OF AMITY UNIVERSITY, INDIA & BIT CHINA\n- B.Tech. (CSE) + Bachelor of Engg. in Software\n- B.Tech. (AE) + Bachelor of Engg. in Aeronautical, Flight Vehicle Design\n- B.Tech. (ECE) + Bachelor of Engg. in Electronic Sc. and Tech.\n- B.Tech. (Mechanical) + Degree in Mechanical Engg.\n- B.Tech. (Electrical) + Bachelor of Engg. in Intelligent Mechatronic Engg.\n\nDUAL DEGREES OF AMITY UNIVERSITY, INDIA & NUAA CHINA\n- B.Tech. (CSE) + Bachelor in Software Engg. & Mgmt\n- B.Tech. (AE) + Bachelor in Aeronautical Engg.\n- B.Tech. (Mechanical) + Bachelor in Mechanical Engg.\n- B.Tech. (EEE) + Bachelor of Electrical and Electronics Engg.\n- BBA + Bachelor in International Business\n\n(To apply visit www.amity.edu/china)\n\nBrightest Minds to Mentor the Best Brains. Amity has some of the most talented and dedicated thought leaders in the country who come from the best institutions around the world. Not only are they academically and professionally amongst the best, but have high standards of moral and ethical values, so that they can be true role models.\n\nAt Amity, the core faculty comprises distinguished academicians from the best institutions, and leading professionals from the corporate world with rich industry experience. Besides carrying out industry oriented consultancy and applied research, the faculty have authored over 500 books, published 6,000 papers and filed 607 patents in their field of expertise.\n\nIn addition to the permanent faculty, leading professionals from the corporate world interact regularly with the students in the classroom as well as their workplaces. The students get a different insight into the subject with the rich industry experience the faculty shares with each of them. They encourage the students to look beyond the books and explore the subject with experiential learning.\n\nAmity faculty have:\n\n- Filed **607** patents\n- Authored over **500** books\n- Published **6,000** papers\n\nAmity Academic Staff College benchmarks with the latest teaching methodologies from around the world to train its faculty.\n\n**FACULTY DEVELOPMENT PROGRAMMES**\n\nAmity University continuously upgrades the knowledge and skills of the faculty members in various institutions under its umbrella. For this, various Faculty Development Programmes are regularly organised viz., Orientation Programmes, Effectiveness Programmes, Domain Refresher Programmes and Specialized Programmes.\n\nShown above are three of the many faculty carrying out high-end research at Amity in areas like \"Isolation of Bioactive Components from Medicinal Plants effective in controlling Infectious Diseases\", \"In-vitro Regeneration and Development of Insect Resistant Cotton Transgenics\" and \"Role of Helicobacter Pylori in causing Gastro-Esophageal Reflux Disease (GERD) in India\".\n\nDr. Ashok K. Chauhan, the Founder of Amity has brought together some of the most eminent scientists of India who are doing research in diverse cutting-edge areas of science & technology. There is no University in the country which has the potential and the capacity to provide the motivation to file 607 patents in such a short span of time.\n\nDr. V.K. Jain\nAmity Institute of Advanced Research and Studies (Materials & Devices)\nAmity Institute of Renewable & Alternative Energy\nFormer Director Grade Scientist, SSPL (ORDO)\nEmeritus Scientist, NPL (CSIR)\n\nDr. V.K. Jain is one of the many eminent scientists at Amity who have worked at senior level in some of the top national & international government labs and research organisations.\n\nAfter pioneering the Nanotechnology education in India, we have developed linkages with top Universities around the world where our students go for part of their studies like University of Cambridge, Harvard University, Louis Pasteur University etc.\n\nMany of the students did outstanding research work and secured 10 out of 10 marks from the foreign Guides, published research papers in renowned journals and filed patents with faculty.\n\nDr. R.P. Singh\nAmity Institute of Nanotechnology\nVice Chairman,\nAmity Science, Technology and Innovation Foundation (ASTIF)\nFormer Advisor/Scientist G,\nDeptt. of Science & Technology, Govt. of India\nRanked among outstanding scientists of the 21st century\nAuthor of over 75 published papers internationally\n\nDr. R.P. Singh is one of the many scientists at Amity who are renowned all over the world for expertise in their field.\n\nExploring for the Benefit of Mankind.\n\nIn any top university of the world, research is the foundation which leads to a strong academic programme. Amity University has one of the largest and most proactive team of faculty, scientists and researchers who are leading the way in various cutting edge areas of science & technology.\n\nThe Amity Education Group aims to become the ideal platform for scientists, researchers and academicians to transform their ideas into success and develop their potential.\n\nBringing together this vast community of scholars for cutting-edge research, Amity University is committed to impact the development and global image of India.\n\nSome of the reputed Government / Private Organisation and Labs with which Amity has a tie-up\n\n- Indian Council of Medical Research, New Delhi\n- Indian Council of Agricultural Research, New Delhi\n- CSIR-North East Institute of Science & Technology, Assam\n- International Centre for Genetic Engineering and Biotechnology, New Delhi\n- Shriram Institute of Industrial Research\n\nToday Amity University has more than 300 high end research projects funded/supported by major organisations like:\n\n- Ministry of Environment and Forests\n- Ministry of Mines\n- Ministry for Food Processing Industries\n- Ministry of Earth Sciences\n- Ministry of Health & Family Welfare\n- Ministry of Agriculture\n- Council of Scientific and Industrial Research (CSIR)\n- Department of Science & Technology\n- Department of Biotechnology\n- Department of Atomic Energy\n- Defence Research & Development Organisation (DRDO)\n- Technology Information, Forecasting and Assessment Council\n- National Medicinal Plants Board\n- Bill & Melinda Gates Foundation\n- HortCRSP - USAID\n- Leverhulme Trust, U.K.\n\nMAJOR RESEARCH IN BIOTECHNOLOGY\n\n- Studies on plant derived compounds as inhibitors of elongating MPT, a key enzyme responsible for the assembly of cell surface Phosphoglycans of Leishmania parasites\n- Isolation, Synthesis and therapeutic applications of cytotoxic/leishmanicidal agents from traditional medicinal plants of cold desert - J&K\n- In-vitro production of psoralen - an important bioactive compound through cotyledon culture of a endangered leguminous taxon - Psoralea corylifolia Linn\n- Impact assessment of induced chromosomal aberrations in non-conventional use of fly ash for agriculture\n- Studies on Neuroprotective Effect of Murraya Koenigii Leaf Extracts on 6-Hydroxy Dopamine induced Apoptosis in Rat Pheochromocytoma (P C 12) Cells\n- Development of NO- synthase mimetic materials and its application as biosensor\n- Screening of DNA markers for the development of Sequence Charactererized Amplified Region (SCAR) markers linked to male and female sex in dioecious Himalayan Seabuckthorn (Hippophae) taxa\n- Isolation of sex linked genes and gender specific DNA markers in Hippophae Rhamnoides\n- Exploration of the Genomics change in the newly synthesized autopolyploides\n- Production and characterization of Biodiesel from Microalgae as a renewable energy source\n- Investigation of molecular regulatory processes underlying essential oil biosynthesis in commercially most important genus Cymbopogon\n- Developing assisted folding processes in recombinant proteins for production enhancement\n\nFor full list, visit: www.amity.edu\n\nMAJOR RESEARCH IN MICROBIAL TECHNOLOGY\n\n- Effect of root endosymbiotic fungus *Peronospora indica* and selected AMF (Arbuscular Mycorrhiza Fungus) on growth and biological control against Fusarium wilt of Tomato and Spinach funded by SERB-DST\n- Simultaneous saccharification and fermentation of xylan by genetically modified *Aspergillus niger* heterotetraploids expressing xylanase from *Thermomyces lanuginosus* SS-8. Funded by SERB - DST\n- Identification of microRNAs involved in sex determination in *Helicoverpa armigera*. Funded by DST (Under DST young scientist scheme)\n- Studies on Enhancement of Soil Genesis and Fertility by Microbes in Degraded Land in Sam Arid and Middle Hill Conditions. Funded by Life Sc Research Board, DRSO\n- Unraveling biochemical and molecular basis of bacterial and fungal endo-symbiosis for management of abiotic stresses in plants. Funded by ICAR\n- Interaction of Nano-embedded *Peronospora indica* with the plant of medicinal importance *Aconitum aleuticum var. Batoryi* (Bacca). Funded by BRAC, DBT\n- Value addition to plants of agricultural and horticultural importance by application of consortium of root fungal endophyts and nitrogen fixing bacteriate-Acculadcter spp. Funded by DST\n- Mediation of Root Endophytes for Sustainable Agriculture and Forestry in Kandi Region of Punjab. Funded by DST (SARTHI)\n- Develop genetics and genomics interface to develop strategies for sustainable use of resistance to white rust in oiled mustard (*Brassica juncea*) Indo - UK. Funded by BBSRC-DBT\n- Pilot Scale Production of Plant Promoting Fungus *Peronospora indica*: A step towards Commercialization. Funded by SBIRI, DBT\n- Funds for Improvement of S&T Infrastructure in Universities & Higher Educational Institutions – FIST Program 2014. Funded by DST\n\nFor full list, visit: www.amity.edu\n\nMAJOR RESEARCH IN NANOTECHNOLOGY\n\n- Nano coatings for antibacterial tiles.\n- Nano biosensor for detection of Leviteracetum drug - funded by DST.\n- Organic and inorganic Solar Cells for efficient energy - sponsored by DST and UGC DAE-CSR.\n- Glycated haemoglobin biosensor based on nano composites - sponsored by DST.\n- Carbon nanosheets for application in water purification.\n- Nano materials for mosquito repellent in collaboration with DRDO Lab, Gwalior.\n- Development of medical diagnostics based on Graphine Oxide nanocomposites.\n- Detection of food toxin based on nanostructured thin films.\n- Green Nanotechnology for synthesis of nano particles and their applications in Health care.\n\nFor full list, visit: www.amity.edu\n\nMAJOR RESEARCH IN ADVANCED RESEARCH AND STUDIES (MATERIALS & DEVICES)\n\n- Efficiency Enhancement of Solar Cells & Panels using Thermal Cooling Layer. Funded by: Department of Science & Technology (DST)\n- Development of Solar Power Generator using Rare-Earth Magnets and Ferro Fluids. Funded by: Department of Science & Technology (DST)\n- Development of Third Generation High Efficiency Solar Cell. Funded by: Department of Science & Technology (DST)\n- Quantum Dots based Hybrid-Organic-Inorganic Light Emitting Diodes. Funded by: Defence Research & Development Organization (DRDO)\n- To Develop a Contactless and Non-Destructive System to Measure the Lifetime and Diffusion Length of Minority Carrier in a Solar Cell. Funded by: Defence Research & Development Organization (DRDO)\n- Preparation of Nanoparticles of Curcumin and Evaluation of their Bio-Efficacy. Funded by: Defence Institute of Physiology & Applied Sciences (DIPAS)\n- Multivalved carbon Nanotubes/cement composite based room temperature sensor for smoke detection. Funded by: Department of Science & Technology (DST)\n\nAmity is emerging as a cradle of innovation, evident from patents and technologies transferred to industries. Research and Innovation is the driving force at Amity. It has achieved a unique position at the national and global level. We contribute to nation building through our research endeavours striving for excellence to realize the vision of Founder President Dr. Ashok K. Chauhan to make Amity as the best in the World.\n\nDr. W. Selvamurthy\nPresident, Amity Science, Technology & Innovation Foundation (ASTIF)\nDirector General,\nAmity Directorate of Science & Innovation\nVice Chancellor, Amity University Chhattisgarh and Chairperson, Centre for Life Sciences\nFormer Distinguished Scientist and Chief Controller R&D(LS), DRDO\n\nThe Amity Science, Technology & Innovation Foundation (ASTIF), was established to promote scientific temper among the students and the faculty members. ASTIF awards Fellowships to brilliant young researchers and scientists who possess the competence and motivation for carrying out cutting-edge research in thrust areas that will impact the development of our nation.\n\nACHIEVEMENTS OF ASTIF\n\nPh.D. and Post Doctoral Fellowships:\nFor over 200 scientists in diverse areas\n\nPublications in the area of Science since last few years:\n5000 Research Publications + 600 Books\n\nOngoing Research Projects:\nAbove 120\n\nFunded by various Government and Foreign funding agencies like\n\n- Department of Science & Technology (Govt. of India)\n- Department of Biotechnology\n- Ministry of Health & Family Welfare (Govt. of India)\n- Indian Council of Medical Research\n- Technology Information Forecasting & Assessment Council (Govt. of India)\n- Council of Scientific & Industrial Research (Govt. of India)\n- Ministry of Environment & Forests (Govt. of India)\n- DFG - Deutsche Forschungsgemeinschaft (Germany)\n- NSF-National Science Foundation (USA) and DLR-Deutsches Zentrum für Luft-und Raumfahrt (Germany)\n- USAID\n- Bill & Melinda Gates Foundation\n- Defence Research & Development Organisation\n\nAt Amity, we have discovered a new cultivable symbiotic fungus *Piriformospora indica* which has a great impact on Agriculture, Horticulture and Forestry. For this, we have applied for global patent. It is branded as “Rootonic”.\n\nProf. (Dr.) Ajit Varma \nAmity Institute of Microbial Technology (AIMT) \nVice Chairman, Amity Science, Technology & Innovation Foundation (ASTIF) \nFellow - Alexander-von-Humboldt, Germany \nPublished over 300 Research Papers & authored 40 books \nFiled patents in areas of nano-biotechnology, value additions to therapeutic products, nano-medicines & new growth medium\n\n607 patents filed by Amity Faculty & Scientists \nin areas of Nanotechnology, Biotechnology, Biosensors, Forensic Science, Pharmaceuticals, Microbiology, Software, IT, Herbals, Photo-voltaics, Electronics, Food-Processing ……\n\nSome of the patents filed\n\n- Sensor for LPG and CO detection at room temperature and method for preparation thereof\n- Method and kit to check the oxidation of edible oil\n- A novel composition for the preparation of herbal mosquito repellent and the process thereof\n- Novel composition of natural extracts as disinfectant, air purifier and hand sanitizer\n- Cement-Nano Composite coated pebbles based water purification system for Microbial Decontamination\n- Low cost water testing kit\n- A biodegradable bioplastic formulation and a method of for preparing the same\n- Formulation and evaluation of transdermal patch for Sildenafil Citrate\n- Generation of digital watermark from iris and fingerprint data by two stage encryption using chaotic maps\n- A rechargeable battery system from waste material\n- A flexible software testing system by incorporating change point in SRG (Software Reliability Growth)\n- Graphene based chemical sensor for the detection of toxic heavy metal complexes in drinking water\n\nSave 50% Post Harvest losses in fruits and vegetables through suitable low-cost interventions.\n\nDr. Sunil Saran\nChairman,\nAmity International Centre for Postharvest Technology & Cold Chain Management\n\nSr. Vice Chairman,\nAmity Science, Technology and Innovation Foundation\n\nFormer Vice Chancellor-Bhagalpur University\nPublished over 80 research papers\nSuccessfully supervised 11 Ph.Ds\n\nAMITY INTERNATIONAL CENTRE FOR POSTHARVEST TECHNOLOGY AND COLD CHAIN MANAGEMENT\n\nThe Amity International Centre for Postharvest Technology & Cold Chain Management has been instituted to deliver scientific and technical manpower in the areas of postharvest technology and cold chain management through teaching, training and research.\n\nMajor Achievements of the Centre:\n\n• As collaborative partner of World Food Logistics Organisation (WFLO) worked on a research project titled “Identification of Appropriate Post harvest Technologies for Improving Market Access and Income for Small Farmers in Sub-Saharan Africa and South Asia” funded by Bill & Melinda Gates Foundation (BMGF).\n\n• As a collaborative partner of University of California, Davis (UCD) worked in a project entitled “Coolrooms & Cool Transport for Small Scale Farmers”, funded by HortCRSP-USAID.\n\n• Partner from India in a project funded by Leverhulme Trust of UK entitled International Network on ‘Preserving safety and nutrition of indigenous fruits and their derivatives’ in which six countries besides India were collaborators namely UK, France, Bangladesh, Sri Lanka, Cambodia and Vietnam.\n\n• Granted by Department of Biotechnology: Funded project entitled “Rural Bio-resource Innovation-Application to uplift the Socio-Economic Status of Farmers and Entrepreneurs of Uttar Pradesh”\n\n• Granted by Leverhulme Trust UK: Funded mini Research project entitled “To standardize the technique of preparing a fruit leather by blending two indigenous fruits viz. basil (Aegle marmelos) and sonia (Phyllanthus emblica) pulp”\n\n• “Amity University-ASI CoolBat project” in which Amity University was contracted by Agri-System International, USA to construct coolbox cool rooms at Sultanpur and Shahajahanpur, Uttar Pradesh, close to village mandis.\n\n• Worked with Rohm and Haas (India) Pvt. Ltd. on a project entitled “Evaluation of the effect of Riplock Technology on transit and market shelf extension of Indian varieties of Mango, Banana and Papaya”.\n\n• Amity University will be working as knowledge partner of KiwiTech, a Delaware LLC, Washington DC, for developing and offering decision information systems in Agriculture, Animal Husbandry, Irrigation, and Food Processing in India and abroad by providing integrated telecom and IT solutions based on innovative technologies.\n\n• The Centre launched in collaboration with Post Harvest Education Foundation (PEF), USA, a one-year E-learning program in Post Harvest Management for South Asia, free of cost. Based on various evaluations, fourteen participants finally qualified to receive the training certificate from different countries like India, Pakistan, Bangladesh, Sri Lanka, Iran & Nepal.\n\n• Project proposal entitled “Development of product specific protocols for post harvest and cold chain management of specific horticultural commodities” has been approved by National Centre for Cold Chain Management, Ministry of Agriculture, Govt. of India.\n\n• Granted by Haryana State Horticulture Development Agency: Funded Project Entitled “HRD for Gardeners”. Duration: 2 years (June 2015–May 2017).\n\n• Department of Biotechnology has extended the funded project entitled “Rural Bio-resource Innovation-Application to uplift the Socio-Economic Status of Farmers and Entrepreneurs of Uttar Pradesh” to North East Region, KVK Sylvan, Hengbong, District Senapati, Manipur.\n\n• Granted by DBT-BIRAC-Bill & Melinda Gates Foundation – Grand Challenges India: Funded Project entitled: “Novel Approach to Reduce Zinc Malnutrition in Rural Women and Children through Agronomic Bio-Fortification of Food Crops”. Duration: 28 months (Nov., 2014–March, 2017)\n\n• Granted by Department of Science and Technology (DST), Govt. of India: Funded Project entitled: “Agronomic biofortification of rice and wheat crop with zinc fertilization”. Duration: 3 Years (June, 2014–May, 2017)\n\n• Recognition by the National Centre for Cold-Chain Development, Agriculture Ministry, Government of India: The Centre has been recognized for Training Programmes on Cold Chain Operations.\n\n• In the last three years 16 scientific papers have been published in national/international journals.\n\nThe team from Amity School of Engineering and Technology named as “MACH- RELOADED” registered for SUPRA SAE INDIA 2012 Formula-1 Type Race Car Event in October, 2011 and in February 2012, the model of Amity F1 Race Car was selected amongst 105 models designed by students from Engineering colleges located across India.\n\n**UNIQUE FEATURES**\n\n- Light weight of just 340 kilograms with 68 kilograms for the driver\n- Top speed of 105 kilometers per hour\n- Fitted with Maruti F8B engine with rear wheel drive and two radiators\n- USPs - Split readers and front wing tiers are its USP in the car\n- 796 cc engine\n- Max Torque Design rpm- 59nm@2500 rpm\n- Overall Length, Width, Height- 2410mm Long, 1620 Wide, 1425 mm high\n- Pick up- 0-60 in 4.2 sec.\n\nStudents of Amity School of Engineering and Technology (ASET), designed and developed India’s First Tri-Fuel Hybrid Concept Car, a project under the aegis of Amity Science, Technology and Innovation Foundation (ASTF).\n\nIn today’s scenario, when fuel prices are skyrocketing, the Amity Hybrid Car will bring a sigh of relief to many Indians. The sleek & glistening green & black two seater car comes with multiple fuel options - Batteries, Auto LPG and Petrol thereby reducing transportation costs significantly. Switching from one mode to another is simple. The car can run 80-90 km on batteries on a single charge with the maximum speed of 50 km/hr on batteries and 45 km/hr on engine. Besides, the car has been tested successfully for more than 400 km on Delhi roads. Environment friendly with zero emissions in urban driving conditions and with low maintenance cost, the Amity Hybrid car is just what the Indian urban driver needs.\n\nAmity Hybrid car was exhibited at Auto Expo 2008.\n\n**UNIQUE FEATURES**\n\n- India’s first split parallel hybrid car\n- Runs on Auto LPG/Petrol & Electric Customized transmission system\n- Sep-Ex DC motor for electric drive\n- Motor controller with high frequency switching and ultra low voltage drops\n- Can be made commercially viable\n- 5 speed constant mesh gearbox coupled with single cylinder four stroke engine\n\nStudents of Amity’s B.Tech.-Mech. & Automation Engg. at the launch of India’s first Tri-Fuel Hybrid Concept Car designed and developed by them.\n\ncurriculum\n\nConstantly Evolving & Comprehensive to meet Industry Needs.\n\nAmity sets the benchmarks of the global education with a system that matches the best of practices, theories, resources and standards all over the world. This includes:\n\n• A dynamic semester-based courseware created by integrating the traditional courses with the latest trends across disciplines to suit the current industry requirements\n\n• A multi-stage process of evaluation and appraisal involving a bi-annual review by the Area Expert Committee, the Board of Studies and the Academic Council\n\n• Evaluation and achievement of course-objectives, based on feedback reports on the placements, employability of the graduating students, developments in technology, and statutory compliance of various bodies\n\n• Spearheading future-focussed degree courses in areas like Solar Energy, Nuclear Science & Technology, Space Science and Nanotechnology\n\nSYSTEM OF EDUCATION\nAs Followed by World’s Best Universities\n\nSemester System\nAmity University follows a Semester System which is in conformity with the global practices and standards. The Course curriculum of one year is taught into two semester i.e., 17-18 weeks each. Semester system promotes greater interaction between faculty members and students and also permits more meaningful term paper and research assignments.\n\nGrade System\nThe level of students’ academic performance as the aggregate of continuous evaluation and end term examination is reflected by letter grades on a Ten Point Scale. Letter grades (A+, A, A-, B+, B, B-, C+, C, F) have points associated with them in quantified hierarchy and have qualitative meaning. Semester Grade Point Average (SGPA) & Cumulative Grade Point Average (CGPA) are calculated based on the students’ performance in Semester(s), & overall respectively.\n\nAmity University follows Absolute Grading as well as Relative Grading depending upon the student strength in a particular programme & batch. Students are required to maintain minimum SGPA & CGPA to pass a semester/promote to the next semester and qualify for Degree/Diploma.\n\nInternal Evaluation System\nThe scheme of examinations & evaluation is one of the most important components of judging the academic performance and development of the students.\n\nTherefore, in Amity, the students are assessed at regular intervals. 30% weightage is given to continuous/internal assessment in a semester wherein 3-4 evaluation components with weightages are defined. It covers Class Test, Viva, Quiz, Case Discussion/Presentation/Analysis, Home Assignment, Project, Seminar, Term Paper, Attendance etc.\n\n100% Attendance\nEvery student in Amity University is required to achieve 100% attendance in all the Lectures, Tutorials and Practicals and Seminars arranged for the respective course during the semester. However, a relaxation up to a maximum of 25% is granted in case of contingencies. A minimum of 75% attendance is required to appear in the examinations. 100% attendance criteria ensure academic excellence, disciplinary approach and growth of the student.\n\nCurricular Updation\nThe detailed course curriculum of all the programmes in Amity University is reviewed at regular intervals as per the industry requirements. For this, many points are considered such as feedback reports on the placements, employability of the passed out students, latest developments in the technology, statutory compliances of various bodies etc. The course syllabus is first examined and evaluated by an expert committee which is then reviewed by Board of Studies of the institution for recommendations to Academic Council for approval.\n\nMODES OF LEARNING\n\n• FULL-TIME\n Full day classes\n\n• PART-TIME\n Weekend or hourly classes everyday\n\n• DISTANCE LEARNING\n - Correspondence (purely self-study)\n - Distance Learning (self-study + contact classes)\n - Online (self-study + Live Online)\n\n• ONLINE\n e-Study Programme accessible through internet from anywhere, anytime\n\n• EVENING MODE\n Classes between 3-7 p.m.\n\nThe great thing at Amity is that while studying for your Degree Programme, you can also study various certificate and Diploma Programmes in many areas like management, media, art appreciation, photography etc.\n\n**LETTER**\n\n- B.B.A. (LL.B.) (Hons)\n- BBA LL.B. (Hons)\n- B.Com. LL.B. (Hons)\n- L.L.B.\n- LLM (Human Rights / Family Law / Business Law / International Environmental Law / International Trade & Economic Law / Constitutional Law / Cooperative Banking & Insurance Law / Tax Law / Media & Entertainment Law)\n- M. Phil. (Law)\n- B.Ed. (Hons)\n- B.A. (Hons) – History / Philosophy\n- M.A. (Hons) – History\n- BBA\n- BBA (Finance & Accounting / Mtg.& Sale / Family Business Management)\n- BBS (Business Development)\n- BBA = MBA (Dual Degree)\n- M.MBA\n- MBA (Marketing & Sales / Human Resources / Retail Management/ Rural Business / Competitive Intelligence & Strategic Management / Natural Resources and Sustainable Development / Executive Leadership / Entrepreneurship / Family Business Management (Part-Time)/ Educational Management / Agri Business / Banking & Finance / Hospital Management / Public Administration)\n- Advanced Diploma in Business Administration (Advanced entry in Final Semester of MBA at the University of Northampton, UK)\n- Certificate / Diploma in Business Administration (Advanced entry in First year of MBA at the University of Northampton, UK) (Dualkin University, UK)\n\n**MARINE SCIENCE**\n\n- B.Sc. (Marine Science)\n- M.Sc. (Marine Science)\n\n**MEDICAL SCIENCES**\n\n- Bachelor of Clinical Optometry\n- B. Tech (Optometry & Ophthalmology)\n- B.Sc. (Clinical Psychology / Dietetics & Applied Nutrition/ Medical Laboratory Technology)\n- B.Sc. (Hons.) - Horne Science\n- Bachelor of Audiology & Speech Language Pathology\n- Master of Audiology & Speech Therapy (Full / Part - Time)\n- M.Sc. (Dietetics & Applied Nutrition / Clinical Research/ Nutritional Biochemistry)\n- MICROBIAL SCIENCES\n\n- B.Sc. (Microbiology)\n- M.Sc. (Microbial Technology)\n- M.Sc. (Microbial Technology)\n- M.Sc. (Microbiology by Research)\n- M. Phil. (Microbiology / Microbiology)\n\n**NANOTECHNOLOGY**\n\n- B. Tech (Nanotechnology / Nanotechnology) - Dual Degree\n- B. Tech (Nanotechnology)\n- M.Sc. (Nanotechnology)\n- M.Sc. (Nanoscience by Research)\n- M.Sc. (Nanoscience by Research) – M. Tech – Nanotechnology- Dual Degree\n- M.Sc. (Forensic Nanotechnology)\n- M.Sc. (Biomedical Nanotechnology)\n\n**RISK MANAGEMENT**\n\n- M.B.A. (Risk Management)\n- M.A. (Development Studies)\n\n**SOLAR ENERGY & RENEWABLE ENERGY**\n\n- B. Tech (Nuclear Science & Technology)\n- B. Tech (Nuclear Science & Technology) - Dual Degree\n- M. Tech (Nuclear Science & Technology)\n\n**NURSING**\n\n- B.Sc. (Nursing)\n- B.Sc. (Nursing) Post Basic\n- M.Sc. (Mental Health / Medical Surgical Nursing / Community Health Nursing Post Basic / Psychiatric Nursing)\n\n**OCCUPATIONAL THERAPY**\n\n- B.Sc. (Occupational Therapy)\n- B.Sc. (Occupational Therapy)\n- Bachelor of Performing Arts (Dance / Music / Vocal / Instrumental) (Diploma)\n\n**PHARMACY**\n\n- Bachelor of Pharmacy\n- M. Pharm\n- M. Pharm (Pharmaceutical Biotech / Pharmacogenomics & Physiochemistry / Pharmaceutics / Pharmaceutical Management / Drug Regulatory Affairs / Pharmaceutical Chemistry / Pharmacology)\n\n**PHYSICAL EDUCATION**\n\n- Bachelor of Physical Education\n- D.P.E\n- M.F.P.E. (Master of Physical Education)\n- M.Phil. (Physical Education)\n\n**PHYSIOLOGY**\n\n- B. Sc. (Medical Physiology)\n- M.Sc. (Medical Physiology)\n\n**PHYSIOTHERAPY**\n\n- Bachelor of Physiotherapy\n- Master of Physiotherapy\n\n**POST HARVEST TECHNOLOGY & COLD CHAIN MANAGEMENT**\n\n- M.Sc. – (Postharvest) Post Harvest Technology\n- PG Diploma in Post Harvest Technology\n\n**PSYCHOLOGY & BEHAVIOURAL SCIENCE**\n\n- B.A. – (Psychology)\n- B.A. – M.A. (Clinical Psychology) - Dual Degree\n- M.A. (Clinical Psychology) / Counselling Psychology / Clinical Psychology / Military Psychology / Organizational Behavior\n- M.Sc. (Clinical Psychology)\n- PG Diploma in Counseling Psychology (Full-time / Part-Time)\n- PG Diploma in Clinical Psychology\n- PG Diploma in Counselling Psychology\n- M.P.H. (Child & Adolescent Psychology / Clinical Psychology/ Counselling Psychology)\n\n**PUBLIC POLICY**\n\n- M.A. (Public Policy & Governance)\n- M.A. (Public Policy & Diplomacy)\n- MBA (Public Policy Management)\n\n**REAL ESTATE & URBAN INFRASTRUCTURE**\n\n- BBA (Real Estate & Urban Infrastructure)\n- BBA (Construction Project Management)\n- MBA (Real Estate and Urban Infrastructure)\n- MBA (Construction Project Management / Surveying)\n- MBA (Construction Project Management)\n- MBA (Construction Project Management)\n\n**SANSKRIT STUDIES**\n\n- B.A. (Sankriti)\n- M.A. (Sankriti)\n\n**SOCIAL WORK**\n\n- Bachelor of Social Work\n- B.A. (Hons.) – Political Science\n- B.A. (Hons.) – Sociology\n- Bachelor of Library & Information Science\n- Master of Library & Information Science\n- M.A. (Political Science)\n- M.A. (Library & Information Studies)\n\n**SOLAR & ALTERNATE ENERGY**\n\n- M. Tech (Solar & Alternate Energy)\n- M. Tech (Solar & Alternate Energy) - Full-Time\n\n**SPACE SCIENCES**\n\n- B. Tech (Aerospace Engineering)\n- B. Tech (Aerospace Engineering + M. Tech – Avionics) - Dual Degree\n- M. Tech (Aerospace Engineering)\n\n**SPECIAL EDUCATION**\n\n- Integrated B.Ed. Special Education\n- Integrated B.Com B.Ed. Special Education\n- Integrated B.Com B.Ed. Special Education\n- B.Ed. Special Education (Learning Disabilities)\n- B.Ed. Special Education (Autism Spectrum Disorder / Mental Retardation)\n- M.Ed. Special Education (Learning Disabilities / Mental Retardation)\n\n**TELECOM**\n\n- B.Tech (Electronics & Telecommunication)\n- M. Tech (Electroelectronics and Optical Communication) - Full-Time / Weekend\n- M. Tech (Telecom Network Systems Engg.) - Full-Time / Weekend\n- MBA (Telecom Management)\n\n**TRAVEL**\n\n- B.A. (Tourism Administration)\n- Bachelor of Tourism & Travel Management\n- M.A. (Tourism Administration)\n\n**VIROLOGY & IMMUNOLOGY**\n\n- M.Sc. (Virology)\n- M.Sc. (Immunology)\n- PG Diploma in Food and Plant Certification\n- PG Diploma in Clinical Virology and Immunology\n\n**WILD LIFE SCIENCES**\n\n- M.Sc. (Wildlife Sciences)\n\nFor eligibility, syllabus, fee structure, course duration and other details visit: www.amity.edu\n\nAmity has tie-ups with over 100 international Universities, Laboratories and Research Centres in areas of student exchange, faculty exchange, joint research, curriculum development and educational tours for students. Some of these institutional linkages are across USA, UK, France and Australia.\n\nSOME OF THE INTERNATIONAL UNIVERSITIES WITH WHICH AMITY HAS PARTNERED:\n\n- PURDUE UNIVERSITY CALUMET\n- KENT STATE UNIVERSITY\n- IOWA STATE UNIVERSITY\n- COLORADO STATE UNIVERSITY\n- UNIVERSITY OF WISCONSIN-MILWAUKEE\n- UNIVERSITY OF INDIANAPOLIS\n- NYU POLY\n- FARNHAM DICKINSON UNIVERSITY\n- CLAFLEN UNIVERSITY\n- CALIFORNIA STATE UNIVERSITY, SAN BERNARDINO\n- UNIVERSITY OF BIRMINGHAM\n- QUEEN MARY UNIVERSITY OF LONDON\n- NEWCASTLE UNIVERSITY\n- THE UNIVERSITY OF NOTTINGHAM\n- UNIVERSITY OF NORTHAMPTON\n- EL PUPHAN (UNIVERSITY OF TOULOUSE)\n- ECOLE INTERNATIONALE DES SCIENCES DU TRAITEMENT DE L’INFORMATION (GISTI)\n- ESC RENNES SCHOOL OF BUSINESS\n- INTERNATIONAL SCHOOL OF MANAGEMENT (ISM)\n- THE UNIVERSITE DE VERSAILLES SAINT-QUENTIN-EN-YVELINES\n- POLYTECH NANTES\n- POLYTECH GROUP\n- NATIONAL TSING HUA UNIVERSITY\n- NATIONAL PINCHUANG UNIVERSITY OF SCIENCE & TECHNOLOGY\n- FENG CHIA UNIVERSITY\n- LAKEHEAD UNIVERSITY\n- CABLETV UNIVERSITY\n- INSTITUTE FOR GLOBAL AND ECONOMIC FORECASTING AND MODELING (IGEFM)\n- CENTRAL INFORMATICS ORGANIZATION (CIO)\n- DEAKIN UNIVERSITY\n- UNIVERSITY OF QUEENSLAND\n- CURTIN UNIVERSITY\n- KAWASAKI KAIRIKU UNIVERSITY\n- KALININ INSTITUTE OF TECHNOLOGY\n- UNIVERSITY COLLEGE DUBLIN\n- QUEENS UNIVERSITY BELFAST\n- UNIVERSITY OF MODENA & REGGIO EMILIA\n- ZIRVE UNIVERSITY\n- CASPIAN STATE UNIVERSITY OF TECHNOLOGIES & ENGINEERING\n- AL-FARABI KAZAKH NATIONAL UNIVERSITY\n\nUSA\nUSA\nUSA\nUSA\nUSA\nUSA\nUSA\nUSA\nUSA\nUK\nUK\nUK\nUK\nFRANCE\nFRANCE\nFRANCE\nFRANCE\nFRANCE\nFRANCE\nTAIWAN\nTAIWAN\nCANADA\nCANADA\nRUSSIA\nBAHRAIN\nAUSTRALIA\nAUSTRALIA\nAUSTRALIA\nJAPAN\nCHINA\nIRELAND\nIRELAND\nITALY\nTURKEY\nKAZAKHSTAN\nKAZAKHSTAN\n\nFor full list, visit: www.amity.edu\n\nQuality is the common denominator in everything we aspire to do. That is why Amity is the first University in India to get ISO 9001, ISO 14001, ISO 27001, ISO 22000 & ISO 50001 Certifications.\n\nDr. B.B. Singh \nQuality Assurance & Enhancement\n\nRight from the inception of Amity University, Quality Assurance & Enhancement has been a thrust area. AUUP is the first university to get its processes ISO certified with a maturity level of three ISO separate recertification by British Standards Institute (BSI). There is a team of experienced professionals who ensure that the best systems are implemented in all departments and all areas of the University for holistic quality improvement.\n\nThe division also monitors the implementation and continuous improvements of both academic and non academic processes and procedures.\n\nBenefits of Quality Certifications\n\n- AUUP is NAAC Accredited with Grade ‘A’;\n- Ranked amongst the top universities in Asia QS world ranking.\n- AUUP has been awarded the Commendation Certificate RGNQA 2013-14 on August 2014 by Bureau of Indian Standards (BIS).\n- All institutions of Amity University have been brought out on a common platform through following ISO Certifications:\n - ISO 9001:2008\n - ISO 14001:2004\n - ISO 27001:2005\n - ISO 22000:2006\n - ISO 50001:2011\n- Better synergy, positive response and better communications have been established across institutions and departments of AUUP through dedicated quality supports.\n- Strong audit network of more than 100 Auditors.\n- All systems analyzed and process have been implemented and audited through three stage audit system involving internal and external audit agencies.\n- Effective monitoring and handling of student related concerns, through an automated complaint management system.\n- Quality Standards maintained and planned through Institutional Quality Assurance Cell (IQAC)\n- Globally aligned Curriculum, Pedagogy and Academic delivery.\n- Enabling institutions for preparation of National and International Accreditation agencies to meet the requisite quality standards.\n- Regular review of performance of processes and procedures by management for effectiveness and continual improvement.\n\nAMIZONE\nAmity Intranet Zone\n\nAMITY IS INDIA’S MOBILE APPS FOR\n\nAcknowledged to be among the best university intranets of the world, Amizone brings a world-class online learning experience for Amity students. Powered on ‘enterprise class’ servers and high-end storage devices, it offers a single-point access to information, services and resources, for students and faculty. An ever-expanding and dynamic portal, Amizone is regularly upgraded with new features and facilities to provide study materials, recorded lectures and a seamless learning experience for its students.\n\nFIRST UNIVERSITY TO HAVE ITS STUDENTS INTRANET\n\nEnsuring that interaction does not end with the classroom, Amity University has brought the classroom into the mobile phones of its students. Amity students can access Amizone (their intranet) and all its features on their mobile phones.\n\nEven parents can view their ward’s attendance and exam grades, while faculty can mark attendance on their mobiles.\n\nThe Amity App is available for iPhone, iPod touch, iPad, BlackBerry, Nokia, Android phones & Windows 8.\n\nVisit www.amity.edu/apps\n\n“Students and faculty continuously interact through Amizone, one of the most hi-tech university intranet portals in the world.”\n\nDigital Library & Online Journals: Amity students can access various electronic information resources for online databases, journals, case studies, research materials, etc.\n\nRecorded Classes: To ensure that students don’t miss out on their learning experience, Amizone also offers an archive of Recorded Classes.\n\nFew of the existing facilities on Amizone are:\n• Online timetable & attendance\n• Syllabus & course materials\n• Exam admit cards and results\n• Online fee bills and receipts\n• Faculty feedback\n• Access to online journals\n• Suggestions/Complaint box\n• Quizzes/Opinion-polls\n• Discussion forums etc.\n\nPERSONALITY DEVELOPMENT\nEnhancing Confidence to Stay Ahead\n\nAmity not just offers the best education but also grooms you for a well rounded personality.\n\nAparajita Sharma\nBiotechnology student at Amity\n\nFemina Miss India finalist\n\nPersonality Development is a great focus area at Amity University because a great percentage of success in life depends on a person’s confidence and personality.\n\nTo help students in personal grooming, special sessions are held on business etiquettes, negotiation skills and effective communication. Special classes are held on leadership, teamwork and analytical skills.\n\nAll students undergo a 7-day Military Training Camp held at Amity’s 150 acre campus in Manesar, which is next to the National Security Guards (NSG) Training Camp. Students are trained by veterans of the armed forces.\n\nCountry comes before self. That’s what we learn at Amity. A sense of patriotism comes into being at the Military Training Camp. Now, I have developed a stronger bond for my country and promise to dedicate myself to the nation’s development.\n\nIMBIBING THE SPIRIT OF DISCIPLINE AND PATRIOTISM\n\nAt the Military Training Camps, Amity students imbibe the value of discipline and a spirit of patriotism, commitment and perseverance by participating in a variety of activities like parasailing, trekking, shooting, rock climbing/rappelling, etc. which test their mental and physical agility.\n\nEXTRA CURRICULAR EXCELLENCE\n\nBe it academics or extra-curricular activities, we groom our students to be at the winning side. A testimony to this fact is that even our BBA students regularly beat PG students of institutions like IIM & XLRI.\n\nProf. (Dr.) Alka Munjal\nDean, Student Academic Affairs & Support Services,\nAmity University Uttar Pradesh\nPh.D in Strategic Management\nMBA from Birla Institute of Technology\nTopped in the University\nSelected as “Woman of the year - 2002” by American Biographical Institute\nConducted several training programmes in finance and strategy for reputed companies\n\nFOREIGN LANGUAGES\nThe Linguistic Advantage\n\nAmity provides an international perspective to the students through the various language programmes. The foreign language course has been integrated into the curriculum. The students have a choice to select one of the foreign languages from French, German, Spanish, Japanese and Chinese.\n\nThe Language Department has a very hi-tech advanced language lab for students.\n\nGROOMING FOR INTERVIEWS\n\n“I have been interacting with Amity students for many years and my experience has been extremely positive. I look forward to coming back to Amity and pick up extremely bright students.”\n\nMr. Shantanu Banerjee\nDirector, HR, Steria (India)\n\nAn important part of course curriculum is enhancement of confidence in students to come out with flying colours in interviews and group discussions.\n\nThe training at Amity Institute of Leadership and Communication covers key aspects of preparation, dress for success, winning the body language and non-verbal game, answering difficult questions, refreshing business etiquette, as well as aspects like winning the group discussion and extempore speaking with confidence.\n\nThe methodology followed is by presentation and discussion of techniques for gaining competitive edge, practice of public speaking and group discussion techniques and individual attention through mock interviews.\n\nThe education framework at Amity is rooted upon certain key values and ethics. It stresses on principles such as patriotism, courage, respect for elders... It is this sense of purpose that has led to the creation of the ‘101 Attributes of an Amitian’.\n\nThis booklet on the norms & guidelines explores 101 different character traits that take an individual closer to completeness. The attributes have been built into the teaching activities, group activities and have been included in topics for lectures and discussions by students.\n\nAll institutions of Amity celebrate ‘Human Values Quarter’ during which a wide array of events are organized to spread awareness about the importance of human values.\n\n“Amity lays great emphasis on imbibing values and sanskars in all its students.”\n\nProf. R.R. Grover\nAmity School of Insurance, Banking & Actuarial Science\nConvenor, Amity Human Values Quarter\n38 years in the Insurance Industry\n\nThe unique Mentor-Mentee Concept at Amity ensures a constant interaction between the faculty and the students. A faculty member is assigned to a group of 5-6 students to counsel them on their academic and personal concerns. Their experience enhances student’s confidence to excel in the corporate world.\n\nIn addition, Amity has a full fledged Amity Student Counselling Services (ASCOS) for students who encounter any personal/emotional problems.\n\nAt Amity, we ensure that any student who hits a road block in personal or professional life is given the right counselling.\n\nDr. Abha Singh\nDirector,\nAmity Institute of Psychology & Allied Sciences\n\nThe Beginning of Success.\n\nAmity students have more interaction with the corporate world than any other institution—one of the reasons why Amity is consistently ranked at the top.\n\nThe Amity Corporate Resource Centre acts as an interface between the students, faculty, and the corporate world to initiate continuous interaction with the industry, sharing the industry experiences, understanding industry needs and providing the required support to the corporate world.\n\nA glimpse of stalwarts who visited Amity and interacted with students\n\n“Amity students are the most exciting that I have ever met.”\n\nNobel Laureate Professor Sir Harry Kroto, FRS\nFrancis Eppes Professor in the Department of Chemistry and Biochemistry at Florida State University, USA\n\n“I am very impressed with Amity University.”\n\nProf. Werner Arber\nNobel Laureate & Honorary Professor of Biotechnology at Amity University\n\n“In Amity students I found the perfect chemistry between intelligence, dedication and hard work.”\n\nNobel Laureate Prof. (Dr.) Yuan T. Lee\nPresident Emeritus & Distinguished Research Fellow of Academia Sinica in Taiwan\n\n“I believe that Amity would generate a pool of creative leaders for participating in the national development mission.”\n\nDr. APJ Abdul Kalam\nHon’ble Former President of India\n\n“For Amity students - when you know the answer, always think for a better one!”\n\nDr. Edward De Bono\nLateral Thinking Guru\n\nINDUSTRY CAPTAINS\nSharing Corporate Insights\n\nOver 1500 CEOs have been on Amity campuses to interact with students.\n\nAmity has been regularly inviting heads of leading Indian companies. They offer insights into latest issues concerning the economy to stimulate and enhance the intellectual climate of the University.\n\n1. Mr. Sanjay Kapoor, CEO, Bharti Airtel, India & South Asia addressing the gathering during HR Conclave 2011 at Amity Campus\n2. Mr. Fredrik Jejdling, MD, Ericsson India addressing the gathering at Amity Campus\n3. Mr. Mukesh Sopara, National Head, British Telecom interacting with students at Amity Campus\n4. Mr. Sameer Sunjai, MD, Perfetti Van Melle India Private Limited, Lead speaker at the Amity Global Leadership Summit\n5. Mr. B.C. Tisarey, CMD, GAIL addressing the gathering during INIBUS, Amity’s International Business Summit\n6. Mr. Dilip Chenny, MD & CEO, National Skill Development Corporation expressing his views at Amity Campus\n7. Mr. Sunil Kant Munjal, Jr. Managing Director, Hero MotoCorp addressing the gathering at Amity Campus\n8. Mr. Ritesh Kumar, CEO and MD, HDFC Ergo General Insurance sharing his views with Amityans at Amity Campus\n9. Mr. Ajit Kumar, Executive Director, Accenture sharing his experiences at Amity University Campus\n10. Mr. Rahul Sharma, Co-Founder, Micromax Informatics addressing the gathering at Amity Campus\n11. Mr. Debashish Sur- President, Tata Tele Services addressing the gathering at Amity Campus\n12. Mr. Paul De Veijg, MD, Volvo Car India addressing Amityans on campus\n13. Mr. K.M. Gopalakrishnan, MD, Pitney Bowes addressing the gathering at Amity University Campus\n14. Mr. Abijit Roy, MD – Berger Paints sharing his experiences with Amityans\n15. Eric Braganza, President – Haver India addressing the gathering during the Conference- IBSCON 2014 at Amity University Campus\n\nGLOBAL GURUS\nListening to Legends\n\nTo create a forum for discussion, knowledge and idea sharing among the Indian corporate world and Amitians, Amity has facilitated interaction with more international experts than any other institution.\n\nSome of the Global Gurus with whom Amity students have interacted.\n\n1. Mr. Tom Peters, acclaimed Management & Innovation Guru addressing corporate professionals at an event partnered by Amity University\n2. Mr. Jack Trout, acclaimed Marketing Guru addressing the gathering\n3. Mr. Robert B. Miller, Global Sales Guru with Amity MBA students\n4. Growth Guru, Mr. Harne Harnish during an interactive workshop on “Business Strategy”\n5. Amity students with Mr. Thomas Stewart, Managing Director and former Editor, Harvard Business Review\n6. Renowned Emotional Intelligence Guru, Dr. Daniel Goleman addressing the gathering during EI & LEADERSHIP SUMMIT, an event partnered by Amity\n7. Dr. Rick Levy, world renowned expert in the field of mind and body wellness speaking during his book launch “The Happiness Suite” at Amity University Campus\n8. World renowned Management Guru, Master Del Pe delivering a lecture on “Transformational Leadership in Modern Age” at Amity University Campus\n9. Mr. Frans Johansson, Innovation Expert and Author speaking during an Amity partnered event\n\nThe mission of Amity University is to groom students who will shape India’s tomorrow.\n\nThat is why there is a regular interaction on Campus with leaders for inspiration.\n\n1. Hon’ble Vice President of India, Dr. Hamid Ansari addressing the gathering at Amity Campus\n\n2. His Excellency Mr. Thomas Matousek, Ambassador of Germany during an interactive session with students at Amity University\n\n3. H.E. Lee Joon-Gyu, Ambassador of Republic of Korea in India sharing his views with Amityans\n\n4. Mr. Boris Johnson, Mayor of London addressing the gathering at Amity Campus\n\n5. Smt. Smriti Zubin Irani - Hon’ble Minister of Human Resource Development, Government of India sharing her views during “Knowledge Expo”\n\n6. Mr. Alun Cairns - MP (Conservative), UK interacting with students at Amity Campus\n\n7. Dr. Zlatko Lagumdzija - Minister of Foreign Affairs, Bosnia and Herzegovina during an interactive session with students at Amity University\n\n8. Shri. Arun Jaitley, Hon’ble Minister of Finance, Govt. of India addressing the gathering at Amity University Campus\n\n9. Mr. Wan Gang – Minister of Science and Technology, People’s Republic of China addressing the gathering at Amity Campus\n\n10. Mr. Kapil Sibal, the then Hon’ble Union Minister of Science and Technology, speaking at a Global Conference on Nanotechnology at Amity University Campus\n\n11. H.E. Mr. Abdullah Gul - President of Turkey being felicitated by Dr. Ashok K. Chauhan - Founder President, Amity with an Honorary Doctorate Degree in Philosophy along with a citation\n\n12. Shri Kamal Nath, the then Union Minister of Urban Development, Govt. of India addressing the gathering\n\n13. Dr. Farooq Abdullah, the then Hon’ble Union Minister for New & Renewable Energy, Government of India addressing the gathering during the valediction of Indo-Australian Solar Energy Workshop\n\n14. Mr. Digvijay Singh, the then Chief Minister of Madhya Pradesh, during the 4th Global Leadership Summit at Amity University Campus\n\nLeading international speakers and visiting academicians regularly visit Amity University Campus to share their experiences.\n\nIt gives the students a global view of any issue and sharpens their skills to emerge a winner.\n\n1. Prof. Nick Poffard, Vice Chancellor, University of Northampton, UK delivering a lecture at Amity Campus\n\n2. Dr András Anders, Senior Scientist and the Leader of the Plasma Applications Group at Lawrence Berkeley National Laboratory, Berkeley (LBNL), California delivering a lecture\n\n3. Dr. Jonathan Richard Ellis, world renowned British theoretical physicist delivering a lecture on “Exploring the Universe with the world’s most powerful Microscope and Telescope” at Amity University Campus\n\n4. Dr. Dafin F. Muresanu, Chairman, Department of Clinical Neurosciences, University of Medicine and Pharmacy sharing his views during the conference on “Neuroscience”\n\n5. Prof. Jane den Hollander, Vice Chancellor & President – Deakin University addressing the gathering during Symposium on ‘Contemporary Media Practices in India’\n\n6. Dr. John Williams, Director, Auto-ID Laboratory, MIT delivering his lecture on “Geospatial Systems” at Amity University Campus\n\n7. Dr. Laurence Marie Sanchez, Director - Euromed Management, the oldest management school of France, interacting with students at Amity Campus\n\n8. Dr. Savante Brunaker, Pro Vice Chancellor, University of Gothenburg, Sweden addressing the gathering\n\n9. Prof. Nie-Hong, Vice President - Nanjing University of Aeronautics & Astronautics, China addressing the gathering at Amity Campus\n\n10. Dr. Douglas R. Cook, Director, CA & ES Genomics Facility, Professor, Department of Plant Pathology, University of California, USA presenting his lecture on “Synbiotics” at Amity University Campus\n\n11. Dr. David Richmond, President - Royal College of Obstetricians & Gynaecologists (RCOG) interacting with students at Amity Campus\n\n12. Dr. Tanya N. Magadus, Harvard University, Professor of Pathology at the Center for Excellence in Vascular Biology during an Interactive Session & lectures at Amity University Lucknow Campus\n\n13. Prof. Philip M. Nichols of Wharton Business School delivering a lecture on ‘Business Ethics in a Changing Corporate Environment’ at Amity University Campus\n\nThe Amity International Centre brings together intellectuals and luminaries in diverse fields ranging from science, technology, commerce, judiciary, executive, legislature, management to spirituality and philosophy etc.\n\nThis platform provides a unique opportunity to discuss and debate on a multitude of contemporary issues both of national and international significance.\n\nIt is a part of many initiatives of Amity University for discussion, sharing of knowledge and exchange of ideas among those who have a concern for nation building and wish to be updated about global issues and developments.\n\n1. Mr. Arvind Kejriwal, Chief Minister of Delhi, delivering his lecture on “Our Anti-Corruption Systems-What needs to be done”\n\n2. Advocate Ms. Anu Narula addressing the gathering on “Empowerment of Women” at Amity Campus\n\n3. Ambassador Despak Vohra (Retd.) giving a lecture on “Global MegaTrends”\n\n4. Dr. Ashok Gulati - Chairman, Commission for Agricultural Costs and Prices giving his lecture on “Food Security” at Amity Campus\n\n5. Dr. Krishna Lal - Linne-Bragg Chair Professor and Principal Chief Scientist delivering his special lecture on “Fascinating World of Crystals: From Fundamentals to Applications”\n\n6. Dr. Shailesh Nayak, Secretary, Ministry of Earth Sciences, Govt. of India sharing some valuable words on “Space Technology for Tsunami Warning” at Amity Campus\n\n7. Dr. Christopher Hobbs, Co-Director, Centre for Science & Security Studies; and Deptt. of War Studies, Kings College London delivering his lecture on “Overview of Nuclear Security”\n\n8. Prof. Madan Lal, Former Dy. Director Vikram Sarabhai Space Center giving lecture on “Moon Impact Probe: Chandrayaan-1 mission” at Amity Campus\n\n9. Dr. Arul P. Joshi, Padma Shri addressing the gathering on “Gross Environment Product (GEP): A new growth measure” at Amity Campus\n\nSome of the over 150 topics discussed during Amity International Centre Lecture Series\n\n- Red China: A Success Story\n- Vedic Education System: Modern Context\n- Breathing Fire: China’s Aggressive Posturing\n- Future Trends in Indian Politics\n- Elections Over: Foreign Affairs and the Media\n- Indian Energy Scenario\n- Terrorism in the Context of Maritime Security\n- Menace of Terrorism\n- Indo-Pak Relations: The Past and the Future\n- Global Financial Crisis and Impact on India\n- Dynamics of Turbulence in North East\n- Terrorism & Its Impact on India’\n- Potential Growth Stars of the 21st Century - BRICs\n- The Indo-US Nuclear Deal in a Global Context\n- Right to Information Act\n- Life Science in Service of Soldier and Society\n- Issues of Governance\n\nFor full list, visit www.amity.edu\n\nThe “Amity Corporate Excellence Awards” are in recognition of the exemplary leadership qualities through which the corporate leaders of today have inspired their corporates to achieve new heights of excellence.\n\nIt is an effort by Amity to encourage the leaders of tomorrow to tread on the same path on which the leaders have walked; achieving excellence on the way.\n\n1. Mr. Boris Johnson, Mayor of London being felicitated by Dr. Ashok K. Chauhan, Founder President-Amity, Dr. Atul Chauhan, Chancellor, Amity University and Dr. Aseem Chauhan, Chancellor, Amity University\n\n2. Dr. Edward De Bono, the pioneer of the ‘Lateral Thinking’ concept and one of the world’s leading experts in creative thinking being honoured by Dr. Ashok K. Chauhan, Founder President - Amity with ‘Amity Millennium Award” during Amity Global Leader Series\n\n3. Dr. Ashok K. Chauhan, Founder President, Amity presenting citation to Prof. Ramesh C Deka, Director & CEO, AIIMS\n\n4. Nobel Laureate, Prof. Werner Arber being conferred with the Honorary Professorship of Amity Institute of Biotechnology\n\n5. Dr. Ashok K. Chauhan- Founder President, Amity presenting Excellence in Virology Award to Dr. M P Yadav- Ex-Director, Indian Veterinary Research Institute in the domain of Animal Virology\n\n6. Dr. Ashok K. Chauhan, Founder President, Amity felicitating Dr. UD Choudhry, Director General, SCOPE\n\n7. Mr. Akhil Gupta, Dy. CEO and MD Bharti Enterprises being honoured by Dr. Ashok K. Chauhan, Founder President, Amity and Mr. K.S. Bains, DIG, AITD and Lt. Gen. P.D. Bhargava, DG, AITTM\n\n8. Mr. K.V. Kamath, the then MD & CEO, ICICI Bank, being conferred with the “Amity Leadership Award” by Dr. Ashok K. Chauhan, Founder President- Amity and Mr. Tom Peters, acclaimed Management Guru\n\n9. Dr. Ashok K. Chauhan, Founder President, Amity along with Lt. Gen PD. Bhargava felicitating Dr. J.S. Sarma, Chairman, TRAI\n\n10. Mr. Kumar Mangalam Birla, Chairman, Aditya Birla Group, being conferred the “Amity Leadership Award”\n\n11. Nobel Laureate Sir Harry Kroto receiving an Award from Dr. Ashok K. Chauhan, Founder President, Amity and Dr. (Mrs.) Anita Chauhan, Chairperson, Amity International School\n\n12. CMD of Annapali Group, Mr. Anil Sharma receiving the “Corporate Excellence Award”\n\nThe Amity Innovation Incubator, located within the Amity University campus, comprises of a richly experienced team of domain and industry mentors to ensure that the right guidance is available to budding entrepreneurs and has a nationwide network of 17 virtual Incubation Centres. Its vision to enhance the economic growth of the Nation by supporting and nurturing the most critical elements of the entrepreneurial ecosystem is closely supported by Amity Capital Ventures – an independent proprietary fund that financially supports start-ups and entrepreneurs via seed and growth investments.\n\nThe incubator selects handpicked business minds, scientists, technologists, professionals and students with great ideas and a burning desire to become successful entrepreneurs.\n\n‘AII’ has presence in 17 cities across India & 5 countries across the world.\n\nAMITY VIRTUAL INCUBATION NETWORK:\n\n- **Ahmedabad**: 079-400-63854\n- **Bangalore**: 098-453-10811\n- **Bhubaneswar**: 093-371-24133\n- **Chandigarh**: 097-795-89315\n- **Chennai**: 044-42329514\n- **Delhi/NCR**: 99-710-95521\n- **Gurgaon**: 098-181-53629\n- **Gwalior**: 096-301-54002\n- **Hyderabad**: 040-42009485\n- **Indore**: 099-710-95521\n- **Jaipur**: 098-282-99458\n- **Kochi**: 0484-6028701\n- **Kolkata**: 033-44012803\n- **Lucknow**: 094-150-17498\n- **Mumbai**: 099-710-95521\n- **Patna**: 099-243-04362\n- **Pune**: 099-710-95521\n\nAMITY CENTRE FOR PRIVATE EQUITY & VENTURE CAPITAL\n\nThe Amity Centre for Private Equity & Venture Capital is a dedicated resource centre for information and screened interaction between the different stakeholders in the Entrepreneurial and Investment Ecosystem and provides special range of services, such as:\n\n- Thought Leadership\n- Trend Tracking\n- Screened interactions between entrepreneurs and sector specific investors\n- Powerful platform for investment funds to interact with each other.\n- Opportunity to network with contemporary topics of discussion and share cutting edge solutions.\n- Exposure on corporate laws, governance issues which impact the industry in the stimulating environment.\n- Research, publications and statistical information.\n\nVIRTUAL INCUBATION SUPPORT SYSTEM\n\nPatent consulting and database access including access to crucial databases like Indian Patent database, US Patents database, European Patent database\n\nFinancial advisory services including investment advisory services\n\nAccess to ‘AII’ mentoring committee of 100 mentors and comprising of renowned names from the Industry, including eminent personalities from diverse fields\n\nFree invitation to knowledge sessions and events held on Amity Campus including discounted entries for entrepreneurial events organized by TIE, NITEE, NASSCOM and others\n\nVirtual space for remote office access & online real-estate over Amity Incubator’s in-house servers\n\nAccess to global facilities and utilising Amity University’s presence across the globe plus benefits of global concierge services, conference space, networking, market knowledge and research\n\nAccess to global business reviews, relevant articles, Newsletters along with Research & White Papers, Technology Journals & library facilities\n\nOnline showcasing of products and services through a unique entrepreneur focused portal to the VC-PE industry\n\nSharing products, services, resources with fellow entrepreneurs and accessing their feedback\n\nAccessing interns and hiring interested management graduates as team members\n\nPower networking with who’s who in the industry\n\nBusiness plan assistance & support with business advisory services\n\nACHIEVEMENTS\n\n- 100 Companies Incubated (physical & virtual); all showing significant financial & operating growth\n- Employment generated for more than 2500 people\n- Over 200 patents filed for entrepreneurs and 30 technologies commercialised\n- More than 25 funding rounds completed\n- Network of more than 100 mentors countrywide\n- Ground breaking technologies being commercialised and utilised by groups such as Delhi Metro, LG Electronics, Microsoft, GreenSoics, Cadence, Siemens Systems, Himachal Pradesh Geological Department, Noida Traffic Police etc.\n- Strategic collaboration with Incubators in Europe, USA and Asia\n- 30 start-ups established by Faculties & Students of Amity University\n- 11 Incubates funded under “Support of Entrepreneurial and Managerial Development of SMEs through Incubators”\n- Risk Capital raised for 4 Incubatee Companies under SIDBI-SAS Scheme\n- Over $40 m invested in Incubatee companies through Mergers & Acquisition and Angel Investments\n\nSUCCESS STORIES\nAT AMITY INNOVATION INCUBATOR\n\nApnaCircle.com\nFounded by Yogesh Bansal, ApnaCircle.com is a fast growing popular professional networking site which recently merged with the world’s No. 2 networking company Viadeo with a user base of 7 million.\n\nCircuitSutra Technologies Pvt. Ltd.\nCircuitSutra Technologies Pvt. Ltd. provides SystemC modeling services to a worldwide customer base ranging from small to the top ten semiconductor companies in partnership with all the key players in the ESL ecosystem.\n\nGVC Systems Pvt. Ltd.\nGVC Systems Pvt. Ltd. is an intelligent-electronic components designing and manufacturing company with an ISO certificate providing Energy Saving Devices, Electronic Automation Products and Import Substitution Products.\n\nITCONS e-Solutions Pvt. Ltd.\nITCONS develops software for the Recruitment Space for more than 50 clients from India and abroad. The company aims to become the business and technology leader in the same category.\n\nKinetic Media Solutions\nSpecialising in aligning resources and communication tools to gain marketing efficiencies, Kinetic Media Solutions is a start-up marketing and advertising solution provider offering effective integration of strategy, technology and creative implementation of client’s communication needs.\n\n“Amity’s incubator brand name, business network and seed fund has helped ITCONS e-Solutions - Talent Management Suite getting more clients with minimal efforts and establish RecruitPlusTM a global brand name in Recruitment Software Solutions space as end to end Recruitment automation product.”\n\nGaurav Mittal\nITCONS e-Solutions\n\n“The fact that Amity was backing me in my endeavors helped me build a business association with major clients like Delhi Metro.”\n\nVINAY CHADDHA\nGVC Systems Pvt. Ltd.\n\n“Through our interaction with Amity students, we feel that they exhibit leadership qualities and have the confidence to establish their own enterprises.”\n\nBhupendra Kamra\nKinetic Media Solutions Pvt. Ltd.\n\nTOP AWARDS RECEIVED BY AMITY INCUBATEES FOR ENTREPRENEURIAL EXCELLENCE\n\nAMITY INNOVATION INCUBATOR’S RANGE OF SERVICES\n\nAmity Innovation Incubator offers a range of incubation services to nourish entrepreneurial talent such as:\n\n- Business Planning\n- Company Formation\n- Legal & IPR Assistance\n- Managerial Support\n- Technology Support\n- State-of-the-art Infrastructure\n- Venture Capital Funding\n- Networking\n- Collaborations & Alliances\n- Mentors\n- Board Members\n- Training & Team Development\n\nExperiential Learning.\n\nEnthralling Events, Knowledge Festivals, Challenging Competitions...\n\nFor students of Amity, life is all about non-stop learning, as much of it outside the classroom, as in it. No wonder, they are so adept at not only organising Events, Festivals and Competitions, but also winning them.\n\nDisplaying great leadership and teamwork skills, Amitians leave a lasting impression wherever they go.\n\n1. Actor and Filmmaker, Farhan Akhtar performing during “Sounds of Freedom Concert” at Amity University, Noida Campus\n\n2. Music Maestro Sanu Nigam performing during INBUISH at Amity University\n\n3. Singer Mohit Chauhan enthralling the audience at Amity University Campus\n\n4. Music Maestro, Kailash Kher performing at Amity University, Noida Campus\n\n5. I-fameous singer & music director, Adnan Sami, entertaining the audience at Amity University Campus\n\n6. Bollywood stars Shabana Azmi & Late Farooque Sheikh performing a play ‘Tumhari Amrit’ at Amity University during Mindlust Times Noida Festival\n\n7. Acclaimed actress Ms. Sharmila Tagore being felicitated at Amity University Lucknow Campus\n\n8. Students performing on ramp during the “Fashion Show” at Amity University Campus\n\n9. Amity students performing during the event “Amity Music Festival” at Amity University Campus\n\n10. Singer & Music Director Salim Merchant performing at Amity University Campus\n\n11. Varun Dhawan and Alia Bhatt, Bollywood actors at Amity University Campus\n\n12. Ms. Sonal Mansingh, eminent Indian Odissi exponent performing at Amity Campus\n\n13. Mr. Vlado Kreslin, famous Slovenian Folk Singer & Poet performing at Amity University\n\n14. Singer Arijit Singh mesmerizing with his performance during ‘Lets Fly The Flag’ initiative at Amity University\n\n15. Students of Amity who won the Delhi Times Fresh Face Competition - 2011\n\n1. Actor and Filmmaker, Farhan Akhtar performing during “Sounds of Freedom Concert” at Amity University, Noida Campus\n\n2. Music Maestro Sanu Nigam performing during INBUISH at Amity University\n\n3. Singer Mohit Chauhan enthralling the audience at Amity University Campus\n\n4. Music Maestro, Kailash Kher performing at Amity University, Noida Campus\n\n5. I-fameous singer & music director, Adnan Sami, entertaining the audience at Amity University Campus\n\n6. Bollywood stars Shabana Azmi & Late Farooque Sheikh performing a play ‘Tumhari Amrit’ at Amity University during Mindlust Times Noida Festival\n\n7. Acclaimed actress Ms. Sharmila Tagore being felicitated at Amity University Lucknow Campus\n\n8. Students performing on ramp during the “Fashion Show” at Amity University Campus\n\n9. Amity students performing during the event “Amity Music Festival” at Amity University Campus\n\n10. Singer & Music Director Salim Merchant performing at Amity University Campus\n\n11. Varun Dhawan and Alia Bhatt, Bollywood actors at Amity University Campus\n\n12. Ms. Sonal Mansingh, eminent Indian Odissi exponent performing at Amity Campus\n\n13. Mr. Vlado Kreslin, famous Slovenian Folk Singer & Poet performing at Amity University\n\n14. Singer Arijit Singh mesmerizing with his performance during ‘Lets Fly The Flag’ initiative at Amity University\n\n15. Students of Amity who won the Delhi Times Fresh Face Competition - 2011\n\n1. Spiritual Guru, Sri Sri Ravi Shankar talking about spirituality at Amity University Campus\n\n2. Justice A.K. Sikri, Judge - Supreme Court of India addressing the gathering at Amity Campus\n\n3. Padma Shri Shivani Narayan - world renowned Kathak Dancer in conversation with Amity students at ‘Youth Power for Women - Be Change, Bring Change’ conference\n\n4. Renowned Fashion Designer Mr. Sunee Verma on the final day of ‘KREATIN 11’ at Amity University Campus\n\n5. Canadian Celebrity Chef Roger Mooking shares culinary skills with Amity Students during guest lecture at Amity University\n\n6. Tennis Star Sania Mirza during the enthralling “Sounds of Freedom Concert” at Amity Campus\n\n7. Dr. (Mrs.) Kiran Bedi, IPS (Retd) expressing her views on the legal system of the country at Amity University Campus\n\n8. Amity University organised a special guest lecture on the book ‘Wise to Rite’ by Professor Sir Peter Cook, a renowned Architect, Lecturer and Writer\n\n9. Ms. Pinky Anand, Senior Advocate and Addl. Solicitor General of India was felicitated with ‘Amity Woman Achiever Awards’ during the celebrations of ‘International Women’s Day’\n\n10. Ms. Shehnaz Hussain, Chairperson and MD, Shahbaz Group of Companies at “INDIBUSH 2011” held at Amity University Campus\n\n11. Union Minister of State for External Affairs and Ex-Army chief (Retd.) General V K. Singh addressing a session during Amity Mock Parliament\n\n12. Mrs. Aparna Yadav, Brand Ambassador of NGO HARSH Yadav expressing her views in the seminar ‘Be Aware’\n\n13. Dr. Kuldeep Nayar, Author & Eminent Columnist addressing freshers during the Orientation Programme at Amity School of Communication\n\nEvery year Amity Campuses across India participate in SANGATHAN - a month-long mega event which culminates in the Founder’s Day celebrations, observed in honour of Dr. Ashok K. Chauhan, Founder President - Amity.\n\nA perfect mélange of over 100 Amity institutions, 18 Amity schools & pre-schools from 15 states of India as well as students from Amity London, Singapore, New York, California, Dubai & Mauritius campus come to Amity grounds to pay their regards and respect to their Founder President. The unfurling of ‘Sangathan Flag’ marks the beginning of the glittering ceremony followed by an impressive march past by over 5000 students at Amity.\n\nStudents compete in 35 different sports and games including badminton, squash, basketball, volleyball & karate, judo, cricket, chess, swimming, tug of war to clinch the much-coveted trophies.\n\nThe students of various institutions also present a colourful cultural programme depicting the different cultures followed in different states of India.\n\nSPORTS INITIATIVES\nNation building through excellence in sports\n\nAs part of its commitment to nation building through education and other initiatives, Amity has always supported sports, sports events and encouraged sporting talent. Such commitment is reflected in the achievements of its students and alumni such as Ronjan Sodhi, Double Trap Shooting Gold Medallist at the Asiad 2010, Parimarjan Negi, the world’s youngest Chess Grandmaster and Vidur Agarwal, member of the Indian CWG 2010 swimming contingent, among many others.\n\nAmity has also partnered with national and international sporting events, and has established sports academies like the:\n\n- Amity Sports Foundation\n- Amity Sports Scholarships\n- Amity United Football Club\n- Amity Cricket Academy\n- Amity Hockey League\n- Amity Polo & Riding Academy\n- Amity Chess Academy\n- Amity Shooting Club\n- Amity Tennis Academy\n\nOFFICIAL TRAINER OF 22,000 VOLUNTEERS FOR THE XIX COMMONWEALTH GAMES 2010, NEW DELHI\n\nAlso, in its commitment to the advancement of sports and sporting events, Amity was chosen to be the Official Trainer of the XIX Commonwealth Game 2010. Supporting the nation on the world stage, Amity had trained 22,000 volunteers who became flag bearers to India’s biggest ever multi-sport event. Trained by Amity at no cost to the organising committee, these volunteers won the unanimous praise of participating countries, sports persons and CWG officials.\n\nAMITY RIDING & POLO ACADEMY\nRiding towards excellence\n\nThe Amity Riding & Polo Academy provides Amity students and patrons access to state-of-the-art horse riding and equestrian facilities. Bringing together the best breeds and riding arenas, the academy offers introduction, training and practice opportunities for riders at all levels and disciplines, including Dressage, Show Jumping, Grid Work and Cross Country.\n\nACHIEVEMENTS\nThe Amity Riding & Polo Academy has participated and won accolades in numerous Horse Shows and equestrian events including the National Games & the Delhi Horse Show.\n\nAMITY FOOTBALL CLUBS\nDedicated to promote football among Indian youth\n\nWhile football is the most popular sport in 200 countries, Amity has a mission to make it a popular sport in India. The Amity Football Clubs - Amity United Football Club (AUFc) and Indian Nationals Football Club (INFC) is one such initiative of Amity to make football a popular sport among the Indian youth.\n\nFurther, to identify the best football talent from various regions of the country, Amity regularly conducts All India Talent Hunt Contests. Towards this, Amity has identified and adopted many football enthusiast villages, which serves the dual purpose of community development and identifying football talent at the grass root level.\n\nSome of Amity’s initiatives for the Football Clubs include:\n\n- Training at the 110 acre Amity Education Valley in Manesar (Gurgaon)\n- Annual Football Coaching Camps organised for school children in New Delhi-NCR to popularise the sport\n\n• Highly qualified and dedicated coaches\n• Technical support from highly competent team of professionals from the field of Football, Media, Events and Marketing\n• Active participation in national level events like Federation Cup, Durand Cup, Lt. Governor’s Cup Delhi\n\nAMITY POLO CUP\nIndia's only Polo Cup for Charity\n\nAs India’s only Polo Event for charity, Amity Polo Cup is organised by the Amity Riding & Polo Academy every year as part of Amity Group’s nation building initiatives beyond education. Amity, through the Amity Humanity Foundation helps to raise funds for the underprivileged girl children to ensure that they grow up among love and care, apart from instilling the spirit of corporate social responsibility in all its students.\n\nAMITY POLO CUP HIGHLIGHTS\n\n- The Amity Polo Cup attracts the crème de la crème of the society, eminent personalities from all walks of life including intellectuals, celebrities and political leaders.\n- The guest list of the past Amity Polo Cups included Hon’ble Vice President of India, Mr. Hamid Ansari, Maharana of Mewar, Hh Mr. Arvind Singh, Mr. Naveen Jindal, MP, Mr. Shiv Khera, renowned author and many more.\n\nAMITY CHESS ACADEMY\nNurturing young Indian talent to checkmate competition\n\nThe Amity Chess Academy (ACA) has been set up with the aim to provide a platform for the budding chess players to hone their talents and make a mark in the game at national and international levels.\n\nA testimony of ACA’s endeavours towards nurturing young talents in chess, is Parimarjan Negi, an Amity student who went on to become the world’s youngest Grandmaster. Amity not only encouraged the young Parimarjan through Sports Scholarships but also supported his participation in numerous tournaments, at national and international levels.\n\nParimarjan has recently been honoured with the Arjuna Award for excellence in sports at a very young age.\n\nAmity Chess Academy is affiliated to:\n\nAs India’s leading education group, Amity is also committed to nation-building beyond education reflected in the efforts and initiatives of the Amity Humanity Foundation. Established in 1995, the mission of Amity Humanity Foundation is to support and initiate social welfare activities and create possibilities for equitable social development.\n\n**Thrust areas:**\n\n- **Caring for underprivileged girl child - AMITASHA**\n - Providing free education, uniforms, books, meals and healthcare to underprivileged girl child\n\n- **HIV/AIDS Awareness**\n - Awareness and intervention programmes for adolescents, school going children, migrant labour and other high risk behavior groups\n - Mobilisation & capacity building for prevention of HIV/AIDS through Conferences & Workshops\n\n- **Community Development through Women Empowerment-SWAYAM SIDDHA**\n - Development of infrastructural facilities like housing, education, health, surface transport, water and sanitation for proper rural upliftment in 28 villages under Project PURA - Providing Urban Amenities to Rural Areas\n - Employment generation activities for rural population through Project-Panchgaon, such as Masonry, Bamboo Cultivation, Medicinal Plants, etc.\n - Self-Help Groups of rural women are being trained on aspects of confidence building, legal literacy and financial accounting\n\n**OTHER PROJECTS**\n- Rehabilitation of the physically disabled in District Ghaziabad\n- Establishment of a centre in Pushp Vihar, New Delhi for treatment and rehabilitation of physically handicapped\n- Old age homes - programmes aimed at physical and psychological well-being of neglected and institutionalised senior citizens\n\n---\n\n**AMITASHA**\n\nCaring for the underprivileged girl child\n\nA unique project of Amity Humanity Foundation is Amitasha, a chain of schools for the underprivileged girl child that was started in 1999 and is a dream project of Dr. (Mrs.) Amita Chauhan, the Chairperson of Amity International Schools.\n\nOver 1,000 girls in the age group of 5-11 are envisioning a better future through Amitasha wherein their education, nutrition, health & personality development are taken care of. Starting from Nursery, these girls remain with Amitasha till class VII. Students who display extraordinary potential and interest are encouraged to study further at the other Amity institutions. At Amitasha, apart from academics, the girls are also given vocational training so that, tomorrow they have the ability to become economically independent.\n\n**EVENTS ORGANISED IN SUPPORT OF AMITASHA**\n\n- Amity Polo Cup organised in Delhi by Amity in aid of Amitasha\n- Amity Kalkutta Half Marathon organised by Amity Alumni which attracted over 8,000 participants\n- Prof. R.R. Goyal, Director, Amity School of Insurance, Banking & Actuarial Sciences with his participating players during a cricket match. The proceeds of which go to Amitasha\n\n---\n\n**ATULASHA**\n\nCaring for the underprivileged boys\n\nAtulasha educates boys from the economically backward class of the society. It provides free education, uniform, books and stationery to the students and takes care of their health and diet. The school is run in the evening in the Amity International Schools located in Delhi NCR.\n\nPresently, over 500 boys are being provided schooling, right from Nursery to Class VIII. In addition to formal education, the students are also encouraged to pursue their interests in extra-curricular activities so that they can excel in sports and performing arts. The dedicated team at Atulasha is passionate to make a difference in the lives of these bright talents.\n\nscholarships & loans\n\nFinancing for Intellectual Empowerment.\n\nAmity has always been driven by the vision of Dr. Ashok K. Chauhan to develop the next generation of leadership for organisations, communities and society at large. As a part of his vision, the Amity Scholarships were instituted to help those who are brilliant in academics and those who deserve world-class education but don’t have the means.\n\nAt Amity, financial limitations cannot be allowed to restrict career dreams. In view of that, the institution has also tied up with premier banks to offer easy Education Loans to students.\n\nDr. Ashok K. Chauhan, Founder Amity with ‘Dr. Ashok K. Chauhan Scholars 2011 and 100% Scholarship holders’ of the Amity University, Noida Campus\n\nCRORES OF SCHOLARSHIPS AWARDED\n\nOver the years, Amity has awarded scholarships of over Rs. 50 crores to meritorious students.\n\nDiverse Scholarships offered at Amity are:\n\nOn Admission Merit-Scholarship in UG/PG Programme\n– 100% Scholarship to students with 83% agg. in Class XII (Dr. Ashok K. Chauhan Scholarships)\n– 50% Scholarship to students with 90% agg. in Class XII\n\nMerit-Scholarship during the Programme\n30% Scholarship granted from second year onwards for academic excellence\n\nMerit-Cum-Means Scholarship\n50% Scholarship granted to students whose families do not have the means to educate them at world-class Universities\n\nSpecial Scholarships\nGranted to students showing exemplary performance in extra-curricular activities\n\nOther Scholarships\nInstituted grants from Corporates, Institutions, Trusts and Individuals\n\nDisha Oberoi\n93.80% in Class XII\n100% Amity Scholarship in B.Tech. (Biotech.)\n\nNamrata Bhushan\n93.50% in Class XII\n100% Amity Scholarship in B.Tech. (CSE)\n\nShashwat Goel\n93.40% in Class XII\n100% Amity Scholarship in B.Tech. (ECE)\n\nCharvi Syal\n93.60% in Class XII\n100% Amity Scholarship in B.Sc. (H) Medical Biotech\n\n“I started my education at Amity International School and then received a scholarship to pursue B.Tech at Amity University. Currently I have been placed in Wipro Technologies through our on-campus placement system.”\n\nAshima Mathur\nStudent of B.Tech (CS&E)\n\nCORPORATE SCHOLARSHIPS\n\nMr. Michael Kuehner, Head, Nokia-Siemens, awarding scholarships to Amity Telecom students\n\nMr. Michael Kuehner, Head, Nokia-Siemens, awarding scholarships to Amity Telecom students\n\nMs. Anandroop Kaar receiving LG Potential Manager Award from Dr. Ashok K. Choshan, Founder President-Amity\n\n“ Nokia-Siemens Networks scholarships will help students of Amity University to embrace newer opportunities.\n\nMr. Michael Kuehner\nHead, Nokia-Siemens\n\nAbhinav Sharma\n93.20% in Class XII\n100% Amity Scholarship in B.Tech. (CSE)\n\nMehaq Rao\n95.25% in Class XII\n100% Amity Scholarship in BA LLB (H)\n\nLeading Indian & International companies have instituted many scholarships/awards for meritorious students of Amity University.\n\nA few of them are:\n- Nokia Siemens Networks Pvt. Ltd. (NSN)\n- The LG Best Potential Manager Award\n- The Jubilant Organosys Entrepreneurial Excellence Award\n- Max New York Life Award For Best All Round Student\n- EMC Technopreneurial Excellence Award\n\nEDUCATION LOANS\nFinancing Dreams that will Shape Careers Tomorrow\n\nMost banks in the country offer attractive education loans for students. Amity has tied up with premier banks like Oriental Bank of Commerce, Allahabad Bank, State Bank of India & HDFC Bank to offer the following benefits:\n\n• Provision of loans for all courses at Amity\n• Inclusion of tuition fees, books cost, hostel fees, and even airfare for courses abroad\n• Concessional rates of interest\n• Speedy disposal of loans\n• Availability of loans across all campuses\n\n“We act as a bridge to help students cross over to their dream career through easy loans facility and on-campus processing.\n\nK.C. Rikhi”\n\nGlobally Benchmarked.\n\nAmity benchmarks only against the best universities around the world. Amity’s faculty and senior team members travel all over the globe to imbibe the best practices, so that students get the best environment to pursue their dreams.\n\nA multitude of budding engineers, lawyers, scientists, journalists... study in 430 classrooms at any point of time.\n\nAll classrooms at Amity campuses are spacious and air-conditioned & most of them are amphitheatre style. They provide the most conducive atmosphere for dynamic and focused discussions.\n\nClassrooms at Amity have been designed to bring together analysis with action and are augmented with integrated audio-visual teaching aids for lectures, presentations etc.\n\nSYNDICATE ROOMS\nForums for Cultivating Team Spirit\n\n300 students can brainstorm at the same time in 50 Syndicate Rooms.\n\nAbility to work as a team is a critical skill in the corporate workplace which Amity students learn to master in Syndicate Rooms. The Syndicate Rooms provide the perfect setting to acquire team skills through exercises like brain-storming sessions, group discussions, role-plays etc.\n\ne-LEARNING STUDIO\nAccessing Knowledge Online\n\ne-Learning Studios are the focal point for conducting Amity University’s various online courses through distance learning. Live Virtual Classes are held wherein faculty members conduct tutorials using various teaching aids including PPTs, graphics, etc.\n\nAmity also offers tele-education in all 53 Pan-African nations through a Govt. of India Project.\n\nAUDITORIUMS\nA Platform for Interface\n\nState-of-the-art auditoriums with a combined seating capacity of over 3,500 act as a common ground for students, faculty and corporate personalities for regular interfaces, conferences and other events.\n\nThese auditoriums serve to bring students face to face with global thought leaders, academic gurus and corporate heads to share their experiences.\n\nLABORATORIES\nThe Breeding Ground for Path-Breaking Ideas\n\nAmity has over 300 state-of-the-art labs where students experiment and bring to practice what they have learnt in theory.\n\nBIOTECHNOLOGY\n65 Labs to Explore New Frontiers in Biotechnology\n\nThe specialised biotechnology laboratories are equipped to conduct advanced practical and research work.\n\nSome specialised laboratories include:\n\n- Molecular Biology\n- Recombinant DNA Technology\n- Microbiology\n- Animal Biotechnology\n- Animal Cell Culture\n- Plant Biotechnology equipped with Plant Tissue Culture facility\n- Immunology\n- Genomics\n- Proteomics\n- Bio-process Technology\n- Downstream Processing\n- Fermentation Biology\n- Toxicology\n- Microbial Technology\n- Biochemistry\n\nBIOTECHNOLOGY\nHi-Tech Research Equipment\n\n- Gel Documentation System\n- CO₂ Incubator\n- -86 °C Refrigerators\n- ELISA Readers\n- High Speed Centrifuges\n- Tissue Sonicator\n- Tissue Homogenisor\n- Peltier Regulated UV/VIS Spectrophotometer\n- Gradient Thermal Cyclers\n- Type-I Water Systems\n- Inverted Phase Contrast Microscope\n- Lyophilizer\n- GLC\n- Ice Flaking Machine\n- UV/VIS Spectrophotometers (single and double beam)\n- Cold Room\n\nBIOTECHNOLOGY\nHi-Tech Research Equipment\n\n• Refrigerated Centrifuge\n• B.O.D. Incubator\n• Metabolic Shakers\n• Electrophoresis Systems (vertical and horizontal)\n• Shaker Water Baths\n• Media Filtration Systems\n• Plant Growth Chambers\n• Fermentor\n• Muffle Furnace\n• Fraction Collectors\n• Blotting Systems\n\nIt’s not just the hi-tech engineering labs that Amity University has, but the emphasis to acquire latest equipment that’s made it India’s top ranked pvt. engineering institute.\n\nElectronics & Communication Engineering\n\n- Electrical Science Lab\n- Analog Electronics Lab\n- Circuits & Systems Lab\n- Communication Systems Lab\n- Analog & Digital Circuits Lab\n- PCB Designing Lab\n- Digital Circuits & Systems Lab - II\n- Microprocessor Systems Lab\n- Telecommunication Networks Lab\n- Control Systems Lab\n- VLSI Design Lab\n- Digital Signal Processing Lab\n- Microwave Engineering Lab\n- MATLAB Lab\n- Radar & Satellite Communications Lab\n- Data Communications & Networking Lab\n- ORCAD Lab\n- Analog CMOS IC Design Lab\n- Optical Communications Lab\n- Digital Image Processing Lab\n- RTOS Programming Lab\n- Verilog Programming Lab\n- Advanced Networking Lab\n- Advanced Digital Communication Lab\n- Audio Signal Processing Lab\n\nLab Using Labview Software\nAdvanced Microwave Engineering Lab\nSemiconductor Device Physics & Modeling Lab (using SILVACO)\nAntenna Technology Lab\nCDMA Lab using QuaNet\nAdvanced Image Processing Lab\nAdvanced VHDL Programming Lab\nSystem Verilog Programming Lab\nExperiments using Cadence (VertuSo) Lab\nFPGA Programming Lab\nLayout Design Lab\nReal Time Embedded Lab\nEmbedded Microcontrollers Lab\nRobotics Lab\nArtificial Intelligence & Fuzzy Systems Lab\nEmbedded System Workshop Lab\nAdvanced Low Power VLSI Design Lab\nAdvanced Digital Signal Processing Lab\nAdvanced Computer Networks Lab\nAdvanced Optical Communication Lab\nAdvanced Microprocessor Engineering & Application Lab\nAdvanced Embedded System Design Lab\n\nENGINEERING\nPursuing Success in Hi-tech Labs\n\nMechanical & Electrical Machine\n\n- Mechatronics Lab\n- Computer Aided Manufacturing Lab\n- Chassis Component Lab\n- Engine Component Lab\n- Elements of Mechanical Engineering\n- Mechanics of Solid Lab\n- Manufacturing Machine lab\n- Metal Cutting & Tool Design Lab\n- Fluid Mechanics Lab\n- Fluid Power System Lab\n- Automotive Lab\n- IC Engine Lab\n- Project Lab\n- Engg. Graphics Lab - I\n- Engg. Graphics Lab - II\n- Machine Drawing Lab\n- Refrigeration and Air Conditioning Lab\n- Metrology Lab\n- Kinematics and Dynamics of Machine Lab\n- Engrg. Mechanics Lab -I\n- Engrg. Mechanics Lab-II\n- Computer Aided Drafting & Design Lab\n\nENGINEERING\nTowards New Horizons in Technology\n\nComputer Science Engineering\n\n- Java Programming Lab / System Programming Lab\n- Database Management System\n- UNIX Programming Lab\n- Software Engg. Lab\n- Object Oriented Programming Using C++\n- Analysis & Design of Algorithm/Al Lab\n- Compiler Construction Lab\n- Data Structure / C Lab\n- Computer Graphics Lab\n- Advanced Networking Lab\n- Data Communication Networks Lab\n- Computer Architecture Lab\n\nElectronics & Electrical Engineering\n\n- Machine Lab\n- Power Electronics lab\n- Transducer Lab\n- Telemetry Lab\n- Analog integrated Circuits Lab\n- Instrumentation lab\n- Simulation Labs MiPower\n- DigiSilent\n- Power System Lab\n\nENGINEERING\nTowards New Horizons in Technology\n\nInformation Technology\n- Digital Image Processing Lab\n- Networking and Software Testing Lab\n- Asp. Net Lab\n- Advanced DBMS Lab\n- Artificial Intelligence Lab\n- Software Testing Lab\n\nCivil Engineering\n- Civil Engineering Drawing Lab\n- Surveying Lab\n- Geotechnical Engineering Lab\n- Material Testing Lab\n- Transportation Engineering Lab\n- Geology Lab\n\nAEROSPACE ENGINEERING\nScaling New Heights in Multiple Aerospace Labs\n\nStudents of Aerospace Engineering fly high in the world of aviation through:\n\n- Aerodynamics Lab\n- Propulsion Lab\n- Aircraft Structures Lab\n- Vibration Lab\n\nWhat better way to learn the mechanism of a jet engine than to get exposed to it first hand!\n\nNANOTECHNOLOGY\nDiscovering Possibilities in World-Class Labs\n\nWe are working on delivery of nano particles to cancerous tumours. These sophisticated nanotech labs give me the right impetus for my research.\n\nStudents of Nanotechnology take a quantum leap in learning at:\n\n• Nano Electronics lab\n• Nano Chemistry lab\n• Nano Polymer Lab\n• Nano Biotechnology Lab\n• Instrumentation for Nano Material Lab\n\nFORENSIC SCIENCE\nDeveloping Competencies to Solve Crime\n\nForensic Science students learn how to handle crime-scene investigations, analyse fingerprints and questioned documents, analyse different types of drugs, pesticides, insecticides and various plant poisons.\n\nThey also analyse various body fluids like blood, saliva, sweat, semen, vomit etc. in world-class laboratories. Forensic photography is also one of the techniques that the students learn and understand.\n\nThe infrastructure at Amity School of Communication is designed to offer students the right exposure to the world of media and mass communication.\n\n- **News & Virtual High Definition (HD) Double Bright Studios** spread over 4300 sq. ft. with 2 live sets and capacity for 150-strong audience\n\n- **Newsroom** spread over 3600 sq. ft. with the latest WASP 3D Graphics Software with 16 Editing Bays, 32” monitors & Video Monitor Walls\n\n- **Most hi-tech media equipment including Sony HD Cameras** with Tele-prompters, Panasonic Switchers, Harris Audio & Video Monitoring\n\n- **Amity’s own Community Radio Station (Radio Amity 98.8FM)** with On-Air Studio, Production & VO Rooms\n\n---\n\nMy students get the latest facilities to train on so that they are ready for on-the-job challenges.\n\nProf. (Col.) R.K. Dargan \nAmity School of Communication\n\nFrom learning fabric making on handloom to working on latest machines, my students get the very best facilities to make their mark in the fashion world.\n\nDr. Pradeep Joshi\nDirector, Amity School of Fashion Technology,\nAmity School of Fine Arts\n\nPh.D. from IIT, Delhi\nAlumnus of Fashion Institute of Technology (F.I.T.), USA\nFounder Director of Institute of Apparel Management\n\nAmity School of Fashion Technology brings out the in-born artistic traits of students in their Garment Manufacturing & Textile Labs enabling them to become competent professionals of the fashion industry.\n\nFINE ARTS\nSharpening Creative Instincts\n\nAmity School of Fine Arts provides the right support to individuals interested in the advanced study of the arts, through their specialised design labs like the:\n\n• 3D Animation Lab\n• MAYA Software Lab\n\nThe experience of working with the latest softwares has helped me to master the intricacies of architectural design.\n\nARCHITECTURE\nBuilding a Promising Future\n\nThe Materials Lab at Amity is the cornerstone of designing activities of all architecture students.\n\nAlong with a collection of many building and design material samples, the Materials Lab also has vast resources on material composition, manufacturing processes, fabrication and emerging materials.\n\nIndia is a land where the Atithi (guest) is treated as ‘God’, and service is the motto of life. Building on this philosophy, Amity School of Hospitality has specialised labs to train students and inculcating in them the etiquettes of hospitality.\n\nGlobal recipes, live kitchens, training with master chefs, Amity has the right ingredients to spice up my career.\n\nTechnology has transformed education at Amity. All Amity locations are connected to Amity University Campus, Noida over MPLS VPN Network, enabling us to transmit Live Class Rooms to all locations through eLearning Solution and eCampus. High throughput Wi-Fi Access Points with 802.11n and 802.11ac helps students to browse Internet far education from any part of the Campus. 1 Gbps internet bandwidth from multiple ISP’s give high speed bandwidth to students.\n\nThe next generation IT infrastructure at Amity University is delivered through:\n\n- Campus covered with high throughput indoor and outdoor Wi-Fi access points\n- Smart cameras surveillance with IP cameras through the campus\n- Lecture recording and live transmission of class lectures and events over intranet and internet\n- 1 Gbps Internet Bandwidth from multiple ISP’s to maintain redundancy and hassle free internet connectivity\n- Consolidation of 60 Servers on virtual platform using VMware and HP Blades servers\n- 28 TB of useable EMC NAS/SAN storage with fibre channel connectivity\n- One network across the country. All Amity locations are connected through redundant MPLS VPN network using 100 Mbps throughput at hub location to access ‘intranet/internet resources’ under uniform network policy\n- Overseas campuses of Amity also connected to hub location via secured VPN network\n- Enterprise class Cisco Catalyst 6500 Series high performance modular switches with Hot Standby Router Protocol (HSRP) for load balancing and high availability\n- Enterprise level Next Generation firewall appliances in redundant mode with fully integrated intrusion prevention (IPS), application control, antivirus, web filter, email filter and traffic shaper\n- MAC address and user login based dual authentication for all Wi-Friers with tracking and monitoring\n- Bio-Metric machines used over the intranet for employee attendance connected to server at hub location\n- Digital Signage System introduced to distribute and inform latest information instantly\n\nAmity Campus is a ‘Smart Campus’ with Live Classrooms, 1 Gbps Internet Bandwidth, IP Camera Surveillance & Access Control.\n\nDr. J.S. Sodhi\nCertified Security Compliance Specialist (CSCS)\nAsst. Vice President, IT\n\nThe libraries at Amity are more like Integrated Knowledge Resource Centres that are stocked with over 1.25 lac books in total; periodicals, references, national and international journals, covering all aspects of academic studies and research materials.\n\nCENTRAL LIBRARY\nSPREAD OVER 56,000 SQ. FT.\n\nAmity Library has over 17,000 online journals. Some of the online resources Amity students have access to are Ebsco Host, UGC-Infonet, INDEST-AICTE, IS1 and Delnet. All Amity students are members of Amizone-Amity Intranet Zone which allows them easy access to these journals & papers.\n\n**SOME OF THE POPULAR ONLINE RESOURCES AMITY STUDENTS HAVE ACCESS TO**\n\n- Cambridge University Press: Covering humanities, social studies, archaeology, anthropology, nutrition, religion, biomedical sciences, law, physical sciences and medical sciences\n- Nature Journal: Covering all multi-disciplinary journals\n- Oxford University Press: Covering life sciences, mathematics, physical sciences, medicine, social sciences, humanities and law\n- Portland Press: Covering biochemical - cellular and molecular life sciences\n- Springer: Covering architecture & design, astronomy, biomedical sciences, business & management, chemistry, computer science, economics, education, engineering, environmental sciences, geography, geo sciences, humanities, law, life sciences, linguistics, materials, mathematics, medicine, philosophy, physics, psychology, public health, social sciences and statistics\n- American Institute of Physics: Covering physics and astronomy\n- Institute of Physics: Covering bioinspiration, biometrics, biomedical materials, astronomy, astrophysics, chemical physics and theoretical physics\n- Royal Society of Chemistry: Covering chemistry and the benefits of chemical science\n- Taylor and Francis: Covering all multi-disciplinary journals\n- IEEE / IEE Electronic Library: Covering all multi-disciplinary journals\n- ACM Digital Library: Covering all multi-disciplinary journals\n- Ebsco Host: Covering management\n- IS1: Covering magazines, daily newspaper and newswires\n- Delnet: Covering bibliographic & catalogue for 30 lacs books and journals\n\nFor full list, please visit: www.amity.edu/amizone\n\nAmity’s world class shooting range honed my latent talent and helped me win a silver medal in UP State Shooting Championship.\n\nAnindita Singh \nAmity Engineering student\n\nSPORTS FACILITIES \nA Winner's Playground to Nurture Champions\n\nThrough its excellent sports facilities, Amity offers opportunities to students for regular work-out, lifestyle management and interaction.\n\nSome of the many sports facilities at Amity are:\n\n- Olympic Size Swimming Pool\n- 20 Lane Shooting Range\n- Horse Riding Academy\n- State-of-the-art Gymnasium\n- Tennis Courts\n- Basket Ball Courts\n- Badminton Courts\n- Squash Courts\n- Volleyball Courts\n- Cricket Ground\n- Football Ground\n\nAt Amity, sports form one of the important aspects of a student’s development. From increasing concentration levels and working as a team to inculcating a winning spirit; sports help students build a strong character and a well rounded personality.\n\nPLAYING ARENAS\nCultivating Team Spirit\n\nA view of the 15 acre sports complex at Amity Campus\n\nVolleyball court\n\nGymnasium equipped with most modern fitness machines\n\nSquash Courts built to international standards\n\nHOSTELS\nHome Away from Home for 15,000 Students\n\nAmity offers comprehensive hostel facilities for boys and girls separately within the University Campus.\n\nCaring wardens and a vigilant security ensures a pleasant stay allowing students to focus on academics. The air-conditioned residential apartment suites consist of 4 single rooms with an attached bathroom and sitting lounge equipped with sofa, cable TV and refrigerator. Normal Non-A/C hostel rooms are also available.\n\nWe were staying in a hostel for the first time, but the caring wardens, homely food and the friendly atmosphere made us feel so much at home.\n\nON-CAMPUS HOSTEL\n\nThe life in hostels enables students to spend ample time in the institutes, utilise library and other facilities to ensure they develop academically and acquire the necessary skills that can be obtained only through experience.\n\nIn addition, the hostel life allows students to interact with their colleagues and peers, make friends, and develop into good human beings capable of independent judgement and competent in handling the day-to-day pressures of life. Some students may leave their homes for the first time but they can be reassured, these hostels would eventually turn out to be their home away from home.\n\nON-CAMPUS CAFETERIA & FOOD COURTS\nTo Suit Every Taste\n\n“Health food, popular food courts, multi-cuisine eateries...perfect for the foodie in me!”\n\nHealthy nutrition is needed for all-round performance. Hence, all cafeterias and hostel mess have menus that are designed by a team of professional dieticians, offering nutritious and wholesome food to ensure a well-balanced diet.\n\nAmity also has a multi-mix of Food Courts with outlets like Café Coffee Day, Dosa Plaza, Subway, Domino’s, Bikano and Mamma Mia within the Campus.\n\nBesides this, Amity has its own business & finance community café called Wall Street.\n\nThe exclusive gaming arena for Amitians to engage in rounds of Bowling, Pool, Snooker, Xbox, PlayStation, Bumper Cars, Foosball, and more. It is undoubtedly the perfect place to unwind after a hard day of learning.\n\nDEPARTMENTAL STORE\nFulfilling Daily Usage Needs\n\nInspite of big malls nearby, I like to stock daily necessities from the departmental store within the Campus.\n\nON-CAMPUS TEKSONS BOOKSHOP\n\nBooks, greeting cards, stationery... I get everything at the popular Bookshop on Campus.\n\nBANK & ATM\nConvenience of Banking\n\nAmity has banks and ATMs operating within the Campus.\n\nOn-Campus\n\nTHE AMITY STORE\nCollectible Souvenir Shop\n\nThe Amity Store is the one-stop shop for exclusive Amity merchandise like Amity branded T-shirts, Sweatshirts, Caps, Mugs and much more.\n\nPERSONAL CARE\nEnhancing Appearance & Building Confidence\n\nWhy wait for Sundays or holidays for personal grooming? Amity has the world famous L’Oreal Salon on Campus offering world-class hair & skin care solutions.\n\nOPEN & UNDERGROUND PARKING FACILITIES\n\nAmity's stringent security measures have given us the confidence that our daughter can stay in the hostel without any security worries.\n\nMs. Rekha & Mr. Ajay Batra\nParents of Tanushi,\nBachelor of Journalism-Mass Comm. student\n\nThe Campus has a stringent security through smart cards, biometric readers, latest IP cameras, fire warning systems, 24-hour guards and patrolling gypsys.\n\nStudents carry a chip enabled smart card which not only allows access into the Campus, but can also be used as an e-wallet in the cafeteria, book shops etc.\n\nAmity University has always had a 'No Ragging' environment. Anyone found guilty of ragging and/or abetting ragging is punished as per law.\n\nMembers of the specially trained Amity Dog Squad\n\nLAUNDRY\nConvenience of Home\n\nOn-Campus laundry service from the famous London House\n\nFinding time to wash laundry can sometimes be a challenge. To make life easier for students, Amity offers free laundry service. All clothes are washed in world-class washing machines and ironed.\n\nMEDICAL FACILITIES\nOn-Campus Healthcare\n\nTo ensure students’ well-being, Amity provides great medical facilities with a full time team of doctors available 24x7 within the Campus. Stretchers, wheel chairs and other equipment are on constant standby for any eventuality. Ambulance facility is also available in the Campus in case of any emergency.\n\nThe Feeling of Success\n\nArmed with the right attitude and a visionary outlook, many Amity students are scaling new frontiers of excellence in their career.\n\nMany students of Amity have risen to enviable positions in top companies and are fitting examples of Amity’s emphasis on academic brilliance and personality development.\n\nON-CAMPUS PLACEMENTS\nThe Confidence of Being Among the Best\n\nLeading companies across various disciplines are a regular part of campus placements at Amity. The University’s remarkable success in recruitment finds its roots in the efforts of a dedicated 60-member team at the Amity Corporate Resource Centre, which constantly interacts with the corporate world and helps prepare students for their careers.\n\nFurther more, industry-specific Career Advisory Boards consisting of leading members of the corporate world, guide students on creating a career plan, short-listing appropriate employers, setting realistic career goals, and creating a planned time table on professional development for the future.\n\nOver 27,000 on-campus placements in the last years\n\nOutstanding Career Opportunities\n\nAmity’s placement record follows a tradition of excellence wherein, over 60,000 Amity alumni have successfully gone on to work in top organisations worldwide. An achievement whose testimony lies in over 500 top corporates including Fortune 500 employers, having visited the Campus for recruitments, with students being placed across all sectors like Manufacturing, Finance, Banking, Telecom, Infotech, Pharma among others.\n\nSuch a distinction not only endorses Amity’s image as a preferred destination for recruitment, but also as one of India’s leading education groups.\n\nI really appreciate Amity’s untiring efforts for getting my son, a student of B.Tech. (ECE), 2011 Batch, of Amity University placed in Accenture.\n\nI am also proud to mention that my elder son, student of B.Tech. 2007 Batch, who is now in IBM, Pune, was also placed early in the 3rd year of his programme in two MNCs due to the sincere efforts and guidance of Amity’s dedicated placement team.\n\nS.P. Wadhwa\nParent\n\nTop Employers who Recruit from the Amity Campus\n\n- ABN Amro\n- ACC\n- Accenture\n- Adobe Systems\n- Alcatel\n- American Express\n- Amway India\n- Apollo Tyres\n- AT&T\n- Aviva Life\n- Bajaj Allianz\n- Bank of America\n- Bennett Coleman & Co.\n- Bharti Enterprises\n- Birla Sunlife\n- Blue Star\n- BRP Paribas\n- British Airways\n- Business Standard\n- Capital IQ\n- Canon India\n- Citi\n- Citibank\n- Citicorp\n- Coca-Cola\n- CSC\n- Cummins\n- Dabur\n- Dell\n- DLF\n- DRDO\n- E*Trade Merrill Lynch\n- Ernst & Young\n- EMC\n- Ericsson\n- ESPN Sports\n- FCB Group\n- FCB Ulka\n- Feeders Lloyd\n- Fiserv\n- Fortis-Lay India\n- GE Capital\n- GE Countrywide\n- Gillette India\n- ITC\n- ITC Infotech\n- Geoffrey Philips India\n- Goodyear India\n- Google\n- Grand Hyatt Hotel\n- Grafin Industries\n- L’Oreal\n- HCL Comnet\n- HCL Group\n- HCL Technologies\n- HDFC Bank\n- Hewitt\n- Hewlett Packard\n- Hindustan Times\n- Holiday Inn Worldwide\n- HSBC\n- HCL Software Systems\n- Huawei\n- IBM\n- ICICI Bank\n- IndusInd Bank\n- Impetus\n- Indian Army\n- Indian Express\n- Indian Navy\n- Infosys Technologies\n- ISRO\n- ITC Hotels\n- J&J\n- Johnson & Johnson\n- JWJ\n- Kimberly Clark\n- LG Electronics\n- L’Oreal\n- Lowe\n- Lupin Labs\n- Luxottica\n- Manulife New York Life Insurance\n- McCain Erickson\n- McKinsey & Co.\n- Mentor Graphics\n- Mercedes Benz\n- Microsoft\n- Microsoft Corporation\n- Morgan Stanley\n- Motherson\n- Motorola\n- Mphasis\n- Nestle\n- NIC\n- NIIT\n- Nokia\n- Novartis Siemens Networks\n- NTPC\n- Ogilvy & Mather\n- Orange\n- Pentatlon Retail\n- Pirelli India\n- PepsiCo\n- Philips India\n- Q A InfoTech\n- Ranbaxy\n- Raymond Synthetics\n- Rediffusion DYR\n- Reliance Industries\n- Reliance Telecom\n- Royal Sundaram Finance\n- Saatchi & Saatchi\n- Samsung India\n- SBI Investment\n- SBI Life\n- Scotia Bank\n- Siemens\n- Sony India\n- Standard Chartered Bank\n- Star India\n- SunEdison Clayton\n- Taj Hotel\n- Tata AIG Life\n- Tata Chemicals\n- Tata Power\n- TCS\n- Tokio\n- Times of India\n- TVS Motors\n- UTI Bank\n- Wipro\n- Wipro\n- Wockhardt\n- Wipro Application\n- Xears India\n\nFor full list, visit: www.amity.edu/placement\n\nFew of the Fortune 500 Employers who recruit from Amity\n\nSome Top Global Universities where Amity students are pursuing Higher Studies\n\nSome Govt. & Public Sector Organisations where Amity students have been placed\n\nStanding at the threshold of a world of opportunities, Convocation Day is a milestone in every Amitian’s journey towards excellence. A defining moment in the life of all students, Convocation Day arrives with the knowledge that the journey of excellence begun at Amity will continue with them for life.\n\nOn this momentous day, Amitians from various parts of the world congregate alongside family and friends to receive their degrees at the Convocation Ceremony.\n\nAmity University has conferred Hon’r Doctorate degrees on eminent personalities from different walks of life. Shown here are: Dr. K. Radhakrishnan - Chairman, ISRO & Space Commission & Secretary, Deptt. of Space, Govt. of India • Ms. Shobhana Bhartia - Founder & Chairperson, Media Matters For Democracy & CEO, HT Media Ltd. • Dr. Ratan Kumar Sinha - Chairman, National Science Academy & Secretary, Department of Science & Technology, Govt. of India • Mr. Ravi Kanburawala - Sr. Advisor, Tata Consultancy Services Ltd., Mumbai • Dr. K. Srinivasan - Former Chairman, ISRO & Former Member of Planning Commission, Govt. of India • Mr. Mangu Singh - Managing Director, Delhi Metro Rail Corporation Ltd.\n\nAt Amity University, students build a lifelong network of friends with over 60,000 alumni all over the world—top lawyers, engineers, architects, management, IT and advertising professionals... highly talented students who are selected out of over 1,50,000 applications received by Amity every year.\n\nBonded by the experience of attending a world-class university, Amity alumni have a very active network and frequently reach out to each other.\n\n---\n\nTwo years at Amity Business School were undoubtedly one of the best years of my life. When I look back now, I realize how Amity helped me to shape my personality, infused self-confidence and made me ready to face the professional world.\n\nAshim Das Mathur \nHead of Marketing \nDolby Laboratories, India\n\nAmity has given me a rock solid foundation in marketing, the right start both in terms of academics, passion in the subject and above all the confidence in taking the best decisions in the corporate world...I am proud to be an Amitian!\n\nAamisha Sethi \nDirector Brand Marketing, APAC \nResearch in Motion (BlackBerry)\n\nThe two years I spent in Amity inspired me to persevere and never give up on anything irrespective of how difficult it might seem. The practical lessons learnt while working in CRC were instrumental in building my career.\n\nGaurav Kulkarni \nEquity Head – North \nMorgan Stanley\n\nMy tenure at Amity was a wonderful experience. The case studies helped me develop my analytical abilities. The industry exposure, mentoring opportunities and extra-curricular activities helped me develop as a well-rounded individual. But most importantly, it is here that I learn to be humble and humane. Proud to be an Amitian!\n\nAnkit Saharwal \nInformation Security Manager, \nIndia Nokia Corporation\n\nPeople told me that one needs a North American B-school degree to get a job here. But Amity’s MBA was very well recognized and I got myself a job at Sony Pictures Entertainment, recession not with standing.\n\nSmita Sharma \nSony Pictures, Canada\n\nWorking with HSBC, the brand Amity really gives me recognition. Wherever I go and say ‘Hey, I am an Amitian’, I really get recognised.\n\nManu Sharma \nVice President, HSBC"}}},{"rowIdx":204883,"cells":{"text":{"kind":"string","value":"Read Book Clothesline Clues To Jobs People Do\n\nWhen people should go to the books stores, search foundation by shop, shelf by shelf, it is in point of fact problematic. 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A mail carrier's uniform, the artist's brushes, and the chef's apron all hang from the clothesline. Then, keep listening to learn which professionals wear and use the special gear in the jobs they do.\n\nClothesline Clues To Jobs People Do WorkClothesline Clues to Jobs People Do / Read Aloud Clothesline Clues to Jobs People Do —by Kathryn Heling and Deborah Hembrook [Read Aloud] Clothesline Clues to Jobs People Do —Clotheslines Clues to Jobs People Do —| Kids Books Read Aloud | KIP TV — #clotheslineclues #jobs Clothesline Clues to Jobs People Do Clothesline Clues to Jobs People Do Read-Aloud Clothesline Clues To Jobs People Do\n\nClothesline Clues and the Jobs People Do Kidco Storytime Online - Clothesline Clues to Jobs People Do Miss Laurie's Stories- Clothesline Clues to Jobs People Do My Community, A Children's Book by Raven Howell | RWYK Certified Great Read Thank-You, Heroes ABC of jobs People Do by-Roger Piddy Read-Aloud: My Community 1. Richard Scarry's What do people do all day (Unabridged Version)—Intro part Story Time with Miss Katrina—Go-Go-Go-Stop! Richard Scarry's WHAT DO PEOPLE DO ALL DAY (1968) Random House Read Aloud of Whose Hands Are These? Community Helpers and their work places\n\nWhose Tools Are These\n\n\"Clothesline Clues to Jobs People Do\" Read Aloud Clothesline Clues to Jobs People do Ms. Ana—Clothesline Clues to Jobs People do (Storytime) Clothesline Clues to Jobs People Do 3/25/20 - Ms. Sweeney Reads Clothesline Clues to Jobs People Do Clothesline Clues to Jobs People Do Clothesline Clues to Jobs People Do Clothesline Clues To Jobs People\n\n\"The clothes and special gear associated with certain professions appear on and around seven clotheslines. The coauthor is Deborah Hembrook.\"Clothesline Clues t...\n\nClothesline Clues to Jobs People Do / Read Aloud - YouTube Buy Clothesline Clues to Jobs People Do Reprint by Kathryn Heling (ISBN: 9781580892520) from Amazon's Book Store. Everyday low prices and free delivery on eligible orders. Clothesline Clues to Jobs People Do: Amazon.co.uk: Kathryn Heling: 9781580892520: Books\n\nClothesline Clues to Jobs People Do: Amazon.co.uk: Kathryn ...\n\nShort rhyming text and clothing clues hung up on the clothesline, encourage the kids to guess person's job. Many of the roles go against traditional stereotypes. For example, the carpenter, mail person, fire fighter, etc are women.\n\nClothesline Clues to Jobs People Do by Kathryn Heling Clothesline Clues to Jobs People Do eBook: Heling, Kathryn, Hembrook, Deborah, Davies, Andy Robert: Amazon.co.uk: Kindle Store\n\nClothesline Clues to Jobs People Do eBook: Heling, Kathryn ... About Clothesline Clues to Jobs People Do. Who wears what to work? The clues in each lively verse can be spotted hanging from the clotheslines. A mail carrier's uniform, the artist's brushes, and the chef's apron all hang from the clothesline. Then turn the page to learn which professionals wear and use the special gear in the jobs they do.\n\nClothesline Clues to Jobs People Do by\n\nKathryn Heling ...\n\nWatch the video on the read aloud to \"Clothesline Clues to Jobs People Do\". 2. Then, make a list of 5 jobs you heard in the story. Community Helpers Read Aloud: Clothesline Clues to Jobs People Do — Classroom Activity by Mary Sosman —\n\nCommunity Helpers Read Aloud: Clothesline Clues to Jobs ...\n\nClothesline Clues to Jobs People Do is a great book about community helpers written by Kathryn Heling and Deborah Hembrook. On each page of this picture book, a clothesline features clothes and tools used by a community helper and then reveals a that person and his/her job!\n\nClothesline Clues To Jobs People Do Worksheets & Teaching ...\n\nThrough lively, accessible verse, readers identify recognizable careers that are fundamental to most communities. Look on and below seven clotheslines and spot colorful items, including the mail carrier’s uniform, the artist’s brushes, and the chef’s apron.\n\nClothesline Clues to Jobs People Do by\n\nKathryn Heling ...\n\nWho wears what to work? The clues in each lively verse can be spotted hanging from the clotheslines. A mail carrier’s uniform, the artist’s brushes, and the chef’s apron all hang from the clothesline. Then turn the page to learn which professionals wear and use the special gear in the jobs they do.\n\nClothesline Clues to Jobs People Do: Heling, Kathryn ...\n\nThe clues in each lively verse can be spotted hanging from the clotheslines. A mail carrier’s uniform, the artist’s brushes, and the chef’s apron all hang from the clothesline. Then turn the page to learn which professionals wear and use the special gear in the jobs they...\n\nClothesline Clues to Jobs People Do (Paperback) - Walmart ...\n\nThe clues in each lively verse can be spotted hanging from the clotheslines. A mail carrier’s uniform, the artist’s brushes, and the chef’s apron all hang from the clothesline. Then turn the page to learn which professionals wear and use the special gear in the jobs they do....\n\nClothesline Clues to Jobs People Do on Apple Books\n\nClothesline clues to jobs people do This edition published in 2012 by Charlesbridge in Watertown, MA.\n\nClothesline clues to jobs people do (2012 edition) | Open ...\n\nClothesline Clues to Jobs People Do: Heling, Kathryn, Hembrook, Deborah, Davies, Andy Robert: Amazon.sg: Books\n\nClothesline Clues to Jobs People Do: Heling, Kathryn ...\n\nThe clues in each lively verse can be pictured hanging from clotheslines. A mail carrier’s uniform, the artist’s brushes, and the chef’s apron all hang from the clothesline. Then, keep listening to learn which professionals wear and use the special gear in the jobs they do.\n\nClothesline Clues to Jobs People Do (Audible Audio Edition) ...\n\nClothesline Clues To The Jobs People Do Use these paper doll images to make this story come to life. You can laminate, trace them onto milk filters to use for a community helper lesson.\n\nClothesline Clues To The Jobs People Do - Storytiming\n\nAmazon.in - Buy Clothesline Clues to Jobs People Do book online at best prices in India on Amazon.in. Read Clothesline Clues to Jobs People Do book reviews & author details and more at Amazon.in. Free delivery on qualified orders.\n\nBuy Clothesline Clues to Jobs People Do Book Online at Low ...\n\nClothesline Clues to Jobs People Do - Paperback By Heling, Kathryn - VERY GOOD. $7.55. Free shipping . Clothesline Clues to Sports People Play Kathryn Heling (Hardcover) FREE ship $35. $8.99. shipping: + $3.49 shipping . Clothesline Clues to the First Day of School, School And Library by Heling, K...\n\nClothesline Clues To Jobs People Do | eBay\n\nGet in the game and use clues on the clotheslines to identify a slew of sports. Catchy rhymes and visual cues introduce young readers to sports in this companion to Clothesline Clues to Jobs People Do. The clues in each lively verse can be spotted hanging from the clotheslines. What athlete wears those items?\n\nClothesline Clues to Jobs People Do on Apple Books\n\nClothesline clues to jobs people do This edition published in 2012 by Charlesbridge in Watertown, MA.\n\nBuy Clothesline Clues to Jobs People Do Book Online at Low ...\n\nBuy Clothesline Clues to Jobs People Do Reprint by Kathryn Heling (ISBN: 9781580892520) from Amazon's Book Store. Everyday low prices and free delivery on eligible orders. Clothesline Clues to Jobs People Do: Amazon.co.uk: Kathryn Heling: 9781580892520: Books\n\nThe clues in each lively verse can be spotted hanging from the clotheslines. A mail carrier's uniform, the artist's brushes, and the chef's apron all hang from the clothesline. Then turn the page to learn which professionals wear and use the special gear in the jobs they do.\n\nClothesline Clues to Jobs People Do - Paperback By Heling, Kathryn - VERY GOOD. $7.55. Free shipping . Clothesline Clues to Sports People Play Kathryn Heling (Hardcover) FREE ship $35. $8.99. shipping: + $3.49 shipping . Clothesline Clues to the First Day of School, School And Library by Heling, K...\n\nClothesline Clues To The Jobs People Do\n\nUse these paper doll images to make this story come to life. You can laminate, trace them onto milk filters to use for a community helper lesson.\n\nClothesline Clues to Jobs People Do (Audible Audio Edition) ...\n\nThrough lively, accessible verse, readers identify recognizable careers that are fundamental to most communities. Look on and below seven clotheslines and spot colorful items, including the mail carrier's uniform, the artist's brushes, and the chef's apron.\n\nClothesline clues to jobs people do (2012 edition) | Open ...\n\nClothesline Clues to Jobs People Do / Read Aloud - YouTube\n\nClothesline Clues to Jobs People Do is a great book about community helpers written by Kathryn Heling and Deborah Hembrook. On each page of this picture book, a clothesline features clothes and tools used by a community helper and then reveals a that person and his/her job! Short rhyming text and clothing clues hung up on the clothesline, encourage the kids to guess person's job. Many of the roles go against traditional stereotypes. For example, the carpenter, mail person, fire fighter, etc are women.\n\nThe clues in each lively verse can be spotted hanging from the clotheslines. A mail carrier’s uniform, the artist’s brushes, and the chef’s apron all hang from the clothesline. Then turn the page to learn which professionals wear and use the special gear in the jobs they do...\n\nClothesline Clues to Jobs People Do: Heling, Kathryn, Hembrook, Deborah, Davies, Andy Robert: Amazon.sg: Books"}}},{"rowIdx":204884,"cells":{"text":{"kind":"string","value":"BJR 3/21/02 14:30\n3:02-CV-00532 PANIP LLC V. VIDEO AGE INC\n*1*\n*CMP.*\n\nKathleen M. Walker (#202185)\nATTORNEY AT LAW\n3421 Thorn Street\nSan Diego, California 92104\nTelephone: (619) 255-0987\nFacsimile: (619) 255-0986\n\nUNITED STATES DISTRICT COURT\nSOUTHERN DISTRICT OF CALIFORNIA\n\nPANIP LLC,\nPlaintiff,\n\nvs.\n\nVIDEO AGE, INC.,\nDefendant.\n\nCase No.: '02 CV 0532 B (POR)\n\nCOMPLAINT FOR PATENT INFRINGEMENT\n\nNATURE OF ACTION\n\nThis is an action for patent infringement of United States Letters Patent Numbers U.S. 5,576,951 and 6,289,319, pursuant to the laws of the United States of America as set forth in Title 35 Sections 271 and 281 of the United States Code. The patents generally concern data processing systems designed to facilitate commercial and financial transactions conducted through the use of computers. Video Age, Inc. is a company that sells adult-themed DVDs and videos via a computerized system that processes business and financial transactions and utilizes the patented inventions.\n\nPanIP, for its Complaint against Video Age, Inc., alleges as follows:\n\nJURISDICTION AND VENUE\n\n1) This Court has jurisdiction over the action pursuant to 35 U.S.C. §§ 101 et seq., and 28 U.S.C. §§ 1331 and 1338(a) because the cause of action herein set forth arises under the Act of Congress relating to patents. Venue is proper in this District pursuant to 28 U.S.C. §§ 1391(b) and 1400(b).\n\n2) On information and belief, Video Age, Inc. is a corporation organized and existing under the laws of the State of Minnesota, and has a principal place of business at 4828 Park Glen Road, Minneapolis, Minnesota, 55416.\n\n3) PanIP is a limited liability corporation organized and existing under the laws of the State of California, and has a principal place of business at 329 Laurel Street, San Diego, California 92101-1630. PanIP has received valid exclusive licenses for the patents from the inventor, Lawrence B. Lockwood.\n\n4) On information and belief, Defendant has a regular and continuous business presence within the Southern District of California, and Defendant has purposefully used a computerized system for distributing a variety of information, goods and services and processing of business and financial transactions within the Southern District of California, either directly or through others. Accordingly, Defendant is subject to personal jurisdiction in the Southern District of California pursuant to California CCP 410.10.\n\nTHE DISPUTE\n\n5) PanIP has a number of patents related to computer commerce. Defendant is a corporation that conducts business via a computerized system for distributing a variety of information, goods and services and processing of business and financial transactions.\n\n6) PanIP is the exclusive licensee of U.S. Patent No. 5,576,951 and U.S. Patent No. 6,289,319, which are valid and enforceable, and which PanIP believes are infringed by Defendant.\n\nCOUNT I\n\nPATENT INFRINGEMENT OF U.S. PATENT NO. 5,576,951\n\n7) PanIP incorporates by reference herein paragraphs 1-7 of this Complaint as if restated herein.\n\n8) On November 19, 1996, United States Patent No. 5,576,951 (\"the '951 patent\") for \"AUTOMATED SALES AND SERVICES SYSTEM\" was duly and legally issued by the United States Patent and Trademark Office to Lawrence B. Lockwood. Subsequently, Mr. Lockwood licensed the patent to PanIP. A true and correct copy of the '951 patent is attached as Exhibit A to this Complaint.\n\n9) On information and belief, without license or authorization from PanIP, Defendant has been infringing the '951 patent within the United States by using the patented technology which falls within the scope of at least claim 10 of the '951 patent.\n\n10) On information and belief, without license or authorization from PanIP, Defendant has been inducing others to infringe the '951 patent by engaging in certain aspects of computerized commerce.\n\n11) PanIP has been, and still is, being damaged by Defendant's infringing activities. Defendant will continue its infringing activities unless enjoined by this Court.\n\n12) PanIP has no adequate remedy at law. The said conduct of Defendant has caused, and if not enjoined, will continue to cause, irreparable damage to the rights of PanIP. PanIP’s damages from the aforesaid actions of Defendant, to the extent ascertainable, are not yet determined.\n\nCOUNT II\n\nPATENT INFRINGEMENT OF U.S. PATENT NO. 6,289,319\n\n13) PanIP incorporates by reference herein paragraphs 1-12 of this Complaint as if restated herein.\n\n14) On September 11, 2001, United States Patent No. 6,289,319 (\"the '319 patent\") for \"AUTOMATIC BUSINESS AND FINANCIAL TRANSACTION PROCESSING SYSTEM\" was duly and legally issued by the United States Patent and Trademark Office to Lawrence B. Lockwood. Subsequently, Mr. Lockwood licensed the patent to PanIP. A true and correct copy of the '319 patent is attached as Exhibit B to this Complaint.\n\n15) On information and belief, without license or authorization from PanIP, Defendant has been infringing the '319 patent within the United States by using the patented technology which falls within the scope of at least claim 1 of the '319 patent.\n\n16) On information and belief, without license or authorization from PanIP, Defendant has been inducing others to infringe the '319 patent by engaging in certain aspects of computerized commerce.\n\n17) PanIP has been, and still is, being damaged by Defendant's infringing activities. Defendant will continue its infringing activities unless enjoined by this Court.\n\n18) PanIP has no adequate remedy at law. The said conduct of Defendant has caused, and if not enjoined, will continue to cause, irreparable damage to the rights of PanIP. PanIP's damages from the aforesaid actions of Defendant, to the extent ascertainable, are not yet determined.\n\nWHEREFORE, PanIP respectfully demands judgment for PanIP, and against Defendant for Count I:\n\na) That U.S. Patent No. 5,576,951 is valid, and has been infringed by Defendant’s use of the patented technology which falls within the scope of one or more claims of the ‘951 patent;\n\nb) Ordering a preliminary and final injunction enjoining Defendant from further infringement and the inducement of infringement of U.S. Patent No. 5,576,951 and requires Defendant to furnish in writing to Plaintiff a report that describes in detail how Defendant has complied with the injunction;\n\nc) Ordering that an accounting be made to establish PanIP’s damages arising out of Defendant’s acts;\n\nd) Awarding PanIP its reasonable attorneys’ fees and costs incurred in this action; and\n\ne) Awarding PanIP such other and further relief as this Court may deem just and proper.\n\nFURTHER, PanIP respectfully demands judgment for PanIP, and against Defendant for Count II:\n\na) That U.S. Patent No. 6,289,319 is valid, and has been infringed by Defendant’s use of the patented technology which falls within the scope of one or more claims of the ‘319 patent;\n\nb) Ordering a preliminary and final injunction enjoining Defendant from further infringement and the inducement of infringement of U.S. Patent No. 6,289,319 and requires Defendant to furnish in writing to Plaintiff a report that describes in detail how Defendant has complied with the injunction;\n\nc) Ordering that an accounting be made to establish PanIP’s damages arising out of Defendant’s acts;\n\nd) Awarding PanIP its reasonable attorneys’ fees and costs incurred in this action; and\n\ne) Awarding PanIP such other and further relief as this Court may deem just and proper.\n\n**DEMAND FOR TRIAL BY JURY**\n\nPursuant to Federal Rule of Civil Procedure 38, Plaintiff PanIP respectfully demands a trial by jury on all issues so triable.\n\nDated this 19th day of March, 2002\n\nKathleen M. Walker\n(#202185)\n\nEXHIBIT A\n\nA system for composing individualized sales presentations created from various textual and graphical information data sources to match customer profiles. The information search and retrieval paths sift through a hierarchy of data sources under multiple operating programs. The system provides the means for synergistically creating and displaying customized presentations in a convenient manner for both the customer and salesperson to achieve a more accurate, efficient and comprehensive marketing presentation. Organizational hierarchies of data sources are arranged so that an infinite number of sales presentation configurations can be created. Multiple micro-programs automatically compose the sales presentations initiated by determinants derived from customer profile information, sales agent assessment data and operator's entries including the retrieval of interrelated textual and graphical information from local and remote storage sources. A similar system can be used for filing applications with an institution from a plurality of remote sites, and for automatically processing applications in response to each applicant's qualifications. Each multimedia terminal comprises a video screen and a video memory which holds co-related image-and-sound-generating information arranged to simulate the aspect and speech of an application loan officer on the video screen. The simulated loan officer is used to acquire personal loan data from the applicant by guiding him through an interactive sequence of inquiries and answers.\n\n10 Claims, 17 Drawing Sheets\n\nFigure 1\n\nComputerized Reservation System\n\nAirline Company Computer\nHotel Network Computer\nCruise Line Computer\nCar Rental Agency Computer\nTour Company Computer\n\nData Sources\nMicroprocessor\nOptical Memory Card Reader\nKeyboard\nPrinter\nCRT\n\n14\n12\n13\n7\n8\n9\n2\n\n| PRIMARY | LOCAL: |\n|---------|--------|\n| Tour Cost: $250 Increments | 22 |\n| Season - High/Low - Accommodations | 23 |\n| Tour Duration | 24 |\n| Senior/Student/Single/Couple | 25 |\n| Sports: Golf, Tennis, Sightseeing | 26 |\n| Tour Codes To Activate Data Sources | 27 |\n| Custom Regs. - Immunization - Maps | 28 |\n| Training and Evaluation | 29 |\n\n| REMOTE: |\n|---------|\n| Airline Destination Cities | 31 |\n| Airline Flight Times/Cost | 32 |\n| Hotel Availability/Cost/Airport Transfers | 33 |\n| Car Rental Availability/Cost | 34 |\n| Weather Conditions | 35 |\n| Tour Codes To Activate Data Sources | 36 |\n| Currency Exchange Rates | 37 |\n| Training and Evaluation | 38 |\n\nFigure 2\n\n| SECONDARY | REMOTE |\n|-----------|--------|\n| LOCAL | REMOTE |\n| Tour Cost: $250 Increments | Airline Destination Cities |\n| Season - High/Low - Accommodations | Airline Flight Times/Cost |\n| Tour Duration | Hotel Availability/Cost/Airport Transfers |\n| Senior/Student/Single/Couple | Car Rental Availability/Cost |\n| Sports; Golf, Tennis, Sightseeing | Weather Conditions |\n| Tour Codes To Activate Data Sources | Tour Codes To Activate Data Sources |\n| Custom Flags - Immunization - Maps | Currency Exchange Rates |\n| Training and Evaluation | Training and Evaluation |\n\nFigure 3\n\nFigure 4\n\nOperator Entries:\n- Destination;\n- Dates;\n- Type;\n- Customer's Profile;\n- Keyboard\n\nOptical Memory Card Reader\n\nInput Registers\n\nCRS Tour Codes\n\nOptical Disc Memory Data Source\n\nCRT\n\nModern\n\nSequencer\n\nPROM\n\nMicroprocessor\n\nDisc Segment Address\n\nReservation Inquiries\n\nReservation Information\n\nRead Determinants\n\nSelect Inquiry Data (Second Segments)\n\nTransmit Inquiry To Reservation System\n\nStore Reservation System Answers\n\nBegin Display\n\nSelect and Display First and Third Segments\n\nFigure 5\n\nFigure 6\n\nSTART\n\nMEMORY CARD\n\nTRAVEL AGENT\n\nCRS\n\nLOCAL\n\nREMOTE\n\nClient Profile 25/41 5500\nChapter 26A/41 8800\n26A/43 9700\n\nClient Profile 25/41 5500\nChapter 26A/41 8800\n26A/43 9700\n\nClient Profile 25/41 5500\nChapter 26A/41 8800\n26A/43 9700\n\nClient Profile 31/43\nChapter 33A/43\n33B/43\n\nClient Profile 31/43\nChapter 33A/43\n33B/43\n\nFigure 7\n\nU.S. Patent Nov. 19, 1996 Sheet 7 of 17 5,576,951\n\nFINANCIAL INSTITUTION\n\nCENTRAL PROCESSOR\n\nQUOTED CASE FILE\n\nLOAN RATE FILE\n\nACTIVE CASE FILE\n\nMEMORY\n\nCOMMUNIC. CONTROL\n\nTERMINAL MONITOR & UPDATE\n\nDATA PROCESSOR\n\nCREDIT RATING SERVICE\n\nSITE A\n\nTERMINAL A\n\nSITE B\n\nTERMINAL B\n\nFigure 8\n\n118 VIDEO SCREEN\n119 TOUCH PAD\n120 VOICE SYNTHESIZER\n121 STRIP READER\n122 PRINTER\n123 DATA PROCESSOR\n113 RAM MEMORY\n117 MODEM\n115 DMA\n116 VIDEO DISC\n114\n\n1. START\n\n2. System Activated\n\n3. Language Selection\n\n4. L1 - L2 ?\n - Y: Invalid\n - N: Continue\n\n5. L1 ?\n - Y: English Presentate\n - N: Continue\n\n6. L2 ?\n - Y: Spanish Presentate\n - N: Continue\n\n7. Previous Quotation ?\n - Y: ID # Entered\n - N: Continue\n\n8. ID # Entered\n\n9. Request Quote\n\n10. Request Processed\n\n11. On File ?\n - Y: B\n - N: Continue\n\n12. Instruct\n\n13. A\n\nA\n\nQuote Selection\n\nType A?\n\nN\n\nType B?\n\nY\n\nVehicle\n\nReal Estate\n\nType C?\n\nN\n\nType D?\n\nY\n\nUnsecured\n\nPersonal Secured\n\nInquiry\n\nNeed Help\n\nAnswer\n\nWithin 15 sec\n\nAccepted\n\nProcess\n\nMore\n\nFigure 10\n\nRequest Quote → DMA Input → Read From Memory → Display Quote\n\nLoan Desired? → Ask For Identification → Manual Entry or Call Cust. Ser.\n\nHard Copy Needed? → Print Quote\n\nFinal Greetings → Stand By\n\nApplicant Qualifies? → Notify Applicant → Notify Institution\n\nLessor Amount? → Enter Amount\n\nFinal Greetings → Stand By\n\nFigure 11\n\nFigure 12\n\nCENTRAL DATA PROCESSING CENTER\n\n- Retail Company\n - Retail Computer\n- Travel Company\n - Travel Computer\n- Financial Company\n - Financial Computer\n- Grocery Company\n - Grocery Computer\n\nTelecom Network\n- Telecom Computer\n\nCredit Information\n\nVoice Response Synthesizer\n\nCentral Processor\n\nAudio-Visual Data Sources\nTransitory Data Sources\nCustomer, Product, Account, File\n\nMemory\n\nCable Television Company\n\nHome Terminal\nOffice Terminal\nHome Terminal\nOffice Terminal\n\n209\n221\n222\n223\n210\n281\n202\n202\n\nFigure 13\n\n-START-\nDial Remote Site\n\nLog-On\n\nVoice Response Prompting\n\nCustomer Verification?\n\nN → Human Operator\n\nY → Emergency?\n\nN → System Available?\n\nY → Final Greetings\n\nN → Line Disconnect\n\nDisplay Menu\n\n1, 2, 3, 4?\n\nN → Invalid Selection\n\nY → Selection 1?\n\nN → Retail Cameras\n\nY → Gifts\n\nHousewares\n\nMore Selections?\n\nY → Selection 2?\n\nN → Travel\n\nY → Financial\n\nY → Grocery\n\nA\n\nFigure 14\n\n240 Purchase ?\n Y Select Items\n Total Items $ Amount Shipping Ins.\n Correct ?\n Y Payment Process Explained\n Account On File ?\n Y Order Conf. Final Instructions\n Thanks\n Line Disconnect\n End\n\nN Final Greetings-No Order\n228\n248 Means of Payment\n249\n250\n251\n\nOff-Line Processing\n\nE\nDaily Processing\n Sales Activity\n Payment Verification\n Audit Trail\n Sales Data File\n\nF\nMonthly Processing\n Payment Verification\n Sales Activity\n\nG\nData Request Processing\n Sales Analysis\n Retail\n Travel\n Financial\n Grocery\n\nH\nUtility Programs\n Product Price File Maintenance\n Retail Travel Financial Grocery\n\nAuto-Dial Comm. Net.\n Transfer Data\n Product + Service Customer Activity Report Request + Verification\n\nFigure 16\n\nFigure 17\n\nCable T.V. Network 281\n\nInformation Selector 279\n\nKey Code Register 278\n\nSignal Descrambler 282\n\nT.V. Receiver 274\n\nTelephone Network 280\n\nTelephone 275\n\nFigure 17\n\n1\n\nAUTOMATED SALES AND SERVICES SYSTEM\n\nPRIOR APPLICATIONS\n\nThis is a continuation-in-part of application Ser. No. 08/116,654 filed Sep. 3, 1993, now U.S. Pat. No. 5,309,355 which is a continuation of abandoned application Ser. No. 07/396,283 filed Aug. 21, 1989, which is a continuation-in-part of abandoned application Ser. No. 07/152,973 filed Feb. 8, 1988, which is a continuation-in-part of abandoned application Ser. No. 822,115 filed Jan. 24, 1986, which is a continuation-in-part of application Ser. No. 613,525 filed May 24, 1984, now U.S. Pat. No. 4,567,359.\n\nThis is also a continuation-in-part of abandoned application Ser. No. 08/096,610 filed Jul. 23, 1993, which is a continuation of abandoned application Ser. No. 07/752,026 filed Aug. 29, 1991 which is a continuation of abandoned application Ser. No. 168,856 filed Mar. 16, 1988, which is a continuation of abandoned application Ser. No. 822,115 filed Jan. 24, 1986 which is a continuation-in-part of application Ser. No. 613,525, filed May 24, 1984, now U.S. Pat. No. 4,567,359.\n\nThis is also a continuation of the combination of the above-cited applications Ser. No. 08/116,654 filed Sep. 3, 1993 and Ser. No. 08/096,610 filed Jul. 23, 1993.\n\nBACKGROUND OF THE INVENTION\n\nThis invention is directed to data processing systems designed to facilitate commercial, financial and educational transactions between multimedia terminals such as automated sales workstations, information dispensing networks and self-service banking systems. Specifically this invention is directed to a tool for augmentation of sales and marketing capabilities of travel agency personnel in conjunction with computerized airline reservation systems. This invention also relates to financial service application processing, and interactive delivery of informative, educational and recreational audio-visual programs to the home, school or office.\n\nIn the preferred embodiments of the invention, travel agents are able to synergistically compose individual customized sales presentations and itineraries for their clients, representing thousands of tour destinations and criteria, from multiple permutations of data sources in a fully automated fashion.\n\nDuring the 1980s airline reservation systems evolved into very sophisticated information networks. A majority of travel agencies in North America subscribe to one of the major computerized reservation systems; Sabre, Apollo, System One, or WORLDSPAN. Prior to the development of computerized reservation systems in the 1970s, a travel agent would read airline schedules from either the North American or International edition of Official Airline Guides (OAG), printed directories which are published monthly, then telephone the specific airline to reserve-and confirm passenger flights and physically write the airline tickets. The advent of computerized reservation systems allowed the travel agent to access computerized travel data banks, reserve, confirm and transact airline, hotel or car rental reservations with a 'dumb terminal' comprised of; keyboard entry of customer requirements in conjunction with a display terminal and ticket printer, connected to the centralized reservation service. The Mar. 19, 1985 testimony of Robert L. Crandall, President of American Airlines, Inc., before the Aviation Subcommittee of the Senate Committee on Commerce, Science and Transportation details the evolution of computerized reservation systems in the United States.\n\nTravel agency employees, who produce approximately seventy-five percent of the computerized reservation systems volume, now enjoy a more productive and accurate means to process reservations, an important part of their service functions. A simultaneous sector of a travel agent's employment is the ability to promote, advise, select and sell appropriate travel and tour destinations for their clients. Agencies generate approximately fifty percent of car rental bookings, seventy percent of domestic air travel sales and ninety percent of international flights.\n\nTravel agents sell nearly ninety percent of all cruise line bookings and virtually ninety percent of all tour packages. This business represents the most profitable segment of the multi-billion dollar travel agency sales volume, since higher commissions are earned on tour/cruise bookings as compared with point-to-point airline ticketing. The ability of a travel agent to effectively consult with their clients depends upon several factors including; knowledge of the destination, familiarization tours the agent may have taken to the area, attendance at travel/tour seminars and conferences and reading reference literature such as Fodor's travel publications.\n\nA travel professional accumulates extensive knowledge which is extremely valuable to the travel agency business and is in fact, the single most important element which differentiates one agent from another. Unfortunately, this knowledge requires years of experience to acquire. The physical requirements to visit and inspect even a portion of popular tourist destinations dictates a significant investment of time and monetary expense. Additionally, tourist localities are seldom static; new hotels or attractions and changing custom regulations require a constant monitoring of hundreds of potential vacation sites.\n\nThe current state-of-the-art of the tour, cruise and vacation market segments is similar in many respects to the pre-computerized reservation systems airline era. A travel agent must consult several directories; i.e., Hotel and Travel Index, OAG Travel Planner, OAG Worldwide Tour Guide or OAG Worldwide Cruise and Shipline Guides and scores of travel brochures in an attempt to offer the client information for an informed travel decision. Most of these directories are published quarterly so therefore prices or schedules are frequently out-of-date and inaccurate. If the client is conferring in person, with the agent in the office, this task is complicated by the reliance on numerous publications to describe a particular vacation. This often results in a time-consuming, disorganized and ineffective sales presentation since each client's itinerary has different requirements. Answering a client's questions is dependent upon the knowledge a travel agent has acquired. Since 'travel' is an intangible product, the communicative skills of the travel agent are paramount to success. The client relies on the travel agent's advice in making important vacation decisions.\n\nSeveral specialized tour planning concepts emerged in the 1970s including publications such as Fishing Resorts of The World, which presented sportfishing tour packages in an organized and informative manner and audio-visual presentations of tour destinations such as TRAVEL-VISION which were linear in design. These travel marketing concepts, both created by applicant, had inherent limitations as discussed herein.\n\nThe travel industry, comprising 33,000 agencies, does not sell a single mass market product, but rather is a reflection of the population as a whole with its infinite individual\n\ncustomer profiles of demographic, regional and fields of special interest. One client may desire information on a river-rafting tour in Wyoming while the next customer needs assistance in planning an art tour of Paris, France. Therefore, it is imperative that the travel agent have available a wide variety of information in an organized system which allows convenient and standardized access for both the agent and client.\n\nA recent study of the American labor force, Work Force 2000: Work and Workers for the Twenty-first Century, commissioned by the United States Department of Labor, indicates serious shortages of skilled workers in the service sector economy will impact the United States during the 1990's and into the next century. In addition to labor shortages in many skilled service sector industries, it is predicted that a mismatch of employee skills to available jobs will result in a shrinking labor pool of skilled workers which will inevitably increase wages. Travel agency functions are predominantly labor intensive, therefore labor shortages of skilled workers will significantly impact the quality of service they provide.\n\nAll travel agencies essentially market the same products and represent the same suppliers, therefore as a service sector industry it is incumbent that individual sales skills and support systems be as comprehensive and efficient as possible. Since the travel industry is highly dependent upon knowledgeable professionals, requiring years of experience, it portends that a more efficient travel/tour sales and training system be implemented to compensate and increase the productivity of the travel agent.\n\nThus, there is a continuing need to provide the means to assist travel agency personnel and their clients with a more responsive and efficient; educational, training, sales and service system.\n\nA first alternate embodiment of the invention relates to multimedia terminals used by banking institutions to make their services, such as loan processing, available at all hours of the day from various remote locations.\n\nLoan processing has traditionally been a labor-intensive business which represents the major activity of banks and other financial institutions. In the processing of a loan application, numerous forms have to be filled-out, loan officers have to explain payment schedules and generally guide the applicant through the loan application process. The financial institution then has to process the application and either telephone, mail, or communicate acceptance or rejection of the loan in person to the applicant. The complexity of the process has so far prevented the application of automatic terminals to perform this important part of financial institution activities. Interactive multimedia terminals have evolved to a high degree of sophistication as disclosed in U.S. Pat. No. 4,359,631 Lockwood, et al. Yet, this high degree of sophistication has not been put to use in the more complex types of goods and services distribution which require a great deal of interaction between individuals and institutions.\n\nA second alternate embodiment of the invention relates to an improvement of a system for automatically dispensing information, products and services by means of stored prerecorded audio-visual presentations telegenically transmitted from a remote site to sales and information terminals in the home under the command of customers with easy-to-use communication equipment that does not require formal computer literate training.\n\nService providers have traditionally communicated and marketed information and products to consumers in their homes by way of newspapers, magazines, mail order catalogs, direct mail, telephone, radio and television. None of these communication methods allow consumers to interactively display alternate audio-visual sales presentations for transactional order fulfillment. Lately, videotex has emerged as a supplement to traditional product ordering methods. Beginning in 1978, British Telecom established a videotex service named 'Prestel' planned for a mass consumer market. Videotex, a textual display, is not designed nor intended to deliver full color prerecorded audio-visual presentations. Videotex typically requires computer operating knowledge and a personal computer with modem for access. Subsequently several major attempts at introducing videotex in North America have failed and surviving operators have maintained a limited user base. A fundamental reason for the unsuccessful acceptance of videotex is that it requires reading of computer generated text. Conversely, the American consumer has become accustomed to a high degree of television quality programming from sporting events and news to popular movies broadcasted daily.\n\nInteractive delivery of information, goods and services to consumers by means of multimedia terminals is disclosed in U.S. Pat. Nos. 4,359,631 and 4,367,359 using a central processor, audio-visual data sources, CRT, keyboard and remote communication capabilities.\n\nIt would be desirable to provide such a system accessible to consumers from their homes or workplace.\n\nTypically consumers have had to travel to multiple stores and shop for products. This is both time-consuming and involves transportation expenses. Certain segments of the population, for example disabled persons and the elderly have been restricted in their ability to compare product features and prices. The system could also allow service suppliers and product manufacturers to communicate directly with consumers and present products, take orders and ship purchases from a central or regional warehouse facility. This would reduce the expense of maintaining retail stores, inventory, sales personnel, overhead and general distribution costs while providing services to hundreds or thousands of homes and offices throughout a community.\n\nPreferably such a system would incorporate; a central data processing center, audio-visual data sources, a CRT for displaying information, communication links and a keyboard for control of the remote data sources. Additionally, such a system would allow consumers an opportunity to communicate with product and service providers to place orders, and to process commercial transactions.\n\nInteractive audio-visual communication systems using television and telephone common carrier networks are now possible based on some of the techniques disclosed in U.S. Pat. Nos. 3,668,307 Facc et al., 3,691,295 Fisk, 3,746,780 Stetten et al., 3,752,908 Boenke et al., 4,054,911 Fletcher et al., 4,064,490 Nagel, 4,251,691 Kakihara et al., 4,264,925 Freeman et al., and 4,553,222 Kurland et al.\n\nResearch reveals that the average person retains about 25 percent of what they hear and 45 percent of what they see and hear. Retention levels increase dramatically to 70 percent of what a person sees, hears and performs if an interactive sequence is available. Therefore the persuasive power of interactive full color multimedia presentations would be an ideal means to market products and services. This in-home information delivery system could also provide a conduit for educational, medical and other important informational services.\n\nSUMMARY OF THE INVENTION\n\nAccordingly, the objects of this invention, among others are to:\n\nenhance the travel agent's sales ability and professional knowledge of travel and tour destinations in conjunction with computerized reservation systems;\n\ncreate a flexible travel sales system responsive to multiple applications and configurations;\n\norganize a variety of traditional travel and tour references in a comprehensive and synergistic multimedia sales system to effectuate consumer awareness;\n\nincrease the sales productivity and information accuracy of vacation tour packages sold by travel agents;\n\ndevelop individualized tour planning programs for clients presented in a more effective communication medium;\n\nreduce travel agent dependency on outdated travel directories, tour manuals and traditional brochures;\n\nprovide a consistent in-house teaching and training system for travel agency personnel; and\n\noffer travel suppliers and tour operators an enhanced and efficient means to present their products and to communicate with potential customers when selecting vacation destinations.\n\nThese and other objects are achieved by the preferred embodiment of the invention which is directed to a means for automatically creating and displaying customized travel and tour sales presentations from various textual and graphical data sources managed by a multiplicity of operating programs. Sales presentations comprise audio-visual data and computerized reservation system information, presented individually or in combination. The graphical data may include charts, maps and other still images as well as moving pictures with or without sound enhancements.\n\nIndividualized sales presentations are requested by the client for specific destinations. The organizational hierarchy of data sources is arranged so that an infinite number of variations or sales presentation configurations can be displayed. Multiple operating programs create the sales presentations directed by:\n\n(1) Client profiles stored on optical memory or smart cards;\n\n(2) Travel agent assessment of client profiles; or\n\n(3) Computerized reservation system response to client profiles.\n\nThe travel agent interviews the client and determines the general information required for accessing the sales system and enters the prerequisites such as; destination, tour costs, sports activities, accommodations and other factors necessary for generation of customized mini-travelogues. The selected factors are analyzed by the operating program based upon an organizational hierarchy of travel specifications which activates the data sources and a customized sequence is presented. Sales presentations can be accessed interactively, one display frame at a time with a decision point at each juncture, or by analysis of the client's profile which generates a coded operating program sequence to display a continuous customized presentation. Additionally, a combination of either interactive or coded program modalities can be presented. A client may wish to preview a destination in an interactive search sequence and upon deciding that the tourist destination is in fact the one he desires, could proceed with an operating program from the input of client characteristics. This alternating procedure allows greater comprehension and sales flexibility.\n\nOperating programs select the presentation chapter segments from either the audio-visual data source repository or the computerized reservation system and arrange them in an orderly and predetermined sequence. The sales presentations incorporate proven 'need satisfaction selling' including: probing, supporting and closing techniques. This assures a maximum sales effort on behalf of the travel industry. Clients are both creators and viewers of the mini-travelogues which are specifically addressing their needs while simultaneously assisting the travel agent in a comprehensive sales effort.\n\nAs explained in the first alternate embodiment, another object of the invention is to standardize the reporting and interpretation of credit ratings and their applicability to loan application processing.\n\nA further object of the invention is to reduce the amount of paperwork and processing time required by each loan application.\n\nIt is also an object of the invention to offer a more personal way to apply for credit. Many applicants are reluctant to inquire about loans requiring face-to-face interaction with a loan officer, who would not hesitate to use an interactive device to place their inquiry.\n\nThese and other objectives are achieved by means of a system that connects financial institution data processing, the computer services of a credit reporting bureau, and a plurality of remote terminals. Each remote terminal displays the live image of a fictitious loan officer who helps the applicant through the interactive series of questions and answers designed to solicit from the applicant all the information necessary to process his loan application. The terminal can acquire credit rating information about the applicant from the credit reporting bureau and make a decision based on all the information gathered about the credit worthiness of the applicant and the amount of loan to which he is entitled. The amount is then communicated to the applicant and to the financial institution for further processing of the loan.\n\nAs explained in the second alternate embodiment, additional objects of the instant invention comprise among others, the following:\n\nto provide an automatic and efficient system for dispensing information and services to the general public interactively from terminals in their homes;\n\nto offer such a system which is particularly useful for dispensing information, goods and services for a wide variety of service industries;\n\nto facilitate immediate access to thousands of products and services by the elderly, disabled persons and others limited by travel or time constraints;\n\nto present such services by means of audio-visual presentations for transactional decisions from prerecorded sound, images and synthesized data;\n\nto centralize product distribution, therefore reducing traditional merchandising overhead costs while increasing manufacturer's product selection, target marketing and advertising promotion of products;\n\nto increase service sector productivity while reducing inventories and out-of-stocks by creating an unlimited number of distribution outlets over geographically extended trade areas which operate 24 hours per day;\n\nto maximize information delivery by interactively involving the customer as opposed to passive viewing.\n\nIn furtherance of these additional objects, an automatic system is disclosed for dispensing information, goods and services to consumers in their home. The system comprises a central data processing computer and multiple remote satellite facilities linked to the center. The satellite facilities are sales and information terminals, each equipped with a CRT (Cathode Ray Tube) for receiving and displaying\n\nrequested customer information from the computer's data sources at the data processing center. Customers interactively display the audio-visual presentations by selecting various choices and entering the choices on a telephone keypad which directs the computer to select from its data sources the requested information and transmit it to the customer's CRT in their home.\n\nThe system operates in the following sequence:\n\n1. The customer dials the data processing center and requests access to the system.\n2. The data processing center verifies the customer and selects from its data sources the general instructional audio-visual presentation which is routed through the customer's local cable television communication link and transmitted to the customer's sales and informational terminal.\n3. The customer views the presentation and selects from the menu presented on the screen the next display.\n4. The customer enters on the telephone keypad the selection which is transmitted to the data processing center via the telephone communication link.\n5. If the customer decides to purchase a product or service he also enters on the keypad the payment information.\n6. After verification and acceptance of the payment, a confirmation message is displayed on the customer's CRT video screen.\n7. Information on the transaction is transmitted from the data processing center to the relevant product or service company for fulfillment.\n\nThis second alternate embodiment of the invention is directed to a system for automatically dispensing information, goods and services from multiple retailers, and from travel, financial, and other service providers. The data processing center is linked to data sources of various product and service providers for order processing. The data processing center is programmed to respond to customer's directions, select requested audio-visual presentations from its data sources of prerecorded information segments and place them on a television network from where they will be decoded, captured and displayed by the customer's home receiver.\n\nIf the customer elects to purchase a product or service, his order is processed by the data processing center. After validation and acceptance, confirmation of the order is displayed on their CRT monitor.\n\nThe data processing center stores information about the products and services offered by each supplier, and tabulates sales. The data processing center is programmed to transmit periodically to each institution's data processing terminal, either directly or indirectly, for example through an automated telecommunication network service such as TELENET®; up-dated information on sales made by the system for that institution.\n\nSuitable data links, such as phone line, cable television and optical fiber data links can be used between the sales and information terminals and the data processing center, and between the service provider's data processing terminals, either directly or indirectly via common carriers. In the latter case, each institution will have its own particular account number with the service to which information on sales made by the system will be delivered. Similarly, the system itself will have an account number to which each institution can deliver information on any changes in prices or services offered.\n\nThe data processing center is suitably also linked to a remote credit information center for checking the credit of a customer in response to a sales order and charging a customer's account via debit card, credit card or alternately customer accounts that are also stored at the data processing center for monthly billing.\n\nBRIEF DESCRIPTION OF THE DRAWINGS\n\nFIG. 1 represents a general block diagram of the overall system for creating customized travel sales presentations of the preferred embodiment of the invention;\n\nFIGS. 2 and 3 represent organizational charts of travel sales presentations from multiple data sources;\n\nFIG. 4 is a block diagram of the sales presentation organization and display operation;\n\nFIG. 5 is a flow diagram of the information selection and display process;\n\nFIG. 6 is a flow diagram of a detailed information selection process;\n\nFIG. 7 is a general block diagram of the system for automatically processing loan applications according to the first alternate embodiment of the invention;\n\nFIG. 8 is a block diagram showing the major components of the terminal;\n\nFIGS. 9 to 11 are detailed flow diagrams of the system operation.\n\nFIG. 12 is a general block diagram showing an overview of a system for automatically dispensing information, goods and services according to the second alternate embodiment of the invention;\n\nFIGS. 13 to 16 are detailed flow diagrams of the system; and\n\nFIG. 17 is a functional block diagram of a home or office station.\n\nDESCRIPTION OF THE PREFERRED EMBODIMENTS OF THE INVENTION\n\nFIG. 1 represents a general block diagram of the overall system for creating customized travel sales presentations according to the preferred embodiment of the invention. It will be understood that such a system may be used in a variety of other service-oriented industries, such as retail sales and real estate, various financial services and the like.\n\nThe system basically comprises one or more special information and sales terminals 2 linked to an airline computerized reservation system 1 which gives access to the data processing installations of various travel suppliers 4. The terminals are all linked to the computerized reservation system by any suitable remote telecommunication links. This automated travel and tour sales system is preferably achieved according to the teaching of U.S. Pat. Nos. Re. 32,115 and 4,567,359 whose specifications are hereby incorporated herein by this reference.\n\nThe information and sales terminals 2 include one or more audio-visual data sources 9. These resident data sources are preferably optical disc based with the capabilities for generation of full motion, still-frame, audio compression and related functions to achieve random access audio-visual presentations directed by a microprocessor 14. Data sources 9 may suitably be implemented with a SONY View System brand of videodisc recorder model VIW-5000 and SONY 650 MB cartridge or a CD-ROM player. Various combinations of interactive audio-visual system technology such as CD-ROM, CD-I or DVI may be incorporated to effectuate the travel presentations. The microprocessor 14 is suitably an IBM PS/2 brand of personal computer. The optical memory card reader 12 is of the type disclosed in U.S. Pat.\n\nNos. 4,284,716; 4,542,288; and 4,544,835. The printer 7, CRT 8 and keyboard 13 are standard devices and the interfacing of the various components are well-known to those skilled in the data processing arts.\n\nOrganizational chart FIG. 2 describes audio-visual chapter segments organized in topics and subtopics which constitute the tour information and which are identifiable and accessible by frame numbers. A standard videodisc contains 54,000 individual frames or 30 minutes of full motion video which can be accessed randomly. The construction of individualized tour package presentations by frame numbers is managed by the program of the microprocessor 14 as will be explained below. The travel agent enters the client's requests and characteristics to initiate the travel presentation. Each numbered chapter segment contains a transition bridge, so that presentations are not abrupt but rather form a continuous, harmonious dialogue with the client composed in a progressive predetermined format to increase sales effectiveness, for example; country, region, city, hotel and sightseeing. Training and evaluation 29 would typically consist of instructional information which would be presented in the form of lessons.\n\nREMOTE 30 represents textual information which is accessed from the computerized reservation system 1. This information; airline flight times 32 and hotel availability 33 is critical to the tour sales presentation if transportation or lodging is required. Therefore, LOCAL 20, and REMOTE 30 act in conjunction to present an integrated and individualized travel and tour sales travelogue. REMOTE 30 creates dynamic presentations of transitory information such as weather conditions 35 or currency exchange rates 37.\n\nREMOTE 30 can transmit tour codes to activate data sources 36 to information and sales terminal 2. This allows the organization of timely vacation tours in the travel agency. In this manner 'special' tours with limited reservation deadlines can be promoted that otherwise could not be marketed in traditional printed brochures.\n\nIt will be understood that optimal sales presentation effectiveness is determined by the attention span of the client. Therefore, program design parameters of the mini-travelogues include specific time limitations dependent upon client characteristics. Training and evaluation 38 offer an enhanced instructional program which can also transmit codes to the microprocessor-accessed data sources 9 in concert with transitory information from the computerized reservation system 1 to train and test travel agent proficiency presented on CRT 8.\n\nOrganizational chart FIG. 3 describes a secondary selection format which further delineates tourist destinations in multiple subsets. If the client selected Canada 41, the microprocessor would define a Canadian province such as British Columbia 43 as a function of the client's characteristics. Additional organizational A1 format can define cities within the selected province and then tourist features within cities.\n\nFIG. 4 illustrates the selection process for the various segments of the sales presentation. The basic selection data which is either entered on the keyboard 13 by the operator or read by the memory card reader 12 are loaded into the input registers 15 of the microprocessor 14. This basic selection data includes the type of service requested (such as ski weekend, cruise, or camping trip), the approximate date of departure and return, the destination and customer characteristics such as age, gender and preferences. This information serves as addresses for a programmable read only memory (PROM) 16 or other similar device which is driven by a sequencer 17 to deliver a series of specific disc segment addresses 18 or pathways for the videodisc memory data source 9. Some of the addressed segments on the videodisc correspond to inquiries 19 which are sent via a modem 11 to the airline reservation system 1. The answers, mostly reservation information 30, when received, are presented on a split-screen or recorded on the erasable optical disc or other suitable medium for display as part of the sales presentation on the CRT 8.\n\nThree types of randomly accessible segments of data are thus stored in the data source 9, the audio-visually displayable narrative chapters, the inquiries to be sent to the reservation system and the essentially textual reservation systems answers to be combined with the narrative chapters.\n\nThus, the programming of the entire sales presentation resides in the programming of information access paths in the PROM 16. In other words, the PROM assist the user in his quest by performing automatically and almost instantly, the sequential and time-consuming information accessing, gathering and organization that a travel agent must process using conventional reservation and information sources.\n\nFIG. 5 illustrates the general selection and display process done under instructions issuing from the PROM 16 based on the determinants stored in the input registers 15 under control of the sequencer 17. It should be noted that the first segment of narrative data are the only ones that need to be coded for video display. The second segments are binary coded inquiries to be sent via the modem 11 to the reservation system 1. The answers received from the reservation system are times and prices information which are displayed in alphanumeric form usually in a tabular format which does not require to be translated into variable-gray-scale-video signals, nor any graphic display encoding.\n\nThe determinants stored in the register 15 provide an address to the PROM 16 corresponding to a set of instructions. Those instructions are sequentially extracted by the sequencer 17 to trigger the various selection and display steps.\n\nData sources 9 typically include a videodisc which contains time codes indicating each video frame by hour, minutes, seconds and frame number or picture, chapter or still cue code inserted in the vertical interval of the videodisc which is read by the videodisc player. A frame is a single, complete picture in a video or film recording. A video frame consists of two interlaced fields of either 525 lines running at 30 frames per second (NTSC) or 625 lines at 25 fps (PAL/SECAM). The address is usually an alphanumeric or numeric label identifying a location where information is stored on the videodisc or a time code or frame number identifying the location of video and/or audio material on the optical disc.\n\nA chapter is an independent, self-contained segment of an interactive video program. Chapter number codes are numbers also encoded in the vertical interval of the videodisc frame, allowing chapter numbers to be displayed on the screen during play. Chapter search is a function of most videodisc players allowing specific chapters to be accessed by chapter number or to request a specific frame identified by its unique sequential reference number, which then instructs the videodisc player to move directly forward or backward to that frame from any other point on the videodisc. Chapter stop is a code embedded in videodiscs to signal the break between two separate chapters, allowing specific chapters to be accessed using chapter search. A standard videodisc contains 54,000 individual frames.\n\nProceeding now to FIG. 6 which is a detailed flow diagram of the implementation of the address matrix to\n\ncompose three sales presentation displays; LOCAL, LOCAL/REMOTE and REMOTE. The program selection is initiated 45 with activation of client's prerequisites from memory card 46, travel agent assessment 47 or by receipt of tour codes from the computerized reservation system in response to client's profile 48. The selection determinants as described in organizational hierarchies FIGS. 2 and 3 depict specific chapter segments which when assembled would constitute an individualized sales presentation.\n\nFor example, a typical sales presentation for selecting hotel accommodations 23 which would include displaying pictorial representations of hotels i.e., overview, rooms, restaurants, sporting facilities, swimming pools, and tennis courts. Applicable textual travel information such as Canadian custom and immunization 28 regulations correlatively stored with the hotels information would be displayed textually. This textual information would be backed by maps of the area.\n\nIn FIG. 2, if client selects Senior 25 the chapter identity subset numbers would be; Senior/Barbados 25/39 chapter 5100, Senior/Bermuda 25/40 chapter 5300, Senior/Canada 25/41 chapter 5500 and so forth. If client selects Sports 26 the chapter identity subset number of one sport Golf 26-A which would include Golf/Barbados 26A/39 chapter 8200, Golf/Bermuda 26A/40 Chapter 8500, Golf/Canada 26A-41 chapter 8800 and so forth.\n\nSecondary organizational hierarchy FIG. 3 continues the composition process with Canadian province subsets. Golf/ British Columbia 26A/43, for instance, would be chapter 9700. Therefore, Senior/Canada 25/41 chapter 5500 combined with Golf/Canada 26A/41 chapter 8800 and Golf/ British Columbia 26A/43 chapter 9700 would compose an individual sales presentation 49 as represented in FIG. 6 with chapter selections displayed 50.\n\nIntegration of LOCAL 21 and REMOTE 30 to compose a sales presentation 52 is a combination of 51 as previously created in 49 and the transitory information 53 from the computerized reservation system 1. Organizational hierarchy, FIG. 2 includes a matrix for necessary information from the remote data sources. For example, Airline Destination Cities 31 could display Canadian cities providing airline service 31/41. Assuming the Senior/Canada/Golf/British Columbia client's presentation integrates Airline Destination Cities/British Columbia 31/43 as shown in FIG. 3 would be displayed. Additional scheduling information 55 such as; Hotel Availability 33A/43 and Airport Transfers 33B/43 would be displayed 54 to complete the sales presentation. It will be understood that multiple data sources can be incorporated in the sales presentation display and calculation of the individual tour expenses can be performed by the microprocessor 14. If the client desires a hard copy of this information it would be available from printer 7, creating an individualized travel brochure for the client.\n\nAn important advantage of the highly efficient hierarchical organization of the data bases is the ability of retrieving interrelated information either textual or graphical, by accessing one topic. For instance, the selection of a particular hotel by name would trigger the display of its accommodations along with a touring map of the area fetched from the same local database, as well as data on available airlines services to that area derived from a remote database. Similarly, starting from the graphical display of a touring map, the user may retrieve textual and graphical data about a particular hotel in the area.\n\nThis tour creating flexibility, allows the computerized reservation system 1 to market 'special' or discounted tours with short-term availability. Historically, tour operators have been restricted in their ability to promote and market 'special' or discounted tours. The invention solves this dilemma by enhancing computerized reservation system capabilities while presenting timely travel and tour presentations in an individualized sales system.\n\nThe travel presentation would continue and if the client desired to reserve or purchase the tour package, the travel agent would process in a traditional manner. Additionally, complex, time-consuming Foreign Individual Tour planning is simplified and made more accurate.\n\nThe teaching of this invention allows both the client and travel agent to access travel and tour sales presentations in a highly organized manner. All the necessary functions to create and display individualized sales presentations are performed automatically. This results in significant savings of time for the client and travel agent and will potentially generate additional sales for the travel industry.\n\nIt is expected that the automated sales system will be a more convenient means to promote, compose and sell tour packages. Clients should benefit from a more comprehensive presentation of the intangible product of travel. The interactive video and computerized reservation system program design is developed with authoring programs which are well-known to those skilled in the electronic arts.\n\nIt will be understood that this automated sales system may be applied to many other types of customer service and sales industries. Some examples are retail sales and real estate and various financial services, as illustrated by the first alternate embodiment of the invention disclosed below.\n\nThere is shown in FIG. 7 the general block diagram of an automatic loan processing terminal system. This system may be considered an improvement of the system disclosed in parent application Ser. No. 613,525, now U.S. Pat. No. 4,567,359 whose disclosure is incorporated herein by reference.\n\nThe system links a financial institution 101, a plurality of self-service terminals at various remote sites 102 and a credit rating service 103 by telephone lines or other means of telecommunication. The financial institution 101 is provided with a central processor 104 which is used primarily to process loan applications and handle other financial transactions. The central processor 104 has a communication interface which allows it to access the various terminals 105 at the remote sites and be accessed by them at any time of the day. A communication control unit 106 associated with the central processor 104 assures an orderly sending and receiving of information between the terminals and the central processor. The communication control unit 106 provides for a quick transfer of batches of information to and from the terminals 105 under direct access memory mode. Direct access memory modes are achieved by means of high speed data exchange units such as those manufactured by Metacomp, Inc. of San Diego, Calif. and sold under the mark METAPAKS. The central processor 104 is also provided with a terminal monitor and update unit 107 which is programmed for periodically polling the various terminals 105 in order to verify their status and proper operation and to update the data stored in those terminals as may be required. The memory 108 of the central processor 104 holds some files 109 in which are stored textual information about the various loans available to customers from the institution. This information includes loan rates and repayment schedules. These loans include real estate loans, loans to finance the purchase of automobiles, boats and other vehicles, personal loans secured by certificates of deposit,\n\nstocks and other assets controlled by the financial institution 101 and unsecured personal loans. Loan packages which have been quoted to customers are stored in a quoted case file 110 pending acceptance and execution by the applicant. Once a loan has been approved and accepted it is processed and monitored through an active case file 111. The credit rating service 103 is an institution such as TRW CREDENTIAL SERVICE which maintains financial files of consumers based on past and current loan payment obligations, credit card uses and balance sheets provided as part of loan applications, and makes that information available to a membership of merchants and financial institutions who need to access the credit worthiness of a particular customer. The credit rating service information is processed automatically by a data processor 112 equipped with automatic communication interface. This interface allows direct access through telephone lines or other communication networks by any subscribing member. The confidentiality of the credit rating service files is guaranteed by use of identifying codes which must be provided with each request.\n\nThe system operates as follows. The central processor 104 of the financial institution 101 periodically sends to the terminals 105 at the various sites 102 loan rate information and other data pertinent to the loans available from that institution which are extracted from the loan rate file 109. That textual information is stored in the various terminals and can be reviewed by an applicant in need of a loan. Once the applicant has selected a type of loan which is available from the institution, he is asked to provide the pertinent personal information data which will be necessary to process his loan application. The information provided by the applicant is supplemented by a financial profile obtained directly from the credit rating service after being automatically requested by the terminal 105. The terminal 105 is programmed to compute the credit worthiness of the applicant and to approve or disapprove the loan. Once the loan has been approved the applicant is requested to accept it or reject it. Accepted loan information is transmitted to the central processor of the financial institution and stored in the active case file 111. Information about loans which have not been accepted on the spot, are also transmitted to the financial institution and stored for a period of time in the quoted case file 110. The customer can return to one of the terminals and accept that loan anytime during the validity period.\n\nTurning now to FIG. 8, there is shown a block diagram of the various components of a terminal 105. The operation of the terminal is controlled by a data processor 113. To the left of the processor, various blocks represent the peripheral equipment which interfaces with the applicant. To the right of the processor there is shown a videodisc 114 on which are stored all the permanent data necessary for the operation of the terminal including the data necessary to effect the interactive and automatic request of information by the terminal from the applicant. A modem 115 provides a two-way communication channel with the financial institution 101 and the credit rating service 103. The modem is controlled by the data processor 113 and handles a batch of information through a direct memory access unit 116, to and from a RAM memory 117. Thus, the RAM memory can be used to hold textual data obtained from the loan rate files 109 at the financial institution as well as applicant's financial profiles obtained from the credit rating service 103. The RAM memory can also be used to store some of the operating routines necessary for the operation of the terminal.\n\nCommunication with the applicant is done mainly through the video screen 118. The video screen 118 displays the picture of a fictitious loan officer who informs the applicant about the various types of loans available as well as the manner in which the application can be filed. The applicant answers the request of a loan officer by means of a touch pad 119 or a keyboard. Any entry made by the applicant on the touch pad 119 is processed and orally repeated immediately by means of a voice synthesizer 120 and loud speaker 121. The oral expression of the answers provided by the applicant is a way to assure that no false entry is made. A magnetic strip reader 122 may be provided so that the applicant can give an account number or an identification by means of a credit card. A printer 123 is used to deliver to the applicant a hard copy of any loan quotation as well as a confirmation of his accepted loan.\n\nFIG. 9 is a flow diagram of the system operation during the initial phase of the loan application process. The start 124 of system operation is triggered either by the applicant pushing a start button or by the automatic detection of his presence in front of the terminal. Once the system is activated 125 the recording of an image and sound of a fictitious loan officer is read from the videodisc 114 and graphically appears on the video screen 118. The fictitious loan officer takes the applicant through a language selection routine 126-129. In this case the applicant is asked in both English and Spanish in what language the loan transaction is to be conducted. In this phase of the operation as well as all interactive communications between the loan officer and the applicant, the loan officer explains to the applicant how to enter his answer by means of the touch pad 119. The applicant is then asked whether a previous quotation has already been prepared for him 130. In the affirmative, he is then requested 131 to enter a pass number or identification number either by entering the number on the touch pad or by running his credit I.D. card through the strip reader 122. The terminal then addresses the financial institution and requests 132 the prior loan quotation stored in the quoted case file 110 of the central processor 104. This is done by the data processor 113 of the terminal dialing the institution phone number through the modem 115 and sending a request message. The terminal goes into a standby mode with its DMA unit 116 waiting for a transfer of information from the line into the RAM memory 117. The continued operation depends on whether or not the previous quotation is found 134 to be on file. If the answer is negative, the fictitious loan officer instructs 135 the applicant how to proceed to apply for a loan. In the case where a previous quotation is found to be on file, that quotation is transferred to the terminal according to the program routine B illustrated in FIG. 11.\n\nFIG. 10 is the flow diagram of the system operation during the acquisition of information by the terminal from the applicant. The applicant is first asked to select 136 the type of loan in which he is interested. In this case, he is offered a memo allowing him to choose between a real estate loan 138, a vehicle loan 139, a personal loan 140 secured by an asset held by the financial institution or a personal unsecured loan 141. Any invalid selection 137 triggers a new request. Once a type of loan has been selected, a real estate loan, for example, the fictitious loan officer asks a series of inquiries corresponding to the questions that would be found on a standard loan application form. For each question the system performs a subroutine 142-145 designed to guarantee proper input of the information into the terminal memory 117. If a problem develops during the question and answer period, the applicant is invited to call 144 the loan service at the financial institution. If the answer to a question is not received within fifteen seconds 145, the process of application is presumed to have been abandoned by the applicant.\n\nand the system returns to its initial standby state. Once all the proper answers have been accepted they are processed 146 by the terminal data processor 113. This process may involve analyzing certain key answers in order to identify any element or data that would automatically disqualify the applicant. Depending upon the result of that first analysis, more questions 147 may be presented to the applicant in order to refine the data necessary for a thorough assessment of his qualifications, or to provide additional information for the applicant.\n\nFor instance, the fictitious loan officer may ask, \"Are you familiar with our loan repayment schedule?\" If the customer desires to read the loan repayment schedule, he would indicate his choice. The loan schedule would then be textually displayed. After reading the text, the applicant would proceed to more questions 147 presented by the fictitious loan officer. The customer could continue to additional textual displays about legal responsibilities of obtaining a loan or return to the fictitious loan officer who would continue the presentation.\n\nTurning now to FIG. 11, the B subroutine used to receive a previous quotation from the financial institution is illustrated in the first flow diagram. Once the previous quotation is requested 148 the DMA unit 116 of the terminal is allowed to receive a batch of information containing the previous quotation. This batch of information is stored in the RAM memory 117 from where it is fetched 150 and displayed 151 on the video screen 118. The applicant is then asked if he wants a hard copy 152 of the quotation. In the affirmative, the previous quotation is printed 153 on printer 123. The second flow diagram corresponds to the acquisition of the applicant's financial profile from the credit rating service 103. Once a loan quotation has been presented to the applicant he is asked whether or not he wants to apply for the loan 154. If his answer is negative, the fictitious loan officer expresses final greetings 155. The loan quotation, if not already in storage at the financial institution, is transmitted there for temporary storage in the quoted case file 110 of the central processor 104. If the applicant wishes to apply for the loan, he is asked to provide a password or identification 156 which will allow the terminal to access his file at the credit rating service 103. As previously explained, this number can be entered directly by means of an identification card run through the strip reader 122 or entered manually 157 by means of the touch pad 119. The terminal requests a rating 158 from the credit rating service 103 in a manner similar to the one used and described previously for obtaining a previous quotation from the financial institution. The applicant's financial profile is received as a batch of information through the DMA unit 159 and then read from the memory 160. The financial profile is then analyzed by the terminal in order to compute 161 a debt ratio or other criterion devised by the financial institution to access the credit worthiness of the applicant. The debt ratio is the ratio of the applicant's current expenses to his current income. Other parameters such as debt to equity ratio or fixed assets to debt may be computed by the terminal data processor 113 and used in determining the qualifications of the applicant. It should be noted that the entire decision whether or not to grant the loan is performed automatically and onsite by the terminal 105 without intervention whatsoever from any of the financial institution personnel, except in case of breakdown in communications requesting a direct phone call by the applicant to the financial institution.\n\nThe last flow diagram on the drawing represents the final phase of the loan application transaction. Once the terminal equipment has determined that the applicant qualifies 162 for the loan, the applicant is so notified 163, and instructed how to obtain the loan funds. The institution is also notified 165, and the loan is processed through the active case file 111 by the central processor 104. The fictitious loan officer closes the transaction by giving his final greetings 166 before the system is returned to a standby condition. If the applicant does not qualify for the amount of loan requested, he is first asked whether a lesser amount 167 would be acceptable to him. He is then instructed to enter the lesser amount 168 through the touch pad 119. That new amount is then checked against the determination already made by the terminal. The process is repeated until an acceptable amount is requested by the applicant, or until such time as the applicant declines to proceed with the loan application.\n\nIt should be noted that the system as described could be applied to other forms of transactions in which information has to be acquired from a customer then processed to a decision or into the performance of a particular task. A similar system could be used, for instance, for the preparation and filling-out of income tax returns. In such case, the assistance that the fictitious person who appears on the video screen can give to the applicant in filing the tax form can be easily programmed on the videodisc.\n\nA system adapted to the sale of real estate properties would use interrelated textual and graphical information stored on the videodisc 114. The inquiries 142 displayed on the video screen 118 would consist of real estate information designed to both inform and address applicants needs. To facilitate customer interaction, the graphical display could include city maps designated by zip code areas so the applicant could indicate the location of his or her current residence. Other interrelated displays would present types of dwellings, i.e., single, family or commercial, of pictorial representations which aid the applicant in determining his or her loan needs.\n\nOther applications of the system include the selection and purchase of stocks and other securities, the selection and opening of so-called 'self-directed investments' such as Individual Retirement Accounts, and other complex transactions which normally require a great deal of time and attention on the part of the officers of an institution.\n\nFIG. 12, a second alternate embodiment, shows an overview of an automatic system for dispensing information, goods and services from multiple retail, travel, financial, grocery and other service industries.\n\nThe system basically comprises a data processing center 201 linked to various remote sites, including one or more information and sales stations 202, a credit reporting service terminal 203, and data processing terminals 204 of various goods and services providers. The station and terminals are all linked to the central data processing center by any suitable remote links such as phone line data and cable television communications 209. The provider's terminals 204 are indirectly linked to the data processing center 201 via a computerized telecommunication network service such as TELENET® 205. Each of the providers and the system has its own specific account number with the service, which can be accessed by either party to submit or retrieve information at periodic intervals.\n\nIn this embodiment of the invention, numerous sales and information stations 202 are provided at a series of locations such as homes or offices. The terminals are all remotely linked to the data processing center. The information and sales terminals 202, typically comprise a CRT monitor, audio-speaker device and controller located in the customer's residence or office. The CRT monitor receives selected\n\nprerecorded audio-visual segments via the cable television company's communication links 209, generated at the data processing center 201. As illustrated in FIG. 17, this equipment may consist of a common television receiver 274 and a dial tone telephone, also located in the customer's residence or office, that functions as the entry device allowing selection of various audio-visual presentations to be displayed on the television screen.\n\nOnce a voice communication has been established between the telephone handset 275 and the data processing center, the tone generating keypad 276 is used to generate and send to the processor by way of the telephone network 280, coded instructions representing a request for information to be displayed on the television receivers 274. After viewing the requested information on his television set, the customer can use the telephone keypad 276 to order goods or services selected among those displayed on the television receiver. The customer also can transmit a credit account number against which the purchase can be charged. Voiced requests, orders or payment authorization could also be transmitted by means of the telephone handset 277 to be automatically recognized and interpreted by an automatic speech recognition device at the data processing center. Since the data processing center transmits a great deal of information to be accessed by a large number of stations through a common cable television network 281, the television receivers 274 must be coupled to an information selector unit 279 which looks for information which has been specifically addressed to that particular station and routes it to the television receiver 274. The address code which is used as a key by the information selector 279 to select data on the cable television network 281 may be a fixed number permanently entered into the information selector, or a variable number which is generated from the keypad 276 as part of the requests for goods or services and temporarily stored in a key code register 278 to be fed to the information selector 279. The same key code is also stored at the data processing center as it is transmitted on the telephone network 280 and is used to frame the specific information which is transmitted over the cable television network 281. Preadressed information may also be periodically transmitted over the cable television network 281. The address or access number to available products or services may be published in printed catalogs for use from the various stations to request specific displays of information. The information selector 279 and key code register 278 may be part of the cable television signal descrambling device 282 such as those commonly used with pay cable television services. This type of communication system is based on the well-known technology such as was disclosed in U.S. Pat. No. 3,746,780 Stetten et al. and other patents cited in the background of this specification.\n\nThe data processing center 201, basically comprises a tone or voice response system, host computer and data sources. The tone or voice response system 221 receives the customer's selections in audio signal form and converts the signals to messages which are transmitted to the central processor 222 for selection of data sources. Additionally, the tone or voice response system allows customers the ability to enter requests on their keypads and receive audio information in the form of synthesized human speech which is transmitted via the standard telephone communication links. Features of voice response systems include; interfaces with all major host computers, high quality digitally encoded voice, extended storage capacity of synthesized speech, support for multiple software applications and the ability to handle dozens of simultaneously incoming calls. A suitable voice response system is the VCT Series 2000®, manufactured by Voice Computer Technologies Corporation, although many alternatives are available.\n\nThe host computer can be one of those manufactured by IBM, NCR or Digital Equipment Corporation, which has the ability to direct the incoming requests, store and manage the data sources and generally perform data processing functions.\n\nThe data sources typically consist of prerecorded audio-visual segments stored on optical discs and transitory alphanumeric price and stock information stored in the host computer's memory. Although several data storage technologies can perform the audio-visual product presentation including digitized information, the preferred choice is optical disc storage. Optical disc storage technology is commonly referred to as videodisc and CD-ROM. Suitable optical storage discs are Scotch® Laser Videodiscs manufactured by 3M Corporation. Industrial videodisc players which are designed for allowing sequential or random access of 54,000 individual video frames or the playback of 30 minutes of full-motion on a single disc, include model LD-6200 manufactured by Pioneer Communications of America, Inc. The LD-6200 has the extensive capabilities of the IEEE-488 parallel interface port which is particularly well suited for multiple player control with a single external computer. Multiple laserdisc players controlled from a single external computer offer a flexible configuration allowing simultaneous access from numerous users with system expansion a factor of customer demand. To increase the enhancement of still-frame video presentation, audio compression technology is utilized. Still-frame decoder technology which allows 30 seconds of audio compression in an individual video frame is the subject of U.S. Pat. No. 4,429,332, Television Compressed Audio. This technology increases the optical disc data sources communicative capacity with audio compression and is available in model VAC-300 manufactured by EECCO, Inc.\n\nAlthough several alternative transmission technologies exist, it is assumed that cable television operating companies can provide one of the most reliable, high quality audio-visual transmission networks. Cable television transmission of selected audio-visual segments can be achieved by multiple means including addressable video signal encryption configured at the cable head end and downloaded to a decoder at the home terminal for program descrambling.\n\nThe customer activates the audio-visual presentations by dialing the keypad 276 requesting access to the system through the telephone network 280 to the data processing center 201. A voice response system 221 at the data processing center accepts the customer's inquiries and audibly answers questions from its voice synthesis storage. Customer requests for audio-visual presentations are relayed from the voice response system to the central processor 222, which selects the appropriate data sources for transmission to the local cable television company 210 and routed via the cable network 281 to the customer's terminal 202. The customer upon viewing the presentation, which includes a menu, selects from the displayed menu on the video screen his next selection which is then entered on the keypad and is transmitted to the central data processing center for assembly of the requested informational segment to be routed to the sales and information terminal. This circuitous sequence continues until the customer, decides to abort access, is terminated due to preset time allotments or purchases a product or service. If he decides to order a service or product he would then enter his purchase and payment by either an account identification or credit card number on the\n\ntelephone keypad 276, which would be authorized upon verification of the customer's credit worthiness by a credit information service or the central data processing center. Upon acceptance of the customer's order, the central data processing center would transmit to the customer's station a confirmation number and order fulfillment information which is displayed on the video screen. Customer orders for goods or services are then transmitted to the provider 204 for order fulfillment.\n\nThe interfacing of the various components of the system described above is done according to standard practices well known to those skilled in the electronic arts.\n\nThe data processing center 201 includes a central processing unit 222 and memory 223. The memory 223 stores graphical program information, management of the audio-visual sources and textual information on prices of products and services acquired from the providers, which are periodically updated from the terminals 204 of the various companies, and information on customer requests and orders which can be accessed periodically by the respective providers. The processing unit 222 operates in response to program instructions for performance of product and service calculations in response to customer information and orders received from any of the stations, to send audio-visual product and service data to the respective stations, to receive credit account numbers from the stations and access the credit reporting terminal for credit approval or disapproval of a particular account. If a customer places a purchase order from a station after credit is approved, the data processing unit stores the information and sends a confirmation to the terminal.\n\nThe various programs for executing the operations of the sales and information terminal and the data processing center computer 222 are of a 'menu-type' and can best be understood with reference to the flow diagrams of FIGS. 13 through 16. FIGS. 13 and 14 show the sequence of operations executed at the sales and information terminal 202 and FIGS. 15 and 16 show the operations performed by the data processing center's computer 222 for the on-line and off-line processing and communications with the providers.\n\nThe sequence of operations basically comprises the following steps:\n\n(1) The customer activates the system by entering a sequence of numbers, on the keypad device, which are transmitted to the data processing center;\n\n(2) A voice response system at the data processing center acknowledges customer's inquiry, verifies his authenticity and interrogates the customer to determine the desired services;\n\n(3) The voice response system transmits the customer's requests to the central processor;\n\n(4) The central processor selects the appropriate data storage sources and transmits the audio-visual information to the customer's local cable television company communication links;\n\n(5) Requested information and menus are relayed through the cable channel and displayed on the CRT video screen;\n\n(6) If the customer wishes to purchase a product or service he proceeds with the payment protocol as displayed on the CRT and enters the form of payment, on the keypad, which is then transmitted to the data processing center;\n\n(7) Upon authorization of payment, a confirmation message is transmitted from the data processing center to the sales and information station's video display monitor;\n\n(8) Upon completion of customer access the system disconnects;\n\n(9) The data processing center stores the information on products or services sold;\n\n(10) At the end of every day, the data processing center transmits information on the daily sales activities for each provider to the appropriate files of the Telenet® computer;\n\n(11) The sales information for each provider can be accessed from its terminal linked to the Telenet® computer. At the same time, the service providers can transmit updates on prices and products to their system account at the Telenet® computer.\n\nThese steps will now be described in more detail with reference to FIGS. 13 to 16.\n\nReferring now to FIG. 13, each sales and information terminal will be in an inactive state with system activation initiated by the customer entering a number on the keypad 276 and requesting access to services 224 from the data processing center 201. If access is available through an open line, the customer logs on 225 and begins a synthesized speech dialogue with a voice response system 226. For example, the voice response system may ask, \"Are you interested in connecting to our shopping service?\". \"If yes, please press key #3\" or \"Do you have a question about a previous order?\". \"If yes, please press key #4.\" The audio interaction verifies the customer's identification 227 and determines their geographic location for routing of requested presentations. The dialogue also determines if emergency access 232 to the system is required. The customer responds to the questions by entering his answers on the keypad 276. If a customer is unable to dialogue with the voice response system, he may enter a specific key for communication with a human operator 228. The human operator would assist the customer with questions, emergency access or selections of program material. If the human operator is unable to provide assistance, he thanks the customer 229 and the communication would cease 230.\n\nIf data sources are available for access 231, the voice response system begins a transmission of signals to the central processor 222, for selection of data sources. If the customer has an emergency 232 the voice response system activates a priority mode to the central processor and begins an immediate routing of presentation of an emergency menu display 233, on the customer's video display screen.\n\nAn important aspect of the present invention is its ability to transmit emergency life-saving instructions to consumers. For example, a mother whose young child has just ingested poison or received a serious cut could access the system, state that an emergency has occurred and the system would interrupt any current user on conflicting transmission links and begin presentation of emergency first-aid medical information. Simultaneously the system would alert medical authorities or personnel as to the injury. In many instances, audio-visual medical emergency procedures can serve critical needs during the first few minutes of injury, drowning or heart attack. Consumers would have instantaneous access to a comprehensive first-aid 'assistant' in the form of audio-visual presentations specifically addressing medical needs in their home or office.\n\nThe menu display 233 presents a series of selections in which choices are available to navigate through the numerous decision-making branches of possible interactions. The main menu 233 presents the general categories of products and services which are available such as: retail, travel, financial and grocery. The interactive sequence of customer-selected information displayed on the television receiver is continuous and a typical audio-visual presentation would include choices accompanied with numbers which correrespond to the keypad 276 of the telephone or similar control device. For example, key #5 would be—repeat, key #6 would be—return to main menu, key #7 would be—new selection and so forth. The customer would then be able to enter on his controller device the next desired sequence of information. The customer can quickly locate a specific product or service by defining his selections through the menu. For example, if the customer is interested in lamps he would begin with a retail display menu 234. The customer would then select from the second frame, home furnishings 235 and from the third frame of home furnishings the customer would select lamps 236. Therefore, within three consecutive interactions the customer commences evaluation of various lamp features. The current price of the lamp and other transitory information is stored in the data sources 223 and by use of an overlay, this timely textual information is superimposed and displayed simultaneously, with the prerecorded audio-visual presentations. Therefore at all times current price and product availability are maintained by the central data processing center 201 and presented to the customer.\n\nIf the customer encounters any problems in operating the system he or she can enter a specific command on the control device to communicate with a human operator for assistance.\n\nReferring now to FIG. 14, during the selected presentations the menu also displays a numbered key for entry on the control device for an order of a product or service 240. Product ordering menu questions would include; quantity, color, sizes and styles. If the customer decides he doesn't wish to continue or order products or services he is offered a final greeting 241, and the system access is disconnected 251. Once the customer has completed his selection 243 the data processing center tabulates the orders and other relevant information and transmits the desired purchase summary to the sales and information terminal 244. The menu asks the customer 245 if the ordered items are correct? Assuming the customer proceeds with the purchase, he would examine the listed items textually displayed on the monitor's screen and either accept or correct the list. If incorrect, the customer would continue the interactive menu sequence or contact the human operator for assistance 228. When the customer has completed his selections he would proceed to the payment process menu 246. This menu explains the various forms of payment, typically the customer has an established account number on file 247. The customer would enter a PIN (Personal Identification Number), credit card number 248 or other suitable payment data manually on the keypad. Once the payment data has been obtained by the central data processing center a payment verification procedure is initiated, as will be described in more detail below in connection with FIG. 15. The procedure results in either rejection or acceptance of payment and corresponding data is transmitted from the data processing center to the terminal and displayed on the television screen.\n\nIf payment is rejected, the customer can either insert additional payment information 248 on the keypad or call the customer service for assistance 228.\n\nIf payment is accepted, 249 the customer receives a confirmation number that is displayed on the television and is asked to enter any additional delivery information, such as a person or address that is to receive the product or service ordered or a specific time of the day for delivery. The customer is then thanked, the dial-up line to the data processing center 201 is disconnected, and the terminal communication to the data processing center returns to an inactive state 224.\n\nThe sequence of operations conducted by the data processing center 201 performing product and service selections, executing credit checks and issuing sales confirmations will now be described with reference to the flow diagram parts, shown in FIG. 15.\n\nWhen the data processing center receives a product or service request B from one of the sales and information stations 202, it first determines the type of product or service required 252. The central processor 222 then locates the appropriate graphical and/or textual information for that product from its transitory and audio-visual data sources for assembly and transmission to the selected communications company 254 and subsequently to the terminal 255.\n\nUpon receipt of payment verification request C from a terminal 256, the data processing center locates the customer's account file 257 from its memory or transmits the account number to the credit information terminal 258. The results of the verification process 259 are received by the processing center and relayed to the terminal. If payment is rejected, the customer is notified at the terminal 260. If payment is accepted, a product or service information record 261 is created at the data processing center and the customer is notified at the sales and information terminal 262.\n\nAfter the data processing center has processed D the product payment 263, it issues a confirmation at the terminal and the product or service information file is updated with the name and address of the customer 264. The product or service confirmation is transmitted to the terminal for acceptance by the customer 265.\n\nThe data processing center 201 performs a number of programmed off-line operations at periodic intervals, as illustrated by the flow diagram in FIG. 16. The product and service information files stored in the memory are updated daily.\n\nThe data processing center routinely performs a series of daily activity status reports E. The daily reports include a sales activity report 263 listing all sales and service transactions for the particular day's processing, payment verification reports 264 listing all payments verified by company number sequence, and audit trail reports 265 listing all sales for a particular company or geographic regions, customer profiles and other marketing information.\n\nA sales data file 266 is created for all sales transacted for each company in that particular day's processing. This file is forwarded to the appropriate service provider's computer terminal 204 via Telenet® to be entered in their automated billing system. The data processing center dials a central computer such as the Telenet® computer 205 to which all the service provider company's terminals are linked, logs-on to the appropriate account for each company, and transmits the appropriate daily reports and sales data files to each company's specific Telenet® account. The product or service provider can then retrieve the information in its account at its pleasure by dialing the Telenet® computer from its own computer terminal 204, to process and complete order fulfillment.\n\nThe data processing center also performs monthly processing programs F, these routines 267 consist of valuable sales data compilation which includes a payment verification report listing all payments verified for a given company during that month 268 and a sales activity report listing all sales processed for a specific company for a particular month 269. These reports are transmitted to the relevant account numbers of the Telenet® computer for subsequent retrieval by the respective companies and the daily reports.\n\nData requests G can also be made by the individual service providers via their terminals 204 and the Telenet®\n\nWhen a service provider wants a certain program to be performed, a memo is sent from the company's terminal to the specific Telenet® account number for the data processing center, stating which report is to be processed. The reports G which can be requested in this way are the sales analysis reports 271 and reports for each type of product or service for a specific company. The sales reports allow each company to update its price rates and product availability in the system as necessary. The sales analysis reports can provide listings by company, product type, date, and time of day. Therefore service providers can obtain valuable market research and analyze their advertising and sales promotion for specific products.\n\nPrograms H are provided for maintaining current product and service prices stored by the data processing center. The prices are updated by checking the rate files for each company's product line offered 272. Utility programs are maintained for all product and service providers 273.\n\nThe system of this invention allows a customer convenient access to numerous products and service providers in a variety of industries and allows the customer to make a selection and purchase products on a self-service or operator-assisted basis. All the necessary operations of obtaining information, checking credit and transmitting information to the respective companies are performed automatically. Significant savings in time and money will be realized for both the consumer and companies that will potentially result in more sales and increases in productivity because thousands of consumers will have greater accessibility to the service providers in their homes.\n\nThe general public will benefit from direct marketing communication channels with manufacturers and monetary savings will be realized as traditional retail product sales overhead is reduced.\n\nIt will be clear that this system may be applied to many other types of customer service and sales industries. Some examples are the educational industry, many types of governmental services, and the medical and health industries.\n\nWhile the preferred embodiments of the invention have been described, modifications can be made and other embodiments may be devised without departing from the spirit of the invention and the scope of the appended claims.\n\nWhat is claimed is:\n\n1. A computer search system for retrieving information, comprising:\n means for storing interrelated textual information and graphical information;\n means for interrelating said textual and graphical information;\n a plurality of entry path means for searching said stored interrelated textual and graphical information, said entry path means comprising:\n textual search entry path means for searching said textual information and for retrieving interrelated graphical information to said searched text;\n graphics entry path means for searching said graphical information and for retrieving interrelated textual information to said searched graphical information;\n selecting means for providing a menu of said plurality of entry path means for selection;\n automatic data processing means for executing inquiries provided by a user in order to search said textual and graphical information through said selected entry path means and for fetching data as a function of other data;\n indicating means for indicating a pathway that accesses information related in one of said entry path means to information accessible in another one of said entry path means;\n accessing means for providing access to said related information in said another entry path means; and\n output means for receiving search results from said processing means and said related information from said accessing means and for providing said search results and received information to such user.\n\n2. The search system according to claim 1, wherein said textual information comprise words, phrases, numbers and letters stored in said at least one database.\n\n3. The search system according to claim 1, wherein said graphical information include maps, charts, pictures, and moving images.\n\n4. The search system according to claim 1, wherein one of said graphical and textual information comprises audio information.\n\n5. The search system according to claim 1, wherein said graphical and textual information are stored on a CD-ROM disc.\n\n6. The search system according to claim 1, further comprising a micro-computer for executing operations of said search system, and for storing said graphical and textual information.\n\n7. The search system according to claim 1, wherein said textual entry path means and said graphical entry path means include informing means for assisting a user in searching said graphical and textual information.\n\n8. The search system according to claim 1, wherein said textual search entry path means comprises a topic tree entry path means for dividing said textual information into topics and sub-topics in order to assist in browsing through said textual information.\n\n9. The search system according to claim 1 which further comprises:\n title finder entry path means for assisting a user in uncovering titles stored in said stored textual information.\n\n10. A computerized system for selecting and ordering a variety of information, goods and services, which comprises:\n a plurality of computerized data processing installations programmed for processing orders for said information, goods and services;\n at least one computerized station, said station including:\n a micro-processor;\n a device for displaying graphical and textual material;\n at least one mass memory device controlled by said micro-processor;\n means for addressing at least one of said computerized data processing installations, and for sending thereto and receiving therefrom, coded messages and batches of data;\n program means for controlling the display on said display device of inquiries and acceptable answers;\n user operated means for selecting at least one of said acceptable answers;\n means for accumulating a set of said acceptable answers;\n automatic data processing means for processing said set of answers as a function of other data;\n means for storing in said mass-storing device, interrelated textual information and graphical information;\n\nmeans for interrelating said textual and graphical information;\na plurality of entry path means for searching said stored interrelated textual and graphical information;\nmeans, responsive to said means for processing, for executing inquiries provided by said user and for searching said textual and graphical information through said selected entry path means;\n\nsaid means for executing and searching, including means for addressing at least one of said installations and for retrieving data related to said answer; and means responsive to said means for processing, for transferring orders for said information, goods and services to said installations.\n\nUNITED STATES PATENT AND TRADEMARK OFFICE\nCERTIFICATE OF CORRECTION\n\nPATENT NO.: 5,576,951\nDATED: NOVEMBER 19, 1996\nINVENTOR(S): LAWRENCE B. LOCKWOOD\n\nIt is certified that error appears in the above-identified patent and that said Letters Patent is hereby corrected as shown below:\n\nClaim 9, Column 24, line 38, change \"1\" to --1,--.\n\nClaim 10, Column 26, line 6, change \"installations\" to --installation--.\n\nSigned and Sealed this Ninth Day of June, 1998\n\nAttest:\n[Signature]\nBRUCE LEHMAN\nCommissioner of Patents and Trademarks\n\nIt is certified that error appears in the above-identified patent and that said Letters Patent is hereby corrected as shown below:\n\nIn Column 1, line 38, replace \"processing,\" with --processing--.\n\nIn Column 1, line 57, replace \"reserve-and\" with --reserve and--.\n\nIn Column 2, line 47, replace \"person,\" with --person--.\n\nIn Column 2, line 63, replace \"by\" with --by the--.\n\nIn Column 4, line 28, replace \"and shop\" with --to shop--.\n\nIn Column 4, line 32, replace \"The system\" with --This system--.\n\nIn Column 5, line 13, replace \"communication's\" with --communication--.\n\nIn Column 6, line 60, replace \"passive\" with --his passive--.\n\nIn Column 7, line 44, replace \"their\" with --his--.\n\nIn Column 7, line 51, replace \"up-dated\" with --updated--.\n\nIn Column 9, line 54, delete the reference character \"A1\".\n\nIn Column 17, line 6, replace \"office,\" with --office--.\n\nIn Column 18, line 63, replace \"customer;\" with --customer--.\n\nIn Column 19, line 44, replace \"numbers,\" with --numbers--.\n\nIn Column 21, line 45, replace \"payment, typically\" with --payment. Typically,--.\n\nIn Column 22, line 24, replace \"D\" with --D,--.\n\nIt is certified that error appears in the above-identified patent and that said Letters Patent is hereby corrected as shown below:\n\nIn Column 23, line 52, replace \"textual\" with --textual information--.\n\nIn Column 23, line 55, replace \"textual\" with --textual information--.\n\nIn Column 23, line 59, replace \"text\" with --textual information--.\n\nIn Column 23, line 56, replace \"graphics\" with --graphical--.\n\nIn Column 23, line 67, replace \"textual\" with --textual information--.\n\nIn Column 24, line 14, replace \"numbers\" with -- numbers,--.\n\nIn Column 24, line 20, replace \"graphical\" with --graphical information--.\n\nIn Column 24, line 23, replace \"graphical\" with --graphical information--.\n\nIn Column 24, line 27, replace \"graphical\" with --graphical information--.\n\nIn Column 24, line 30, add --search-- between \"textual\" and \"entry\".\n\nIn Column 24, line 32, replace \"graphical\" with --graphical information--.\n\nIn Column 24, line 44, replace \"goods\" with --goods,--.\n\nIt is certified that error appears in the above-identified patent and that said Letters Patent is hereby corrected as shown below:\n\nIn Column 24, line 48, replace \"goods\" with --goods,--.\n\nIn Column 24, line 51, replace \"graphical\" with --graphical information--.\n\nIn Column 24, line 51, replace \"material\" with --information--.\n\nIn Column 24, line 65, replace \"mass-storing\" with --mass memory--.\n\nIn Column 25, line 1, replace \"textual\" with --textual information--.\n\nIn Column 25, line 4, replace \"textual\" with --textual information--.\n\nIn Column 25, line 7, replace \"textual\" with --textual information--.\n\nIn Column 26, line 5, replace \"goods\" with --goods,--.\n\nUNITED STATES PATENT AND TRADEMARK OFFICE\nCERTIFICATE OF CORRECTION\n\nPATENT NO.: 5,576,951\nDATED: November 19, 1996\nINVENTOR(S): Lawrence B. Lockwood\n\nIt is certified that error appears in the above-identified patent and that said Letters Patent is hereby corrected as shown below:\n\nIn Figure 9, numbers 128 and 129, replace \"Presentate\" with --Presentation--.\n\nSigned and Sealed this\nTenth Day of February, 1998\n\nAttest:\nMary J. Queen\nAttesting Officer\n\nBRUCE LEHMAN\nCommissioner of Patents and Trademarks\n\nEXHIBIT B\n\nA system for filing applications with an institution from a plurality of remote sites, and for automatically processing said applications in response to each applicant's credit rating obtained from a credit reporting service comprising a series of self-service terminals remotely linked via a telephone line to a first computer at the institution and to a second computer at the credit reporting service headquarters. Each remote terminal comprises a video screen and a video memory which holds image-and-sound-generating information arranged to simulate the aspect and speech of an application loan officer on the video screen. The simulated loan officer is used to acquire loan request data from the applicant by guiding him through an interactive sequence of inquiries and answers. The terminal is programmed to acquire credit rating data relating to the applicant from the credit rating service, and to use the data to compute the credit worthiness of the applicant and the amount which may be loaned to him. The approved loan information is then transmitted to the first computer for further processing by the financial institution.\n\n6 Claims, 5 Drawing Sheets\n\nFIG. 1\n\nSHEET 1 OF 5\n\nU.S. Patent Sep. 11, 2001 US 6,289,319 B1\n\nFINANCIAL INSTITUTION\n\nCENTRAL PROCESSOR\n\nTERMINAL MONITOR & UPDATE\n\nCOMMUNIC. CONTROL\n\nDATA PROCESSOR\n\nCREDIT RATING SERVICE\n\nACTIVE CASE FILE MEMORY\n\nLOAN RATE FILE\n\nQUOTED CASE FILE\n\nTERMINAL A\n\nSITE A\n\nTERMINAL B\n\nSITE B\n\nFIG. 2\n\nSTART\n\nSYSTEM ACTIVATED\n\nLANGUAGE SELECTION\n\nL1 • L2 ?\nY INVALID\n\nL1 ?\nY ENGLISH PRESENTATE\n\nL2 ?\nY SPANISH PRESENTATE\n\nPREVIOUS QUOTATION ?\nY ID # ENTERED\n\nREQUEST QUOTE\n\nREQUEST PROCESSED\n\nON FILE ?\nY B\n\nINSTRUCT\n\nFIG. 3\n\nA flowchart is shown with various decision points and processes labeled from 36 to 47. The flowchart starts at \"QUOTE SELECTION\" and proceeds through several paths based on different conditions:\n\n- If TYPE D, go to UNSECURED (41).\n- If TYPE C, go to PERSONAL SECURED (40).\n- If TYPE B, go to VEHICLE (39).\n- If TYPE A, go to REAL ESTATE (38).\n- If TYPE A, B, C, or D, go to INVALID SELECTION (37).\n\nThe flowchart also includes inquiries such as \"NEED HELP?\" and \"WITHIN 15 SEC?\" leading to either ANSWER or CALL SERVICE (44). There are also processes for ACCEPTED (45) and MORE? (47), which lead back to the main flow.\n\nFIG. 4\n\nREQUEST QUOTE\n\nDMA INPUT\n\nREAD FROM MEMORY\n\nDISPLAY QUOTE\n\nHARD COPY NEEDED?\n\nY\n\nPRINT QUOTE\n\nN\n\nREAD FROM MEMORY\n\nCOMPUTE RATIO\n\nREQUEST RATING\n\nDMA INPUT\n\nREAD FROM MEMORY\n\nFINAL GREETINGS\n\nSTAND BY\n\nASK FOR IDENTIFICATION\n\n# READ?\n\nMANUAL ENTRY OR CALL CUST SER.\n\nLESSER AMOUNT?\n\nY\n\nENTER AMOUNT\n\nAPPLICANT QUALIFIES?\n\nY\n\nNOTIFY APPLICANT\n\nNOTIFY INSTITUTION\n\nFINAL GREETINGS\n\nSTAND BY\n\nFIG. 5\n\nAUTOMATIC BUSINESS AND FINANCIAL TRANSACTION PROCESSING SYSTEM\n\nPRIOR APPLICATIONS\n\nThis is a continuation application of application Ser. No. 08/096,610 filed Jul. 23, 1993 now abandoned, a continuation application of application Ser. No. 07/752,026 filed Aug. 29, 1991 now abandoned, a continuation of application Ser. No. 07/168,856, filed Mar. 16, 1988 now abandoned, a continuation of application Ser. No. 06/822,115, filed Jan. 24, 1986 now abandoned, which is a continuation-in-part of application Ser. No. 06/613,525 filed May 24, 1984, now U.S. Pat. No. 4,567,359, issued Jan. 28, 1986.\n\nBACKGROUND OF THE INVENTION\n\nThe present invention relates to automatic self-operated terminals, vending machines, and interactive data processing networks. More specifically, this invention relates to terminals used by banking institutions to make their services available at all hours of the day from various remote locations.\n\nLoan processing has traditionally been a labor-intensive business which represents the major activity of banks and other financial institutions. In the processing of a loan application, numerous forms have to be filled-out, loan officers have to explain payment schedules and generally guide the applicant through the loan application process. The financial institution then has to process the application and either telephone, mail, or communicate acceptance or rejection of the loan in person to the applicant. The complexity of the process has so far prevented the application of automatic terminals to this important part of financial institution activities. Automatic vending machines and self-service terminals have evolved to a high degree of sophistication as disclosed in U.S. Pat. No. 4,300,040 Gould, et al. and U.S. Pat. No. 4,359,631 Lockwood, et al. Yet, this high degree of sophistication has not been put to use in the more complex types of goods and services distribution which requires a great deal of interaction between individuals and institutions.\n\nSUMMARY OF THE INVENTION\n\nThe principal object of this invention is to provide an economical means for screening loan applications. When one considers that up to 75% of persons applying for loans fail to meet the financial institution qualification criteria, one realizes that a great deal of labor is required by loan officers before a qualified applicant presents himself.\n\nAnother object of the invention is to standardize the reporting and interpretation of credit ratings and their application to loan application processing.\n\nA further object of the invention is to reduce the amount of paperwork and processing time required by each loan application.\n\nIt is also an object of the invention to offer a more personal way to apply for credit. Many applicants who would not hesitate to use a mechanical device to place their inquiry are reluctant to inquire about loans requiring face-to-face interaction with a loan officer.\n\nThese and other objects are achieved by means of a system that ties together financial institution data processing, the computer services of a credit reporting bureau, and a plurality of remote terminals. Each remote terminal displays the live image of a fictitious loan officer who helps the applicant through an interactive series of questions and answers designed to solicit from the applicant all the information necessary to process his loan application. The terminal can acquire credit rating information about the applicant from the credit reporting bureau and make a decision based on all the information gathered about the credit worthiness of the applicant and the amount of loan to which he is entitled. The loan amount is then communicated to the applicant and to the financial institution for further processing of the loan.\n\nBRIEF DESCRIPTION OF THE DRAWINGS\n\nFIG. 1 is a general block diagram of the system for automatically processing loan applications;\n\nFIG. 2 is a block diagram showing the major components of the terminal; and\n\nFIGS. 3 to 5 are detailed flow diagrams of the system operation.\n\nDESCRIPTION OF THE PREFERRED EMBODIMENT OF THE INVENTION\n\nReferring now to the drawings, there is shown in FIG. 1 the general block diagram of the automatic loan processing terminal system. The system links a financial institution 1, a plurality of self-service terminals at various remote sites 2 and a credit rating service 3 by telephone lines or other means of telecommunication. The financial institution 1 is provided with a central processor 4 which is used primarily to process loan applications and handle other financial transactions. The central processor 4 has a communication interface which allows it to access the various terminals 5 at the remote sites and be accessed by them at any time of the day. A communication control unit 6 associated with the central processor 4 assures an orderly sending and receiving of information between the terminals and the central processor. The communication control unit 6 provides for a quick transfer of batches of information to and from the terminals 5 under direct access memory mode. Direct access memory modes are achieved by means of high speed data exchange units such as those manufactured by Metacomp, Inc. of San Diego, Calif. and sold under the mark METAPAKS. The central processor 4 is also provided with a terminal monitor and update unit 7 which is programmed for periodically polling the various terminals 5 in order to verify their status and proper operation and to update the data stored in those terminals as may be required. The memory 8 of the central processor 4 holds some files 9 in which are stored information about the various loans available to customers from the institution. This information includes loan rates and repayment schedules. These loans include real estate loans, loans to finance the purchase of automobiles, boats and other vehicles, personal loans secured by certificates of deposit, stocks and other assets controlled by the financial institution 1 and unsecured personal loans. Loan packages which have been quoted to customers are stored in a quoted case file 10 pending acceptance and execution by the applicant. Once a loan has been approved and accepted it is processed and monitored through and active case file 11. The credit rating service 3 is an institution such as TRW CREDENTIAL SERVICE which maintains financial files of consumers based on past and current loan payment obligations, credit card uses and balance sheets provided as part of loan applications, and makes that information available to a membership of merchants and financial institutions who need to access the credit worthiness of a particular customer. The credit rating service information is processed automatically by a data processor 12 equipped with automatic communication interface. This interface allows direct access through telephone lines or other communication networks by any subscribing member. The confidentiality of the credit rating service files is guaranteed by use of identifying codes which must be provided with each request.\n\nThe system operates as follows. The central processor 4 of the financial institution 1 periodically sends to the terminals 5 at the various remote sites 2 loan rate information and other data pertinent to the loans available from that institution which are extracted from the loan rate file 9. That information is stored in the various terminals and can be reviewed by an applicant in need of a loan. Once the applicant has selected a type of loan which is available from the institution, he is asked to provide the pertinent personal information data which will be necessary to process his loan application. The information provided by the applicant is supplemented by a financial profile obtained directly from the credit rating service after being automatically requested by the terminal 5. The terminal 5 is programmed to compute the credit worthiness of the applicant and to approve or disapprove the loan. Once the loan has been approved the applicant is requested to accept it or reject it. Accepted loan information is transmitted to the central processor of the financial institution and stored in the active case file 11. Information about loans which have not been accepted on the spot, are also transmitted to the financial institution and stored for a period of time in the quoted case file 10. The customer can return to one of the terminals and accept that loan anytime during the validity period.\n\nTurning now to FIG. 2, there is shown a block diagram of the various components of a terminal 5. The operation of the terminal is controlled by a data processor 13. To the left of the processor, various blocks represent the peripheral equipment which interfaces with the applicant. To the right of the processor there is shown a videodisc 14 on which are stored all the permanent data necessary for the operation of the terminal including the data necessary to effectuate the interactive and automatic request of information by the terminal from the applicant. A modem 15 provides a two-way communication channel with the financial institution 1 and the credit rating service 3. The modem is controlled by the data processor 13 and handles a batch of information through a direct memory access unit 16, to and from a RAM memory 17. Thus, the RAM memory can be used to hold data obtained from the loan rate files 9 at the financial institution as well as applicant's financial profiles obtained from the credit rating service 3. The RAM memory can also be used to store some of the operating routines necessary for the operation of the terminal.\n\nCommunication with the applicant is done mainly through the video screen 18. The video screen 18 displays the picture of a fictitious loan officer who informs the applicant about the various types of loans available as well as the manner in which the application can be filed. The applicant answers the request of a loan officer by means of a touch pad 19 or a keyboard. Any entry made by the applicant on the touch pad 19 is processed and orally repeated immediately by means of a voice synthesizer 20 and loud speaker 21. The oral expression of the answers provided by the applicant is a way to assure that no false entry is made. A magnetic strip reader 22 may be provided so that the applicant can give an account number or an identification by means of a credit card. A printer 23 is used to deliver to the applicant a hard copy of any loan quotation as well as a confirmation of his accepted loan.\n\nFIG. 3 is a flow diagram of the system operation during the initial phase of the loan application process. The start of system operation is triggered either by the applicant pushing a start button or by the automatic detection of his presence in front of the terminal. Once the system is activated 25 the recording of an image and sound of a fictitious loan officer is read from the videodisc 14 and appears on the video screen 18. The fictitious loan officer takes the applicant through a language selection routine 26-29. In this case, the applicant is asked in both English and Spanish in what language the loan transaction is to be conducted. In this phase of the operation as well as all interactive communications between the loan officer and the applicant, the loan officer explains to the applicant how to enter his answer by means of the touch pad 19. The applicant is then asked whether a previous quotation has already been prepared for him 30. In the affirmative, he is then requested 31 to enter a pass number or identification number either by entering the number on the touch pad or by running his credit I.D. card through the strip reader 22. The terminal then addresses the financial institution and requests 32 the prior loan quotation stored in the quoted case file 10 of the central processor 4. This is done by the data processor 13 of the terminal dialing the institution phone number through the modem 15 and sending a request message. The terminal goes into a standby mode with its DMA unit 16 waiting for a transfer of information from the line into the RAM memory 17. The continued operation depends on whether or not the previous quotation is found 34 to be on file. If the answer is negative, the fictitious loan officer instructs 35 the applicant how to proceed to apply for a loan. In the case where a previous quotation is found to be on file, that quotation is transferred to the terminal according to the program routine B illustrated in FIG. 5.\n\nFIG. 4 is the flow diagram of the system operation during the acquisition of information by the terminal from the applicant. The applicant is first asked to select 36 the type of loan in which he is interested. In this case, he is offered a menu allowing him to choose between a real estate loan 38, a vehicle loan 39, a personal loan 40 secured by an asset held by the financial institution or a personal unsecured loan 41. Any invalid selection 37 triggers a new request. Once a type of loan has been selected, a real estate loan for example, the fictitious loan officer asks a series of inquiries corresponding to the questions that would be found on a standard loan application form. For each question, the system performs a subroutine 42-45 designed to guarantee proper input of the information into the terminal memory 17. If a problem develops during the question and answer period, the applicant is invited to call 44 the loan service at the financial institution. If the answer to a question is not received within fifteen seconds 45, the process of application is presumed to have been abandoned by the applicant and the system returns to its initial standby state. Once all the proper answers have been accepted, they are processed 46 by the terminal data processor 13. This process may involve analyzing certain key answers in order to identify any element or data that would automatically disqualify the applicant. Depending upon the result of that first analysis, more questions 47 may be presented to the applicant in order to refine the data necessary for a thorough assessment of his qualifications.\n\nTurning now to FIG. 5, the B subroutine used to receive a previous quotation from the financial institution is illustrated in the first flow diagram. Once the previous quotation is requested 48 the DMA unit 16 of the terminal is allowed to receive a batch of information containing the previous quotation. This batch of information is stored in the RAM memory 17 from where it is fetched 50 and displayed 51 on\n\nthe video screen 18. The applicant is then asked if he wants a hard copy 52 of the quotation. In the affirmative, the previous quotation is printed 53 on printer 23. The second flow diagram corresponds to the acquisition of the applicant's financial profile from the credit rating service 3. Once a loan quotation has been presented to thus applicant he is asked whether or not he wants to apply for the loan 54. If his answer is negative, the fictitious loan officer expresses final greetings 55. The loan quotation, if not already in storage at the financial institution, is transmitted there for temporary storage in the quoted case file 10 of the central processor 4. If the applicant wishes to apply for the loan, he is asked to provide a password or identification 56 which will allow the terminal to access his file at the credit rating service 3. As previously explained, this number can be entered directly by means of an identification card run through the strip reader 22 or entered manually 57 by means of the touch pad 19. The terminal requests a rating 58 from the credit rating service 3 in a manner similar to the one used and described previously for obtaining a previous quotation from the financial institution. The applicant's financial profile is received as a batch of information through the DMA unit 59 and then read from the memory 60. The financial profile is then analyzed by the terminal in order to compute 61 a debt ratio or other criterion devised by the financial institution to access the credit worthiness of the applicant. The debt ratio is the ratio of the applicant's current expenses to his current income. Other parameters such as debt to equity ratio or fixed assets to debt may be computed by the terminal data processor 13 and used in determining the qualifications of the applicant. It should be noted that the entire decision whether or not to grant the loan is performed automatically and onsite by the terminal 5 without intervention whatsoever from any of the financial institution personnel, except in case of a breakdown in communications by requesting a direct phone call by the applicant to the financial institution.\n\nThe last flow diagram on the drawing represents the final phase of the loan application transaction. Once the terminal equipment has determined that the applicant qualifies 62 for the loan, the applicant is so notified 63, and instructed how to obtain the loan funds. The institution is also notified 65, and the loan is processed through the active case file 11 by the central processor 4. The fictitious loan officer closes the transaction by giving his final greetings 66 before the system is returned to a standby condition. If the applicant does not qualify for the amount of loan requested, he is first asked whether a lesser amount 67 would be acceptable to him. He is then instructed to enter the lesser amount 68 through the touch pad 19. That new amount is then checked against the determination already made by the terminal. The process is repeated until an acceptable amount is requested by the applicant, or until such time as the applicant declines to proceed with the loan application.\n\nIt should be noted that the system as described could be applied to other forms of transactions in which information has to be acquired from a customer then processed to a decision or into the performance of a particular task. A similar system could be used, for instance, for the preparation and filing of income tax returns. In such case, the assistance that the fictitious person who appears on the video screen can give to the applicant in filling-out the tax form can be easily programmed on the videodisc.\n\nOther applications of the system include the selection and purchase of stocks and other securities, the selection and opening of so-called \"self-directed investments\" such as Individual Retirement Accounts, and other complex transactions which normally require a great deal of time and attention on the part of the officers of an institution.\n\nWhile the preferred embodiment of the invention has been described and other modifications have been suggested, other embodiments may be devised without departing from the spirit of the invention and the scope of the appended claims.\n\nWhat is claimed is:\n\n1. An automatic data processing system for processing business and financial transactions between entities from remote sites which comprises:\n a central processor programmed and connected to process a variety of inquiries and orders transmitted from said remote sites;\n said central processor including:\n means for receiving information about said transactions from said remote sites;\n means for retrievably storing said information;\n at least one terminal at each of said remote sites including a data processor and operational sequencing lists of program instructions;\n means for remotely linking said terminal to said central processor and for transmitting data back and forth between said central processor and said terminal;\n said terminal further comprising means for dispensing information and services for at least one of said entities including:\n a video screen;\n means for holding operational data including programming, informing, and inquiring sequences of data;\n means for manually entering information;\n means for storing information, inquires and orders for said transactions entered by one of said entities via said means for manually entering information, and data received through and from said central processor;\n on-line means for transmitting said information, inquires, and orders to said central processor;\n on-line means for receiving data comprising operator-selected information and orders from said central processor via said linking means;\n means for outputting said informing and inquiring sequences on said video screen in accordance with preset routines and in response to data entered through said means for entering information;\n means for controlling said means for storing, means for outputting, and means for transmitting, including means for fetching additional inquiring sequences in response to a plurality of said data entered through said means for entering and in response to information received from said central processor;\n said informing sequences including directions for operating said terminal, and for presenting interrelated segments of said operational data describing a plurality of transaction operations;\n said programming sequences including means for interactively controlling the operation of said video screen, data receiving and transmitting means; and for selectively retrieving said data from said means for storing;\n said means for storing comprising means for retaining said operational sequencing list and means responsive to the status of the various means for controlling their operation;\n said central processor further including:\n means responsive to data received from one of said terminals for immediately transmitting selected stored information to said terminal; and\n\nIn compliance with the Act of July 19, 1952 (66 Stat. 814; 35 U.S.C. 290) you are hereby advised that a court action has been filed on the following patent(s) in the U.S. District Court:\n\n| DOCKET NO. | DATE FILED | U.S. DISTRICT COURT |\n|------------|------------|---------------------|\n| 02cv532 L(POR) | 03/21/02 | United States District Court, Southern District of California |\n\n| PLAINTIFF | DEFENDANT |\n|-----------|-----------|\n| PanIp LLC | Video Age Inc |\n\n| PATENT NO. | DATE OF PATENT | PATENTEE |\n|------------|----------------|----------|\n| 1 5,576,951 | 11/19/1996 | Lawrence B. Lockwood |\n| 2 6,289,319 | 09/11/2001 | Lawrence B. Lockwood |\n\nIn the above-entitled case, the following patent(s) have been included:\n\n| DATE INCLUDED | INCLUDED BY |\n|---------------|-------------|\n| | Amendment |\n| | Answer |\n| | Cross Bill |\n| | Other Pleading |\n\n| PATENT NO. | DATE OF PATENT | PATENTEE |\n|------------|----------------|----------|\n| 1 | | |\n| 2 | | |\n| 3 | | |\n| 4 | | |\n| 5 | | |\n\nIn the above-entitled case, the following decision has been rendered or judgment issued:\n\n| DECISION/JUDGMENT |\n|-------------------|\n\n| CLERK | (BY) DEPUTY CLERK | DATE |\n|-------|-------------------|------|\n\nCopy 1 - Upon initiation of action, mail this copy to Commissioner Copy 3 - Upon termination of action, mail this copy to Commissioner\nCopy 2 - Upon filing document adding patent(s), mail this copy to Commissioner Copy 4 - Case file copy\n\nCIVIL COVER SHEET\n\nThe JS-44 civil cover sheet and the information contained herein neither replace nor supplement the filing and service of pleadings or other papers as required by law, except as provided by local rules of court. This form, approved by the Judicial Conference of the United States in September 1974, is required for the use of the Clerk of Court for the purpose of initiating the civil docket sheet. (SEE INSTRUCTIONS ON THE SECOND PAGE OF THIS FORM.)\n\nI (a) PLAINTIFFS\n\nPANIP\n\n(b) COUNTY OF RESIDENCE OF FIRST LISTED PLAINTIFF\n\nSAN DIEGO\n\n(Except in U.S. Plaintiff Cases)\n\n(c) ATTORNEYS (FIRM NAME, ADDRESS, AND TELEPHONE NUMBER)\n\nKathleen M. Walker, Esq.\n3421 Thorn Street\nSan Diego, CA 92104\n619-255-0987\n\nII. BASIS OF JURISDICTION (PLACE AN X IN ONE BOX ONLY)\n\n☐ U.S. Government Plaintiff\n☒ Federal Question\n(U.S. Government Not a Party)\n☐ U.S. Government Defendant\n☐ Diversity (Indicate Citizenship of Parties in Item III)\n\nIII. CITIZENSHIP OF PRINCIPAL PARTIES (PLACE AN X IN ONE BOX FOR DIVERSITY CASES ONLY)\n\nFor Diversity Cases Only\n\n☐ Citizen of This State\n☐ Citizen of Another State\n☐ Citizen or Subject of a Foreign Country\n\n☐ Incorporated or Principal Place of Business in This State\n☐ Incorporated and Principal Place of Business in Another State\n☐ Foreign Nation\n\nPT DEF PT DEF\n\n☐ 1 ☐ 1 ☐ 4\n☐ 2 ☐ 2 ☐ 5\n☐ 3 ☐ 3\n\nIV. CAUSE OF ACTION (CITE THE US CIVIL STATUTE UNDER WHICH YOU ARE FILING AND WRITE A BRIEF STATEMENT OF CAUSE. DO NOT CITE JURISDICTIONAL STATUTES UNLESS DIVERSITY).\n\nPatent infringement 35 U.S.C. 271 and 281\n\nV. NATURE OF SUIT (PLACE AN X IN ONE BOX ONLY)\n\n| CONTRACT | TORTS | PERSONAL INJURY | FORFEITURE/PENALTY | BANKRUPTCY | OTHER STATUTES |\n|----------|-------|-----------------|--------------------|------------|---------------|\n| ☐ 118 Insurance | ☐ 310 Airplane | ☐ 362 Personal Injury - Medical Malpractice | ☐ 610 Agriculture | ☐ 422 Appeal 28 USC 158 | ☐ 400 State Reapportionment |\n| ☐ 120 Marine | ☐ 313 Airplane Product Liability | ☐ 365 Personal Injury - Product Liability | ☐ 620 Other Food & Drug | ☐ 423 Withdrawal 28 USC 157 | ☐ 410 Antitrust |\n| ☐ 130 Miller Act | ☐ 320 Assault, Libel & Slander | ☐ 368 Asbestos Personal Injury Product Liability | ☐ 623 Drug Related Seizure of Property 21 USC 871 | ☐ 430 Banks and Banking | ☐ 430 Commerce/Reg. Rates-rates |\n| ☐ 140 Replevin or Injunction | ☐ 330 Federal Employers' Liability | ☐ 369 Aviation Regs | ☐ 630 Copyrights | ☐ 435 Patent | ☐ 460 Deportation |\n| ☐ 150 Recovery of Overpayment of Retirement or Judgment | ☐ 340 Marine | ☐ 369 Occupational Safety/Health | ☐ 632 Labor | ☐ 440 Trademark | ☐ 470 Racketeer Influenced and Corrupt Organizations |\n| ☐ 151 Medicare Act | ☐ 345 Marine Product Liability | ☐ 370 Litter Traced | ☐ 633 Labor | ☐ 480 HIA (13954) | ☐ 480 Selective Service |\n| ☐ 152 Recovery of Detained Student Loans (Excl. Veterans) | ☐ 350 Motor Vehicle | ☐ 371 Truth in Lending | ☐ 634 Black Lung (923) | ☐ 530 Succession/Commodities Exchange | ☐ 490 Agribusiness Act |\n| ☐ 153 Recovery of Overpayment of Veteran Benefits | ☐ 355 Motor Vehicle Product Liability | ☐ 380 Other Personal Property Damage | ☐ 635 DWI/DWIW (40551) | ☐ 570 Consumer Challenge 12 1152 | ☐ 491 Agricultural Act |\n| ☐ 160 Stockholders Suits | ☐ 360 Other Personal Injury | ☐ 385 Property Damage Product Liability | ☐ 700 Other Labor Litigation | ☐ 640 RSI (40549) | ☐ 492 Economic Stabilization Act |\n| ☐ 190 Other Contract | ☐ 362 Other Product Liability | | | | ☐ 893 Environmental Matters |\n| ☐ 191 Longshore Product Liability | | | | | ☐ 894 Energy Allocation Act |\n| | | | | | ☐ 895 Freedom of Information Act |\n| | | | | | ☐ 900 Appeal of Fee Determinations Under Equal Access to Justice Act |\n| | | | | | ☐ 950 Commonwealth of State |\n| | | | | | ☐ 890 Other Statutory Actions |\n\nVI. ORIGIN (PLACE AN X IN ONE BOX ONLY)\n\n☐ 1 Original Proceeding\n☐ 2 Removal from State Court\n☐ 3 Remanded from Appellate Court\n☐ 4 Reinstated or Reopened\n☐ 5 Transferred from another district (specify)\n☐ 6 Multidistrict Litigation\n☐ 7 Appeal to District Judge from Magistrate Judgment\n\nVII. REQUESTED IN COMPLAINT: ☐ CHECK IF THIS IS A CLASS ACTION UNDER FRCP 23\n\nDEMAND $\n\nCheck YES only if demanded in complaint:\n\nJURY DEMAND: ☐ YES ☐ NO\n\nVIII. RELATED CASE(S) IF ANY (See Instructions):\n\nJUDGE\n\nDocket Number\n\nDATE 3/14/02\n\nSIGNATURE OF ATTORNEY OF RECORD Kathleen M. Walker\n\n# 302185\n\n80705 PD $150\n\nUNITED STATES DISTRICT COURT\nSouthern District of California\nSan Diego Division\n\n# 080705 - A1\nMarch 21, 2002\n\n| Code | Case # | Qty | Amount |\n|----------|----------|-----|--------|\n| CV006900 | | | 600.00 CH |\n| CV510000 | | | 150.00 CH |\n\nTotal -> 750.00\n\nFROM: PANIP 02CV00534-BIM (CIVIL)\n PANIP 02CV-0530-B (CIVIL)-BACKUP\n PANIP 02CV-0531-L (CIVIL)\n PANIP 02CV-0532 PANIP 02-0533"}}},{"rowIdx":204885,"cells":{"text":{"kind":"string","value":"MSS\n\nGolden Anniversary\n\nSpring, 1983\n\nThis issue of MSS is dedicated to Dr. Werner Beyer with thanks and love for all his help over the years.\n\n—The Editors\n\nManuscripts\nButler University Indianapolis, Indiana\nVolume 51, No. 1 May, 1983\n\nMSS STAFF\n\nSenior Staff Editor\nLaura J. Guyer\n\nAssistant Editor\nKatherine Shawn Matheny\n\nStaff\n\nJennifer Aikman\nButch Burton\nMaggie Dumper\nUte Finch\nLisa Garrigus\nLaura Heroux\nChris Lientz\nJennifer Lovell\nDebbie Schimpf\nTom Stein\nBill Titus\nLisa D. Wagner\nBetsy Waugh\nValerie Weber\n\nFaculty Advisor\nDr. Werner W. Beyer\n\nOur Special Thanks go once again to the following people: Ryan Murphy (our noble graphic leader), Dr. Beyer (who has seen us through this adventure), Mr. Hey (for putting our prose into print), and Dr. Walsh (who sees his time for helping this literary gem drawing ever nearer.)\n\n| Page | Title | Author |\n|------|-------------------------------------------|-------------------------------|\n| 5 | A Voice In The Darkness | Larry Edwards |\n| 10 | #24—Fall: Holcomb’s Puddle | Shawn Stroud |\n| 11 | Sylvia, Be Still | Jennifer Aikman |\n| 12 | I Will Tend to My Garden | Shawn Matheny |\n| 15 | The Performance | Kyla Jones |\n| 16 | For My Beautiful Mother | Kate Duffy Raper |\n| 17 | Dream Us A Game | Kate Duffy Raper |\n| 21 | Analysis In My Stereo Headphones | Erika Lersch |\n| 22 | The Actress Meets Her Character | E. D. B. |\n| 24 | Untitled | Thomas E. Fitch |\n| 25 | Food | Sarah Hill |\n| 27 | The Roach: Life In A Tin Can | Robert Roach |\n| 37 | Untitled | Amy Baty* |\n| 38 | After Death | K. L. H. |\n\n* Denotes Freshman Writing\n\nMANUSCRIPTS\n\nA Voice in the Darkness\n\nby Larry Edwards\n\nHe rounded the corner and barged into a half-filled garbage can, tripped and caught himself, then stumbled on. His breath was coming in ragged gasps, and his side where he pressed his right hand felt like it was on fire. But he couldn’t stop. He could hear their footsteps echoing off the pavement, and it sounded like they were gaining on him.\n\nHe came to the end of the alley and paused. Sucking in great breaths of air, he struggled to clear his head. A sharp pain in his chest caused him to cry out, but he quickly cut it off. Looking behind him once more, he staggered onto the sidewalk, then stopped as a scream sounded.\n\nAn old lady, her hands pressed to her face, her eyes opened wide, stood staring at him. He stepped toward her, just to ask her not to make so much noise, but she screamed again and fled in the opposite direction.\n\nConfused, he watched as she ran to the end of the block and disappeared from sight. He felt sweat drip into his eyes and raised his left hand to wipe it away, then froze. That was why the old woman had screamed. He was still carrying the gun in his hand. He cursed and jammed it into his belt, then winced as another pain stabbed through his chest.\n\nRemoving his right hand, he saw that his entire side was covered with blood and that a small pool of it had already collected around his feet. And behind him, leading from the alley he had just emerged from, was a bright trail of red drops.\n\nHe cursed again. All they had to do was just follow the blood and they’d have him. Taking his handkerchief from his back pocket, he pressed it hard against his side and stumbled on.\n\nHe ran in the opposite direction the old woman had taken, crossed over the street and down another alley, then still another. He stopped, knowing that he couldn’t go much farther. Maybe it would be best if he just gave himself up, just sat down here against the wall and waited for them? No, he couldn’t do that. They’d probably shoot as soon as they saw him. That’s what they did when someone shot a cop.\n\nStraightening, he pushed away from the building and peered around the corner. Nothing. To his right were a few buildings, stores of some kind, but since it was Sunday, none of them were open. In the other direction were more buildings, and a filling station, but they were closed also. The only thing alive that he saw was an old mangy dog sniffing at a fire hydrant.\n\nHe watched the dog for a second, thinking that it looked like the mutt he used to have when he was a kid, then shook his head. What was he doing, thinking about something like that! It must be the loss of blood.\n\nThe pain was getting worse now; every breath that he took felt like someone was driving a knife through his lungs. A cough shook his body and he saw blood where he had spit. For a while he stood there, swaying slightly. Then the street seemed to shimmer and he had the strangest feeling that the\n\nsidewalk had turned into a roller coaster. His stomach lurched and he felt the bile rise in his throat, but he swallowed it back down.\n\nA siren sounded and he jumped, almost passing out from the pain caused by his reaction. He had to keep moving. He lurched across the street and down the other side, past the filling station. He then turned down another street and followed it for a few blocks until he was forced down another alley where he spotted a patrol car.\n\nThe sight of the car gave him new strength and he raced along the pavement, darted through the door of a burned-out apartment building, then climbed through a window on the other side. Then the strength left him and he slumped against the wall. He could run no farther.\n\nWildly he looked around. Then he saw it; its spires rising tall into the morning light, seeming to beckon him, to call to him. Bracing himself against the pain, he pushed away from the building and started for the church.\n\nIt loomed larger and larger before him, its stained-glass windows staring bleakly at him, the wide arch of its doors taunting him. He mounted the steps, then fell against the door. Taking the handle in his hand, he held his breath, then sighed when he felt it turning and the door sliding open.\n\nSlipping inside, he closed the door behind him and leaned on it, resting his head against his chest. He felt his eyes beginning to close and he forced them open. He couldn’t let go now. No one would think of looking for him here.\n\nThen the thought hit him. What about the people who came to this church? When did they arrive? Though he figured it to be only about five-thirty or so, he didn’t know when the services were held here. Maybe the church had a basement, or a small room off from the rest of the church that they didn’t use.\n\nHe heard a sound in the street behind him—footsteps—and he whirled, pulling the gun from his belt as he did, and slowly began backing down the aisle. He bumped into a pew but didn’t fall. His eyes remained glued to the door.\n\nDammit! Why couldn’t whoever it was just walk on? He didn’t want to hurt anyone. He hadn’t wanted to shoot that cop. If only he hadn’t stuck his nose in!\n\nHis back struck something solid; he whirled and almost fired, but something in the eyes held him. For a second he thought he was losing his mind, then he realized what it was. It was Jesus nailed to the cross! He had backed into the altar. And the eyes of Jesus seemed to be looking into his own.\n\nHe knew it was just the lighting, and maybe because of the way the figure had been built, but those eyes seemed to be trying to tell him something. They seemed to possess a life of their own.\n\nHe heard the doors to the church begin to swing open and he tore his eyes away from the crucified figure. He lurched to his right, stopping when he came to the end of the pews. He had to hide. The door was almost open.\n\nGlancing to his side, he saw what looked to be a large, black closet with two doors. He lunged through the closest one and slammed the door behind him. All was silent. Then he heard the footsteps again, coming closer, closer, almost as if whoever was out there knew where he was.\n\nHe gripped the gun, aiming it at the door. Please don’t come. Please don’t.\n\nThe steps came to the door and his finger tightened on the trigger. Then they passed it, and he heard the next door open, then the rustling of clothes.\n\nHe stared at the wall, then noticed a small window set about three feet off the floor with a small black curtain. Hesitantly, he reached forward and slid the curtain aside a little and peered through the window. He could barely make out the shape in the darkness.\n\n\"Bless me, Father, for I have sinned.\"\nHe quickly dropped the curtain and brought his gun back up. Then he smiled, He was in a confessional. He leaned forward and slid the curtain aside again.\n\n\"Father . . .?\"\nThe voice was that of a girl and not too old either. He judged her to be in her late teens.\n\"Father, are you there?\"\nHe had to say something. Taking a deep breath and wincing from the pain, he knelt and brought his face to the opening, then said, \"Yes Child.\" He hoped that sounded priest-like enough.\nThe girl stated again, \"Bless me, Father, for I have sinned.\"\nHe racked his brain for something to say, but the pain from his chest was making thinking hard to do. Finally, he just repeated what he had said before, \"Yes, Child?\"\n\n\"Father, I don't know how to start. I mean, I . . .\" her voice trailed off and he could hear sobbing coming from the darkness.\n\"My Child. Surely your sin is not this great.\" He felt like kicking himself in the ass when he heard the girl break into heavier sobbing.\nHe mumbled, \"Damn,\" at which the girl's sobs became frantic. She moaned and said, \"I know, Father. I'm damned for my sins. I know.\"\nHe felt his legs buckle and he slid to the floor, bumping his head on the side of the confessional box, \"Hell.\"\n\"Yes, Father, I know I'll spend eternity in hell for what I've done! But I love him, Father. And he loves me. We want to be married, but our parents won't let us.\"\nFor a moment he lost track of time. Red spots swam before his eyes. Little squiggles of light shot back and forth in the booth, crashing off the sides, exploding off the floor. Then the sound of the girl's voice brought him back.\n\n\"... and we knew that it was wrong, in the eyes of the Church, but we didn't mean anything wrong by it. We didn't! We love each other.\"\nHe whispered weakly, \"... you love each other?\"\n\"Oh yes, Father. Very much so. That's why I can't understand it being a sin. If two people love each other, then why is it wrong for them to show it?\"\nHe wiped the sweat from his brow and edged closer to the small opening, \"Does your parents know about this, er, do your parents know about . . . ?\"\n\"No, Father. I'm afraid to tell them. That's why I came here. I thought that... I mean... if there was any way that I could be forgiven for what I've done. Then maybe I could tell them and they wouldn't be so upset. If they knew that the Church forgave us.\"\n\nHe didn't respond. His thoughts were jumbled, not only from what had happened to him, but from what the girl had said. Evidently she really believed that she had sinned. And for what? For making love with a boy she loved, whom she wanted to marry? He shook his head. Why couldn't those bible-thumpers leave the young alone?\n\nHe remembered when he was young. He had sown a few wild oats himself, but he had never worried about offending any God. Hell, why should he? Even though his parents had attended church regularly, he'd stopped going when he was ten or eleven. He hadn't been able to see why it was such a terrible thing to have a little fun. And he still didn't.\n\nHe whispered, \"Are you so sure that what you did was a sin?\"\n\nThere was silence for a while before the girl answered him, \"Father?\"\n\nHe said, a bit stronger, \"Do you really believe that what you've done is a sin?\"\n\n\"But Father, doesn't it say in the Bible that one should resist the sins of the flesh? To beware of the cardinal sins?\"\n\n\"I asked, 'Do you believe that it was a sin?'\"\n\nShe hesitated, then answered, \"No Father, I do not. But I am not the Church.\"\n\nHe thought, then said, \"Which do you think is worse? Bringing a life into the world, or taking one out of it?\"\n\n\"Why, taking one out of it, of course.\"\n\n\"You know, there are many people, good and bad people, who take the lives of others each day. Some do it on purpose, others by accident. Some even by love. So how can you say that the act of creating life, especially if that life is created in love, is a sin?\"\n\n\"But Father, we are not married in the eyes of the Church.\"\n\nHe chuckled, then said, \"Neither were Adam or Eve, but that didn't stop them.\"\n\nHe heard her gasp and thought that he might have gone too far, and he started to continue, but he heard the massive door to the church open, then footsteps sounded. He raised the gun and pointed it at the sounds.\n\n\"Father, are you still there?\"\n\nWithout taking his eyes from the door, he answered, \"Yes, my Child, I am still here. I am just praying for guidance.\" He heard the rustle of her clothes, then her whispered words as she joined him in prayer, and he thought, \"Make it a good one, Child. Make it a good one.\"\n\nHe heard the footsteps lead to the girl's door, then heard the girl's gasp of surprise when it was opened. He waited, his finger beginning to tighten on the trigger, his body preparing itself for the bullets he knew would come any second.\n\nThe girl's voice was indignant, \"What is the meaning of this?\"\n\nAnother voice, strong, masculine, answered, \"Uh, we're looking for . . . I mean, have you seen a man enter this church?\"\n\nShe answered, \"I've been in confession with the Father.\" Then, anger in her voice, she continued, \"What right have you to come in here and interrupt my absolution? How dare you enter a house of God like this?\"\n\nHe listened, a smile on his face, as the policeman stammered his reply, \"Well, uh, you see, we're after a really dangerous man. He killed a policeman in a drug raid. We followed him, but lost him a few blocks away, so we're canvassing the area trying to see if we can find him.\"\n\nThe girl answered, \"And do you see him here? I'm not sitting on him. And the good Father's certainly not.\"\n\nDamn! He wished she hadn't mentioned him. He braced himself. As soon as that door opened he was going to shoot.\n\n\"Excuse me, Father, but I'm afraid I've got to ask you a few questions.\"\n\nHe slowly squeezed the trigger as he heard the knob turning in the door, then hesitated, and said, \"Son, do you know what it is that you do?\"\n\nThe knob stopped turning.\n\n\"I'm sorry, Father, but we're looking for . . .\"\n\nHe interrupted, \"I know who it is that you are searching for, but do you not hold anything holy? Do you not know the sacredness of confession? Have you no fear of the Lord?\"\n\nThe policeman answered, \"I'm sorry, Father. I really am. I told them that he wouldn't be in here, but they wouldn't believe me.\"\n\nHe loosened his hold on the gun. Maybe it was going to work after all.\n\n\"Then go, my Son, and sin no more.\"\n\nTo his amazement, he heard the policeman turn and begin walking away.\n\nDamn, it was going to work!\n\n\"Father?\"\n\nIt was the girl again.\n\n\"Father, excuse me if I sound stupid, but are you saying that I am forgiven for my sins?\"\n\n\"My Child, what are your sins that you need be forgiven for?\"\n\n\"But surely in the eyes of the Lord . . .\"\n\nAt her mention of the Lord's eyes his thoughts turned to the figure on the cross. How could those eyes belong to any God who would damn this poor child for what she did?\n\n\"Child, do you really and truly love him?\"\n\n\"Yes, Father, I do.\"\n\n\"And if your parents knew that the Church did not believe you to be guilty of sin, would they allow you to marry?\"\n\n\"Oh, yes, Father. They would.\"\n\n\"Then go, my Child, with the blessing of the church. Enter into marriage and be happy and know that what you have done is not a sin, but a token of your love for your beloved and for your God, for how better a way to worship Him than to bring about a life in His Name?\"\n\n\"There is no penance?\"\n\nHe thought for a second, \"Are you from this church? I mean, do you attend services here?\"\n\n\"No, Father. The priests at my church are very strict, and . . . forgive me Father, but at times they seem to be overly zealous at their calling, especially when it comes to sins of the flesh.\"\n\nHe chuckled, \"Dangers of the trade.\"\n\n\"What, Father?\"\n\n\"Nothing, my Child. Just go with a light heart. You have no penance to make. God be with you forever, my Child.\"\n\n\"Bless you, Father. And thanks.\"\n\nHe whispered, \"I'll need it, Child,\" as she left the confessional and made her way to the door. When he heard the old door open and shut, he tried to push himself to his feet, but he was unable to do so. He dropped the gun and pushed, but he couldn't raise himself.\n\nHe was dying and he knew it. That bullet had gone through his side and travelled upwards, perhaps going through his lungs as it went. He laughed. What a place to die, at least for him. In a church!\n\nHe thought about those eyes again. Maybe he, too, would be forgiven? What was he saying? He didn't believe in that crap! Look what believing had done to that poor girl. At least she would be happy now, and no thanks to any Power that Is.\n\nHe heard the door at the front of the church open again, then footsteps once more make their way towards the confessional.\n\nDamn! Now what? They sounded too heavy to belong to the girl. He reached for the gun, but found that he didn't have the strength to lift it. So be it. Let them get him. The laugh would be on them. He was almost dead anyway.\n\nHe waited for the door to his cubicle to open, and was surprised when the booth next to him was opened and someone was seated. What was this?\n\nHe felt the blood begin to pound in his head, and the dimness of his booth darkened considerably. His breath seemed to catch in his throat. As he began to lose consciousness, he heard the voice of the policeman, \"Forgive me, Father, for I have sinned.\"\n\n#24—Fall: Holcomb’s Puddle\n\nby Shawn Stroud\n\nLook!\nButterfly leaves\nFlitting from trees to grass\nthrough sunbeams!\n\nHow soft:\nThe breeze wafting ’gainst my\nupturned cheek . . .\nKissed by a leaf.\n\nSylvia, Be Still\n\nby Jennifer Aikman\n\nEnough, Sylvia.\nYou do not do.\nDeath is my shepherd\nI shall want!\n\nYou've found my thoughts,\nMy secret self,\nUnder your bell jar\nIs that not enough?\n\nMy agonies, wrenchings\n—that surreal emptiness—\n(which is, by God, the worst of all)\nHave matched yours—one by one\nIt must suffice.\n\nI cannot join your ghoulish group\nYou've good company in Anne\nand the pitiful rest\n\nI seek solution... and absolution\nnot suicide.\nSuicide sickens.\n\nI've played the part long enough\nI quit now, before the final act\nFor one who wrote so well\nYou botched the script\nThe climax is all wrong\nYou know I asked for farce.\n\nI Will Tend to My Garden\n\nby Shawn Matheny\n\nClosing the door to the shadowy bedroom, the doctor felt a hand clutch at his elbow. Although the head of the woman, still raven-haired, hardly reached his chest, the black eyes immediately commanded his attention and demanded an answer to the unspoken question.\n\n\"I'm sorry, Mrs. Murphy... Helen. I have no different news. He's... the same. It could be any time now. It could be months, weeks, days, or hours. I just don't know. He isn't improving, but there is always... hope.\"\n\nHe watched her eyes in the pointed, almost unlined, face close in a silent prayer. \"Poor thing!\" he said to himself. \"Once Walter is gone, what will she do? With no family, no children, who will she turn to?\"\n\n\"Helen, get out of the house today. The nurse can watch him and you need some fresh air. Go take a walk along the beach or something.\"\n\nWith a flicker of her eyes dismissing his last remark, she simply said to the young man, \"I shall work on the garden, no? Some of the beds look terribly neglected. Once my bread comes out of the oven I will tend to my garden.\"\n\nBreaking the large clumps of earth with her fingers, Helen knelt down beside the freshly cleared flower bed. It was good to be outside again she decided. It had been too long since she had truly worked in her garden. Too long since she had weeded, hoed, and picked. She liked to smell and feel the fresh, ripe vegetables and flowers, for they reminded her of the large open markets in the streets of Paris. There the vendors had sung out the quality of their produce. There the vendors' sons with their sultry eyes had romanced a shy, dark-haired, young girl in a white lace dress. She softly murmured aloud, \"Paris, my love. Paris...\"\n\nWould Walter die today? She had asked herself that question all morning as she had each morning for the past months. She had dreamed the night before that this time he had died. In the dream his death had been no release from this abeyance, for she had spent the rest of her life cleaning the urine and vomit from the oriental rug under his bed. What do dreams mean? she wondered.\n\nShe grew tired of kneeling so she stopped her work and stood for a minute. Her back hurt. She said to herself, \"You are getting old. Where have all the years gone? I don't feel like an old woman, and I still don't feel at home here. I still feel like a little girl.\" Yes, she felt the same as she had felt when she was ten years old and living in Paris long before the war. She still felt as young and tiny as when she would follow Grandmere to the sweet-smelling bakery or the kosher deli. But now she felt alone.\n\nShe picked up the hoe and began to break the small clumps of hard clay. \"If I plant early, this patch will bloom soon. It will in a few weeks no longer be a barren patch of earth. But I am barren. I have no children to care for and to care for me. I have... no one. Have I failed? Yes, I have by their standards. Grandmere had ten children and I had six brothers and sisters. Dead. They are all dead now. Dead in the fires of a hell on earth. Only I survived the flames. Why?\" She remembered Mrs. Weinstein the summer before, after their trip to Israel, loudly talking at some tea.\n\n\"Helen was afraid to enter the museum. I asked her what she could possibly be afraid of—it was all so long ago. She said that she was afraid of what she would see. She was afraid of looking at those pictures. How silly! I said.\"\n\nShe looked across several rows of flowers at the huge ripe tomatoes. I will make stew tonight, she decided. But, who would eat it? Only the nurse, and then only because the silly girl was scared of her. She bitterly laughed to herself. The perfect wife who is no perfect wife. But, then, Walter was never, could never, be the perfect husband.\n\nBeautiful, blond Walter. So pretty. So polite. How was she to have known the truth? She has only associated with nice Jewish boys in Paris until she had arrived in Algiers, and by then all the nice Jewish boys were either scattered across the continent or they were dead. She remembered Algiers and the memory brought a bitter taste to her mouth. \"I was alone then and Walter said it would be strictly a business arrangement. He reminded me of the marriage that Mama and Papa would, no doubt, have arranged had they lived. In his arrangement, I would become a citizen and he would share my wealth after he paid his debts. I laughed when he explained the nature of his problem, for I had never heard of such a thing. I thought he was joking in a very decadent, but sophisticated way. It was against nature. At least, it was against nature as Grandmere explained it to me. Then he told me that he was serious and that it was something that I... that we would both have to live with. Somehow, I think he lived with it better than I. I, at first, thought I could change him. How young I was. How innocent. How naïve.\"\n\nWalter. Walter. She didn't know whether to laugh or to cry when she said his name. She remembered all the small pokes, the jeers, and the squabbles. \"What do you desire right now, now before you die—could you ever desire me, your wife? What do you feel now?\"\n\nWhat had they all felt? What had Papa felt before he died somewhere in Germany? Once she had seen pictures of it—that hateful thing. They were shown on some television program and she had not been able to tear herself away. Had they looked like that when they died? Had they been together, exposed for the cameras? If she looked among some stack of old\n\nphotographs would she see Grandmere’s sagging breasts? Those parts of her brothers that her sister and she had whispered about in the dark? Or the new baby’s swollen stomach? They were all gone now—gone.\n\nHolding a dandelion in one hand, she once again thought of the upstairs bedroom, and the reality of the situation overcame her. She said to herself, “He’s inside dying on a silk-sheeted bed and soon I must live alone. I am no longer that young girl in Paris with all of the world before her. I am an old woman with . . . nothing. I will grow old with the cats that scamper through my garden in this country that I do not, can not yet call home. Oh Grandmere, Mama, why . . . why?”\n\nHer thoughts were suddenly interrupted by the distressed voice of the nurse who was running towards her down the garden paths. “Mrs. Murphy! Mrs. Murphy! I’m sorry . . . so sorry. I thought he was only asleep, but . . . Please come, hurry!”\n\nHelen stood up and brushed the dirt from her grey slacks and then turned toward the girl. “It’s okay, darling. Please gather control. Now, go and call the doctor. I will see to my husband.”\n\nShe slowly walked to the door as a thousand thoughts gathered in her mind. “This is the last time I will clean the rug, because now he is dead. My Walter is dead. I must find a priest to do those priestly things, for he was Catholic, wasn’t he? Alone. Now I am alone. Alone as I’ve always been alone. What do you have now, Helen? A house? A garden? Oh yes, I have immense brandy sniffers on the end tables that are overflowing with matchbooks from every resort and casino in California, Cuba and Europe. Also, I have a vault of diamonds, gold and, perhaps, a few pearls which miraculously escaped, along with me, the grasping hands of an evil race. Except for those things, I am alone. Who will stand with me beside the grave? Who will come to the funeral? Will they come? The scores of blond, young boys—do they miss my Walter?”\n\nWith amazement she felt tears fall from her eyes and weave their way down her face. She had never cried before. Not when she had waved goodbye to them. Not when she had heard the news. Not even when she had learned the truth. Now she was sobbing and gasping for air. “Walter. Walter. I am so alone now. Who will comfort me? I am so alone.”\n\nThe Performance\n\nby Kyla Jones\n\nYou have entered the room\n(the audience is here)\nand spoken my name\n(now it’s my cue).\nI turn to answer\n(the performance begins)\nand say something meaningless\n(stick to the script).\nIf ever I told you how I really felt\n(don’t ad lib)\nyou might leave\n(never let the audience walk out),\nso I just swallow my love\n(the show must go on).\n\nFor My Beautiful Mother\n\nby Kate Duffy Raper\n\nBeautiful\nI see my face in hers, but older,\nThe corners tugged by sorrow's grey-gloved hands\nSensitive mouth pulled taught by midnight distress,\nNow a tightrope suspended by enduring granite cheeks\nAll cloaked in pearly softness,\nAnd so\n\nBeautiful\nHer eyes are mine, brown and brimming,\nBut mirroring a magic lantern of nightmare\nshe watched a proud man die,\npulling the last brave breath over clenched teeth\nNow he lives in those eyes —\nin the gentle dark eternity of the love that created\n\nMe\nAnd my face\nSo much hers that I must look again\nin awe... with love\nSo beautiful\n\nDream Us a Game\nor\nEzra’s Daughter\n\nby Kate Duffy Raper\n\n“They no longer play with us,” the children chorused to the grandmother. “Will you teach us new games?”\n\nThe grandmother, newly assigned to the outpost, looked about her new shelter. It was a grey cement box, which held the family safe, underground, away from the enemy’s splintering, throbbing bombs. Grey cement walls, which looked warm and porous, coldly shrugged off human touch when approached. The grey cement floor was devoid of covering, and out of it rose the cement block table and benches on which the family ate meals, and the high cement slabs on which they slept. Bars of white light at the juncture of ceiling and wall illuminated every angle of the cell and its cement furnishings. The shadow’s space was eaten up.\n\nThe father sat on the only non-cement chair at his computer terminal facing the grey wall, punching keys and watching lights correspond softly green, yellow, green, orange. He muttered and clacked the keys. He looked up at the grandmother and back at the keys.\n\nThe mother lay on her sleeping slab near the wall opposite the computer. Her eyes were closed, her hands folded across her breast. She slept.\n\n\"What kind of games do you play here?\" asked the grandmother.\n\n\"I have received transmission from the other outpost operators,\" the father announced at the next meal on the cement table. \"We have determined the enemy's strength at seven strategic points, and have calculated that we have the power to kill each individual 99,732 times.\"\n\n\"A new game!\" cried the children. \"We shall kill them 99 times!\"\n\nFrom the far wall came a rustle and a sigh, one almost indistinguishable from the other. The mother rose from the slab and joined the family at the cement block table.\n\n\"You're awake!\" the children were ecstatic. They turned to the grandmother. \"She hasn't been awake since before you were assigned to stay with us.\"\n\nThe mother encircled her children in her arms, and her long soft hair fell upon their faces. \"I had a dream,\" she told them in a conspirator's whisper. \"We all became tall slender young women, and we danced around immense purple flowers... flowers taller and bigger around than this table, and colored so deeply and richly they breathed like the sea. And as we approached each flower, it became wreathed in squares of blue lights. Each blue light became the entrance to a miniature city, and we reduced our size to travel and explore each one.\"\n\n\"The flowers are dead,\" said the father, seating himself once more before the terminal. \"The seas have dried up, and we have no blue lights—just white and green and yellow and orange.\"\n\n\"But I dreamed it,\" the mother looked up.\n\n\"And dreams are not real,\" replied the father.\n\n\"Now will you play with us?\" questioned the children.\n\n\"No, I must sleep again,\" and the mother climbed once more upon her slab.\n\n\"A new game! A new game!\" sang the children. \"We will dance around purple flowers and kill them 99 times!\"\n\nThe enemy's bombs fell around the many shelters, and the outposts remained in contact with each other reporting each new attack. The father continued to monitor his terminal, pausing only to eat or rest briefly on his slab. The children amused themselves with games, or joined the grandmother and occasionally their father, at the cement table for meals. The meals were synthesized by the computer, as was the freely circulating sweet air which filled spaces between the grey walls and didn't smell of bombs. At regular intervals, the father punched the terminal key which dimmed the bars of white lights, and the children and the grandmother slept on their slabs.\n\nThe mother, however, slept long and alone. When she awoke, it was with a dream on her lips. She no longer left the slab, but let the children gather around her to learn the new game. Shortly after the children had finished a meal, their mother sat up laughing.\n\n\"You've had another dream!\" they rushed to her slab.\n\n\"Yes, my darlings, another dream,\" she smiled.\n\n\"What was your dream about?\" the children flocked about her stretching their necks, pointing their noses upward.\n\n\"Horses.\"\nThe father groaned from his keyboard.\n\"... beautiful white horses, white like powder and big as the wind. They galloped past our shelter singing, and we grasped their manes and rode them to the sky.\"\n\"No more,\" said the father from the terminal. \"No more dreams.\" He turned in his chair to face them. His chair squealed, and his pinched face reflected the pain. \"Dreams are not real. I will show you what is real.\"\n\nHe punched a key on the terminal and on the dark screen above it bright green lines began to spider across until they had created a flickering skeleton map. He punched another button and foxfire glowed at intersecting spots on the map. The skeleton pulsed.\n\n\"At each of these points,\" his finger jabbed against the hard screen leaving smudges to dull the fires, \"the enemy has wiped out shelters just like ours with enough power to destroy each occupant 500 times. We must up our fire power to 600 strength, or we will also be destroyed, just like all the horses, and the occupants of those shelters. And that is real.\"\n\nThe mother rearranged her glossy dark hair over her breasts and breathed into it, \"But I saw horses... big as the wind.\"\n\n\"Horses!\" screamed the children, as they pranced around the shelter. \"We are riding white horses!\" They stopped suddenly to turn to their mother and ask her what horses were like, but she was once more asleep.\n\nShe did not sleep long, but suddenly sat up straight on the slab. Her eyes opened on both sides, and stared not forward, but back into the endless corridors on the other side. Gradually they travelled back through the dark, closed the memory door behind them, and sought the grandmother.\n\n\"He was here. He almost spoke to me.\"\n\"There was no one here. Who was here?\" queried the children.\n\"Her father,\" replied the grandmother.\n\"He was here,\" the mother repeated.\n\"Your father was not here,\" came the voice from the terminal. \"You had a dream; your father was not here. Your father is dead.\"\n\"How many times was he killed?\" the children wanted to know.\n\"Only once.\" The mother turned her face to the wall.\n\nFascinating. The children pondered the complexities and finality of this new game. It was more difficult to play.\n\n\"No!\" the father clacked angrily at his keys. \"According to this data, the enemy has destroyed the outpost in the next sector. They used enough fire power to destroy each inhabitant 1,027 times! We must boost our power to 1,050!\"\n\n\"We must boost our power!\" the children joined hands and circled their mother's slab. They circled and sang, then sat and watched for their mother to wake and tell them a new dream game.\n\nThe mother continued to sleep. The father leaned forward over his terminal, straining as new lights came on green, yellow, orange. He punched more keys and the anxiety ran through his fingers into the keys and appeared as wavering green numbers on the screen. The numbers worriedly, self-consciously regarded each other on the screen, inadequate to the demands of the father who ran his hands through his hair urging, \"More power! More power!\"\n\n\"More power, more power,\" the children chanted and swayed as they sat\n\naround their mother's slab.\n\nShe stirred on the slab, she moaned. Tears ran from her closed eyes. The children leaned close to watch.\n\nShe rose slowly. Her eyes were wide and wet and dark, and they saw neither in nor out, but somewhere else. Her voice was a shivering whisper of an echo from the caverns of her eyes.\n\n\"He is here.\"\n\nThe grandmother closed her eyes and saw also.\n\n\"Where? Where?\" the children looked around. \"Does he bring purple flowers?\"\n\n\"The flowers are dead!\" the father frantically punched his keys.\n\n\"Does he come with blue lights?\" The children spun in circles looking for the lights.\n\n\"Green lights, and yellow, and orange!\" shouted the father to the screen. The mother trembled.\n\n\"Does he ride white horses?\" the children climbed on top of each other in their frenzy.\n\n\"No more horses!!\" the father pounded the keys with his fists.\n\n\"He speaks,\" hushed the mother, and the grandmother joined with her. \"Women are strongest, but truth is victor over all things.\"\n\nAnd then the enemy's bombs found them, and killed each of them 1,035 times, so that they multiplied amidst wreaths of blue lights, blossomed upward like the petals of immense purple flowers and caught the manes of the huge singing white horses, and rode them, a chorus of legions, into the sky.\n\nAnalysis in My Stereo Headphones\n\nby Erika Lersch\n\nAMERICAN WOMAN, STAY AWAY\nLISTEN WHAT I SAY\n\nDON'T KNOW WHAT\nI'M GOING TO FIND\n\nYOU CAN'T ALWAYS GET\nWHAT YOU WANT\n\nA GLASS OF WINE\nIN HER HAND\n\nBUT IF YOU TRY SOMETIME, YOU'LL FIND\nYOU GET WHAT YOU NEED.\n\nSEARCHING FOR A FEELING\n\nSAY TO YOU, YOU'RE BRINGING ON THE HEARTACHE\nCAN'T YOU SEE? NO. NO. NO!\nNO!\nIT IS OVER NOW.\nPICK UP THE PIECES AND GO HOME.\n\nWAITING IN THE RAIN. I'LL NEVER WAIT AGAIN.\nI NEVER THOUGHT I'D GO.\nI'LL LET YOU KNOW. IT'S TIME.\n\nYOU AND ME AND INBETWEEN.\nSO MANY CHANGES\n\nTRIED TO RUN; TRIED TO HIDE.\nTRIED TO ESCAPE YOU.\n\nSEARCHING IN THE DARKNESS, I\nCAN'T BREAK AWAY FROM YOUR SPELL\n\nYOU ARE SO DISTANT,\nSO FARAWAY.\nYOU PUT ME IN A DEEP FREEZE.\n\nWILL THIS DEPRESSION LAST TOO LONG?\nCHRIST, YOU KNOW IT AIN'T EASY.\n\nThe Auditorium lights dim, the house darkens and the stage lights reveal the action of the drama as the exhausted and emotionally drained director sits in the back seat of the crowded auditorium and almost weeps with nostalgic pride. \"We made it!\" she thinks with mixed emotions and takes a deep breath. She no longer holds the stop watch, pencil and well-worn notebook which she somehow misses. These items had not only been tools of the trade for practical purposes, but had also served as an excuse not to become involved in the lives of the actors and actresses presently moving through the well rehearsed drama. She must now acknowledge some modification of this directorial process. How this modification originated begins to flood back to her.\n\nAll the volunteer actors and actresses had worked very hard on the drama and it was obvious that many of them had also struggled with personal problems as they rehearsed. But one of the actresses' problems had significantly changed the thrust of the play for herself and the director.\n\nMasha, beautiful Masha, with her quiet reserved presence moves per the planned blocking with an eloquent dignity deserving of the Chekhovian character. Her tall physique, sad face and almost too large eyes register the rebellion and pain of the character thwarted in her desire to go \"home to Moscow.\"\n\n\"This life is damnable, unbearable...\" Masha is saying with what seems an energy potential of an atom bomb.\n\n\"My God, Stanislavsky himself could not make a more believable transfer of emotions in real life into emotions of the character. There couldn't be an audience member present who did not identify with her even as the others keep speaking,\" the overwhelmed director thinks with pride and remembers the day her Masha had dropped by her home to get the blocking she had missed, and to discuss the details of characterization.\n\nThe director had noticed the bloodshot eyes, scratches and bruises but had made no comment about them because of her firm belief that the creative process worked better if it avoided unnecessary detours into personal problems. \"They can become crutches to too many artists,\" she had just told her acting class that week. \"Yet this seems different... almost a cry for help... I'll stick to the purpose of the meeting and let her initiate any personal encounter,\" she had thought as she quickly gave the blocking for the two missed rehearsals. No apology was offered, nor asked for, by either. Then they began to discuss Masha's character. One would give an interpretation and then the other.\n\n\"She is the most exceptional of the three sisters. She is the most intelligent and gifted.\"\n\n\"She is free and expects more from life, yet finds it 'empty, empty.'\"\n\n\"Her situation seems more hopeless than that of either of the other sisters. Yet her strength seems to offer more potential for escape.\" Identification was beginning.\n\nAs the analysis continued, there was no question on the part of both that the actress was drawing some major parallels in her character and her personal life. The rapport was there between them and a human being was making up her mind that she could be free and happy in spite of the suffering the world was offering her. Then the actress spoke quietly and gently as though from an extension of her character. The sensitivity of the speaker contrasted so radically with the shock of the words that the director flinched and felt the pounding of disbelief in her head and an ache of pity in her heart so overwhelming that it seemed to freeze.\n\n\"I was not at the last two rehearsals because I was raped by three hoodlums last Saturday evening. My casual date and I were forced at gunpoint to take off all our clothes. They made him watch and then rolled us both under a car and said they would kill us if we came out.\" There was a long pause as their eyes met and held contact for what seemed like a lifetime to the director. The latter was witnessing the most startling request for an explanation of this inhumanity to another being but she had no words in her to speak. The actress seemed to understand and turned away and said, \"Please don't tell my mother. There is no way she could handle this.\" The other nodded in agreement.\n\n\"You think you're o.k. now?\"\n\n\"Yes, we went to a friend's house nearby and he took us to the hospital.\"\n\n\"I mean emotionally, too. There's lots of available help, you know?\"\n\n\"I know,\" she said, \"but I'm sure if Masha can handle all the problems Chekhov gives her, I can surely handle this one.\" She stopped and again looked straight into the eyes of the director and spoke firmly and pointedly, \"This role is the greatest challenge I have ever had and nothing must interfere with its artistic development.\"\n\nThe conversation was back to the play and the characterization was once again confronted but now both could make parallels between Masha's frustration and the actress's without looking for remote examples. They\n\ncontinued to dissect the role.\n\n\"Masha cannot understand why her world has to be so cruel, yet she expresses hope when she says '... man must have faith, or he must look for faith.' Even in a depressed mood she says, 'Oh, my, life is beautiful.'\"\n\n\"She has a keen drive to find a way out of her boredom and frustration.\"\n\nThey both became aware of the significance of the developing interpretation of a play and how it was becoming an interpretation for a real life. The desperate hunt for hope and beauty in a confused life became stronger in both the actress and the character and continued throughout the rehearsal period. Now on the stage before an attentive audience the insight is electrifying. The play is nearing the end, \"the band is playing joyfully,\" the sisters are watching their last hope disappear and we hear Masha say, \"... we are left alone to begin our life over again. We must live... We must live...\" Tears stream down her face and the audience cries with her.\n\nBackstage the director says to the actress, \"Thank you for your hard work.\" \"Thank you,\" she replies, \"I think I know what it means to be an actress.\" She smiles gratefully through happy tears. \"Masha and I have become supportive friends.\" The director now realizes that Masha, the character, has done what she could never do. Then they both turn to greet their public now filling the backstage area.\n\n---\n\n**Untitled**\n\n*by Thomas E. Fitch*\n\nthe lamprey bites \nand kicks and fights \nto get from head to heart \nthe eyes the brains \nhe gnaws the veins \nhe devours every part \nof the body the fiend \nhe scratches and screams \nand finally reaches the spine \nhe rends he tears \nhe scatters and spares \nnothing of the mind \nthe neck the throat \nthe lungs and note \nhe does not leave the tongue \nhis bloody beak \ngoddamn the reek \nhe sucks the heart the dung!\n\nnow you sit by \nand fail to hide \nyour look of malcontent; \nyour friends just say, \n\"it's not your day.\" \nthen what to do? regret.\n\nFood\n\nby Sarah Hill\n\nI am starving for meat to eat.\nI need to chew my way down\nto the heart of the cow\nand the belly of the pig.\nI want eggs hard-shelled and bloodied\nwith the lust of the cock.\nI want potatoes with dried dirt\ncaked around the eyes.\nMy jaws need a toughness\nthat runs aching up into my brain.\nThrow that soggy quiche and canned spaghetti out\nonto the mulch-pile behind the garage—\nI need food!\n\nMANUSCRIPTS\n\nThe Roach:\nLife In A Tin Can\n\nby Robert Roach\n\nThe staccato click of high heels resounded in the man-made valleys of Chicago. Chi-town to some, Shit-town to others. This particular person had no opinion of the city’s labels, be the labels formal or informal. She was merely out to survive.\n\nThe red-garbed lady noticed an irregular form in an alley’s shadow and moved to investigate. Business had been slow and, she figured, if it was a trick she could make a little “geish.” If not, and the silhouette was some bitch encroaching on her territory, Sadie’d be sure to make short work of her.\n\nHer long, shapely legs carried her toward the dark figure. Sadie didn’t look bad. In fact, she looked damn good—especially considering how fast her profession tended to age its artisans. As she paused by the figure, Sadie realized it was a man, but no more could she discern. Positioning herself so that her comely breasts, barely concealed by the red dress, were highlighted, she reached into her cleavage and extracted a cigarette.\n\n“Light?” she asked in seductive tones.\n\nThe shadowy figure struck his lighter, its flames greedily licking the night air. Sadie bent toward the fire and lit her cancer stick. But, try as she might, the lady could not utilize the meager light to pierce the darkness shrouding the man’s face.\n\n“Anything I can do for you?” Sadie said in a thick voice, subtly shifting her weight to strike a pose. Initially, silence was her answer. Finally, the figure responded.\n\n“A name, Sadie,” he said in a grave voice.\n\n“Oh. It’s you,” she said, the sugar falling from her tone. “What now?”\n\n“A name,” the man repeated.\n\n“What name?” she countered, a slight degree of acid creeping into her voice.\n\n“Word travels fast on the street,” he said simply. “You know what I’m talking about. And of all the street folks, you’ll be the first to learn what I need to know.”\n\n“So?!” Sadie demanded, though not as angrily as before.\n\n“Find the name. I’ll find you later,” he said, turning to leave.\n\n“Find me at dawn!” she shouted at his receding form. “You know where.”\n\nHe paused in the alley, the faint illumination of a streetlight bouncing off his fedora. As he turned to look at Sadie’s shapely form, the light found his mask and the butt of his hand-crafted pistol. Nodding, he turned and melted into the shadows.\n\n“And no shit about my occupation!!” she screamed to him after he’d disappeared, yet knowing he heard every word.\n\nSadie wondered why she tolerated his trash—floating in and out of her life as his moods changed. She had her choice of almost any man in the South Side. Why put up with his melodramatic mess? Hell! She hadn’t even seen his whole face. Ever.\n\nBut, her heart countered, something was there. A power or a mystique—Sadie didn’t know how to put it into words. All she knew was that he made her keep wanting more of him. No one could touch her body and soul the way he did.\n\nSighing at her confusion, Sadie turned and walked toward better business. And a name.\n\n\"Hell, Nick! The punk-ass is gonna turn State's evidence. That'll put a lotta pressure on our action!\"\n\nThe atmosphere in the Packard turned ice cold as the man of Sicilian descent turned toward the man in the horn-rimmed glasses.\n\n\"Don't you ever cuss or raise your voice at me, Vito. And leave the real thinking to the real men. While you're accountin' er whatever you call what you do, the 'big boys' are callin' the shots. We're part of Frank Nitty's organization. He'll take care of us!\"\n\n\"He'll cover his end,\" the horn-rimmed man pouted. \"And Nitty'll hang us out like the wash.\"\n\n\"Shut up! Or I'll make you walk the rest of the way!\"\n\nDejected, Vito slumped into his seat and shut his mouth.\n\nAs they rode toward the United States Courthouse, another car rolled from the jail in the courthouse's direction. Five policemen acted as escorts and the sole passenger, one Spiro \"Axe\" Gordon, sat in silence, attentively scanning the areas they rode through. They all knew that assassination in Chicago was the rule, not the exception.\n\nAs they turned a corner and the courthouse came into view, all the men breathed a sigh of relief. They'd made it—despite all of Gangland's odds against them. And in a matter of hours, Gordon would have testified, and the mobs would be too busy fighting off legal charges and trying to keep their organizations intact to get back at \"Axe\" or anyone else involved, for that matter.\n\nOn the steps to the courthouse stood Howard Jacks, an aspiring assistant D.A. prosecuting the case. Jacks was aggressive—overly so in fact. And he was using the press coverage this case was drawing to cut out a larger political life for himself. Smart politics for an over-educated sleazeball.\n\n\"Gentlemen! Gentlemen of the press, please! You'll know everything inside of three hours. Not now.\"\n\n\"How'd your men get a tip on Gordon and on all the information?\" one reporter for the Tribune persisted.\n\n\"That's not easy to answer,\" Jacks said in an attempt to shield himself from the question.\n\n\"Give it a shot!\" another man grumbled. Many others echoed his sentiment.\n\nFrom a tactical viewpoint, Jacks felt it best to comply with the press's wishes. It might be better for him later in his career to have a good rapport with them, he reasoned.\n\n\"Our police department really doesn't know how Gordon came into custody. One evening someone shot the street lamps out outside of the Seventeenth Precinct. When the officers ran to investigate, there was Gordon, wrapped up like a present. And the man was so scared he was more than willing to cooperate.\"\n\n\"Rumor has it that the Roach caught 'Axe' and delivered him to your boys. And put enough fear into him to make him talk,\" a different reporter commented.\n\n\"The Roach had nothing to do with this!\" Jacks snapped. \"That costumed vigilante is nothing more than a nuisance—an unmitigated ass at best! It was the example of Chicago's finest that sparked a flame of retaliation in the\n\nbreasts of some honest citizens. The Roach is nothing. I swear to you all that I'll hang that masked bastard up to dry in court, and he'll fry because of his obstruction of true justice!\"\n\nA dark-hued reporter, his fedora pulled low on his brow, smiled at Jacks's emotional outburst, but he said nothing. His eyes were peeled for the car bearing Gordon to the courtroom.\n\n\"You'll have to catch him first,\" the reporter laughed. A few of his colleagues joined in, chuckling at the assistant D.A.'s expense. Nervously, Jacks adjusted his tie.\n\n\"How'd you land such an important case anyway, Jacks?\" the first reporter demanded. \"Two years ago you couldn't have gotten the job as office boy in the D.A.'s building. How'd you climb the political ladder so fast?\"\n\n\"It's clear that both the mayor and the District Attorney have the utmost confidence in my abilities regardless of my age or experience,\" Jacks coolly responded. He didn't add that he knew of the D.A.'s late night carnal activities, and that a mere threat of making those activities public knowledge helped immensely.\n\n\"Here they come!\" someone shouted and immediately all eyes snapped in the direction of the oncoming vehicle. The sidewalks were full for this time of day. Taking into account the media coverage the Gordon trial had in the Chicago area, that was to be expected. And as the car rolled slowly down the street, the Roach found it hard to keep his eyes on the machine. Instead, he found himself staring at a man, about 25 years old with a medium build and six feet tall. Why, he couldn't tell.\n\nThe man stood calmly by, sipping at a pop or such from a can.\n\nThe Roach turned his attention back to the approaching vehicle. It was getting close.\n\nAgain, his attention was drawn to the man with the tin can in hand. He stood there as calmly as before, sipping slowly from his beverage.\n\nWith considerable will power, the Roach riveted his attention on the car. Everything was going as it should—and that worried him most.\n\nThe car got closer and closer, bypassing the vile shouts of the crowd. It cruised by the people as if the streets had been empty. And suddenly it was juxtaposed with the man with the tin can.\n\nAs the Roach watched, the man, in one fluid motion, drew back and pitched the can through the car's window. Instantly, the vehicle erupted in flames. And while pandemonium reigned, the man slipped quickly into the crowd.\n\nThe Roach stood helplessly by. He saw it all go down, but he could do nothing to prevent it. And now, his vantage point prevented him from pursuing the assassin. The cops, after such an occurrence, would doubtless have quick trigger fingers. And were it known that he was the Roach, Jacks' fervent wish would have become reality. So the Roach stood by helplessly as the tin can man escaped, realizing that all of his work had been for naught.\n\nDawn's bright red fingers chased away the inky mystery of night and darkness. And as day traded with night for supremacy over the Windy City, Sadie Hudson heard a light tapping on her door. The sound startled her because she'd been listening so intently for the footsteps which would foretell it, that the knock out of the blue shook her momentarily.\n\nAs Sadie rose to answer the door she flung the early edition of the paper aside, stepping past the picture of \"Axe\" Gordon—a gangster who had been \"hit\" the day before. The sorry-ass police department had no idea where to begin finding information to solve the murder of the State's witness. She sneered at how a city full of cops couldn't come up with one clue. Not one\n\nname. But she, Sadie, could.\n\nThe red lady opened the door to admit the shadowy visitor. She was happy to see him and angry with herself for being happy.\n\n\"Come in,\" she said in a surly voice to mask her feelings.\n\nThe Roach entered, taking the room in at a glance.\n\n\"Still the same Sadie,\" he remarked, the usual iron in his voice gone—in its place was something akin to tenderness in other men. But could such a thing exist in so hard a man?\n\n\"I couldn't quite afford a new bedroom set on this week's earnings,\" she replied with caustic sarcasm.\n\nHe simply smiled, cutting Sadie a swift look. And, ignoring her tone, he got down to the business at hand.\n\n\"The name, Sadie,\" he said.\n\n\"The mask,\" she retorted.\n\n\"We've been through this before,\" he said in a quiet voice, \"and it always ends up the same. Let's not waste time—I'll agree to refrain from comments about your sordid, suck-ass job—\"\n\n\"Hey!—\"\n\n\"And you agree not to comment about the mask. Agreed?\"\n\n\"Agreed.\"\n\n\"Now,\" he said, removing his trench coat and fedora, \"the name, Sadie.\"\n\nShe looked at his handsome face. His lean, high cheekbones tapering toward his expressive mouth. The cool depths of his grey eyes. She had told herself all night that she would never allow herself to be enticed by the attraction—that soul-deep attraction she felt for him. But, from the moment he stepped through her doorway, she knew that in the end her heart would have its way. And Sadie would have been surprised to know that similar thoughts had gone through the Roach's mind.\n\nShe cursed herself lightly as she stepped closer to the masked man—realizing that, as always, one thing would lead to another.\n\nThe Roach in turn struggled to control his breathing. A warrior, under no circumstances, should lose his fighting edge. He must always be cool. But somewhere in the center of his mind, he knew that she touched some primordial part of his total being. And that perplexed him.\n\n\"The name,\" he said in a voice that didn't even hit at the tumultuous thoughts and emotions racing through his mind and heart.\n\nSadie silently cursed him for making her make the first move—and cursed herself for making it.\n\n\"In time,\" she said in a soft voice, her right hand stealing up to lightly stroke his cheek. As if of one mind, the two came together, their faces meeting at the halfway point of space between them. Their lips touched, and time stood still.\n\nIt was about nine o'clock in the morning when the Roach stood before a mirror, adjusting his navy blue tie and straightening the ruffles on his pin-striped vest. Seeing that all was in order, he put on his pin-striped jacket—the final component of his three-piece suit.\n\nSadie looked up at him from the rumpled sheets, in awe and in some state she couldn't define—a state somewhere between confusion and love.\n\n\"Why do you do it?\" she demanded in soft tones which all but hid the force behind the question. \"How can someone as ruthless as you make me feel the way you do? And how can you walk away from this moment and go blow some poor junkie to Hell? I can't understand that.\"\n\nHe turned and looked at her in silence for a second.\n\n\"I never kill indiscriminately and never when there's so much as a splinter\n\nof doubt. I merely prey on those who prey on the defenseless... And as for your fears that the feeling isn't real for me, ask yourself if I'd return otherwise.\" \"Damn it!\" she exclaimed, silently promising herself that she wouldn't cry. \"There are times when I almost convince myself that we could be happy. Why not hang up that mask and let's give it a shot?\"\n\n\"Why can't you quit walking the streets?\" he softly retorted.\n\n\"Maybe I will! But you'll always be some freakin', low-life vigilante. What makes you think you have the right?! Did God ordain you to come down here and blow holes through people?! And what makes you think the innocent folks even want you here?!\"\n\nAgain he stared at her in total silence before answering her question. \"I see it in their eyes,\" he responded coolly. \"And no, I don't think God came down to give me divine right over life or death. If you think it's always been my life's ambition to walk through garbage—both physical and human—you're bent in the brain. But if I didn't do what I could—what I am—I couldn't look at myself in the mirror. And this is the only way I know to make a realistic contribution. Shit! You and I both know the cops are useless.\"\n\n\"Yeah,\" Sadie replied, trying to look deeper into the man. \"But you aren't telling me the whole story.\"\n\n\"It's something you wouldn't understand.\"\n\n\"Try me.\"\n\nInstead, he reached for his coat and hat.\n\n\"The name,\" he said in a tired voice.\n\n\"Cantrell,\" she replied, turning her eyes away from his form.\n\nShe heard him walk toward the door—and only then because he chose not to move in total silence. He paused at the doorway, opening it slightly.\n\n\"I'll be back. Soon,\" he said in a light voice. And then he shut the door behind him.\n\nAs Sadie heard his footsteps retreat, she forgot her promise.\n\nNick smiled as he bought the *Daily News* from a corner paperboy.\n\n\"Look at this!\" he demanded of Vito, pointing at the headline. \"All charges dropped! I tolja we didn't have nothing to worry about. We're in Frank Nitty's organization.\"\n\n\"I'm happy about all of that,\" the man in the horn-rimmed glasses said, \"but I don't like being a bagman. What if we're caught?!\"\n\n\"Shuddup!\" Nick swiftly countered. \"We're as innocent as babies. All Mr. Nitty wants us to do is drop the money off uptown. And that's a small favor, considerin' all the trouble he got us out of.\"\n\n\"Maybe you're right,\" Vito conceded.\n\n\"Of course I'm right! Now let's catch the Central.\"\n\nAnd as the two punks rushed to catch the electric railway, they were unaware that their every move was being documented.\n\nThe Roach had made his rounds, touching on almost everyone in his large system of informants. The name \"Cantrell\" was fresh on the street. More proof of Sadie's thoroughness. It was eleven-thirty in the morning—a hard time to find shadows to slip through—but somehow the Roach managed to find a way. Thus far, all he was drawing were blanks. Then, almost dramatically, that all changed.\n\n\"Yo! Coach!\" he heard hissed at him from the blackness of a shack around 49th. \"Over here,\" the voice he immediately categorized as \"Papa Bear\" said.\n\n\"Papa Bear\" was a washed-up athlete turned wino who got his name from his avid devotion to the Cubs and the Bears.\n\n\"I gotta thank ya' for the help with them young jerks the other day. They'd a' got away with all my hootch money if you haddinta been there. What's become a' the youth a' today? No respect.\"\n\n\"I'm glad you're happy,\" the Roach replied, \"but I've got extremely important things to do, Papa Bear.\"\n\n\"That's why I called you over,\" the wino wheezed. \"I heard yer lookin' for some outta town muscle named Cantrell.\"\n\nThe Roach's grey eyes flashed with excitement. \"Where?\"\n\n\"I seen 'im when he arrived two days ago. They was takin' him to a room over in the Michigan Bou'vard Garden Apartments on 47th.\"\n\n\"How do you know it was him?\"\n\n\"I was put in charge a' ammo durin' the Great War 'n' I can sniff out explosives whenever the wind shifts. After I found out how 'Axe' bought it, I put two 'n' two together.\"\n\n\"Excellent! Is he still there?\"\n\n\"Naw! After his name hit the streets, they had 'im moved.\"\n\n\"Damn! Do you know where?\"\n\n\"Naw. But I'm positive ya' might be able to milk the statistics outta 'Crow.' I'm sure she knows.\"\n\n\"Last question. Who is 'they?'\"\n\n\"Some a' Nitty's affiliates. Pretty bad boys.\"\n\n\"Thanks, 'Papa,'\" the Roach said, slipping a sawbuck into his hand. \"This ought to buy a ticket and a bottle.\" And with that he was gone.\n\n\"Crow\" was an over-the-hill moll. She was past the days of usefulness, either physically or as a confidante. Nonetheless, she was occasionally privy to an inside scoop or two. Today was an example of such. Lucky for the Roach.\n\n\"Crow\" sat alone in a speakeasy, her head sagging toward the wooden bar. Her eyes were turned in the floor's direction, but they wouldn't focus. This brew was good. Not at all like the wooden stuff that ate away part of her mind. Suddenly, \"Crow\" wasn't alone.\n\n\"What's shakin', baby?\" she heard a stern voice say.\n\nIn a dizzy, weaving manner, she sat up to look the Roach in the eyes—or as closely as she could come to such.\n\n\"I know you,\" she slobbered, pointing a gnarled finger at him, \"And I don't like you. Ssho get 'way from me!\"\n\n\"Not 'til I know what you know. Cantrell.\"\n\n\"You ain't gettin' sshit!\" she exclaimed, lurching to her feet.\n\n\"Just tell me,\" the Roach said. \"Cantrell.\"\n\n\"You can't make me sshay nothin'! Get outta my face!\"\n\n\"Oh yes I can, Crow. I can hit you where it really hurts. One word from me and you won't be able to scrape together a thimble full of brew. No beer. No whiskey. No scotch. Not even a freakin' bottle of wine. And you know that if anyone in Chicago can do it, I can.\"\n\nThe drunken woman stopped to think for a moment. The full fact of his statement almost sobered her. Almost. But, even though clouds remained in her head, she knew it'd be best to comply. Everyone on the streets knew the Roach didn't bullshit.\n\n\"The bastard'sh at the Hotel Sshherman, on East Randolph. An' I hope\n\nFrank'sh boysh carve holesh in you that ain't even been invented!\"\n\nThe Roach merely stared at the drunken cow until she could no longer take those piercing eyes. After she'd stilled the cancerous tongue in her head, he turned and strolled out of the tavern to fresher air.\n\nIt was one o'clock in the afternoon when Cantrell was finally alone. When he was finally rid of those pin-heads who were little better than barbarians—viewing their weapons as a means to butcher. They had no finesse. That's why Nitty had contacted him for this job.\n\nIt didn't worry him that his name was on the streets. A name doesn't catch a man. Either he'd have to make a mistake or a better man would have to take him. He didn't intend on doing the former and the latter was out of the question. Plus he had four of Nitty's muscle boys to work as a buffer zone between him and anything that might arise. The messengers had brought the money, and the \"doc\" had fixed him up with some premium smack. Yes, Mr. Cantrell's world was looking excellent.\n\nCantrell's plane was scheduled to leave Chicago Municipal Airport at 3:45 p.m. He was most anxious to get out to the West Coast and spend his loot. The hitman knew a number of silly actresses who'd be easily impressed by the flash of green, and it was these ladies he longed to be with.\n\nHe lay in bed, puffing on a cigar and cleaning his fingernails with a hunting knife when the door suddenly splintered.\n\nCantrell's surprise was short lived. The man was a paid assassin. He hadn't become one of the best of his breed by letting momentary shock get the better of him. His eyes automatically locked on the fast moving figure, and with almost casual ease, tossed his knife straight for his attacker's heart.\n\nAs the Roach felt the door go to pieces he curled into a ball, swiftly rolling across the floor. His quick vision took the room instantaneously. Cantrell lay on the bed against the north wall. To the right of his bed was the doorway to the bathroom. The doorway to the hall—the door he'd just ruined—was on the west wall and the windows were on the east wall. And, the Roach noted, Cantrell had a weapon in hand.\n\nFor another, the lengthy coat would have been a hindrance and the suit restrictive, but not so with the Roach. Rather, the suit and coat seemed more like a second skin than apparel.\n\nThe Roach squared himself with Cantrell, bringing his feet underneath his body. Immediately he saw the blade flashing through the air at him. With an eye-blurring flick of his gun hand, the Roach deflected the weapon out of the air. But, in that instant, Cantrell had drawn his gun.\n\nThe impassioned blue eyes of Cantrell and the cold grey eyes of the Roach locked for the briefest of seconds, yet, in some ways, the moment was like a lifetime. They immediately knew they hated each other and always would. Then their guns went off almost simultaneously. And the earth-shattering thunder was followed with a deathly silence.\n\nHoward Jacks stood on the corner of 35th and Halsted. He had been conspicuously certain that he stood underneath a street light because one could never be quite certain of his fate on the South Side. The assistant D.A. had been standing alone on the corner for the better portion of an hour. Obviously, he'd been stood up.\n\nThe aspiring lawyer had been dubious when he received a phone call late that night. The caller, some voice he couldn't identify, said he had the information to blow the Gordon Case wide open again. But Jacks had to come alone.\n\nTotally frustrated, the assistant D.A. waved his hands in a peculiar manner. And inside of thirty seconds, a police captain and a few men surrounded him.\n\n\"Call your men off,\" Jacks said to him. \"It looks like—whoever—isn't going to show. Stinking low-life criminal trash! The mayor should simply blow all this South Side scum into the lake! Every man, woman and child!\"\n\n\"Yes, sir,\" the captain said in a voice bordering on boredom. \"So you'll be returning to your home on Gold Coast then, sir?\"\n\nJacks cut the man a quick glance, stinging under the captain's insinuation of the lawyer's hypocrisy.\n\n\"Men have lost their jobs for less than that!\" Jacks snapped. And, seeing that his threat had no effect, Howard shut up.\n\n\"Yes, I'll be going home, captain. You're dismissed.\"\n\nJacks climbed into his Ford and began his trek home. Thirty-fifth Street seemed awfully dark—darker than usual to the man. Shrugging any forebodings from his mind, the assistant D.A. continued east on 35th. He noticed Comiskey Park as he passed by the edifice. It seemed even larger in the depths of night. The Ford paused at the intersection of 35th and Federal and all was calm. That's when Jacks felt unusually strong hands rip him from his car.\n\nWhen his senses returned, Jacks found himself in the middle of the street. Alone. But just for a moment. The same strong hands jerked him to his feet and whirled him around. And Jacks found himself staring into the cool grey eyes of a man dressed in dapper fashion. The lawyer needed no introductions. The descriptions of this man had reached his ears long ago. Jacks almost soiled his pants from fear. He was alone in the Roach's power.\n\n\"Hope I didn't keep you waiting long,\" the Roach commented, but his face showed no indication that he felt what he said. \"I had to park your car. It wouldn't do for it to roll away, get stolen or in an accident.\"\n\nThe Roach grasped the collar of Jack's overcoat, jerking him toward the baseball park.\n\n\"What are you going to do with me?\" Howard asked when his tongue returned.\n\n\"To the meeting we agreed upon,\" the Roach curtly replied.\n\n\"I--I-- was there!\" Jacks stammered in a high-pitched voice.\n\nThe Roach merely stared at the man.\n\n\"I said alone when I spoke to you on the phone. But I knew sniveling trash like you wouldn't be able to keep his word. That's why I had the meeting at 35th and Halsted. I knew you'd have to pass by the park to get back to the Coast.\"\n\nAgain, Jacks cringed at the way his neighborhood's name was used—almost as if it was a piece of rotten fruit being spit from one's mouth.\n\nThe Roach led him up the ramps which would ultimately lead them to the lower level seats. After descending a few rows from their entrance, the Roach shoved Jacks into an aisle. Three figures, their hands tied behind their backs, sat there quietly.\n\n\"Sit,\" the Roach said and the lawyer immediately obeyed.\n\nSwitching on a flashlight, the Roach introduced the men.\n\n\"Nate Cantrell, meet Howard Jacks. Mr. Cantrell is a hired murderer. Mr. Jacks is a hired mouthpiece. I trust you other gentlemen know each other? Nick Valentina and Vito Osiros, Mr. Jacks—the men you were supposed to prosecute yesterday. And I'm positive you gangsters know each other.\"\n\n\"Why're we here?\" Nick demanded. \"Let me loose of this rope 'n' we won't be here long!\"\n\nThe Roach simply glared at the fool.\n\n\"Shut up!\" Vito hissed. \"He took us both once before!\"\n\n\"That was different! I wasn't ready!\"\n\nWithout uttering a word, the Roach drew his nine inch blade and cut the man's bonds. After which, he merely stood in front of Nick, arms folded.\n\nThe punk glanced at his witnesses, giving his courage a chance to catch up to the situation. Then, with no apparent warning, he hooked for the Roach's head. A quick movement of the dark man's head and shoulders made Nick miss wildly, his arms unmoved. Again Nick took a swing, and again he missed. The third try, Nick attempted to jab punch the Roach in the mouth. Still the masked vigilante evaded the blow, his arms still crossed.\n\n\"Third strike and you're out,\" he said ominously. Suddenly his arms were uncrossed. His first punch, a left to the gangster's mouth, broke the scum's jaw and knocked out at least four teeth. With Valentina reeling, the Roach turned off all of the man's lights with a crushing right to his nose. Needless to say, the nose was broken also.\n\nAs Nick slumped unconsciously across a few bleacher seats, the Roach picked up his flashlight from the seat he had laid it on and continued as if nothing had happened.\n\n\"This, Mr. Prosecutor, is the hit-man who killed 'Axe' Gordon. I think that if you search Room 3B of the Hotel Sherman on Randolph, you'll find materials that will match with those used to kill Gordon and five policemen. He also has a slug in his shoulder that will need attention.\"\n\n\"These two,\" he continued, gesturing toward Nick and Vito, \"are little fish in a big pond. They, as you may know, have been extremely visible pushers in the last five or six months. Through them, you might be able to trace and destroy about one third of the street action you would have gotten had Gordon been able to testify.\"\n\n\"They're lies,\" Vito protested in a weak voice.\n\nIn response, the Roach reached into his vest pocket and extracted a package.\n\n\"These photographs will back my word. They show this couple going to visit Cantrell at the Sherman with his money for the hit. That makes them accomplices. They also show them distributing. That nabs them for possession and selling. Even you could get a conviction with the evidence I've gathered for you.\"\n\nJacks cut him a look that would shrivel a soul. But, as a credit to whatever brains he had, he kept his mouth shut.\n\n\"However,\" the Roach proceeded, \"I was unable to locate their distributor. Maybe you'll be able to bleed that information out of them.\"\n\n\"Why didn't you simply blow them away like you usually do, you masked glory-hound!?\" Jacks snapped, his ego getting the better of his judgement.\n\nOn reflex, the Roach backhanded the man across the face.\n\n\"The next time I allow you to speak to me, keep a civil tongue in your head,\" the shadowy figure replied in a low, cold voice. \"The answer would be obvious if you had any kind of a brain. I want them prosecuted so that the ring is thoroughly exposed. Since Gordon's dead, we won't get the whole organization, but we can get a decent-sized portion. Go call your men, lawyer.\"\n\nJacks couldn't help but feel that the Roach's inflection on the last word mirrored the vigilante's disgust with him. Or maybe disgust at how Jacks had soiled the justice behind the word.\n\nThe assistant D.A. turned to look at Valentina, wondering if the man would stay unconscious until help arrived. And when Howard turned back toward the Roach, the masked man was gone.\n\nHe stepped from the building, enwrapped by the shadows of the night. He lit a cigarette—merely for his mystique in the neighborhood. And as he snapped his lighter’s lid down, he noticed a shining Packard—its motor running but its lights off. Moving like a wraith through the darkness, he reached the passenger’s side of the car unnoticed, immediately recognizing the main passenger within.\n\n“Hello, Frank,” the Roach said in a hollow voice.\n\nInstantly, Nitty’s muscle boys, visibly shook by the Roach’s sudden appearance, pulled out their pieces. Yet the Roach remained perfectly still.\n\n“Put ‘em away!” Nitty barked at his men. And then, with a smile on his face, he turned toward the Roach.\n\n“Hello there, Roach!” he returned. “I see you finished up what you started with ‘Axe.’ My compliments on such good work. You know, I could use a good man like you.”\n\nThe Roach merely chuckled. Frank merely smiled.\n\n“Anyway, I wanted you to meet a friend of mine. Doctor Haversheim, meet the Roach. Roach, meet Doctor Haversheim—usually referred to as ‘Doc’.”\n\nNitty watched the Roach closely for a reaction. He was pleased when he got none. The boss gangster knew the Roach fully realized the importance of that name, but the dark caricature didn’t even twitch a muscle.\n\n“Yes,” Frank continued, “the good doctor is our supplier—the supplier ‘Axe’ would have fingered on the stand. And that might’ve severly hurt our organization. However, with him dead and us being able to alter a few documents and records, he’s in the clean and so are we. And when the time is right for him to start producin’ again, he will. In the clear.”\n\n“I figured that someone with your pull was whoever got me those photographs. And so you set up the little fish as a smoke screen while you covered the big game. Smart. But why give up a hit-man like Cantrell?”\n\n“I didn’t. You got him clean. I thought I’d provided for him, but you got to him anyway. A nice piece of work there, Roach.”\n\n“So why this meeting? Really?”\n\n“To say thanks,” Nitty laughed.\n\n“Really,” the Roach repeated in a stony voice.\n\n“To show you that you don’t scare me,” Nitty said, his own voice becoming hard. “And to see how much I scared you.”\n\n“And?”\n\n“And I think that the mobs finally have a worthy opponent. Or a great ally—my offer still stands.”\n\n“One day it’ll be you,” the Roach commented. “One day.”\n\nNitty merely smiled. “We’ll see,” he said.\n\nWith that, the Roach took one step back from the Packard. And before Nitty’s unbelieving eyes, he was swallowed by the shadows.\n\nUntitled\n\nby Amy Baty\n\nAnd it\nf\nl\no\na\nt\ns\ndown.\n\nAnd it\nb—r—e—k—e—s\nthe earth.\n\nAnd it imposes.\n\nAnd it\nr—o—t\nthe Earth.\n\nBlanching, it purifies and perfects.\n\nSo brave the blizzards\nAnd the dirtied slush.\n\nAnd treasure the\nimmaculate\ncrystals.\n\nwholly all and each\nFor\n\nAntonym-ly and then synonym-ly,\nliquefy . . . .\n\nAnd it floats down . . .\n\nAfter Death\n\nby K.L.H.\n\nCleansing rain falls from the sky\nTo dampen Earth's hard crust,\nSoaking dormant seeds of life,\nNestled in the dust.\n\nGrowing shoots as life begins,\nHeaven; Hell they're bound,\nReaching for the source of life,\nTo grasp once it is found.\n\nAway from evil dicots roam,\nCleansing is the rain,\nPeering through the loam and dirt,\nLight begins to strain.\n\nBrightening the sky is life,\nYet viewing from dense earth,\nEndless brilliant colors soar;\nReason for rebirth.\n\nHow perfect was the calm! it seemed no sleep;\nNo mood, which season takes away, or brings:\nI could have fancied that the mighty Deep\nWas even the gentlest of all gentle Things.\n\n—William Wordsworth\n\nART CREDITS\n\nPage 4 Robert Roach\nPage 10 Ute Finch\nPage 12 Anonymous\nPage 15 Ute Finch\nPage 16 Ute Finch\nPage 17 Tim Levandoski\nPage 20 Ute Finch\nPage 22 Laura Guyer\nPage 25 Ute Finch\nPage 26 Robert Roach\nPage 38 Alfred Ironside\nPage 39 Tim Levandoski"}}},{"rowIdx":204886,"cells":{"text":{"kind":"string","value":"THE PSITHURISM\nn. the sound of the wind in the trees\n\nELIF NAZ YILMAZ 21702736\n\nI.D. BILKENT UNIVERSITY\nDEPARTMENT OF ARCHITECTURE\nARCH 402 THESIS PROJECT\n\nTABLE OF CONTENTS\n\nINTRODUCTION\nSITE ANALYSIS\nLITERATURE REVIEW\nCASE STUDIES\nTHE PROJECT\n\n1 INTRODUCTION\n\nThis chapter will briefly explain how the idea of the project emerged.\n\nBeing born and raised in Istanbul, I grew up observing some major problems surrounding my hometown. Two among these problems have always stuck out to my eye.\n\nFirstly, I have always been seeing homeless people and beggars while walking around the city, and the extremely inhumain conditions they have to live in.\n\nSecondly, even though Istanbul is an amazing city with wonderful views and landscape, the environment is being treated very poorly and some lands are not living up to their potential. The mistreatments effect the flora and fauna badly, therefore the ecosystem is endangered.\n\nRegarding these major problems, I aimed to combine the solutions to both in my thesis project.\n\nThis chapter will include general information and highlights of the site that lead to the concept of the project.\n\nGeneral Information of the Site\n\nHaliç, globally known as Golden Horn, is the primary inlet of the Bosphorus in the European side of Istanbul. Being one of the most significant historical landscapes of Turkey, it preserves its popularity globally to this day. The name “Golden Horn” in the popular culture represents the view of the sun rising through the landscape as “golden” and the view of the landscape aerially as “horn”.\n\nThe Golden Horn is fed by two creeks in the upper north side, Alibeyköy Creek and Cendere Creek. It separates the historical peninsula of Istanbul and the Beyoğlu plateau.\n\nThe significance of the Golden Horn can be analyzed through many subheadings. Both ecologically and socioculturally, the aspects and potential that the Golden Horn withholds are unneglectable.\n\nThe Ecological Factors: Brackish Water\n\nWhen the salty water from Alibeyköy Creek and the fresh water from the Cendere Creek meet, brackish water occurs. Brackish water provides a great environment for a significant ecosystem, housing numerous kinds of flora & fauna.\n\nHowever, this balance is interfered in the Golden Horn because each year extra salty water is pumped to Golden Horn to accelerate the stream in Kağıthane river.\n\nThe major migratory bird towards Africa goes through the Golden Horn. With the significant ecology it embeds, the Golden Horn becomes a place for resting of over 800,000 migratory birds.\n\nThe fitoplanktons, zooplanktons and fish that grow in the brackish water provides nutrition to the birds.\n\nThe Bahariye Islands, located in the middle of the stream are ideal wetlands for the birds to feed and rest.\n\nThe Ecological Factors: Existing Fauna\n\n- Tesselated Water Snake (natrix tessellata)\n- Fire Bellied Toad (bombina bombina)\n- Muskrat (ondatra zibethicus)\n- Black Goby (gobius niger)\n- Rock Goby (gobius paganellus)\n- Whiting (merlangius merlangus)\n- Golden Grey Mullet (chelon aurata)\n- Mackerel (Trachurus)\n\nThe existing flora is mainly shrublands around the Golden Horn. The flora is insufficient and should be enriched to benefit the ecosystem. The lack of beneficial greenery causes lack of oxygen dissolving in the water. If the water lacks oxygen, sulphur bacteria starts accumulating and the existing fauna is inevitably endangered.\n\nINSUFFICIENT FLORA → LACK OF OXYGEN\n\nFAUNA IS ENDANGERED ← SULPHUR BACTERIA\n\nThe Human Factor\n\nStatistics show that most of the homeless and refugee population in Istanbul live in Beyoğlu & Fatih, the two edges of the Golden Horn.\n\nThe residents of the Golden Horn find their neighbourhoods:\n- mediocrely aesthetical\n- extremely polluted in terms of water pollution, garbage disposal, noise and smell.\n- economically unbeneficial\n- inefficient in terms of the transportation infrastructure\n\nPeople living around the Golden Horn are mostly:\n- Elementary school graduates\n- Labor workers\n- Family income of at most 1000 Turkish Liras.\n\nMigratory Bird Path\n\nDolphinarium\nAn existing zoo, exhibiting mostly dolphins which live under inadequate conditions & being used as exhibitory animals.\n\nThreatened Flora& Fauna\nThreatened flora & fauna due to sulphur bacteria that occurs due to lack of oxygen in the water and pollution.\n\nBahariye Islands\nWetlands in the middle of the stream that birds use as a place of resting, and fish use to lay their eggs.\n\nThe Human Factor\nRefugees, homeless people, unemployment and lack of income.\n\nBrackish Water Area\nThe food cycle is bound to the brackish water of which the balance is threatened.\n\nMiniatürk\nAn existing museum targeted for mostly children, containing miniature models of famous artifacts from around the world.\n\nHaliç University\nExisting university.\n\nHaliç Congress Hall\nExisting cultural complex.\n\nThis chapter will include the literature review of the ecological applications in my design.\n\nWhat is the living machine system?\n\nThe Living Machine® System utilizes the latest technologies and engineering to mimic the ecology of natural coastal wetlands. The system provides lasting water solutions by effectively treating and reusing wastewater through a series of wetland cells filled with optimized gravel, which promote growth of micro-ecosystems, and a process of tidal cycles, like in a coastal wetland, resulting in a high quality of reusable water.\n\nHow it works\n\nTHE PROCESS:\n\n• water is pumped into a tank where debris settles and degrades\n• then water flows into an equalization tank which determines the release of high and low \"tides\" into specially engineered gravel, sand, and plant boxes (wetland cells)\n• following this, different tidal wave cells with different organisms eat and purify the black water\n• in order to remove microscopic sediment, the water is screened and treated with ultraviolet light\n• for some municipal buildings, the water is lightly chlorinated to meet city standards\n\nLIVING MACHINE WETLAND CELLS - STAGE 1\nWastewater from Primary Treatment enters Stage 1. Beneficial biofilms -- microscopic plants and animals-- grow on the porous gravel filling the cells. These biofilms consume the waste in the water.\n\nPLANTS\nA variety of native or ornamental species can be planted. Plant roots provide additional surface area for biofilm growth and further oxygenation.\n\nPRIMARY TANK + COMPONENTS\nUntreated wastewater enters this tank, for primary settling, screening and treatment. It is then pumped to Stage 1 Wetland Cells.\n\nLIVING MACHINE WETLAND CELLS - STAGE 2\nPartially treated wastewater is pumped here from Stage 1. Additional tidal cycles complete the treatment process.\n\nPOLISHING MODULE\nTreated wastewater is “polished” through dual-stage filtration and UV (ultraviolet) and/or chlorine disinfection.\n\nTIDAL MODULE\nThe Tidal Flow Wetland cells contain automated valves, high efficiency pumps and water level sensors to create tidal cycles.\n\nREUSE TANK + COMPONENTS\nAfter disinfection, treated water is stored for irrigation, toilet flushing and other non-potable uses.\n\nWETLANDS\n\nWetlands are defined as \"areas that are inundated or saturated by surface or groundwater at a frequency and duration sufficient to support, a prevalence of vegetation typically adapted for life in saturated soil conditions. Wetlands generally include swamps, marshes, bogs and similar areas.\" (Clean Water Act, EPA)\n\nWhy are wetlands valuable?\n\nEconomics\n- A wide range of natural products are derived from wetlands such as fish and shellfish, blueberries and cranberries, timber, wild rice, and medicine and herbs from the soils and plants.\n\nFish & Wildlife\n- Many animals and plants rely on the wetlands for survival, including about 1/3 of the threatened and endangered species in the U.S.\n\nRecreation & Aesthetics\n- Wetlands have recreational, historical, scientific, and cultural values.\n- A total of $59.5 billion is spent annually in the U.S. towards hunting, fishing, bird watching and wildlife photography.\n- People enjoy the fascination of being close to water, which results in hiking, boating, and other recreational activities.\n\nFlood Protection\n- Wetlands are a vital component in slowing down the speed of flood water in addition to the runoff from pavement and buildings.\n- The sponge-like nature of the wetlands allows it to trap and slowly release surface water, rain, snow melt, groundwater and flood waters. Additionally, the roots of trees and other wetland vegetation absorb the water.\n\nShoreline Erosion\n- The plants in wetlands hold the soil in place with their roots and help to slow down the flow of water from the currents.\n- In coastal areas, wetlands are utilized to buffer the storm surges from hurricanes and tropical storms.\n\nWater Quality & Hydrology\n- The filtering capabilities of wetlands enable the surface runoff to be cleaned and removed of contaminates before the water reaches open water.\n- The wetlands retain excess nutrients and some pollutants, as well as reducing the sediment buildup that would clog the downstream waterways and harm the fish and amphibian egg development.\n\nThis chapter will include the case studies that influenced my design.\n\nLocated in the UK, Kew Gardens Princess of Wales Conservatory is a botanical house containing 10 various climatic zones that vary from tropical to rainforest ecosystems. Each of these biomes are controlled by computer in terms of temperature and humidity. It was designed by architect Gordon Wilson.\n\nNational Ecology Center Botanical Greenhouses was designed by Grimshaw Architects and located in South Korea. It is created by 5 distinct biomes, following the form idea that was derived to mimic a river. The biomes are sub-tropical, mediterranean, temperate, tropical and polar.\n\nSuncheon International Wetlands Center was designed by Gansam Architects & Associates and located in South Korea. The buildings and circulatory areas are designed in a way that minimally affects the ecosystem.\n\n5 THE PROJECT\n\nMasterplan\n\nLEGEND\n\n1. Main site (Eco-Center)\n2. Eco-Boat Tours\n3. Temporary Housing Units\n4. Marine Research Area\n5. MiniaTurk\n6. Workshops\n7. Public Performance Deck\n8. Bahariye Islands\n\nCLICK TO GO BACK\n\nSite Plan\n\nCLICK TO GO BACK\n\nBuilding Development & Concept\n\nThe idea is to heal both nature and human. While creating a smooth transition from man to nature with appropriate functions, the people who are less fortunate have a chance to earn a brand new life. First they learn using the functions of the existing Bilgi University, then they get a job in the ecological research center and botanical gardens, then they are given temporary housing for a year.\n\nStep 1: Existing conditions\n\nStep 2: Creation of \"Man to Nature\" axis and connecting the two edges to the site with bridges\n\nStep 3: Botanical garden development and biome differentiation\n\nStep 4: Roof adjustments optimizing the conditions regarding each distinct biome\n\nStep 5: Ice cube roof adjustment covering the two main circulatory axis\n\nStep 6: Creation of wetlands to finish the \"Man to Nature\" axis and greenery on the edges\n\nBuilding Program\n\n1. Vocational Training Center\n - Lecture Rooms\n - Seminar Rooms\n - Library & Study Hall\n - Training Labs\n\n2. Botanical Gardens & Research Center\n - Tree exhibit areas\n - Research Labs\n - Co-Working Zones\n - Observation Zones\n - Offices\n - Meeting Rooms\n\n3. Living Machine Technology (basement floor)\n\n4. Temporary Housing Units\n - Single Homes\n - Family Homes\n\n5. Public Facilities\n - Restaurant\n - Organic Bazaar\n - Amenities\n\n6. Animal Research Labs\n\n7. Wetlands\n\n8. Bird Observation Bridges\n\nOrdering Systems\n\nVocational Training Center\nBotanical Gardens & Research Center\nLiving Machine\nTemporary Housing Units\nPublic Facilities\nAnimal Research\nWetlands\n\nAESTHETICAL\nSOCIAL\nENVIRONMENTAL\nFUNCTIONAL\nECONOMICAL\n\nCLICK TO GO BACK\n\nSite Circulation\n\nPrimary Circulatory Axis\nSecondary Circulatory Axis\n\nInterior Axonometric\n\nSECOND FLOOR\n\n- Interior Gardens\n- Co-Working Zone\n- Offices\n- Meeting Rooms\n- Interior Gardens & Terraces\n- Labs\n\nFIRST FLOOR\n\n- Co-Working Zones\n- Salt water bioswale lab\n- Workshop & Exhibition space\n- Fresh water bioswale labs\n- Double height tree exhibits\n- Tropical greenhouse\n\nGROUND FLOOR\n\n- Vertical Circulation Cores (Elevators, Stairs, WC)\n- Primary screening, settling and treatment tank\n- Pipes leading to secondary wetland cells\n- Polishing module\n- Pipes leading to primary wetland cells\n- Tidal modules\n\nLIVING MACHINE & STORAGE\n\nCLICK TO GO BACK\n\nPlan Overview\n\n- Interior Green Spaces\n- Co-Working Zones\n- Bioswale Labs\n- Meeting Rooms\n- Offices\n- Workshop & Exhibition\n- Observation & Circulation\n- Vertical Cores\n\nCLICK TO GO BACK\n\nStructure Diagram\n\nLOW-E COATED GLASS\n\nTiO2 COATED STEEL FRAMES & COLUMNS FOR THE GLASS COVERS\n\nOPAQUE ALUMINUM ROOFING\n\nGLASS CUBICAL ROOFS TO EMPHASIZE THE PEDESTRIAN CIRCULATION\n\nTRANSLUCENT POLYCARBONATE ROOF PANELS\n\nSTEEL POST & BEAM ROOF STRUCTURE\n\nTiO2 STEEL COLUMNS\n\nVERTICAL CORES\n\nTRANSLUCENT POLYCARBONATE PANELS OVER INTERIOR GARDENS\nOPAQUE ROOFING OVER RESEARCH & STUDY FUNCTIONS\n\nCLICK TO GO BACK\n\nBiome Differentiation\n\n1. SALT WATER BIOME\n - Mangrove trees\n - Shrubs\n - Birch trees\n - Lilac flowers\n\n2. BLACK SEA BIOME\n - Oak tree\n - Birch tree\n - Coniferous\n - Spruce\n - Pine trees\n\n3. MEDITERRANEAN BIOME\n- Olive tree\n- Juniper tree\n- Mastic tree\n- Palms\n- Oleander\n- Citrus tree\n- Scotch pine\n\n4. TROPICAL BIOME\n- Elephant’s ear\n- Cactus\n- Ficus benjamina\n- Fishtail palm\n- African candelabra\n\nSections\n\nCLICK TO GO BACK\n\nCLICK TO GO BACK\n\nSECTION ANIMATION\n\nCLICK IMAGE TO VIEW ANIMATION\n\nCLICK TO GO BACK\n\nPERSPECTIVES\n\nThe proposed design for the new building at the University of Queensland's Gatton campus, which will house the Gatton Institute for Food Innovation and the Gatton Institute for Water Innovation.\n\nThe design of the new building will be inspired by the natural environment and the local culture, with a focus on sustainability and energy efficiency. The building will feature a large glass facade that will allow for plenty of natural light to enter the interior spaces, while also providing stunning views of the surrounding landscape. The interior will be designed to be flexible and adaptable, with a variety of spaces that can be used for different purposes, such as classrooms, meeting rooms, and collaborative workspaces. The building will also include a variety of sustainable features, such as solar panels, rainwater harvesting systems, and energy-efficient lighting and HVAC systems.\n\nThe new building will feature a large, open atrium that will be home to a variety of plants and animals, including a large aquarium. The building will also have a number of other features, such as a large glass wall that will allow visitors to see the animals up close. The building will be located in a park-like setting, with a large lawn and trees surrounding it. The building will be designed to be energy efficient, with a number of features that will help to reduce its impact on the environment.\n\nLUMION PRO STUDENT\n\nThe interior of the building is designed to be open and spacious, with large windows that allow natural light to flood in. The design incorporates a variety of green spaces, including indoor gardens and terraces, which provide a sense of tranquility and connection to nature. The use of sustainable materials and energy-efficient systems ensures that the building operates at a low carbon footprint.\n\nThe building's layout is designed to promote social interaction and collaboration among residents. The common areas include a lounge, a dining area, and a fitness center, all of which are accessible to all residents. The building also features a variety of amenities, such as a swimming pool, a spa, and a cinema room, which cater to different interests and preferences.\n\nOverall, the building's design aims to create a comfortable and enjoyable living environment for its residents, while also promoting sustainability and social responsibility.\n\nThe proposed design for the new bridge over the River Thames in London, England, is a modern and innovative structure that combines functionality with aesthetics. The bridge will feature a sleek, curved design that spans across the river, providing a stunning view of the surrounding landscape. The structure will be made of high-quality materials, ensuring durability and longevity.\n\nOne of the key features of the new bridge is its pedestrian walkway, which will offer visitors a unique opportunity to experience the beauty of the Thames from an elevated perspective. The walkway will be lined with lush greenery, including palm trees and other tropical plants, creating a serene and inviting atmosphere.\n\nIn addition to the pedestrian walkway, the bridge will also include a series of seating areas, allowing people to relax and enjoy the view. These areas will be strategically placed along the length of the bridge, providing ample space for visitors to sit and take in the scenery.\n\nThe new bridge will not only serve as a vital transportation link but also as a symbol of progress and innovation. Its design reflects the city's commitment to sustainability and environmental responsibility, with plans to incorporate renewable energy sources into the structure.\n\nOverall, the proposed design for the new bridge over the River Thames in London, England, is a testament to the city's vision for the future. It promises to be a landmark structure that will enhance the beauty and functionality of the area, while also providing a unique and memorable experience for visitors.\n\nThe greenhouse is designed to be a sustainable and energy-efficient structure, with a focus on maximizing natural light and minimizing heat gain. The transparent walls and roof allow for ample sunlight to enter the space, while the reflective surfaces help to reduce heat absorption. The greenhouse is also equipped with a solar panel system, which generates electricity to power the lighting and ventilation systems.\n\nThe interior of the greenhouse is divided into several sections, each dedicated to a specific type of plant. The tropical section features a variety of palm trees and other tropical plants, while the desert section showcases cacti and succulents. The greenhouse also includes a water feature, which adds to the overall aesthetic and provides a habitat for aquatic plants.\n\nThe greenhouse is located in a coastal area, with a view of the ocean. The design takes advantage of this location by incorporating elements that enhance the connection between the interior and exterior spaces. The transparent walls and roof allow for a seamless transition between the indoor and outdoor environments, creating a sense of continuity and flow.\n\nIn conclusion, the greenhouse is a unique and innovative structure that combines sustainability, functionality, and aesthetics. Its design and layout are tailored to meet the specific needs of the plants it houses, while also providing a comfortable and enjoyable environment for visitors. The greenhouse is a testament to the potential of modern architecture to create spaces that are both functional and visually stunning.\n\nTAKE A CLOSER LOOK . . .\n\n(click image to view the video)"}}},{"rowIdx":204887,"cells":{"text":{"kind":"string","value":"\n\nIf your clients demand the highest level of sonic performance...\n\nIf you need to offer the most flexible digital processing equipment available...\n\nIf you would rather have your reverberation, delay, and pitch modification requirements handled by one cost effective, computer controlled signal processing system...\n\nYou’ve got no choice.\n\nThe Shared Access Memory System.\nBy Audio Machinery\n\nThe Audio Machinery Shared Access Memory System\ndistributed by Sound Workshop Professional Audio Products, Inc.\n1324 Motor Parkway Hauppauge, New York 11787 516-582-6210\n\nCircle 10 on Reader Service Card\n\nComing Next Month\n\n- In June, we conclude Wayne Jones' three-part survey of Audio Tests and Measurements, compare the features of various types of graphic recorders, and then tackle the subject of psychoacoustics. We'll also bring you up-to-date with the latest convention reports, and confess what we were doing in Vienna recently. Then it's back to the computer, for a little more audio problem solving. Basically, there's nothing to it. In addition, there will also be our regular columnists—Patrick Finnegan, Broadcast Sound; Norman Crowhurst, Theory and Practice; and Martin Dickstein, Sound with Images.\n\nAll this, and more, in the June issue of db—the Sound Engineering Magazine.\n\nAbout The Cover\n\n- Signal processing is featured in this month's db, and art director Bob Laurie shows us two views of one of the latest-generation devices: Audio Machinery's Shared Access Memory System. In the background, we see the artwork for one of the p.c. boards in SAMS' mainframe computer system, where the system's microprocessor lives. Up front, one of the pitch/delay modules. For more details, see Michael Tapes' feature story in this issue.\n\nEditorial\n\nSHARED ACCESS MEMORY—A NEW CONCEPT FOR DIGITAL SIGNAL PROCESSING IN AUDIO APPLICATIONS\nMichael Tapes\n\nAUDIO TESTS AND MEASUREMENTS—Part II\nWayne Jones\n\nA PRECISION DYNAMIC RANGE CONTROLLER\nBurgess MacNeal\n\nXY RESPONSE PLOTTERS FOR THE STUDIO\nBrad Punkett\n\nDOOHICKII DIGITALI\nAnthony Agnello & Richard Factor\n\nEQUALIZERS FOR PROFESSIONAL RECORDING APPLICATIONS\nRobert Orban\n\nDESIGNING A NOTCH FILTER WITH A PROGRAMMABLE CALCULATOR\nAlbert E. Hayes, Jr.\n\nDIRECTORY OF SIGNAL PROCESSING MANUFACTURERS\n\nCALENDAR\nLETTERS\nBROADCAST SOUND\nTHEORY AND PRACTICE\nNEW LITERATURE\nSOUND WITH IMAGES\nNEW PRODUCTS\nCLASSIFIED\nPEOPLE, PLACES, HAPPENINGS\n\ndb is listed in Current Contents: Engineering and Technology\n\nLarry Zide\nPUBLISHER\n\nJohn M. Woram\nEDITOR\n\nSuzette Fiveash\nASSOCIATE EDITOR\n\nSam Zambuto\nASSOCIATE EDITOR\n\nAnn Russell\nADVERTISING PRODUCTION\n\nEloise Beach\nCIRCULATION MANAGER\n\nLydia Anderson\nBOOK SALES\n\nBob Laurie\nART DIRECTOR\n\nCrescent Art Service GRAPHICS AND LAYOUT\n\ndb, the Sound Engineering Magazine is published monthly by Sagamore Publishing Company, Inc. Entire contents copyright © 1979 by Sagamore Publishing Co., 1120 Old Country Road, Plainview, L.I., N.Y. 11803. Telephone (516) 433 6530. db is published for those individuals and firms in professional audio-recording, broadcast, audio-visual, sound reinforcement, consultants, video recording, film sound, e.c.-applications and related fields, on the subscription form in the rear of each issue. Subscriptions are $9.00 per year ($18.00 per year outside U.S. Postage paid at Campbell, Mexico) in U.S. funds. Single copies are $1.95 each. Controlled circulation paid at Brattleboro, VT 05301. Editorial, Publishing, and Sales Offices: 1120 Old Country Road, Plainview, New York 11803. Postmaster: Form 3579 should be sent to above address.\n\nIndex of Advertisers\n\nMAY\n\n12 1979 Midwest Acoustics Conference. Topic: Digital Technology: Impact on Recorded Sound. Norris Center, Northwestern University. Contact: William R. Bevan, Shure Bros., Inc., 222 Hartrey Ave., Evanston, Illinois 60204. (312) 866-2364.\n\n15-18 63rd AES Convention (Los Angeles), Los Angeles Hilton, California; Chairman will be Martin Polon, Director, Audio Visual, U.C.L.A., C.A.S.O., Rice Hall 130, 405 Hilgard, Los Angeles, Calif. 90024. (213) 825-8981.\n\n22-24 Synergetic Audio Concepts Sound Engineering Seminar: Sheraton-Universal Hotel, No. Hollywood, CA. SYN-AUD-CON, P.O. Box 1134, Tustin, CA 92680. (714) 838-2288.\n\n22-24 B&K Instruments Seminar. Topic: Techniques and Instruments for Electroacoustic Measurements on Audio Equipment. Los Angeles, CA. For more information contact: B&K Instruments, Inc., 1440 South State College Blvd., Suite 1A, Anaheim, CA 92806. (714) 778-2450.\n\nJUNE\n\n3-6 13th Annual Summer Consumer Electronics Show. McCormick Place, McCormick Inn, and the Pick Congress Hotel, Chicago, Illinois.\n\n20-22 The Twelfth Annual International Exhibition of Professional Recording Equipment (APRS). Connaught Rooms, Great Queen Street, Kingsway, London. For more information contact: British Information Services, 845 Third Ave., New York, NY 10022. (212) 752-8400.\n\ndb sales offices\n\nTHE SOUND ENGINEERING MAGAZINE\n\nNew York\n1120 Old Country Rd.\nPlainview, N.Y. 11803 516-433-6530\n\nRoy McDonald Associates, Inc.\nDallas\nStemmons Tower West, Suite 714\nDallas, Texas 75207 214-637-2444\n\nDenver\n3540 South Poplar St.\nDenver, Colo. 80237 303-758-3325\n\nHouston\n3130 Southwest Freeway\nHouston, Tex. 77006 713-529-6711\n\nLos Angeles\n500 S. Virgili, Suite 360\nLos Angeles, Cal. 90020 213-381-6106\n\nPortland\n2035 S. W. 58th Ave.\nPortland, Ore. 97221 503-292-8521\n\nSan Francisco\nSuite 265, 5801 Christie Ave.\nEmeryville, Cal. 94608 415-653-2122\n\nfact: this condenser microphone sets a new standard of technical excellence. & it sounds superb!\n\nThe Shure SM81 cardioid condenser is a new breed of microphone. It is a truly high-performance studio instrument exceptionally well-suited to the critical requirements of professional recording, broadcast, motion picture recording, and highest quality sound reinforcement — and, in addition, is highly reliable for field use.\n\nShure engineers sought — and found — ingenious new solutions to common problems which, up to now, have restricted the use of condenser microphones. Years of operational tests were conducted in an exceptionally broad range of studio applications and under a wide variety of field conditions.\n\nAs the following specifications indicate, the new SM81 offers unprecedented performance capability — making it a new standard in high quality professional condenser microphones.\n\nSM81 puts it all together!\n\n- WIDE RANGE, 20 Hz to 20 kHz FLAT FREQUENCY RESPONSE.\n- PRECISE CARDIOID polar pattern, uniform with frequency and symmetrical about axis, to provide maximum rejection and minimum coloration of off-axis sounds.\n- EXCEPTIONALLY LOW (16 dBa) NOISE LEVEL.\n- 120 dB DYNAMIC RANGE.\n- ULTRA-LOW DISTORTION (right up to the clipping point!) over the entire audio spectrum for a wide range of load impedances. MAXIMUM SPL BEFORE CLIPPING: 135 dB, 145 dB with attenuator.\n- WIDE RANGE SIMPLEX POWERING includes DIN 45 596 voltages of 12 and 48 Vdc.\n- EXTREMELY LOW RF SUSCEPTIBILITY.\n- SELECTABLE LOW FREQUENCY RESPONSE: Flat, 6 or 18 dB/octave rolloff.\n- 10 dB CAPACITIVE ATTENUATOR accessible without disassembly and lockable.\n\nOutstanding Ruggedness\n\nConventional condenser microphones have gained the reputation of being high quality, but often at the expense of mechanical and environmental ruggedness. This no longer need be the case! The entire transducer and electronics housing is of heavy-wall steel construction, and all internal components are rigidly supported. (Production line SM81's must be capable of withstanding at least six random drops from six feet onto a hardwood floor without significant performance degradation or structural damage.) It is reliable over a temperature range of -20° F to 165° F at relative humidities of 0 to 95%.\n\nSend for a complete brochure on this remarkable new condenser microphone! (AL577)\n\nSM81 Cardioid Condenser Microphone\n\nSHURE®\n\nShure Brothers Inc., 222 Hartrey Ave., Evanston, IL 60204, In Canada: A. C. Simmonds & Sons Limited Manufacturers of high fidelity components, microphones, sound systems and related circuitry.\n\nTo The Editor:\n\nAfter reading the furor over \"The Sound of Broadcasting Audio\" I felt that there were a few comments that I had to offer that might seem worthwhile.\n\nI am currently working at an a.m.-f.m. simulcast rocker, and most of our equipment dates back to the fifties. We don't expect our f.m. signal to sound like the (recording) studio, but we do expect a relatively clean signal with some of the dynamic range left in. And not only do we expect a clean signal, but we get it too. The equipment might be obsolete, but the approach we take is not, and it shows when the Arbitron book comes out. It certainly can't hurt to put out a clean, uncoloured signal because the listeners that can't receive it as clean as we put out won't know the difference. Naturally, the growing number of audiophiles (and \"just plain folks\") who just spent all that money on their brand new system will certainly appreciate it. The a.m. is a whole different story, of course. No one expects \"hi-fi\" coming out of a hundred thousand midget car radios. Of course, if your signal sounds like it has been dragged through the mud several times over no one will listen. And there goes business....\n\nSecond, let me say in reply to Mr. Dunn of WDBF that broadcasters do have to alter the sound of the recordings somewhat to keep the gain up and the FCC off, but radio is not the most important aspect of the record industry: selling records is. Engineers and producers produce for the public, not the DJ, and since there is no lack of signal processing equipment available for broadcasting it is unreasonable to ask that records be produced with broadcasting alone in mind.\n\nAlso, I happen to like the wide frequency and dynamic range on the new releases. And I don't feel that all the new technology that makes this possible is just \"an engineer's toy.\"\n\nModern Recording called our DL-1 Delay \"probably the best we have encountered\" . . . a tough act to follow.\" Now after more than a year in development DeltaLab introduces its encore - the ACOUSTICOMPUTER® - a combination digital-delay and special-effects processor designed for use both onstage and in the studio, providing well-known functions (echo, doubling, chorusing, vibrato, flanging, etc.) plus new effects not available in any other device.\n\n• Pre-reverb delay with two independent delay channels, variable from 0.25ms to 152ms with LED display.\n• Delay up to 240ms in serial (mono) mode.\n• Built in VCO with external control input at rear.\n• Same no-compromise sound quality as in our DL-1 Digital Delay: Full 20-15 kHz bandwidth at all delay lengths with 90 dB dynamic range.\n• Computer-synthesized acoustic space with 16 selectable reverb programs plus a new special effect in which the ACOUSTICOMPUTER scans the 16 programs.\n• Two channels in and out. Built in reverb mixing and stereo imaging controls.\n• Foot-switch controlled bypass.\n\nIt's impossible to describe in this space everything the ACOUSTICOMPUTER does; you'll have to experiment with it yourself. By carefully minimizing the number of separate controls and grouping them logically, we've made it easy for non-engineers to operate the ACOUSTICOMPUTER.\n\nFor further information call or write Phil Markham at DeltaLab Research, Inc., 27 Industrial Avenue, Chelmsford, MA 01824 Tel. (617) 256-9034.\n\n*See Modern Recording \"Hands On Report,\" Sept. 1978.\n\nOUR ORIGINAL BUSINESS WAS MAKING SOUND CONNECTIONS\n\nWe're still at it. We started in 1935 as the Audio Development Company producing jacks and jack panels for the broadcast and telephone industries. Since then, ADC has produced such innovations as Bantam Jacks, printed circuit board jacks and Wrapid terminal blocks. What are we doing for you today?\n\nWe are introducing our new line of low impedance audio connectors. We have six models now in production. They're reliable, compatible and competitively priced. Most important, they're available sooner. Ask about making a sound connection with ADC. Call or write today.\n\nADC Products\nA DIVISION OF MAGNETIC CONTROLS\nADC Products, 4900 W. 78th St., Minneapolis, MN 55439 / Telephone: (612) 835-6800 TWX 910-576-2832 Telex 29-0321\n\nSales offices in: Atlanta, GA (404) 766-3555 • Dallas, TX (214) 241-6783 • Denver, CO (303) 761-4061 • Fairfield, CT (203) 255-0644 • Lafayette, IN (317) 474-0814 • Melbourne, FL (305) 724-8874 • Menlo Park, CA (415) 323-1386 • Minneapolis, MN (612) 835-6800 • Washington, DC (202) 452-1043 • Montreal, Quebec (514) 677-2869\n\nCircle 24 on Reader Service Card\nwww.americanradiohistory.com\n\nSLIMLINE\n\nPenny & Giles small development in the fader business\n\nPenny & Giles new Slimline fader is only 12·7mm wide with a 68mm electrical stroke. Yet, within that 12·7mm body width you can have mono or stereo outputs, linear or audio taper with an infinitely smooth and stepless fade — plus the other performance advantages of Penny & Giles conductive plastic faders.\n\nOur small development sounds good — and has a small price to match.\n\nWrite for full details or phone our sales office.\n\nWith a good set of ears and a half decent stereo those increased ranges can do nothing but bring out the texture and the feel of the music—when used with taste, of course. And isn't that what it's all about?\n\nAs a broadcaster myself, I must point out to Mr. Edwards that (of course!) broadcasting is a business, but why did he go into radio instead of accounting? Radio pays my bills, too, but no doubt I'd do much better (moneywise) if I sold Xerox for a living. I think that many of us have the tendency to forget, once we're in a secure position, that this is not just any business and we wouldn't go through as many changes as we do if it were. The music is what brings us all together, not the money, and even though Mr. Edwards has his secure (for the moment) little gig in Bakersfield, he shouldn't lose touch with what got him there to begin with.\n\nCARIN ABRAMSON\nKULA KAHU, Honolulu\n\nTO THE EDITOR:\n\nOkay, I'll take on WDBF's Paul Dunn:\n\nFirst of all, you need some understanding of my biases, if we're to explore his . . . and yours. I've been chief engineer of a couple of small stations over the years. I'm also nuts about nearly all music, have a good stereo system and a large collection of records and tapes.\n\nI do agree with Mr. Dunn's feelings toward what he calls db's \"de facto editorial line.\" I long sensed an air of condescension toward those in broadcast audio. I suspect you're not aware of it, but it is in your writings. And, that's a shame, because nobody writes better about audio than db. Broadcasting's own trade journals write either to station management or to their own advertisers. They do not write toward the working broadcast employee.\n\nNow to Mr. Dunn: His main thrust seems to be toward audio processing, and although he does list the correct reasons for it, he just takes those reasons to the wrong conclusion. In my opinion, broadcasters use audio processing because they feel the end product, the transmitted signal, is better for it. Ultimately, that signal becomes more saleable. That's the real rationale, whether it's true is something for everyone's own subjective judgment. But, what most broadcasters don't stop to realize is that audio processing does change the waveform taken from the original tape or disc. That change can easily be considered by recording studio technicians as a form of distortion.\n\nCROWD PLEASER\n\nHere's the crowd pleaser—which nobody can match. The fabulous Klipsch MCM-1900 is designed to provide the same smooth, wide range response and freedom from distortion which has made the world famous KLIPSCHORN loudspeaker the standard of the industry since 1948. But this monster does it at EIGHT TIMES THE ACOUSTIC OUTPUT POWER of the Klipschorn . . . and without the aid of reflective surfaces.\n\nThis unique four-way Klipsch system is fully horn-loaded to drive crystal clear sound effortlessly. With continuous power of up to 1,500 watts, it can produce SPL's in excess of 100 dB at 50 meters.\n\nEvery seat is front row center with the Klipsch MCM-1900. Write for details and the name of your nearest Klipsch industrial loudspeaker dealer.\n\nPlease send me your FREE literature on the full line of Klipsch industrial loudspeaker systems, along with a list of Klipsch industrial dealers.\n\nName __________________________________________________________ Title ________________\nCompany _________________________________________________________\nAddress _________________________________________________________\nCity __________________________ State __________ Zip ____________\n\nClip and mail to Klipsch & Associates, Dept. D59, P.O. Box 688, Hope, AR 71801\n\nCircle 19 on Reader Service Card\n\nMy own feeling: the extra help provided by audio processing (within reason) is probably needed when you're pushing a.f. thru what's basically an r.f. system.\n\nMr. Dunn obviously has large personal reservations about what he sees as a \"deliberately wide dynamic range\" of today's recordings. \"The Music is always too loud for the system or too soft to hear,\" he adds. Frankly, it sounds as though Mr. Dunn has an undetected hearing disorder. Perhaps a visit to the doctor is in order. At any rate, I work in a newsroom full of music fans, and none of us share his problem.\n\nIf my memory is correct, the NAB equalization curves were for tapes and discs produced by stations themselves, plus agencies and networks. Actual entertainment, as I recall, was recorded using a set of curves drawn up by the RIAA. And, as I remember, nearly every turntable preamp was switch selectable to whichever curve was appropriate. Nobody ever said the NAB settings were appropriate for playback of lp's.\n\nDesign engineers fully realize the amplifier was invented long ago. But, until frequency response is infinite and distortion has been totally eliminated, there's room for improvement. And that's what designers and manufacturers are working toward.\n\nThe overall tone of Mr. Dunn's comments kind of baffles me; if he's that unhappy with the business, why doesn't he find another line of work?\n\nIAN EVANS\nNews Director, KRCR-TV\nRedding, California\n\nTo The Editor:\n\nIt was a pleasure to finally read a couple of letters, in last month's issue of db, that dealt with the realities of broadcast audio processing, rather than the purist's laboratory analysis. Unfortunately for the purist, very few listeners do their listening in acoustic isolation with headphones on, staring at an oscilloscope! Listening is done in automobile traffic with horns blaring, in household kitchens with kids in the next room, at picnics, business offices, etc. THIS is the real world, and I wonder how many of these listeners, consciously or unconsciously, are influenced by the few tenths of a per cent of distortion introduced by a properly set up audio processing chain. They are more likely to be influenced by the signal-to-noise ratio—and by noise here we must\n\nStudio quality microphones that don’t need a studio to survive.\n\nThe CS15P condenser cardioid microphone is equally at home in a recording environment or broadcast studio. When hand-held it puts sex appeal in a voice with its bass-boosting proximity effect. With shaped high-frequency response and its ability to handle high sound pressure levels (140dB with 1% THD at 1kHz), the CS15P is ideal for close-up vocal or solo instrument mixing applications.\n\nWhen boom mounted, the CS15P has better gain-before-feedback and a better signal-to-noise ratio than most shotgun guns. It’s phantom powered and it’s rugged.\n\nThe CO15P condenser omni extends frequency response to the very limits of audibility, 20 to 20,000 Hz. Unlike other ‘omnis,’ the CO15P maintains an omnidirectional polar pattern at the very highest frequencies. Perfect for the distant miking of an entire orchestra as well as up close on individual instruments. And like the CS15P, it’s phantom powered and it’s rugged.\n\nThe Electro-Voice warranty\nElectro-Voice backs up these two microphones with the only unconditional warranty in the business: for two years we will replace or repair your CS15P or CO15P microphone, when returned to Electro-Voice for service, at no charge – no matter what caused the damage!\n\nWe can do this because we build these microphones to meet our standards for performance, ruggedness and durability. We accept nothing less, and if you’re a professional, buying a professional quality microphone, you shouldn’t either.\n\nSystem C\n\nElectro-Voice®\na Gulton company\n600 Cecil Street, Buchanan, Michigan 49107\n\nCircle 50 on Reader Service Card\nwww.americanradiohistory.com\n\nPerfect Levels\n\nES 214 Dynamic Audio Level Indicator\nmade especially for the broadcaster and recording engineer\n\nFeatures:\n\n- Peak Audio Levels or Apparent Loudness (Fast Averaging)\n- Uses Standard V.U. Scale\n- High Brightness, 3-Color Display\n- Transformer Isolated Input\n- Unregulated \"Single-Supply\"\n- High Input Impedance and Sensitivity\n- Low Cost\n\nThere are a number of Audio Level Indicators using L.E.D. bar graphs on the market today. Their acceptance is becoming widespread due to obvious advantages. However, the ES 214 gives you more: Transformer Isolated Input others consider too costly; A Power Supply Regulator on the circuit board, so you can use any unregulated D.C. voltage from +15 to +35 while others require dual supplies; The Standard Scale so you don't have to adapt to new numbers; and, the ability to select Peak Responding Mode or a special Fast Averaging Mode to approximate Apparent Loudness.\n\nGet a handle on your levels with the ES 214\n$105.00\n\n(213) 322-2136\n\n142 SIERRA STREET • EL SEGUNDO, CA 90245\n\nTo The Editor:\n\nWe noted that part of Paul Miller's article entitled \"Audio Cable: The Neglected Component,\" dealt with \"Star Quad\" cable. In order to place credit where due, and also elaborate on the modus operandi of the cable, we offer the following:\n\n1. \"Star Quad\" cable was originally developed by the British Broadcasting Corporation (B.B.C.) for use within their organization, particularly in television studios.\n\n2. We believe Belden's introduction to the product was via specifications prepared by Purcell + Noppe + Associates, Inc. (P+N+A) for specific application in the Grand Ole Opry House.\n\n3. Belden modified the sample of B.B.C. cable, originally submitted to them by P+N+A, to provide for increased shielding above the audio frequency range. This increased shielding however, does not improve the basic cable property, which is to provide a more random sampling of potentially interfering magnetic fields, thereby permitting closer equality of opposing currents \"circulating\" through the terminating amplifier input transformer; i.e., given a highly balanced input transformer, the common mode rejection (CMRR) of the system is thereby increased. A larger number of small conductors (greater than four) spiralled around a common axis should provide for a further improvement of the CMRR. However, the improvement would be dependant upon the available CMRR of the terminating amplifier input device.\n\nRICHARD D. M. NEGUS\nSenior Audio Systems Consultant\nPurcell + Noppe + Assoc., Inc.\n\nFor the Critical Link:\n\nPower Amplifiers You Can Count On\n\nEVEN IN CONTINUOUS USE, OVERLOADED, AND AT 131°F\n\nNo sound system can be any better than its critical link, the power amplifier. Whatever inputs, mixers, and speakers you use, if the power amp lets you down, the message won't go through, the show won't go on. We've designed Bogen's Tech-craft Professional Power Amplifiers to assure quality performance even under the most adverse conditions.\n\nUNEQUALED PROTECTION\nThese amplifiers can be operated 24 hours a day at rated power, into gross overloads, at ambient temperatures up to 131°F—and continue to perform superbly. They won't be damaged even if the speaker lines are shorted or the temperature goes still higher. In other words, you can't burn them out, even when overloaded. Computer-grade electrolytics are used exclusively.\n\nPURE POWER\nThe TCB-60, TCB-125, and TCB-250, rated at 60, 125, and 250 watts respectively, deliver their rated power at less than 1% total harmonic distortion, 25 to 22,000 Hz. At 20% higher power, THD is still under 2%, 30 to 18,000 Hz. Frequency response is within ± 1 dB, 2C to 20,000 Hz, at rated power. Output regulation, no load to full load, is better than 1 dB. We think, and believe you'll agree when you try them, that these are the best power amplifiers you can buy for sound reinforcement.\n\nADDITIONAL ADVANTAGES\nLED indicators show whether the amplifier is operating in normal, peak, or limiting mode. You can use these three amplifiers virtually anywhere in the world, on 120 or 240 volts, 50/60 Hz. They require less rack panel height than others and their physical balance makes them easier to handle. In short, they reflect all the experience of our nearly 50 years in amplifier design and manufacture.\n\n14 Tech-craft PRODUCTS\nOur Tech-craft series includes, in addition, two dual-channel power amps, two mixers and two matching mixer-extenders, two graphic equalizers, a compressor/line amplifier, and two mixer-power amplifiers. All 14 products were designed by the same team, for highest performance and utmost reliability.\n\nThis is a franchised line sold through qualified professional sound installers. For more information, please write or phone us.\n\nTech-craft\nPROFESSIONAL SOUND by\nBOGEN\nA DIVISION OF LEAR SIEGLER, INC.\nP.O. Box 500, Paramus, NJ 07652\n(201)343-5700\nGSA Contract #GS-00S-44859\n\nA.M. Proof-of-Performance\n\n- Every a.m. broadcast station is required by FCC Rules, to make an audio proof-of-performance of its broadcast system at least once each calendar year. This in itself is a specific requirement, and what must be measured is not left up to the discretion of the station. Part 73.47 of the Rules spells out what measurements are to be made, and Part 73.40 defines the minimum technical tolerances the system must meet. Our discussions this month will center on the various aspects of this annual activity a broadcast station must perform.\n\nWHAT IT IS\n\nAlthough there are many and sundry component units combined into what we call a broadcast station, the \"proof\" measures the performance only of the \"core\" or basic chain of the system—the main microphone input to the antenna output. The basic chain includes: the console and microphone pre-amplifier, audio processors, equalizers, telco lines or STL, the transmitter itself and its antenna load. Although a variety of units such as tape players, turntables, and so forth introduce audio programming into the head end of the system (the console), these are not part of the basic chain and are not considered in the proof measurements. All these external units do require their own maintenance so that they contribute good technical quality audio programming; but as far as the proof is concerned, they are not a part of the proof measurements.\n\nThe proof then, is a specified set of measurements to be made to the basic chain to demonstrate that it meets the minimum tolerances of the Rules. This is more than a mere exercise in measurements. If there is a fault in the system which would place the system outside tolerances, the fault must be corrected and new measurements taken to demonstrate that the system is within tolerances. Actually, the station must meet these minimum technical tolerances all the time—not one specific night of the year! No system will stay in top performance all the time, so an ongoing maintenance program is necessary. When such a program is carried out on a continuous basis, making the proof will simply confirm, by measurements, that the system does meet FCC tolerances.\n\nRESPONSE\n\nThe first parameter to be measured is the audio amplitude response across a relatively narrow band-pass. In terms of today's audio equipment and newer transmitters, this may seem somewhat short of capability. But remember that here we are measuring a sysNAGRA\n\nPortable Perfection\nStereo Or Monaural With A \"Flick Of A Switch\"\nBooth 68-AES Show\nMay 15-18, Los Angeles\n\nNOW! REBATE!\nSAVE UP TO $580*\n\nUNITED STATES DISTRIBUTION, SALES AND SERVICE\nNAGRA MAGNETIC RECORDERS, INC.\n19 West 44th Street, Room 715 • New York, NY 10036 • (212) 840-0999\n\nWest Coast Sales, Service & Technical Center — RYDER MAGNETIC SALES CORP., 1147 N. Vine St. • Hollywood, CA 90038 • (213) 469-6391\n\nIn Canada — ARRI/NAGRA, INC., 6467 Northam • Mississauga, Ont. L4V 1J2 • (416) 677-4033\n\n* Offer valid in U.S.A. only\n\nCircle 23 on Reader Service Card\nwww.americanradiohistory.com\n\nThe basic chain is measured. Disable the AGC and other processing units, and make sure that the load on the transmitter is the antenna system.\n\nsystem and not an individual audio component unit.\n\nFour sets of measurements are to be made. One set at each of these levels of modulation: 100, 85, 50 and 2.5 per cent. The basic audio tones in each set are: 50, 100, 400 Hz, 1, 5 and 7.5 kHz. The reference to be used is 1 kHz, and the amplitude of the other tones in the range 100 Hz to 5 kHz must be within plus or minus 2 dB of the reference. Some transmitters cannot maintain a sustained tone modulation at 100 per cent, so 95 per cent modulation may be used instead. Remember that tone contains a considerable level of energy, and sustained tone modulation at high levels can cause considerable damage to transmitter and antenna components. Be as brief as possible in making the measurements, and then give the system a rest between measurements.\n\nTo make the measurements, first calibrate the modulation monitor at 100 per cent modulation. Use an oscilloscope to confirm the monitor's accuracy. The percentage of modulation is held constant for each series of tones by adjusting the amplitude of the audio input signal. Since the system output is held constant, the input signal levels must be measured in some manner. This may be done by an external audio voltmeter, or by an internal voltmeter of the signal generator. The actual system response, as plotted, will be the inverse of these measured signal input amplitudes. All AGC, limiter, and similar amplitude control devices must have their action disabled and the unit run as a straight amplifier, otherwise the resulting response curve would be meaningless.\n\nDISTORTION\n\nHarmonic distortion in the audio bandpass is the next important measurement required. A series of distortion measurements, using the same audio tones and levels of modulation required for the response measurements, must be made. This is the total harmonic distortion in the bandpass. Most distortion analyzers today use a null network to cancel out the fundamental tone being observed, and then measure all that remains as distortion. Since everything else is measured, noise can become a significant part of that measurement. If the system noise is relatively high, the distortion figures will also appear higher than normal.\n\nThe minimum tolerance across the specified bandpass is 5 per cent at modulation levels up to 84 per cent. At higher modulation percentages, the tolerance is 7.5 per cent. Since these measurements are at the same tones and modulation levels as response measurements, the most convenient time to make them is at the same time the response measurements are made. After the proper modulation level has been set for a particular tone and the signal input amplitude recorded for response, calibrate the distortion analyzer to 100 per cent and proceed to make the distortion measurement for that tone.\n\nThe amplitude of the carrier should not change during modulation. Audio appears as two equal sidebands.\n\nBose for Pros\n\nSound Reinforcement Components for Engineers and Performers.\n\nThe Bose Model 802 loudspeakers, PM-2 Powermixer, XM-6 Extramixer™ and Model 1800 Power Amplifier are specifically designed to meet the demands of sound system designers and performing artists alike. Performers applaud the exceptional sound quality, durability, and portability of Bose professional products. Audio engineers and acoustics consultants appreciate these highly reliable, compact systems which are easy to place and install, yet deliver large amounts of sound from small enclosures.\n\nBoth acclaim the aspect of Bose products which has made them the standard of the industry: their ability to produce clear, uncolored sound with a fullness and spaciousness found nowhere else.\n\nSend us the coupon, and we'll send you a four-color Professional Products Catalog and dealer listing.\n\nBose Corporation, Dept. SE\n100 The Mountain Road, Framingham, MA 01701\nPlease send me a copy of the Bose Professional Products Catalog and a dealer list.\n\nName__________________________________________\nStreet__________________________________________\nCity___________________________________________\nState______________________ Zip_______________\nTel. (______)____________________________________\n\nCarrier amplitude regulation is also made with 400 Hz modulation, but a reading is required at each of the 4 levels of modulation. The tolerance here is 5 per cent. In amplitude modulation, the carrier amplitude itself does not (or should not) change—the modulation appears as two equal sidebands of that carrier. Should the carrier amplitude itself change, there is a problem somewhere. A number of faults can cause the carrier amplitude to change—poor tubes, tuning, poor power supply regulation, and so forth. Most modulation monitors have a carrier level meter on them, and this is marked off in percentage. This meter can be used for the measurement. First adjust the r.f. input to the monitor (without modulation) so the meter indicates 100 per cent. Then apply modulation at 400 Hz to each of the 4 modulation levels. Note any movement of the carrier meter in each case. If the meter increases above 100 per cent, this is positive carrier shift, but if it drops in level, this is negative carrier shift. The most convenient time to make this measurement is during the response measurements.\n\n**NOISE & CARRIER SHIFT**\n\nTwo other audio related measurements of the system are required—noise and carrier amplitude regulation (carrier shift). The noise is to be measured with 400 Hz tone as the modulation calibration signal, at 100 per cent modulation. The minimum tolerance is $-45$ dB below 100 per cent modulation. Only one measurement is required, and this at the 100 per cent modulation level. This measurement can most conveniently be made during the 100 per cent level of the response and distortion runs when the series gets around to the 400 Hz area. With the transmitter modulated 100 per cent at 400 Hz tone, calibrate the noise meter. Remove the input signal to the system and terminate the input with a resistor. Then measure system noise with the calibrated noise meter.\n\n**SPURIOUS RADIATIONS & HARMONICS**\n\nBecause of the relatively low frequency range the broadcast carriers occupy in the spectrum, they are in a position to cause havoc in the upper spectrum with spurious radiations and harmonics of the carrier. All such radiations must be suppressed, and a measurement is required to show they are at a low level. The actual tolerance is $-80$ dB for power levels of 5 kW and higher. For lower power carriers the tolerance is different and is found from the formula: $43 + 10 \\log_{10} (\\text{power in watts})$. For a 250 watt station, this is about $-67$ dB, a 1 kW station, $-73$ dB. This tolerance in all cases is for radiations 75 kHz away from the carrier. Different tolerances are given for the spectrum closer to the carrier: 30 kHz to 75 kHz, $-35$ dB; 15 kHz to 30 kHz, $-25$ dB. These measurements can be made with an appropriate field strength meter, or a communications receiver. If there are problems or complaints, however, the FCC will require accurate measurements with a field strength meter.\n\n---\n\nWe design and manufacture high-definition loudspeaker systems to exacting standards, making use of the finest materials available.\n\nP.A. • Stage & Instrument Monitor • Studio Monitor\n\nEastern Acoustic Works, Inc.\n59 Fountain Street, Box 111, Framingham, Massachusetts 01701 / (617) 620 1478\n\nThe Orban 526A Dynamic Sibilance Controller:\nthe single channel de-ess specialist\n\nIntroducing the Orban 526A — an improved, single-channel version of our internationally accepted Dynamic Sibilance Controller. It features a mike input, fully-balanced input and output, LED level display, and GAIN control.\n\nThe 526A performs the de-ess function only without the compromises inherent in multi-function processors. It's clean, quiet, stable, and easy to use. So it's invaluable anywhere speech is processed professionally: recording studios, cinema, broadcasting, cassette duplication, and more. It's a simple time-saver and problem-solver — and at $399* you can't afford to be without it.\n\nThe Orban 526A De-Ess Specialist is available at your Orban pro-audio dealer.\n\n* suggested list\n\nOrban Associates Inc.\n645 Bryant Street\nSan Francisco, California 94107\n(415) 957-1067\n\nSee it at AES Booth 62.\n\nEQUIPMENT NEEDED\n\nIf meaningful measurements are to be made, then test equipment of suitable accuracy is necessary, and suitable procedures employed to insure accurate measurements. The most basic item is the station's modulation monitor that has been properly calibrated. The monitor provides the correct indication of modulation required for each measurement, and it also provides a detected audio output to drive the noise/distortion analyzer. Some analyzers have a built in detector for this purpose, and this can be used by feeding modulated r.f. directly to the analyzer for distortion and noise measurements.\n\nAn audio signal generator is required to feed tones into the system as the audio modulating signal. Besides the input signal frequency, the input amplitude level to the system must be measured by an accurate audio voltmeter. This voltmeter may be a separate instrument, or it may be an integral part of the audio signal generator.\n\nThe noise/distortion analyzer must be a quality instrument that has a wideband input. Most models available today have a bridge circuit which tunes out the fundamental audio tone fed to the unit, and its internal meter and amplifier measures all that remains as distortion. Since part of this indication can also be noise, an amplified output of the metering circuit is provided so oscilloscope observation can be made.\n\nFor the spurious radiations measurements, a communications receiver can be used, as few stations own a suitable field strength meter. Use the \"S\" meter of the receiver if it will provide suitable indications, or the AVC bus can be brought out and the d.c. voltage measured with a regular voltmeter. If this is done, the receiver must be switched into a manual r.f. gain control mode.\n\nWINDUP\n\nWhen all the measurements have been made and all within specifications, restore everything for normal programming—remove patch cords, terminations from jacks, re-activate the ACC, limiters and similar devices which were disabled and so forth. Make sure the place works or the sign-on operator will probably call you out of bed!\n\nAt some later time, when you have recovered from all this, draw the response curves, distortion curves and other data into a much more presentable package than your nighttime scribblings. Draw a block diagram of the line-up, and describe how the measurements were made. Sign and date the proof, and retain it at the station for the next 2 years, so an FCC inspector may look at it if he desires.\n\nA microprocessor-controlled audio analysis system.\n\nIvie's family of audio analysis and measurement instruments, centered around the IE-30A/17A combination.\n\n- 1/3 octave band real-time analyzer\n- Precision sound level meter (Type 1, IEC 179)\n- Peak, impulse, fast and slow responses\n- Automatic spectrum plots\n- System weight 4.5 lbs.\n\nThe new family of Ivie acoustic and audio analysis equipment is the most advanced measurement system in the world, yet is so light and compact you can place a complete acoustics laboratory under an airline seat.\n\nNow you can accurately measure sound pressure levels and perform real-time, third-octave band analysis simultaneously. Measure RT60, delay, decay, and program an infinite number of time/amplitude variables for gated time measurements. The newest computerized Ivie analyzer is a versatile, compact, acoustics laboratory that is completely independent of power cords. Plot amplitude vs. time, amplitude vs. frequency, etc., with precision accuracy, and generate \"hard copy\" automatically into any standard X-Y recording device.\n\nIvie has a complete family of audio analysis products and accessories designed for your particular application. Our products are sold and serviced worldwide.\n\nWrite for product catalogs containing specifications and applications information.\n\nIvie Electronics Inc.\n500 West 1200 South\nOrem, Utah 84057\nTelephone (801) 224-1800\nTELEX or TWX 910-971-5884\n\nAnd see our newest ideas at AES booths 88/89.\n\nIntroducing Altec Lansing's Incremental Power System. And Its Closest Competitor.\n\nLately a lot of the big names in professional amplification have been making head-to-head comparisons with their competition. And, understandably, the brand being featured in each ad usually comes out on top. But one product that no one is comparing themselves with is Altec Lansing's new Incremental Power System.\n\nThat's not really surprising since Incremental Power is a lot more than just an amplifier. Each main frame actually contains a flexible array of power amps, electronic crossovers, line amps and input devices. So you get a complete amplification system that's prewired and ready to use. And since it is a system, Incremental Power offers a degree of flexibility that's unmatched by any single amplifier. In fact, to match the overall performance of one Incremental Power System you'd need a rack full of traditional components.\n\nSkeptical? To prove the point we've devised a head-to-head comparison that you can make for yourself. Below you'll find the published specifications for an Incremental Power System set up for stereo, triamplified operation. Simply select the competitive components that you'd need to match Incremental Power's performance and then judge for yourself.\n\nThere's a lot more to Incremental Power than we have room to tell you here. So if this kind of performance and package size sounds good to you, contact our Commercial Sound Sales Department for the details. Or check the Yellow Pages under Sound Systems for the name of your local Altec Lansing sound contractor. Either way you'll get the complete Incremental Power story. We think you'll agree that our short story makes the competition look a long way behind.\n\nAltec Lansing Sound Products Division, 1515 South Manchester Avenue, Anaheim, California 92803.\n\n| Power Available for L.F. @ Mfg. Rec. Load | Power Available for M.F. @ Mfg. Rec. Load | Power Available for H.F. @ Mfg. Rec. Load | Electronic X-over | Cooling | Weight | Height | Reliability |\n|------------------------------------------|------------------------------------------|------------------------------------------|-----------------|---------|--------|--------|-------------|\n| Incremental Power System | 300 Watt Total | 150 Watt Total | 150 Watt Total | 2 or 3-way Selectable Freq. | Built-in fan blows side-to-side | 70 lbs. | 7\" | Excellent each unit factory tested |\n\nCircle 53 on Reader Service Card\n\nFeedback and Phase\n\nAs used in audio, the word feedback almost invariably implies \"negative feedback.\" Perhaps we can explain what this means by using servo-mechanisms to illustrate, because this is a more visual application for feedback. A servo-mechanism is basically an error-reduction device. Suppose you have a weather vane on top of a building to indicate wind direction. And you want a remote indication in a weather station, down on the ground floor.\n\nMOTOR-GENERATOR SYSTEM\n\nYou could couple together the two indicators by means of a motor-generator, so that, whenever one moves, the other one moves with it (or with very little lag). This has two problems: to minimize lag, requires very tight electro-mechanical coupling; and when you have that condition, it means that it takes a little more effort to move both of them, than the sum of the effort required to move each separately.\n\nIf the wind is strong, it will move the vane on top of the building, and the one downstairs with it, with little trouble. But if the wind is only light, the force on the upstairs vane may not be enough to move both of them at all, so it will fail to indicate, when the wind changes direction. This is where a servo-system can help.\n\nSERVO-SYSTEM\n\nIn a servo-system, the wind has to move only the vane on top of the building. The system, in effect, reads the vane and tells the downstairs indicator what it should be. Now there are two direction indicators on top of the building: the one that responds to the wind, and one that follows the indicator downstairs, by a similar servo-mechanism—except now the gentle wind does not have to provide the driving force.\n\nThe power to drive the downstairs indicator, as well as the second one on the roof, is derived from any suitable power supply, in response to an \"error signal.\" This is obtained by a device that measures the difference in angle between the vane moved by the wind, and the copy indicator moved by the follower power supply. And the error signal instructs the power supply to move the second indicator in a direction that will reduce the error.\n\nWhen the error has been reduced to zero, the moving force from the supply power is switched off, because now both indicators say the same. That is a form of negative feedback, because its purpose is to reduce the error. But what if someone connects the error signal to the control circuit the wrong way? If we assume for the moment that both read the same, nothing will happen. But as soon as\n\nHUSH MONEY.\n\nThe dbx 208 tape noise reduction system is a new product that will impress both your engineering staff and your accountant. The 208 features 8 channels of simultaneous noise reduction on plug-in modules, plus a spare, all in a compact 5¼\" rack mount package.\n\ndbx noise reduction is rapidly becoming the new industry standard because it provides 30 dB noise reduction and 10 dB headroom improvement, from 20 Hz to 20 kHz, without the problems of other systems. The dbx system does not require critical and time-consuming level-match adjustments. Its true RMS detectors are not sensitive to tape recorder phase shift. Its voltage-controlled amplifiers (VCAs) operate over a 100 dB range. Overall the dbx system provides a level of performance and a simplicity of operation that is unsurpassed.\n\nBut the 208 is also a great value. It is priced at $3300. That's $6600 for your 16-track and $9900 for your 24-track.* And no matter how complex the future becomes, the 208 system expands simply and economically.\n\nThe dbx 208. The easy solution to your noise problems, today and in the future.\n\ndbx, Incorporated,\n71 Chapel Street\nNewton MA 02195\n617-964-3210\n\n* Nationally advertised value\nActual prices are set by dbx dealers.\n\nthe wind moves the vane, the error will cause a drive that increases the resulting difference, and bingo, they move apart wildly. That is positive feedback.\n\nNEGATIVE FEEDBACK\n\nNegative feedback in audio amplification serves a precisely similar purpose. You have an input of some specific waveform, with an amplitude of say 1 volt. You want that amplified to, say 40 volts, across a load impedance of 8 ohms, which would be 200 watts. The output should be an exact duplicate of the input, just 40 times bigger, and with power to \"drive\" an 8-ohm load. How does negative feedback achieve this?\n\nSuppose we want 40 dB feedback. This means that the amplifier, instead of giving 40 volts output for 1 volt input, must give that output for 0.01 volt, or 10 mV input. So the feedback must offset that 1 volt input with 0.99 volts, to leave the 0.01 volt difference. Now, suppose that for some reason a point on the waveform that should represent 20 volts at the output, instead gives an output of only 15 volts, without feedback to correct it.\n\nThe input, before feedback, would be 0.5 volt. And the feedback signal, assuming it does nothing to make the correction, will be $0.99 \\times 15/40 = 0.37125$ volt. Now, the difference applied to the input, will be $0.5 - 0.37125 = 0.12875$ volt. And if 0.01 volt input gives 40 volts output, obviously 0.12875 volt will give a lot more, unless something else happens.\n\nLet us apply a little feedback theory. The amplification without feedback, given the symbol $z$, is normally $40/0.01 = 4000$. That's voltage amplification. As the impedance is different, a real calculation would take that into account. If what should be 20 volts output, comes out at 15 volts, that means $z$ has momentarily dropped to 3,000.\n\nThe amplification with feedback is $40/1 = 40$, which means the amplification is divided by 100. That is what 40 dB feedback means. It also means that the feedback factor, $1 + z\\beta$, is 100, or $z\\beta = 99$. As we have already calculated $z$ as 4,000, this means $\\beta = 99/4,000 = 0.02475$. Remember that $\\beta$ does not change. So we now put in $z = 3,000$. That makes $z\\beta = 74.25$, and $1 + z\\beta = 75.25$. And gain with feedback is $3,000/75.25 = 39.867109$.\n\nNow, if the output should have been 20 volts, where it actually became 15 volts, the input at that point must be 0.5 volt—half that for the 40 volt output. So feedback brings the output to $0.5 \\times 39.867109 \\ldots = 19.933554 \\ldots$ which is much closer than 15 volts. You see what we mean by negative feedback being error-reduction?\n\nTHE EFFECT OF PHASE\n\nBut now, to get to see the effect phase can have, we first consider reversing it, which is a change of $180^\\circ$. We will get around to other angles later. First let's take the simple ones and, as we shall see, these are always the important ones. In positive feed-\n\n---\n\n**Copies of db**\n\nCopies of all issues of *db—The Sound Engineering Magazine* starting with the November 1967 issue are now available on 35 mm. microfilm. For further information or to place your order please write directly to:\n\nUniversity Microfilm, Inc.\n300 North Zeeb Road\nAnn Arbor, Michigan 48106\n\nA lot of people in the recording business are looking at the Pacific Northwest as the next place to happen.\n\nIn the past 3 years Pro Audio Seattle has seen more and more national recording artists, producers and engineers become LA expatriates and head north.\n\nTo help build the new studios and upgrade the existing studios that will serve this influx of talent, PRO AUDIO SEATTLE is proud to announce that we are the newest franchised MCI dealer in America.\n\nThanks for helping us make it happen.\n\nCraig G. Ingle\nPresident\n\nBob Ulius\nSales Manager\n\nPRO AUDIO SEATTLE\nProfessional Audio Equipment & Services\n\nExclusive MCI Representatives in the Pacific Northwest\n2320 Sixth Ave. • Seattle, Washington 98121 • (206) 622-6984\n\nback, the polarity of $\\beta$ is reversed. So the formula for gain with feedback is $z$ divided by $1 - z\\beta$ instead of by $1 + z\\beta$.\n\nSuppose we have an amplifier, without feedback, that gives 40 volts for 1 volt input, and we want it to give the same 40 volts output for 0.1 volt input. Positive feedback could do that. We make $z\\beta = 0.9$, so that $1 - z\\beta = 0.1$. We know that $z$ is 40, so $\\beta$ is $0.9/40 = 0.0225$. That does not change, but $z$ may.\n\nSuppose $z$ drops to 39. Then $z\\beta$ is $0.8775$, and $1 - z\\beta$ is $0.1225$. Gain with feedback, is $39/0.1225 = 318.367$, which is quite a drop from the 400, when gain without feedback is 40. Now suppose $z$ rises to 41. Then $z\\beta$ is $0.9225$, and $1 - z\\beta = 0.0775$. So gain with feedback is $41/0.0775 = 529.03$, which is an even bigger rise in gain. In fact, if gain rises to reciprocal $\\beta$, or $1/0.225 = 44.44 \\ldots$, you have yourself an oscillator instead of an amplifier.\n\n**PHASE ADVANCES & DELAYS**\n\nNow how do you apply that to phase variations that are not simple plus and minus quantities? If you have gone into the theory of coupling networks, you will know that low-pass filters, or high frequency roll-offs, are accompanied with phase delays, while high-pass filters or low frequency roll-offs are accompanied by phase advances.\n\nEach reactance element, inductance or capacitance, can contribute up to $90^\\circ$ in ultimate phase shift. So 2 reactances contributing to either kind of roll-off can reach $180^\\circ$ phase shift. But this is only reached at zero or infinite frequency, where gain has dropped to zero, so we do not have to worry about phase reversal in coupling networks with only 2 reactance elements—but we may get close enough to it to make a good response bad, even if it does not become unstable.\n\n**PHASOR QUANTITIES**\n\nAny system with 3 reactance elements contributing to the same direction roll-off (low or high) can get you into instability problems. But how can we explore what is likely to happen? What helps is the fact that the quantities $z$ and $z\\beta$ can be considered as vector, or phasor quantities. The important relationship, you may have guessed, is that denominator in the formula, which for simple positive or negative feedback, is designated $1 - z\\beta$ or $1 + z\\beta$ respectively.\n\nIf you establish a unit for your phasor diagram, that unit is 1. You measure that unit in a given direction from the origin of your diagram, which we will call “-1.” Now, in the opposite direction, from the origin, you measure off a length representing the quantity $z\\beta$. That is, if you are considering negative feedback. Then $1 + z\\beta$ is the length measured from $-1$ to the end of that phasor, instead of from the origin.\n\nIf you are considering positive feedback, you measure $z\\beta$ in the opposite direction—the same direction as your “$-1$” unit. If $z\\beta$ is less than 1, $1 + z\\beta$ will be smaller than 1, but still measured in the same direction, from the “$-1$” point as reference. But if $z\\beta$ is greater than 1, $1 + z\\beta$ will reverse direction, representing instability, or oscillation.\n\n**NYQUIST DIAGRAM**\n\nNow we can extend this to other angles. We measure the phasor representing $z\\beta$ from the origin, in magnitude and phase. Then $1 + z\\beta$ is the phasor, in the same diagram, that uses the “$-1$” point as origin. It’s as simple as that. That is called a Nyquist diagram, named after the man who first applied this geometrical construction to arrive at it.\n\nThe full Nyquist diagram plots the locus of the end of all the phasors for changing frequency. In mid-range frequencies, the locus will stay close to the zero-phase-shift phasor, in which its direction is $180^\\circ$ from the “−1” phasor. As either low or high frequency roll-off is approached, the figure opens out, and rotates, toward the opposite direction.\n\nIf the locus encloses the “−1” point, the amplifier, or whatever system is being plotted, is unstable, and will oscillate in a manner that may or may not be predicted by this particular diagram. If it stays inside the “−1” point, the system should be stable, although what happens to its frequency response, and phase performance may be something else.\n\nAt every frequency, there is a phasor construction, consisting of the zero, or origin, to the “−1” point, as a “base” line. Then the line from the origin to the apex of the triangle represents the quantity $z\\beta$, while the line from the “−1” point to the same apex represents the quantity $1 + z\\beta$, for the same frequency. As frequency changes, the position of the apex of this triangle changes, and the locus of the apex, traced out, represents the Nyquist diagram for the system, such as an amplifier, that is being portrayed.\n\nEach line, at that frequency, represents the magnitude and phase of its specific quantity. And the angle at the apex of the triangle represents the transfer phase, with feedback, at that frequency. At most frequencies, that angle is much smaller than the angle of either the $z\\beta$ or the $1 + z\\beta$ line, being essentially the difference between those angles.\n\nIf the locus of the apex swings round inside the “−1” point, at the instant when the angle of $z\\beta$ is $180^\\circ$ and the angle of $1 + z\\beta$ is $0^\\circ$, the angle at the apex is also $180^\\circ$. This is the situation for a stable system, in which the $180^\\circ$ transfer point occurs with sufficient loss of gain to maintain stability. If the locus of the apex swings round outside the “−1” point, both base angles reach $180^\\circ$ at the same frequency, and the apex angle is $0^\\circ$. Now that $0^\\circ$ represents in-phase, positive feedback, resulting in oscillation.\n\nWhat happens if the locus encloses the “−1” point, at a value greater than 1? To maintain oscillation, it only has to be 1. If it is more than 1, oscillation will build up, more rapidly according to how much it exceeds 1. And it will do this until the system overloads, which must result in waveform distortion. As soon as such distortion occurs, more than one frequency is present—the diagram can no longer represent the condition at a single frequency, which is the theory behind it.\n\n**MULTIPLE FREQUENCIES**\n\nNow we are running into what really happens in practice, and how you can represent that happening in theory. You have two alternatives. Either you can analyze waveforms, when a stable condition is reached, into their component frequencies, and represent what happens in terms of those component frequencies. Or more realistically, you can treat what happens, instant by instant through the waveform. At some points on the waveform, the amplifier will be inoperative as an amplifier, because some component is cut off or saturated, while at other points there will be an excess of gain.\n\nIn either event, the simple Nyquist diagram, formed on the postulate of treating one frequency at a time, no longer applies. It may apply briefly, while the oscillation is building up toward saturation, but once saturation is reached, you need a more complicated way of explaining what happens.\n\nA/V FURNITURE\n\n- A full line catalog including all the new products recently introduced in the field of audio/visual library furniture. Source: H. Wilson Company, 555 West Taft Drive, South Holland, Illinois 60473.\n\nDIGITAL STORAGE OSCILLOSCOPES\n\n- A 6-page illustrated bulletin explores the advantages of digital signal storage and provides specifications on two portable dual trace digital storage oscilloscopes. Source: Bulletin 449-5, Marketing Services, Gould Inc., Instruments Division, 3631 Perkins Avenue, Cleveland, OH 44114.\n\nPROTECTIVE JACKETS\n\n- A new series of specification sheets, and an up-to-date selection chart are available on jackets for use in bundling and protecting wire, cable and other objects from wear, abrasion, heat or cold, moisture, chemicals, and other environmental conditions. Source: Zippertubing Company, 13000 S. Broadway, Los Angeles, CA 90061.\n\nNOISE MEASURING\n\nThe complete noise measuring instrument family is contained in a pamphlet \"Noise; What to Measure, How to Measure.\" Source: Advanced Acoustical Research Corp., 1211 Stewart Avenue, Bethpage, New York 11714.\n\nINTERFACE PATCHING\n\n- Detailed descriptions are given on items for interface patching in a 40-page booklet. Items included are: patch panels, patch cords, cable assemblies, jacks, looping plugs, power dividers, and rf connectors. Source: Catalog T-11, Trompeter Electronics, Inc., 8936 Comanche Ave., Chatsworth, CA 91311.\n\nBBC SOUND EFFECTS\n\nA catalogue describing 2,000 effects available in locked-grooves on 35 lp records is available. All of the effects have been cleared for public use. Source: BBC Sound Effects Library, Films for the Humanities, Inc., P.O. Box 2053, Princeton, N.J. 08540.\n\nHIGH VOLTAGE CAPACITORS\n\n- General information on the physical dimensions, design and applications of high voltage-resistant ceramic capacitors is outlined in a six-page catalog. Specific data regarding maximum voltage values, dissipation factors, and temperature coefficients is spelled out on easy-to-read charts. Source: KD Components, 3016 Orange Avenue, Santa Ana, California 92707.\n\nELECTRONIC KITS\n\n- Describing the latest in electronic kits, a 96-page catalog touches on such kit-builder product categories as amateur radio, color television, high-fidelity components, test instruments, personal computer systems and many products for home improvement. Source: Heath Company, Dept. 570-160, Benton Harbour, Mich. 49022.\n\nELECTRONIC TEST ACCESSORIES\n\n- The 100-page 1979 electronic test accessory catalog includes many new products in such lines as molded patch cords, cable assemblies, test socket adaptors, 3/4\" spaced molded accessories, molded test leads, banana plugs, phone tip jacks, plugs and connecting cords, test clips, probes and holders. Source: ITT Pomona Electronics, 1500 E. Ninth St., Pomona, CA 91766.\n\nTECHNICAL MAGAZINE\n\n- Making its debut, \"Horizons\" is a magazine designed to increase the flow of information within the electronics community. The inaugural issue features articles on the developing digital audio and digital video technologies. \"Horizons\" will be published twice yearly. Source: Public Relations Department, Ampex Corporation, 401 Broadway, Redwood City, California 94063.\n\nWIRE/CABLE CATALOG\n\nComplete wire and cable line is detailed in a new 96-page catalog. Featured, are conduit capacity charts and an in-depth technical section including a metric conversion chart and information on all the physical properties and characteristics of solid and stranded copper. Source: Columbia Electronic Cables, 11 Cove Street, New Bedford, MA 02744.\n\nThe Eyes Have It\n\nWhat is most often compared to a camera and is very different from it, has awesome capabilities that are taken for granted, functions automatically, and requires a great deal of experience to operate properly? It is the eye/brain combination that allows all animals (including humans) to perceive objects both near and far, in dim light and bright, large and small, and in a vast range of shapes and colors.\n\nEYE VERSUS CAMERA\n\nThe eye does not work alone. It is much like a camera in that it has a lens and appears to be similar to a camera because the image falls on a retina, which can be considered something like film in a camera. But let's look at the differences. The camera lens is adjusted for proper focus by moving the lens system toward or away from the film plane while in the eye it is the lens itself that changes shape to get a clear image of the object being observed. Another difference is in the method and amount of light intensity control. The lens of a camera is made with a shutter and apertture which can regulate the amount of light hitting the film. The eye does not have a shutter in that sense; however the iris does help for a limited range of intensities, and the lid does help when the intensity becomes extreme. With normal illumination, the opening of the pupil can involuntarily go through a ratio change of 16:1 (something like the newer self-adjusting cameras). Moreover, the eye/brain combination can function in a brightness ratio of 100,000:1.\n\nRODS AND CONES\n\nIt is the operation of the retina's receptors, rods and cones, that allow this great difference in light intensity to be handled by this unique visual system. The rods operate in low light levels, while the cones function during high intensities; and together they perform like no film ever could. Under ideal viewing conditions, it has been suggested that the eye can detect as little as nine quanta of light; and yet the eye can function in the brightness of the noon sun. (Incidentally, it seems appropriate that we mention that \"quanta of light\" was introduced into our terminology by none less than Albert Einstein—whose 100th birthday would have fallen on this past March 14th if he had lived.)\n\nCones adjust automatically to different wavelengths of light, so that we can perceive color. While it takes different films to operate properly in different light, the eye adjusts, involuntarily, to color-balance shifts produced by different light sources.\n\nAnd yet another difference exists. Because there are two eyes, and a brain in between, it is possible to perceive in stereo, or in 3-D; and it is the small spacing between the eyes (just about 3½-inches) that permits seeing shapes, distances, and spatial relationships.\n\nPERSISTANCE OF VISION\n\nThe eye has another characteristic which we take advantage of to provide the sense of motion with still images. It is found that when a changing image was passed before the eye at 1/10 of a second, the eye perceived a series of staccato movements, but when the same images were passed at 1/30 of a second, there appeared to be continuous motion. The rate of 1/16 of a second was found to be just about the slowest speed that could still fool the eye. We use 18 frames/sec. and 24 frames/sec. in motion pictures, the slower rate for silent movies, and the faster one for better sound. A study of this natural retentivity of the eye found that there is a finite decay time just like with any photoexcitation of a solid, and that the eye functions like a photomultiplier. A photoexcitation mean life of 0.1 or 0.2 seconds followed by several seconds of gradual decay (of a still visible image after the cut-off of the excitation), with a gain in the visual system similar to a photomultiplier tube, results in image retentivity that allows motion pictures to act as they do. This also explains why, after we stare at a bright red square for a while, we see a green image on a black background when the red image is removed. However, there is one other factor that is necessary for the perception of continuous motion in films—it's called the critical flicker frequency. To make 24 frames/sec. look smoother, there is a 3-blade shutter which rotates to cut the image twice while it is on the screen and once during the black period between frames. Thus, the actual flicker frequency is 48 flashes/sec. which fuses the still images into continuous images. This is true at an image brightness of 20 foot-lamberts.\n\nWhen projected images are brighter than 20 foot-lamberts, flicker becomes more apparent. This is also true when tv images are brighter than 40 foot-lamberts. The brightness levels above these maximums seem to make images flicker because they have exceeded the critical flicker frequencies. (Effects similar to motion pictures that take advantage of this characteristic of the eye are movie marquees with moving lights, cartoon signs where the figures are made to move by rapidly successive light changes, and even the flashing tail light.)\n\nSTROBE EFFECTS\n\nStroboscopic effects also fool the eyes. Moving objects can be seen as moving stills by setting the correct timing on the lights. Wheels on cars in television commercials or movies, or airplane propellers, can be made to look like they are turning backwards or forward, or standing still, by regulating the speed of the flashing light and the speed of the camera. If the camera were slowed down, as compared with the speed of rotation, the projected image would appear to be rolling forward.\n\nAnother difference between the eye and the camera is that the eye, once open, is always \"on,\" unlike a camera whose lens is closed off when a photograph is not being taken. It is more like a live tv camera or a still camera whose lens is kept open. In addition, the eye will always see objects along with the surround environment. Focusing the eye provides the brain with a\n\nhigher resolution of the object focused on, than the surround, but the object will still be seen in relation to the environment in which it is located. It is the distance between the eyes that allows the object, in focus, to stand out from the background: thereby putting things in perspective, in relation to distance from the eye.\n\nHere several other factors come into play; two are learned relationships, the other is due to a characteristic of the eye system. First, the lens of the eye (and also the camera) puts a reversed and inverted image on the receiving surface. Consequently, it is by learning, that the human adjusts to this and puts the image right-side up. It is also by learning that the brain adjusts to images seen far away and puts them into proper size relationship. For instance, a child seeing a house in the distance believes the house to be smaller than the one that is closer. After all, it appears smaller, therefore, it is smaller. An adult sees the house farther away and mentally adjusts its size to see it, as perhaps, the same size as one that is closer. The involuntary operation judges distance between an object and its background on the basis of color. It has been shown that an object of a particular color will seem farther away from its background, if the surround color is cool. For example, a red or orange object will seem to stand out better against (or farther away from) a background of blue; and closer to the same background if it is yellow-orange or pink. It is the contrast, which the eye sees, that the brain tries to adjust for. The eye looks for a color balance between the object color and the background color. Tests have shown, that the color intensity of the object will determine the best balance, against the same background, as the color of the object intensifies (chroma shift). There can even be an apparent unbalance, when the intensity of the object color becomes too sharp against the background, and this will appear less comfortable to look at than the optimum balance combination. This is due to three perceptual attributes of light—brightness, hue and saturation.\n\nHOW IT ALL RELATES TO A/V\n\nAll of this is preamble to a few simple facts about slides and projection. First, remember the color balance the eye looks for. When using multi-colors on a slide, choose combinations and intensities that are most legible and most comfortable to look at.\n\nSecond, remember that only about 0.5 foot lamberts of ambient light should fall on the screen to avoid the necessity of having to use extremely bright light sources for the projectors. On the other hand, if the image is so bright that it appears washed out, a possible solution might be a lower wattage lamp, or a slower lens. If the contrast is too sharp, raising the ambient light in the room might help. (This is also true of tv images.) Check your image brightness and contrast for the light source and screen size being used. The source might have to be increased or the screen image made smaller, or the ambient light changed. Another consideration is light loss. Glass mounted slides lose more light compared to cardboard (or non-glass mounts).\n\nILLUSION AND MIRAGES?\n\nThe subjects of illusion and mirages were not mentioned but they might be subjects in a subsequent column. In the meantime, now that you know so much about the eye, see how creative and effective your slides and projection system can be, to get your message to the audience.\n\nOSCILLATOR\n\n- Featuring a distortion rating of less than 0.005 per cent, the Model 4024A oscillator has a tuning range of 0.001 Hz to 100 kHz, selected with 3 digit rotary switches. The main sine wave output is controlled by a four digit attenuator, providing 1 millivolt resolution and a maximum output of 10 volts rms. with a frequency response better than 0.01 dB. The 4024A provides a quadrature sine wave output which leads the main output by 90 per cent, ±1 degree, with an amplitude variable to 10 volts rms; and a square-wave and pulse output variable to 5V p-p. pulse width variable from 0.1 µsec. to 100 µsec.\n\nMfr: Krohn-Hite Corporation\nPrice: $1600.00\nCircle 60 on Reader Service Card\n\nHEAD-WORN MICROPHONE\n\n- Offering dual monitoring capability, the SM14 head-worn microphone employs a low impedance, unidirectional dynamic microphone, and two integral earphone assemblies, each with its own transformer and phone plug. With stainless steel, aluminum, and high-impact thermoplastic construction, the SM14 is mounted on a cushioned headband and features an adjustment knob for boom pivoting and extension.\n\nMfr: Shure Brothers Inc.\nPrice: $135.00\nCircle 61 on Reader Service Card\n\nMIXING CONSOLE\n\n- Totally modular, for ease of servicing, the Model 1602a stereo mixing console features long-throw 100mm slide faders, three effects sends, a solo function on each channel, and a variable gain control on the microphone pre-amp over a 40 dB range. Each input has a pair of access jacks for patching external effects into a single channel. In terms of performance, the 1602a delivers a typical noise level of -128.5 dBv, with a thd of less than 0.004 per cent at 1 kHz, and a slew rate with a minimum of 10 V/µsec. A three-spring Accutronics Type 9 reverb chamber is an internal option available with the 1602a.\n\nMfr: Tangent Systems, Inc.\nCircle 62 on Reader Service Card\n\nEQUALIZER\n\n- A 10-octave stereo graphic equalizer, the SE450 provides front panel selections for EQ defeat, tape monitoring, and tape recording. With a s/n ratio greater than 100 dB, and thd less than 0.01 per cent, the SE450 provides 15 dB boost/cut for each octave (with all controls set at maximum), 12 dB boost/cut (all controls flat). An 18 dB range of adjustment for the complete audio frequency band is available via the frequency spectrum level controls.\n\nMfr: Soundcraftsmen, Inc.\nPrice: $249.00\nCircle 63 on Reader Service Card\n\nCASSETTE DUPLICATOR\n\n- With a cassette master and five slaves, the DP-4050-CCF in-cassette duplicator provides an 8:1 duplicating speed ratio. Cassette formats duplicated are: ¼ or ½ track mono, or ¼ track stereo, with all tracks recorded in one pass. The unit employs ferrite heads, and each plug-in slave unit is completely independent of the others, with its own servo-controlled capstan motor.\n\nMfr: Otari Corporation\nCircle 64 on Reader Service Card\n\nREVERB SYSTEM\n\n- Offering extended high and low frequency response, the 262 Stereo reverberation system utilizes the latest in spring design for professional studio applications. An equalizer section provides two channels of EQ, with a 15 dB boost/cut over a fully sweepable frequency selection—50 Hz to 1 kHz (low band) and 500 Hz to 10 kHz (high band). The unit features active balanced inputs and matched bi-FET preamps for ultra-low noise performance.\n\nMfr: Sound Workshop \nPrice: $700.00 \nCircle 65 on Reader Service Card\n\nEQUALIZER\n\n- A four-band parametric equalizer module, the PEQ offers variable center frequencies from 20 Hz to 20 kHz, in overlapping five octave ranges. Each section of the module tunes over a 40 dB control range, with a variable bandwidth of 0.15 to 3 octaves. Offering low noise operation, the signal-to-noise ratio is 110 dB (with all sections in 20 dB boost), with a rated distortion measurement of 0.05 per cent thd @ 18 dBm output. Output capability is +30 dB (10k load); +24 dB (600 ohm load).\n\nMfr: Parasound Inc. \nCircle 66 on Reader Service Card\n\nDIGITAL DELAY\n\n- With adjustable delay settings from 0 to 120 milliseconds, the Delta-T 91 audio digital delay system features muting of audio outputs during power up/down sequences; automatic bypass; and audio input/output transformers. With a dynamic range of 90 dB and a response from 20 Hz to 12 kHz ±1 dB, the Delta-T 91 checks-in with a typical total distortion and noise measurement of 0.06 per cent at 1 kHz.\n\nMfr: Lexicon, Inc. \nPrice: $985.00 \nCircle 67 on Reader Service Card\n\nSOLVENT CLEANERS\n\n- Ms-176 \"Freon\" TES and Ms-165 \"Freon\" TMS represent two new entries in the solvent cleaner line for the electronic industry. Ms-176 \"Freon\" TES is a mild solvent compatible with most plastics and elastomers; while Ms-165 \"Freon\" TMS is an effective agent in particulate soil removal. A special stabilizer, in Ms-165, gives improved stability with components made with reactive metals, like aluminum and zinc.\n\nMfr: Miller-Stephenson Chemical Co., Inc. \nCircle 68 on Reader Service Card\n\nSPEECH COMPRESSOR/EXPANDER\n\n- Offering an increased bandwidth, the Model AV1 cassette speech compressor/expander plays back cassettes from 60 per cent to 2½ times normal with fully understandable pitch correction. Playback speed is regulated via a slide control. The Model AV1 features an, easy-to-insert, open well which is capable of accepting a microcassette adapter.\n\nMfr: The Variable Speech Control Co. \nPrice: $439.00 \nCircle 69 on Reader Service Card\n\nMICROPHONE SHOCK MOUNT\n\n- Designed to hold microphones with an approximate 3/4-inch barrel diameter, the 313A shock mount clamp is manufactured from polycarbonate and metal. The microphone is suspended in the shock mount via four replaceable urethane bands. For those applications that require only temporary shock mounting, a hinged metal latch is provided; however, when used with the supplied set screw, the 313A becomes a semi-permanent shock mount for long term use.\n\nMfr: Electro-Voice, Inc.\nPrice: Under $23.00\nCircle 70 on Reader Service Card\n\nLED METER\n\n- Combining the functions of a peak power indicator and a peak line level monitor, the model 510 peak responding led display has a 45 dB dynamic range (-39 dB to +6 dB) with 1 dB resolution to either side of the 0 dB point. Sixteen led's per channel are used to display the peak value of complex waveforms to an accuracy of ±0.25 dB. In the power mode, the 510 employs rear panel switches for setting the 0 dB reference to 25, 50 or 100 watts and to match speaker impedances of 4, 8 or 16 ohms. In the line level mode, each input is independently and continuously variable over a range from 50 millivolts to 5 volts for a 0 dB indication. In addition, a calibration feature is included to balance channels and return the instrument to a \"0\" VU (+4 dBm) reference.\n\nMfr: Audio Technology\nCircle 73 on Reader Service Card\n\nTAPE MACHINE\n\n- The SCM 381-8, a 1-inch 8-track tape recorder/reproducer, incorporates a tape transport based on a thick cast aluminum deck plate for optimum tape-path stability. The main control panel for all audio and transport functions is removable and can be used as a remote control (the module also contains a tape counter reading and search to zero facility). Spec-wise, the machine features a frequency response of +1/-2 dB, 30 Hz to 20 kHz; s/n of 68 dB (unweighted 10 Hz to 100 kHz); and a wow and flutter reading of 0.03 per cent.\n\nMfr: Soundcraft Magnetics Ltd.\nPrice: $10,500.00\nCircle 71 on Reader Service Card\n\nLOUDSPEAKER\n\n- Designed for professional applications in which a compact unit is required, the 4313 monitor loudspeaker system features a new 10-inch low frequency driver, as well as in-line mounting of all transducers. The 10-inch low frequency loudspeaker incorporates a 3-inch edgewound copper time-aligned voice coil and a 1.5-pound cast magnetic assembly. The 5-inch midrange loudspeaker, powered by a 7/8-inch copper voice coil, is housed in an isolated sub-chamber to prevent interaction with the low frequency driver. Utilizing a 1-inch copper voice coil energized by a 1½-pound magnet assembly, the 1-inch dome radiator provides high acoustic output. Level controls allow individual adjustment of midrange and high frequency output.\n\nMfr: James B. Lansing Sound, Inc.\nCircle 72 on Reader Service Card\n\nPITCH SHIFT MODULE\n\n- The model 20, an LSI-based audio pitch shift module, produces off-speed audio intelligibility over a range from ½ to 2½ times normal sound speed. The unit offers a 100 to 5000 Hz +0/-3 dB frequency response, a dynamic range greater than 56 dB, and 0.6 per cent total distortion and noise.\n\nMfr: Lexicon, Inc.\nPrice: $170.00\nCircle 74 on Reader Service Card\n\nLYREC.\n\nBEST QUALITY\n\nThe TR 522 Multitrack Recorder for today's quality-minded studios combines highest performance and the most advanced features, engineered and built by Lyrec and Neve exclusively represented by Neve in North America.\n\nLyrec is currently in successful and demanding use by many leading studios in the U.S. and Canada. Join our world of excellence. Please call or write.\n\nRupert Neve Incorporated Berkshire Industrial Park, Bethel, Connecticut 06801 Tel (203) 744-6230 Telex: 969638\nRupert Neve Incorporated Suite 609, 6255 Sunset Blvd., Hollywood, California 90028 Tel: (213) 465-4822\nRupert Neve of Canada, Ltd. 2721 Rena Road, Malton, Ontario L4T 3K1, Canada Tel: (416) 677-6611 Telex: 983502\n\nCONSOLES\n\n- Microtouch, a new line of audio consoles, features compact packaging and electro-mechanical switching. Designed for small to medium studios, newsrooms and remote vans, Microtouch's compact packaging provides 5 channels in a 21-inch width, and 8 channels in 26 inches. The unit is available with up to 21 inputs in 5 and 8 channel rotary or linear fader configurations, with dual mono and dual stereo outputs.\n\nMfr: Ampro Broadcasting\nPrice: $1,495.00 to $3,495.00\nCircle 75 on Reader Service Card\n\nLOUDSPEAKER\n\n- High performance and small size characterize the 934 loudspeaker. With the inclusion of the Mantaray constant directivity horn, the age-old high frequency dispersion problem is eliminated. Utilizing a radial phase plug in the high frequency compression driver, the high frequency response of the system is enhanced. The 934 employs a crossover network which features a built-in dual-band variable equalizer. Built to meet the portability requirements of a road tour, the cabinet measures 22\" x 26\" x 17\".\n\nMfr: Altec Lansing\nCircle 76 on Reader Service Card\n\nAUDIO CARTRIDGE SYSTEM\n\n- Providing total, walk-away automation, the 1K audio library system receives, stores, moves, and plays 1024 cartridges, automatically. The 1K will accept four program lists, each 32 events long. Events can be added, deleted or re-sequenced. Back-to-back capability is provided through the use of up to 24 individual playbacks. Permitting crossfades and overlaps, the system feeds up to 4 stereo audio channels simultaneously (typically 2 for a.m. and 2 for f.m.). New cartridges are accepted through a reception compartment, where identifying numbers are read, cue tones are verified and storage spaces are assigned. Inactive cartridges, on command, will unload through a dump chute.\n\nMfr: International Tapetronics Corporation\nCircle 77 on Reader Service Card\n\nEQUALIZER/SPECTRUM ANALYZER\n\n- This combination real-time spectrum analyzer and graphic equalizer features a 101 led display divided into ten frequency bands with nine vertical level led's and eleven green center reference led's activated in the real-time analyzer mode. For aid in room acoustic analysis, tape bias and speaker adjustment, a pink noise generator is built-in the unit. The equalizer portion of the unit features stereo-paired center-detent slide pots in ten octave bands from 32 Hz to 15.5 kHz, with a 15 dB cut/boost. An 18 dB-per-octave Tchebychev subsonic filter is also used. Frequency response checks in at 3 Hz to 100 kHz, with thd at less than 0.025 per cent.\n\nMfr: Audio Control Corporation\nPrice: $549.00\nCircle 78 on Reader Service Card\n\nSERVICE IS OUR MIDDLE NAME\n\n\"He's twenty, in the Army, married, and far from home. She's 18, in the Navy, and stationed in a country whose language she can't speak. They're the kids next door or maybe your own son or daughter. You can't be there to help with their personal problems or to give them a glimpse of back home. But the USO can, worldwide. Because thousands of USO volunteers care. The USO—service is its middle name.\"\n\nBOB HOPE\n\n\"The USO offers practical help to service people everywhere, things like helping cope with a foreign currency, finding off-base housing, help in using public transportation or learning a new language. The USO is civilians helping millions of military families with their problems.\"\n\nDINAH SHORE\n\n\"You know, the USO isn't all fun and games. Behind its friendly face and smile of welcome is help with serious problems, important information, a telephone to call home, an orientation tour of a new community, or a place to go to meet friends. Help the USO continue to provide recreation, education, and community service. Support the USO through your local USO campaign, OCFC, or the United Way.\"\n\nFLIP WILSON\n\nThe USO works hard to make life a little easier, a little more pleasant, for millions of service people and their families and hospitalized veterans. The USO is on duty in more than 100 locations around the world, helping our friends and neighbors in the military cope with loneliness.\n\nHELEN REDDY\n\nUSO WORLD HEADQUARTERS 1146 19TH ST., N.W. WASH. D.C. 20036\n\nYOU’VE GOT IT WIRED WITH A MODEL 15.\n\nBuying a big mixer can be very deceiving. From the time of delivery to the moment your board is operational, you can run into quite a few additional costs and frustrating time delays.\n\nBut consider the Model 15. Rear panel patch points are already wired. Included in the cost. The meter bridge is already wired. Included in the cost. The separate power supply plugs right in. Also included in the cost. It's not unusual to get your board in the morning and do your first session that same night.\n\nWith the Model 15, you've got performance and flexibility wired, too. From the discrete microphone preamplifier, equivalent input noise is -126dB (weighted). With one input assigned to one output buss, signal-to-noise is 76dB (weighted).\n\nFormats are 16- or 24-channel input/8-buss output. Fully modular.\n\nThe Model 15 will drive any 16-track recorder and give you a vast array of mixing, monitoring and cueing capabilities. For example, the Cue mixing position can be fed by 48 sources simultaneously (all the inputs plus all 16 tape playback positions plus all eight echo receives).\n\nOut of the crate, you'll have a lot more mixer in the Model 15 than you can get elsewhere for the money. Add your savings on installation (both parts and labor), and the Model 15 becomes even more cost-effective.\n\nSo think about the real, often hidden costs of buying a mixer. When you add it all up, we think you'll see the practical advantages of getting it wired with a Model 15.\n\nThe Model 15's functions, interior layout and complete specifications are described in our 10-page Product Information Bulletin. See your Tascam Series dealer or write us for a free copy.\n\nTascam Series,\nTEAC Corporation of America, 7733 Telegraph Road, Montebello, CA 90640.\n\n©1979 TEAC Corporation of America, 7733 Telegraph Road, Montebello, CA 90640. In Canada, TEAC is distributed by White Electronic Development Corporation (1966) Ltd.\n\nThe controversy over the \"sound\" of broadcast audio shows no sign of easing up, as you'll note by reading some of this month's letters to the editor. And, one more reader takes us to task for our \"air of condescension towards those in broadcast audio.\"\n\nFrankly, we've got mixed feelings about this. No recording engineer in his right mind should ever look condescendingly at broadcast audio. After all, your next mix-down probably doesn't stand a chance of winding up on the charts unless the broadcasters get behind it.\n\nHowever, we think that some broadcast people (and some record folks too) may have an air of condescension towards the public in general, and we cheerfully admit that we've taken a couple of shots at this crew from time to time.\n\nMaybe we can explain ourselves (and at the same time, stay out of more hot water) by temporarily looking at broadcast video. (After all, no one in video would be reading this, would they?) Will most of you agree that some television programs are—to put it kindly—moronic? And those commercials!! Has anyone seen that dear old Aunt Bluebell—the one who prowls around in supermarkets, weighing paper towels? Or Mr. Whipple, who gets his jollies squeezing toilet paper? Or, what about that woman who gets into a screaming match at the local deli, about the joys of a certain brand of cold cuts?\n\nSomeone, way up at the top, is spending big bucks to grind out this sort of mindless drivel. Generally, the production and technology are first-rate—the producers and engineers have done the best they could, under the circumstances.\n\nSo, for those of us who look with dismay at such examples of broadcast video, are we really taking on an air of condescension towards our fellow engineers and producers? Hastily, we leap to our own defense and say, \"Absolutely not!\" Actually, we feel an air of sympathy towards those who must give their talents towards the preservation of such garbage. They're in the same boat as the guy in the recording studio who is trying to produce (or engineer) a better-sounding tape, despite the odds, or the (audio) broadcaster who is confronted with some of the day-to-day insanities that go along with the job. (More on this in a minute.)\n\nThere are obviously conflicting schools of thought about various aspects of pro' audio. In the recording studio, it's multi-mic/multi-track versus \"pure\" stereo. In the broadcast studio, it's heavy signal processing versus \"clean\" audio. The trouble usually starts when someone gets so involved in his own thing that he forgets that—once in a while—there may be a better way. In the recording studio, must you put on ten microphones every time a drummer shows up? Or, if you are a \"purist\" would it kill you to try a third microphone—just once? For the broadcaster who is into heavy signal processing, do you really need reverb on the weather reports? Or, Mr. Clean, is your aesthetic soul soothed when the slow movement is so pure and clean that no one can hear it?\n\nObviously, for almost all occasions, there's a sensible middle-of-the-road somewhere, and we think that most readers are aware of that fact (or opinion, if you like). In fact, this little magazine is more-or-less dedicated to exploring all aspects, and extremes, of the pro' audio scene, so that our readers will have (we hope) a better shot at discovering what's best for them—perhaps by taking a different direction now and then.\n\nSo, we certainly don't want to look with condescension on anyone who explores these pages in the hopes of finding a way to do a better job. Sometimes, the reader finds himself in a circumstance where he is forced to do something he feels is technically wrong. Sometimes, it's merely because \"we've always done it that way.\" Perhaps the reader is in a position to change things—perhaps not. (After all, it's nice to keep those paychecks coming in.) On the other hand, another reader may disagree about what's right and wrong—note the varying shades of opinion of our letter writers. Now and then, we throw a little fuel on the fire, just to get people thinking. That's how this whole broadcast audio thing got started, isn't it? But, we hope we never look with condescension on any of our readers, although we certainly do disagree with at least some of them. Some\n\nof the time. And it's just as obvious that some of our readers disagree with others—also, some (most?) of the time. But that's what pro' audio (and life, too) is all about. If we all agreed on what makes up the ultimate sound, there'd be nothing left to write about. And then we'd have to go out and work for a living (speak for yourself—Publ.). Let's hope we can continue to argue about the ways and means of better broadcasting and recording for a long time to come.\n\nDOWN WITH QUALITY?\n\nAnd that brings us back to those day-to-day insanities which confront the broadcaster, and the rest of us as well. As we've noted before, the recording and broadcasting industries are closely linked. Fortunately (up until now, that is), the recording industry has not had any direct head-on collisions with that guardian of the public interest known as the Federal Communications Commission.\n\nLike so many other bureaucracies, the FCC helps to \"protect\" the general public by bombarding the broadcaster with endless rules, regulations, and, above all else, paperwork! By the time the broadcaster has complied with every paragraph, conformed to every regulation and filled out the necessary paperwork, he is just too damn tired to plot the overthrow of the American way of life, become a commie menace, or otherwise mess up civilization as we now know it.\n\nFor a moment, consider the matter of quadraphonic broadcasting. The learned Commissioners have been doing nothing (and doing it very well, we might add) for some ten years now. But recently, a little ray of sunshine was seen, when the Commission published an FNOI (that's a Further Notice of Inquiry) on the subject. Despite the fact that poor old quad has had a very rough time of it, the Notice acknowledges that, \"With few exceptions, comments (from broadcasters, manufacturers and the general public) were in support of quadraphonic broadcasting.\" In fact, some 98.5 per cent of the comments received by the Commission have been in favor of quad, but that's another story. Of course, every silver lining has its cloud, and, as the paperwork puts it, \"This Further Notice of Inquiry is being issued to obtain additional information to assist the FCC as it gives further consideration to FM quadraphonic broadcasting.\" The Notice inquires, \"What impact would the adoption of quadraphonic broadcasting standards have on the possibility of reducing the channel spacing in the FM broadcast band to 150 kHz or 100 kHz?\" The rationale is that the more-crowded spacing would allow more stations to go on the air, unless perhaps some sort of quad standard forced the FCC to leave the channel spacing right where it is—at 200 kHz.\n\nBACK TO MONO?\n\nOf course, quad fans will object immediately, and we hope that means you too. But let's put aside our thoughts about quad broadcasting for the moment, and look at some of the other, more ominous, implications of a reduced channel spacing. These are the ones that vitally affect every reader of db, and just about everyone else as well. So, read on.\n\nFor one thing, just about every f.m. tuner or receiver in the country would be rendered obsolete. The overall quality of present-day f.m. reception would also deteriorate. In fact, in a foot-note, the Commission casually tosses off the following little bombshell; \"We recognize that 100 kHz channel spacing would probably preclude presently-permitted operation, such as stereo and SCA.\" (Our italics, and yours too, we hope!)\n\nAPRIL FOOL?\n\nNo, this is not our traditional April Fool column, running one month late. The Commission is actually asking for comments from interested parties on this matter. So, if you think that what the recording industry really needs is a return to the good old days of mono, now's your chance. Let the Commission know how pleased it would make the record industry to get rid of stereo and SCA broadcasting. In fact, perhaps they could be persuaded to reduce the channel spacing even more, and then we could return to the purity and simplicity of the wax cylinder.\n\nOn the other hand, perhaps you think—as we do—that the Commissioners are a little out-of-touch with the public interest, or with reality in general. In any case, you can let them know what you think in several ways. Anyone may express interest in the proceedings by submitting one copy of their comments, without regard to form, provided that the Docket Number, 21310, is specified in the heading of your comments. If you're really concerned, submit an original and five copies of all comments. If you desire that each Commissioner receive a personal copy of your comments, an additional 6 copies are required. Or, you can do nothing, and let the Commission draw its own conclusions about the public interest.\n\nYour comments should be addressed to;\n\nWilliam J. Tricarico, Secretary\nFederal Communications Commission\nDocket 21310\nWashington, D.C. 20554\n\nJ.M.W.\n\nOPEN\n\nATR-100\n\nSound is a perishable commodity, and Ampex has developed a way to keep it fresh. The way is an astounding tape recorder called the ATR-100. There isn't another machine like it anywhere in the world.\n\nUnmatched for both audio performance and tape handling, the ATR-100 is truly transparent. You'll play back the original sounds with nothing added or subtracted by this recorder. And along with the most gentle tape handling you've ever seen on an audio machine, you'll get real time savings with the 500 ips shuttle and the Spool Mode that winds tape perfectly for storage.\n\nUse the ATR-100 as a four, two or single-channel machine. The tape guides and head assembly change quickly when you go from mastering to mixdown, or to a dubbing assignment. And while this machine is doing the work, you'll keep your eyes on the studio action because the remote control unit contains fingertip switching and LED status indicators.\n\nAmpex designed the ATR-100 as a simple solution to audio excellence. All signal electronics are in the overhead modular bay, and all mechanical parts are mounted on the transport deck with plenty of elbow room. (Rather than make claims about reliability, we'd prefer that you ask studios now using ATR-100s.)\n\nNo matter how you wish to measure audio tape recorder performance, the ATR-100 by Ampex comes out ahead. This is the performer that defines excellence in sound recording.\n\nAMPPEX MAKES IT EXCITING.\n\nAmpex Corporation, 401 Broadway, Redwood City, California 94063 415/367-2011\n\nCircle 45 on Reader Service Card\n\nShared Access Memory—A New Concept For Digital Signal Processing In Audio Applications\n\nA non-technical look at some of the problems inherent in digital processing hardware and the solutions presented by the Shared Access Memory System.\n\nAs everyone involved in professional audio circles is well aware, \"digital\" has become the ever-present topic of discussion. Tape machine manufacturers have alerted us all that digital technology is definitely on the way: even as this article is being written, several new digital machines are being introduced. Console manufacturers are also considering \"digital\" in their long range plans as well.\n\nWHY GO DIGITAL?\n\nOnce a digitized audio signal can be stored on tape (with hardware that is a bit more manageable than the presently-available prototype systems), the theory states that one should convert the analog audio signal to digital form in the console; being that it is the first link in the signal processing chain. Once converted (the theory continues), signal processing could take place on the digitized signal, utilizing digital processing techniques, adding little of the noise and distortion inherent in analog processing techniques.\n\nMichael Tapes is president of Sound Workshop Professional Audio Products, Inc. As marketing director for the Shared Access Memory System, Michael has been a key consultant in its development.\n\nHowever, until the validity of these concepts is conclusively proven, and the reality of affordable and practical digital hardware smacks us in the face, we are forced to manipulate most of our musical waveforms while they are still in an analog state. Yet even today, almost all studios already have at least one \"black box\" that can convert analog musical signals to a digital format, perform magic upon the binary bits, convert the whole mess back to analog form, and present its owner with three groupies and a gold record before the damn thing is even paid for!\n\nSeriously, although the all-digital machine-plus-console may well be upon all of us within the next decade, for the moment the reality of this technology comes mostly in the form of digital signal processors. And, it is becoming apparent, even when touring state-of-the-art studios, that there is no continuity in the design of these digital signal processors. Even the top studios will have racks of digital processing gear, in which much hardware is duplicated, and tremendous amounts of random access memory (RAM) are going to waste. To achieve many special effects, units must be patched together. Long delays are only possible by putting several units in series, or by resorting to the hassles of tape delay. (A few broadcast delay systems now offer from 6-8 seconds of delay, but they are expensive single channel units which make them an unlikely candidate for studio use.) Beyond all of this, the audio quality of even the finest digital processors is not up to most other studio standards.\n\n**AUDIO MACHINERY**\n\nIn response to this dilemma, the Audio Machinery Corporation has developed a digital processing system which it hopes will satisfy some of the needs for performance and flexibility in digital signal processing. It introduces the concept of *shared access* memory, whereby random access memory is *not* committed to a given processing device; the RAM can be partitioned, or shared, by several independent processing channels.\n\nThe purpose of this article is to introduce this Shared Access Memory System, by taking an overview of some of the design criteria and compromises involved in digital signal processors.\n\n**DIGITAL DELAY SYSTEMS**\n\nThe most common digital signal processor is, of course, the digital delay system. However, other signal processors, such as Harmonizers (TM Eventide Clockworks, Inc.) are commonplace in the studio, as well as in sophisticated sound reinforcement systems. Also, several digital reverberation systems are being introduced in an effort to replace the plate-type reverb as the accepted standard for artificial reverberation.\n\nFor simplicity, I will direct this discussion of digital signal processing to delay systems specifically, although most of the concepts can be applied to digital reverberation and pitch modification as well. No attempt is made to be extremely technical in nature. Those wishing a detailed technical discussion of digital technology, as it applies to audio applications, should consult the articles listed at the end of this one.\n\nVery simply, a digital delay system works like this:\n\n1. The analog input signal is filtered, sampled and converted to digital format.\n2. This now-digitized signal is stored or \"written\" into memory as binary bits.\n3. Some time later (dependant on the desired delay) the signal is \"read\" or extracted from memory.\n4. The signal is converted back to analog form.\n\nThe most common studio-oriented digital delay systems employ random access memory as their storage medium. Physically, the RAM is a collection of \"chips\" or integrated circuits. These are capable of storing binary information (ones and zeros). Strange as it seems, the RAM in your digital delay may be identical to the RAM in your bank's computer system. The RAM doesn't know (or care) whether it is storing the Bee Gee's latest harmony or Rod Stewart's social security number; to the RAM, life is just a bowl of ones and zeroes.\n\nRandom access memory has no effect on the quality of the audio signal which is created from the stored binary bits. That is to say, there is no such thing as good RAM or bad RAM. There are no \"specs,\" involved except. How many bits of information can be stored? The more bits, the greater the delay capacity (assuming the resolution remains the same). What determines the quality of the audio and how much RAM is needed per-unit of time, are the sampling rate and the resolution of the analog-to-digital (A/D) converter.\n\nThe sampling rate must be high enough so that the bandwidth need not be restricted, and the A/D conversion must resolve the signal sufficiently, so that upon D/A conversion, nothing significant has been lost, and no objectionable noise or distortion has been added.\n\nBut in order to offer a cost-effective device that will steal sales from the competition, and still win the hearts of studio owners, a series of design decisions (or compromises) must be made.\n\n**A/D CONVERSION**\n\nConversion is not always a religious experience. Compromises in the A/D converter (and the reciprocal D/A) will limit the overall level of performance that a delay device can achieve.\n\nIt is generally accepted that, in order to digitize high-quality musical sources properly, 16-bit resolution is required. Most digital delays presently available, however, do not resolve to 16 bits and some well-known devices resolve to only 10 bits.\n\nSo the \"Brand-X Super Delay 1000\" only resolves to 12 or 13 bits . . . and it says here it should resolve to 16 bits! How can they sell that thing to anyone???\n\n**ANALOG PROCESSING**\n\nTo make up for inadequate A/D conversion, most delay units use some form of analog signal processing to make the signal easier to convert and/or to mask the resultant noise. Figure 1 is a block diagram of a basic digital delay system which employs such analog signal processing techniques. The two most common techniques are companding and pre/de-emphasis. When used in combination, companding and pre/de-emphasis form a basic noise reduction system. While the noise produced by the delay system will definitely be reduced, the loss of accuracy caused by the inadequate resolution of the A/D converter cannot be restored. The noise reduction system also has undesirable audible side effects such as noise modulation, \"breathing,\" softening of transients, and an overall loss of transparency and \"sparkle.\"\n\nCompanding, when used alone, does not offer as much overall noise reduction. Also, the audible effects of noise\n\nmodulation become much more severe. (Ironically, noise modulation tends to be more distracting than if the noise were constantly present.)\n\nHigh frequency pre/de-emphasis when used alone presents none of the audible side effects of companding-type systems. This simple noise reduction technique depends on the fact that the musical spectrum does not contain as much high frequency energy as mid or low. The high frequencies can be boosted (bringing them up to the level of the mid and low frequencies) before the A/D conversion and lowered (by the same amount) after D/A conversion, lowering the noise produced as well.\n\nThe problem that rears its ugly head comes about because the premise regarding high frequency energy content is rarely true in today's studio and sound reinforcement processing applications. Due to close-miking techniques, electric instruments, and electronically-synthesized music, the high frequency energy content encountered in today's music is much greater than before.\n\nIf we operate our delay system so that the input level is just below clipping, we achieve an optimum signal-to-noise ratio. If we now pre-emphasize the high frequencies, they will exceed the level of the low and mid frequencies and therefore clip the device, unless the overall input level is reduced. This eliminates the complementary noise reduction effect that the pre/de-emphasis was to have accomplished. The more dynamic and wide range the source material, the more of a problem this becomes. The overall effect is that the usable signal-to-noise ratio of the device is about 15 dB lower than the spec sheet would tend to suggest. It will lower the static noise and it does allow the manufacturer to print that better noise spec on the product blurb sheet. Certain manufacturers demonstrate the drawbacks of pre/de-emphasis by including a \"slew\" meter on the front panel to show the reduced headroom. Some also indicate that the stated bandwidth is accurate only when measured or operated much below normal maximum operating level (usually about 15 dB).\n\nSo we see that less-than-adequate digital resolution can be \"covered up\" through the use of analog signal processing techniques. In fact, though, the noise is reduced but the distortion remains...and all at the expense of audible side effects and/or loss of headroom.\n\n**IT'S ABOUT TIME**\n\nMost delay designs accept sonic compromise in favor of more product-per-dollar. In the delay business the \"product\" is time. After all, a delay device is capable of delaying audio by only a certain amount and that's it. Once the time capability is reached, there ain't no more.\n\nLet's examine the parameters that affect the maximum delay time capability.\n\n1. **The Sampling Frequency** is the amount of times per second that the input signal is looked at or \"sampled.\"\n2. For each sample, the A/D converter determines the instantaneous value of the input signal and converts it to a binary number or \"word.\" The length of the word is dependent on the design and resolution of the converter.\n3. The RAM compliment determines the number of bits available for storage.\n4. The maximum delay time can be calculated as follows:\n \\[ T = \\frac{R}{S \\times L} \\]\n where\n - \\( T \\) = Time in seconds\n - \\( R \\) = Amount of RAM, in bits\n - \\( S \\) = Sampling rate, in kHz\n - \\( L \\) = Length of Word, in bits\n\nFor example, let's assume that the \"Brand X Super Delay 1000\" has a 160,000 bit RAM, a sampling rate of 41 kHz, and a 10-bit converter. This produces a maximum delay time of 390 milliseconds. Assuming that there is no provision for adding additional RAM, the only means of increasing the delay time is by lowering the sampling rate (which necessitates lowering the bandwidth as well).\n\nIf the same set of circumstances existed but the Brand X Company opted for a 13-bit converter, only 300 milliseconds would be available. To offer the original 390 ms, an additional 47,870 bits of RAM would be needed.\n\nSo the cost/time/performance compromise becomes a marketing decision:\n\n1. The higher the performance capability, the more complex and sophisticated the converter, which requires more RAM for the same time capability.\n2. Once the performance criteria are set, more time means more RAM.\n3. Since most delay requirements are \"short,\" providing enough RAM for long (>400 ms) delays becomes an impracticable luxury...Unless the RAM can be shared or distributed amongst several discrete channels or processing devices!!!\n\n**THE SHARED ACCESS MEMORY SYSTEM**\n\nThe Shared Access Memory System is a digital processing system designed with the intent of creating new performance standards in a cost-efficient manner.\n\nIn this world you don't get something for nothing and producing the \"best\" is usually not an inexpensive endeavor. An A/D converter with 16-bit resolution costs much more than lesser converters, and that additional RAM space needed for the higher resolution is still calculated from the same formula, already presented. In the development of the Shared Access Memory System, the design parameters were as follows:\n\n1. Exceed present performance standards.\n2. Use direct A/D and D/A conversion (with no analog signal processing).\n\n3. Allow for extremely-long delay settings at full bandwidth.\n4. Provide for cost-effective use of RAM by allowing several discrete modules (independent processing channels) to \"share\" the available memory.\n5. Provide for additional output channels to be added to any processing module.\n6. Delay settings must be quickly adjustable in 1 ms steps, with a sweepable capability.\n7. Exact time readout must be available, even when delay setting is externally controlled.\n8. Exceed the performance of present pitch shifters.\n9. Provide true reverberation by room simulation, rather than multi-tapped delays.\n10. Provide for future interface with automation systems and computer systems.\n\nBasically the concept of Shared Access Memory is the collaboration of two overall design considerations. The first is to simply not skimp on the digitizing process. The second is to partition the RAM space (under computer control) so that the system can be tailored to the specific processing needs of the engineer, allowing for each session's requirements to be met.\n\nFor example, assuming that a given shared access system has a compliment of 800 milliseconds of RAM, a Reverberation module, a Pitch/Delay module, and two Delay modules, here are four possible set-ups:\n\n| CHANNEL FUNCTION | RAM (required) |\n|------------------|----------------|\n| 1. A | 200 ms and 300 ms delays | 300 ms |\n| B | 50 ms delay | 50 ms |\n| C | Pitch Modification | 50 ms |\n| D | Reverberation | 400 ms |\n\n| 2. A | 24 ms, 28 ms, 32 ms, 36 ms delays | 36 ms |\n| B | Reverberation | 400 ms |\n| C | 100 ms delay with pitch modification | 100 ms |\n| D | (264 ms available at 16 kHz bandwidth) | 264 ms |\n\n| 3. A | 700 ms delay | 700 ms |\n| B | 50 ms delay | 50 ms |\n| C | ~5 ms delay at reduced (12 kHz) bandwidth | 50 ms |\n\n| 4. A | 2.4 seconds at 4 kHz bandwidth | 800 ms |\n\n**A/D CONVERSION**\n\nShared Access uses a proprietary floating-point converter, which yields 16-bit resolution while writing a 15-bit word. The sampling rate is 41.2 kHz, and is adjustable downward in 3 per cent steps (under computer control) to allow for extending the available time in cases where the RAM space cannot meet the time \"requested.\" The computer takes care of the \"housekeeping\" such as adjusting the filter and updating the displays.\n\nThe random access memory is housed in the rear of the rack-mount mainframe, which also houses the processors and related circuitry. Up to 6,000 milliseconds (6 seconds) of RAM can be accommodated. The basic mainframe has 400 ms, and up to 14 additional 400 ms RAM cards may be added.\n\n**PLUG-IN MODULES**\n\nThe front of the mainframe accepts up to eight processing modules, each being able to access the common memory through its front panel controls. Each module displays the amount of memory space allotted to it, while the uncommitted memory space is displayed on a master panel along with the present system bandwidth.\n\nAs the time requests are made, the RAM space is assigned to each module automatically as it is needed. No additional controls need be dealt with. Setting a 100 ms delay on Module 2 automatically tells the computer to commit enough RAM to provide that delay. The module readout confirms that the memory space has been allotted. If other modules have been assigned memory space such that this new request cannot be met, the computer assigns what it can (let's assume it has 50 of the needed 100 ms available). The readout flashes the committed time (50ms), informing the engineer that the full time request has not been met. Using controls on the master panel the operator can have the computer lower the sampling rate (and therefore, the frequency response) of the mainframe so that the time needed to fill the request can be provided. Alternately, the sampling rate can be adjusted manually to create even more time. The mainframe bandwidth (which relates directly to the sampling rate) is always displayed on the master panel. Each module can be set to operate at the full sampling rate (providing a 16 kHz audio bandwidth) or at the mainframe's current sampling rate (reduced bandwidth). This allows for total utilization of the memory, by permitting critical signals to have full performance parameters, while allowing less-demanding signals the luxury of time that wouldn't have otherwise been available, as was demonstrated in the above examples.\n\nBy the time you are reading this (or shortly thereafter) the Mainframe, Delay module, and Pitch/Delay module will be available for delivery. In the final stages of design are the Output module, and the Reverberation module. Planned for early next year are modules that offer lesser performance and flexibility at reduced cost, thereby even further increasing the flexibility and cost-effectiveness of the system.\n\nA very generalized module structure can be seen in the simplified block diagram shown in Figure 2 (I stress that this is a simplified diagram!) The following is a brief description of the currently-available modules:\n\n**DELAY MODULE**\n\nThe delay module provides a single input and two outputs. Delay times are selectable in 1-millisecond steps, with\n\nFigure 2. Simplified Block diagram of Shared Access Memory System, showing interface of one module with system.\n\na +/—20 per cent vernier also provided. A three-input mixer allows selecting input signals from the module's own input or from two input buses. By selecting its own output (via either input bus switch), regeneration effects can be created. An output mixer allows any blend of direct and delayed signals. Voltage control can be selected from an external source or from the mainframe's Voltage Control Bus. Input level is indicated on a 5-led column.\n\nPITCH/DELAY MODULE\n\nThe pitch/delay module is similar to the delay module except it is 1-in/1-out, with a pitch-modification section replacing the controls of the second delay output. This module contains its own oscillator for internal voltage control of pitch and/or delay. This oscillator may also feed other modules directly or through the Voltage Control Bus. Both the pitch/delay and the delay modules may be set to \"tap\" the memory of the adjacent module so that pitch or delay processing can be added to that module's signal without additional A/D conversion.\n\nOUTPUT MODULE\n\nThe output module adds three additional delay outputs to any other module without additional conversion.\n\nREVERBERATION MODULE\n\nThe reverberation module occupies two positions in the mainframe and requires a maximum of only 400 ms of RAM space. Rather than provide rigid programs, the reverberation module allows for the adjustment of critical room parameters including width, length, reflection ratio, absorption characteristics by frequency, and source placement by the engineer.\n\nCOMPUTER INTERFACE MODULE\n\nThe computer interface module will allow for integrating shared access into automation or other computer-based systems. This eventual realization of the module will be based on industry need and standardization.\n\nCONCLUSION\n\nThe Shared Access Memory System is literally the state-of-the-art in digital signal processors. Being that it is a new product, however, only time will prove its ultimate acceptance by the engineering community. In this article I have attempted to show the deficiencies in existing systems. This is not to condemn existing digital processors.\n\nAs discussed, design compromises are brought about by marketing decisions, and indeed if cost were no object, the Shared Access Memory System might be even more sophisticated than it is.\n\nThere are now digital delays on the market that can be purchased for well under $1,000. There are also units of much greater cost. The Shared Access Memory System is not inexpensive and it will not be within everyone's reach. However, for those who need the highest level of sonic performance available, the Shared Access Memory System provides a most-sophisticated, yet extremely cost-effective, system.\n\nRECOMMENDED READING\n\nFor those desiring technical information regarding the application of digital techniques to high quality audio may I recommend the following articles. Mr. Silver's article is a general look into the digital technology, while Mr. Blesser's article is a complete in-depth study.\n\nDigital Modulation For High-Quality Audio—Sidney L. Silver\ndb Magazine: June, 1978\n\nDigitization Of Audio: A Comprehensive Examination Of Theory, Implementation, And Current Practice—Barry A. Blesser\nJournal of the Audio Engineering Society; October, 1978\n\n1 in. 8-TRACK WITH A PLUS\n\nMX-7800: Full function capability with no compromise in reliability. Performance second to none. • Full-servo constant-tension tape drive • Dynamic braking • 30/15 ips operation • FET switching • $8895 suggested retail USA.\n\nTHE PLUS: A unique multi-function remote, the CR-706, lets you do it all from your console • Overdubbing with automatic monitor switching • Silent punches • Fine and coarse speed variation • $995 suggested retail USA • CT-501 real time counter with return to zero • $495 suggested retail USA.\n\nEXPERTISE NEAR YOU: We are proud to have these select dealers franchised to sell, maintain, and service the only 1-inch 8-track with a plus.\n\nWEST\nAccurate Sound\nCall Greg 415/365-2843\nRedwood City, CA\n\nACI/Dave Kelsey Sound\nCall Fred 213/851-7172\nHollywood, CA\n\nEAR Sound Consultants\nCall Ed 602/968-8675\nTempe, AZ\n\nExpress Sound\nCall James 714/645-8501\nCosta Mesa, CA\n\nSound Genesis\nCall Dave 415/285-8900\nSan Francisco, CA\n\nWestlake Audio\nCall Bruce 213/655-0033\nLos Angeles, CA\n\nCENTRAL\nASI/Abadan Sun\nCall Galen 512/824-8781\nSan Antonio, TX\n\nAudio Distributors\nCall David 616/452-1596\nGrand Rapids, MI\n\nAFC Systems\nCall Jim 612/729-8305\nMinneapolis, MN\n\nFord Audio & Acoustics\nCall Jim 405/525-3343\nOklahoma City, OK\n\nPaul Westbrook Audio\nCall Paul 712/578-4401\nVictoria, TX\n\nSonics Associates\nCall Doug 205/942-9631\nBirmingham, AL 35209\n\nHy James Enterprises\nCall Henry 313/994-0934\nAnn Arbor, MI\n\nAllied Broadcast\nCall Jim 317/962-8596\nRichmond, IN\n\nMilam Audio\nCall Jerry 309/346-3161\nPekin, IL\n\nHouston Cinema & Sound\nCall John 713/933-7180\nHouston, TX\n\nGill Custom House\nCall Al 312/598-2400\nPalos Hills, IL\n\nLudwig Sound\nCall Charles 713/449-8388\nHouston, TX\n\nAlpha Audio\nCall Bob 404/358-3852\nRichmond, VA\n\nAudio By Zimet\nCall Sid 516/621-0138\nRoslyn, NY\n\nAudio Unltd.\nCall Ed 919/274-4682\nGreensboro, NC\n\nBlue Diamond\nCall Joe 412/746-2540\nCannonsburg, PA\n\nCathedral Sound\nCall Don 516/334-5689\nRensselaer, NY\n\nDimension Five\nCall Charles 215/589-5312\nWomelsdorf, PA\n\nHarvey Sound\nCall Gene 212/575-5000\nNew York, NY\n\nLebow Audio\nCall Peter 617/782-0600\nAllston, MA\n\nMartin Audio\nCall Courtney 212/541-5900\nNew York, NY\n\nPA Palace\nCall Ellis 404/636-3044\nAtlanta, GA\n\nProfessional Audio Video\nCall Paul 201/334-5310\nPaterson, NJ\n\nStereo Sonics Labs\nCall Alan 305/831-2575\nAltamonte Springs, FL\n\nVSM Leasing\nCall Mike 201/759-2600\nClarence, NY 14031\n\nHarris Company\nCall Michael 305/944-4448\nNo. Miami, FL\n\nSounds Fine\nCall Dave 703/951-3489\nBlackburg, VA\n\nRCI Sound Consultants\nCall Tom 301/587-1800\nSilver Spring, MD\n\nRecording Services (of W.N.C.)\nCall Ted 704/648-6012\nCanton, NC\n\nFor information on other Otari products and dealers, call Ruth Pruett at 415/593-1648.\nOtari Corporation, 981 Industrial Road, San Carlos, CA 94070 TWX 910-376-4890\nIn Canada: BSR (Canada, Ltd.), P.O. 7003 Sta. B, Rexdale, Ontario M9V 4B3 416/675-2425\n\nCircle 18 on Reader Service Card\n\nAudio Tests and Measurements—Part II\n\nTwo approaches to spectrum analysis—each has its own inherent advantages.\n\nA currently-popular technique in measuring frequency response doesn't use a sweep at all. The measuring device is a real-time spectrum analyzer, and the generated signal is a wideband signal, such as pink noise. The real-time spectrum analyzer incorporates a series of band-pass filters, (typically 27 to 30), each with a constant-percentage bandwidth (typically one-third octave) and an amplitude-indicating device, such as a line on a CRT or an LED bar graph. By arranging the center frequencies of the band-pass filters so that they are equally spaced on a logarithmic frequency axis, and contiguous over the frequency band of interest, the resulting display will be the frequency response. Pink noise by definition will produce equal time-averaged amplitude at the output of each band-pass filter.\n\nThe advantage of this method is that it is fast. The use of a pink-noise signal requires averaging the result over a significant length of time, sometimes in the order of seconds. This averaging time can be happening simultaneously in each of the bands; thus the results are presented rapidly (in seconds, or sometimes, fractions-of-seconds). The disadvantage is resolution; a 30-band device obviously gives 30 measurement points. This is a long way from the continuous sweep with a virtual infinity of points across the band of interest. Many acoustics practitioners argue that this lack of resolution is detrimental to achieving useful results.\n\nTo answer this requirement, new spectrum analyzers have been developed, with much-improved resolution. The first of these were the FFT (Fast Fourier Transform) analyzers using sophisticated computational circuitry to yield an instrument with significantly improved resolution. A typical device has the equivalent of 400 or so bands, more than an order of magnitude improvement over the one-third octave device. However, there is a catch. The FFT design has an inherently-linear frequency axis. Thus, those 400 bands are linearly spaced, with a constant frequency difference between the bands rather than a constant percentage difference. This means that a 400 band device, operating from 0 Hz to 20 kHz, will have 100 bands distributed between 0 Hz and 5 kHz, another 100 bands between 5 kHz and 10 kHz, and so on. Each frequency band in this illustration would be separated by 50 Hz. Therefore, the first two octaves (from 20 Hz to 80 Hz) are covered by a little less than two bands of the FFT analyzer. Therefore, on a log-frequency axis, the resolution at low frequencies is worse than one octave. On the other hand, the octave from 10 kHz to 20 kHz has a resolution of better than one-hundredth of an octave near the top end. So, if you are looking to generate high-resolution frequency response plots with the conventional log-frequency axis, you won't get them with an FFT analyzer.\n\nAnother approach to improve resolution in a real-time analyzer uses a digital filter method. Like the FFT approach, this method can yield a high resolution with hundreds of bands. Unlike the FFT approach, it can be configured to produce a log-frequency axis. However, it doesn't come easily, and such instruments are not inexpensive.\n\nIn spite of the problems of such digital-based instruments, one significant advantage that they offer is increased power in the processing and presentation of data. Also, time integration can be achieved with far more accuracy and consistency than by analog methods. Presentation of results, usually on a CRT, can be configured in the format of the user's choice. Mathematical manipulations of several results are possible, such as comparison, or subtraction of two results to yield a difference plot.\n\nTo summarize, real-time spectrum analyzers can offer significant improvements in some areas, but often at a\n\nInovonics Acoustic Analyzer Model 500. A real-time, one-third octave audio spectrum analyzer with data presentation on a 13 x 11 led matrix and a digital readout. The portable instrument provides two digital memories, battery operation and internal noise generator. A flexible choice of averaging times, display range and input sensitivity cover a wide variety of applications. Two pole pair filters exceed ANSI class II requirements. A unique feature is the ability to both generate an RT 60 plot as well as display the RT 60 on digital readout. Connectors permit interface with an oscilloscope or digital peripherals.\n\ntrade-off. One trade-off is cost. However, in situations where speed is essential, they are often the only technique that can be used.\n\nSWEPT ANALYZERS\n\nOne way to get around the resolution problem and cost considerations of real-time analyzers is to use a non-real-time spectrum analyzer. Whereas in the real-time analyzer several parallel filters are used, the non-real-time approach uses a single filter, which is swept over the band of interest. Such an approach requires only a single high-quality filter, a single detector, some storage medium and the control circuits to sweep the filter over the band. This approach offers virtually infinite resolution and considerable flexibility on the characteristics of the filter. With only a single filter to deal with, the bandwidth and other shape characteristics can be easily modified for particular applications. The approach is also inherently lower in cost. Of course, once again there is a trade off, and that is time: it obviously takes longer for a single filter to sweep over the whole band than it would for several filters, fixed across the band, to acquire the data. Often the trade-off is not significant, as the time to do the complete sweep is small in comparison with the total measurement time (that is, the time required to set up the equipment, make changes to the device under test and so on). The non-real-time analyzer may take a minute or more, but since the whole measurement session may take hours, the differences tend to diminish. The increased resolution of the swept frequency analyzer is sometimes highly desirable, and often essential.\n\nThe swept frequency analyzer uses a storage medium similar to that described for the sine wave response checks. It may be a paper recorder, a storage oscilloscope, digital storage, or some other means. If the storage is digital, the data manipulation features described in the FFT analyzer are also possible. In addition, such instruments usually have the capability of varying the filter characteristics, the sweep speed, the detector time constants and other parameters—all of which effect the final plotted curve. You might say that such flexibility makes the instrument complicated to operate, but the wide variety of measurement situations requires this degree of flexibility. The parameters of bandwidth—often called resolution—and sweep speed, are directly related. A wider filter bandwidth gives poorer resolution, but permits a faster sweep speed. On the other hand, a very narrow bandwidth can give very high resolution, but at a cost of very long sweep times.\n\nIn this discussion of swept analyzers, we have mentioned two types of resolution. One is the resolution of the storage medium and the fact that the filter is swept over the band rather than a small series of points measured. This could be called plotting resolution. In the second case, related to the bandwidth of the filter, the resolution describes the ability of the analyzer to resolve fine details of signal components. This is the resolution most often referred to in specifications of spectrum analyzers. Typically the resolution of the plotting system greatly exceeds the resolving ability of the filter.\n\nThere are two basic configurations of swept filter analyzers. In one, the filter has a constant bandwidth over the full sweep range, and the frequency axis is usually linear. In the other, the filter has a constant-percentage bandwidth (that is, a constant fractional octave bandwidth), and the frequency axis is usually logarithmic. Constant-bandwidth instruments can have bandwidths as small as 1 Hz. Almost all of these devices are realized using the same technique; a local oscillator, a mixer and a single fixed filter followed by a detector. The local oscillator is swept and mixed with the incoming signal, the products are passed through the filter, and the resulting curve is just as if the filter itself had been swept. The technique is not new—it is used on most radio receivers for a similar purpose. Inherent in this technique is a filter with a constant bandwidth.\n\nThe second method requires that an actual filter be swept. The frequency-determining components of a band-pass filter are modified by the control circuits to continually re-tune the filter over the sweep band. This results in a swept, constant-percentage bandwidth, band-pass filter. For the constant-bandwidth filter, the first case, to have the same shape anywhere over the frequency range, frequency axis must be linear. On the other hand, for the\n\nBruel & Kjaer 2131 Digital Frequency Analyzer. A completely digital real-time octave and one-third octave audio spectrum analyzer. Utilizes filtering, digital rms detection and digital averaging for highly accurate and predictable results. Data is presented on a large fully annotated CRT. Provides analog and digital input and output for system use, computer control and automatic test applications. Provides up to 42 channels (one-third octave), 60 dB display range, 13 averaging times in both linear and exponential averaging and digital storage. By connecting to an external computer and XY plotter, three dimensional plots of spectral energy-versus-time can be generated.\n\nconstant-percentage bandwidth filter to have the same shape over the frequency band, the frequency axis must be logarithmic. The application will usually point to which method is the best to use. For acoustic applications a log-frequency scale is usually preferred. Human perception of sound is on a logarithmic basis, and therefore it makes more sense to distribute the frequency axis logarithmically; that is, linearly by octaves. A constant-percentage bandwidth filter, swept logarithmically over the frequency band with pink noise as the source, will yield a horizontal line. This is the preferred approach for acoustic measurements. On the other hand, the constant-bandwidth analyzer does have its applications. There are several industrial applications involving vibration and other requirements, but in audio the primary application is that of distortion measurement. A linear frequency scale distributes the harmonics of the test signal evenly. The requirement of resolving a large number of harmonics of the test signal dictates the use of a constant-bandwidth filter and the linear frequency axis. So the constant-bandwidth analyzer has applications in electronic testing and the constant-percentage analyzer has applications in acoustic testing.\n\n**SPECIALIZED ACOUSTIC TESTS**\n\nSeveral unique methods have been devised for generating swept frequency response plots of transducers in normal environments. The objective is to achieve the high resolution of a swept sine wave without the abnormalities characteristic of such a technique. Bruel & Kjaer have devised a gating system which uses a swept sine wave that is rapidly gated on and off during the sweep. The receive section has a similar gate with adjustable parameters. Used for speaker testing, the receive gate is adjusted so it only measures the incident waveform. The reflected waveforms are gated out of the measurement. By suitable adjustment of the send gate repetition rate, the ON time and adjustment of the receive gate delay and its ON time, a frequency response plot can be generated which ignores the effects of the environment. As in all test methods, there are low frequency limitations related to the size of the environment. However, the method provides high resolution, is relatively inexpensive to implement, and has demonstrated accuracy of result.\n\n**TIME DELAY SPECTROMETRY**\n\nAnother novel approach is time-delay spectrometry. Originally developed by Richard Heiser of the Jet Propulsion Laboratory, this technique uses a very rapid swept sine wave on the generator end, and a similar very rapid swept band-pass filter on the receive section. Both the generator and the filter are swept over the audio band rapidly, in the order of a second or so, with a slight time offset in the swept filter. Since the measurement microphone is placed some distance from the loudspeaker under test, there will be a slight time delay in the received swept sine wave. The swept narrow-band filter is adjusted to coincide with the received sine wave. Reflections in the environment will produce even later received signals. By the time they are received the narrow-band filter will have moved to a higher frequency and will thus reject them. Like the gating method, there are low frequency limitations imposed by the size of the environment.\n\nBoth techniques are powerful tools for measurement of the frequency response of transducers and transducing systems. In both cases, the receiving window—whether it is time-related in the gating principal or frequency-related in the TDS principal—can be adjusted to look at a particular result. This does not necessarily have to be the incident waveform, but could be a particular reflection or, everything except the incident waveform. All of these can yield response plots that are useful in speaker development, monitor system and sound system optimization, and acoustical environment studies.\n\n**REVERB TIME MEASUREMENTS**\n\nAn area of acoustic measurement that is receiving increasingly more interest is reverb time measurements. It is being recognized that the reverb time characteristics of the environment significantly affect the perception of\n\n*How filter shapes change as frequency is varied linearly or logarithmically. The log-frequency axis, popular in acoustics suggests the use of a constant-percentage bandwidth filter while the linear frequency axis, useful for distortion analysis, benefits from a constant-bandwidth filter.*\n\nsound. The reflection characteristics of the room can often have a far more significant effect on the actual perceived frequency response than the response of the transducers themselves. Reverb time is defined as the time that the sound takes to diminish by 60 dB after it is abruptly shut off. The environment is excited with the test signal, its amplitude is measured in dB SPL, the test signal is removed and the time it takes for the test signal to decay 60 dB is recorded. Highly-reverberant rooms can have RT 60's in the order of several seconds. Studios on the other hand are usually in the order of tens or hundreds of milliseconds.\n\nIn many environments, it is difficult to achieve an amplitude difference of 60 dB between the test signal and the ambient condition of the room. It may be possible to achieve only 50 or 40 dB, or sometimes even less. In this case, the results must be extrapolated from a measurement over a smaller window. Most reverb time meters use this technique. They measure the amount of time for the signal to decay 10, 20 or 30 dB and multiply the result by the appropriate factor to display the RT 60 times.\n\nIt is often important to see the actual shape of the decay curve. Again, this used to be quite difficult to achieve. With current available instrumentation, it is often as easy to achieve as a frequency response plot. The vertical scale is amplitude, linear in dB, and set to have an overall scale factor of 60 dB. The horizontal scale is time, linear in seconds, and usually set to have an overall scale of 1 or more seconds.\n\nThe test transducer in the environment to be measured is excited with the test signal and an amplitude as high as practical. The plotter is adjusted for full scale deflection. Then with the plotter running, the signal is abruptly cut and the curve of the decay is plotted. An ideal situation would show a straight diagonal line from full signal to ambient. In practice the condition is usually quite a bit different, the curve may show a variety of slopes, it may even fall for a portion then begin to rise and then fall again. Such conditions reflect abnormalities in the environment, no pun intended, and can significantly affect the apparent frequency response. By plotting such curves at several points over the audio band valuable information is gathered on the characteristics of the environment. Again, a graph gives considerably more data about the conditions than a simple number.\n\nSome spectrum analyzers can be configured to plot this kind of curve. If the swept filter is held stationary the plot is the required amplitude-versus-time. Some of the newer real-time spectrum analyzers include this capability as one of the functions available from the front panel.\n\n(To be Continued)\n\nA Precision Dynamic Range Controller\n\nA system designed to provide independent processing of multiple channels of audio, without the use of redundant signal processing circuitry.\n\nWhen it comes to advances in the art of signal processing, perhaps disc mastering is one of the most neglected areas. The small size of the market and the peculiarities of the technology have led independent manufacturers to defer design to manufacturers of lathes and cutting amplifiers. But some lathe manufacturers seem to work on the principle that signal processing is either unnecessary or undesirable. This view may be correct but only if the lathe operates in an environment in which all tapes received for cutting have been uniformly and correctly pre-processed. Unfortunately, this ideal condition is rare.\n\nDisc mastering engineers engage in a daily struggle to transfer from tape to disc the \"masterpiece\" created in the studio by musicians, recording engineer and producers. Typically an engineer is enjoined to \"preserve the bass, keep the highs clean (but loud), brighten the mid-range, and keep the level up (after all, it has to sound commercial) . . . incidentally, the side runs twenty-four minutes.\" With instructions such as these flying in the face of both physics and the state-of-the-art in cutting heads and playback systems, it is not surprising that disc transfer personnel are always looking for methods of improving their control over the entire process.\n\nMuch equipment used in disc transfer is actually studio equipment—admittedly good studio equipment, but not equipment designed with the unique requirements of the cutting room as a prime consideration. Consider, for example, the problems resulting from the necessity for providing the lathe pitch control system—via the \"preview\" head—with an exact duplicate of the program signal. Three processing choices for the preview signal are available:\n\n1. Ignore the signal processing system completely.\n2. Use the real-time audio signal for the preview feed, and then process the program signal through a time delay for the actual cutting.\n3. Duplicate all the program signal processing equipment for the preview system.\n\nOf these choices, the first was quite common five to ten years ago. Lathe manufacturers even advised clients that the preview signal could safely be processed with a bare minimum of equipment. Considering that appropriate equipment wasn't readily available, it was pretty good advice. Happily, a little knob called \"Preview Offset\" could be used to change the gain of the preview channel relative to the program, thus partially compensating for the use of equalizers or dynamic range reduction devices in the program chain.\n\nFrom a systems standpoint, the time delay method is quite attractive, in that it eliminates the need for duplicate processing, and for the accompanying preview head with its associated tape loops, bearings, etc. Unfortunately, commercial realization of systems for this purpose has been less-than-satisfactory; not for lack of effort, but for lack of the technology required to process sufficient digital bits at a rate high enough to preserve dynamic range and transient response. If time delay could be used for preview instead of program, this would be an excellent method. But of course this isn't feasible, so we are more-or-less stuck with the third choice.\n\nAs technology has progressed, lathe manufacturers have heeded the call, and developed pitch control systems with higher sampling rates and more-precise control over groove packing. One commercially-available system boasts such accuracy that grooves can be spaced, just barely touching each other on peak excursions, as well as at lower levels.\n\nBurgess Macneal is president of Sontec Electronics, Cockeysville, Maryland.\n\nAs a result of all this technological progress, small discrepancies between program and preview signal processing result in substantial errors in groove spacing, in turn leading to ineffective utilization of the available disc surface. Better methods are needed.\n\n**TRACKING SYSTEMS**\n\nAccurately-ganged level controls have been universally available for years, and tracking equalizers have been around since 1972. What has been lacking has been a good tracking limiter/compressor system. A so-called \"tracking system\"—equalizer, compressor or whatever—is merely a signal processing device in which two (or more) signal paths may be independently (but *equally*) modified with a single set of controls. The advantages for meeting the preview/program requirements of disc mastering are obvious, but the same system may also be used to advantage in any stereo (or quad) mixdown or transfer application.\n\n**DESIGNING A TRACKING COMPRESSOR/LIMITER**\n\nEarly in our design program for such a device, some basic requirements were established:\n\n1. Audio quality sufficient so as not to be a limiting factor in the program chain.\n2. A minimum number of controls for a maximum number of functions.\n3. Responsibility for decision making resting upon the mastering or recording engineer, rather than upon an assortment of logic chips and R.C. circuits purporting to automatically adjust dynamics by formula.\n4. Ability to interface other control functions without duplicating audio circuitry.\n5. Intelligible and useable readouts and controls.\n\nRequirement 1 was relatively easy. Voltage-controlled amplifier (VCA) development has now advanced to the point where commercial realizations have acceptably-low distortion figures, and are relatively stable. For development purposes, a dbx VCA in series with a Sontec HS-1000 discrete op-amp (slew rate greater than 200 V/$\\mu$s) provided the entire audio signal path, resulting in a simple, clean attenuator with a nominal gain of unity.\n\nThe real problem lay in developing control circuits to drive the VCA, which responds to a 1-volt change in control potential with a 20 dB change in level. First hurdles were the Log Converter, and Peak and rms Detectors. Although standard instrumentation circuits were available, none had the requisite performance, so new devices were designed. Figure 1 includes a block diagram of these components, whose functions are described below:\n\n**LOG CONVERTER**—Processes the incoming audio into a d.c. function, corresponding to the logarithmic value of the incoming audio over a range equivalent to a level of +40 dBm to —50 dBm. At lower levels performance tends to become inaccurate, but at —50 dBm there is no audible effect.\n\n**PEAK DETECTOR**—An analog circuit capable of detecting and holding, with an accuracy of 0.1 dB, without overshoot, peaks occurring for 10 $\\mu$s. This accuracy is achieved over an 80 dB range and gradually deteriorates as the peak duration is reduced. In actual operation, the circuit will detect and hold the peak value of a 50 kHz sine wave within one full cycle. A d.c. control voltage programs the release time of the peak detector from 3 to 60 dB/sec.\n\n**rms DETECTOR**—Extracts the true rms value of the audio signal. This isn't exactly an earth-shaking accomplishment in itself: however, the ability to program the attack and release times of the detector, without a shift in operating point, by two separate d.c. control voltages, provides significant flexibility.\n\nOutputs from the Peak and rms detectors are then processed through analog logic circuits, where reference levels and breakpoints are established by d.c. voltage provided by the front panel controls.\n\n**SYSTEM ORGANIZATION—THE GAIN FUNCTION BOARD**\n\nA complete channel of audio control is assembled on a Gain Function Board (GFB) consisting of VCA, op-amp, Log Converter, Peak Detector, rms Detector, analog logic blocks, and trim controls. You may have noticed that every time we refer to any control function it has been designated as a d.c. level. Each board processes its audio signal independently; however, the control ports of each board can be tied together, allowing the front panel control voltages to affect each board in an identical manner. Thereby two boards can process left and right preview signals, while two other boards process left and right program, thus satisfying the requirements of the disc-mastering engineer. A logic provision has been made for tying together the compression logic of two or more boards, thus avoiding stereo image shifts. Aside from disc mastering, the conventional stereo mixdown session would require just one pair of boards, although a complete set of four boards would of course serve the needs of quadraphonic mixdowns.\n\n**DEFINING LIMITING AND COMPRESSION**\n\nAt this point, we should differentiate between our descriptions of limiting and compression. We define limiting as a transfer function, where increases in input level do not result in increases in output level. In disc cutting, limiting is used primarily to prevent any signal from exceeding a given level. This does not necessarily prevent overcutting or the cutting of groove amplitudes which are unplayable. The input-output ratio is over 100:1, and is generally thought of as infinity.\n\nIn our system, compression is a reduction of dynamic range by the addition of gain at low levels. As the input level is gradually increased, the added gain is gradually removed until, at a preset Rotation Point, unity gain is achieved.\n\nPANEL CONTROLS\n\nIn the design and layout of the front panel, considerable trial and error was involved in the choice of functions, placement, and control increment. Essential requirements were repeatability and a lack of undesirable or unpredictable interactions between functions. As the system eventually evolved, six function controls were designated, and these are seen in Figure 2.\n\n1. **THRESHOLD** (of limiting)—Sets the absolute maximum rms output signal level. Calibrated in 20 steps of 1 dB each, referred to the rotation point of +4 dBm (an internally-adjustable reference point). Peak excursions may exceed this level by an amount not exceeding the Crest Factor setting. With Threshold and Crest Factor controls both set at their maximums, no limiting function will occur at any input level below +44 dBm.\n\n2. **CREST FACTOR**—Variable in 1 dB steps from 8 to 19 dB, this control has effects which vary according to input and output signal levels, and the setting of other controls. Above the Rotation Point, a Crest Factor of, say, 12 dB allows the peak excursions to be no greater than 12 dB above the rms level. Below the Rotation Point, the effect of the Crest Factor control is a function of the audio input level and the setting of the Ratio control. At very low levels, the peak excursions are virtually uncontrolled. As the input level is increased, the control function becomes operative and the actual maximum Crest Factor is gradually reduced until the rms level reaches the Rotation Point. At the 1:1 Ratio setting, there is no Crest Factor control function below the Rotation Point; an increase in Ratio is accompanied by an increase in Crest Factor control effectiveness.\n\n3. **RATIO**—The classical input-output compression ratio control, variable from 1:1 through 50:1 in ten steps, while not affecting the limiting action. As seen in Figure 3, the 1.5:1 ratio gives an effective operating threshold at —50 dBm, linearly compressing a 50 dB dynamic range to 33 dB. (For set-up and for limiting-without-compression, the 1:1 position is used.)\n\n4. **GAIN BELOW THRESHOLD**—Adds additional gain (20 steps of 1 dB each) to the audio circuit in the absence of signal. With no signal applied, the front panel gain metering will show a gain addition equal to the amount added by this control (e.g., Gain control set to 4 dB will cause meter to read +4 dB). However, the application of any audio input within the compression gain window will cause a reduction of meter reading until, at +4 dBm (0 VU) audio input, the gain meter will again read zero. The setting of this control determines the maximum amount of compression available below the +4 dBm Rotation Point.\n\n5. **ATTACK**—10 steps of adjustable attack time of the rms detectors only. Affects both limit and compress functions.\n\n6. **RELEASE**—Simultaneously varies the release time constants of both rms and peak detectors. Although use of this control is most obvious on low-frequency signals, it is necessary that the peak detector release be varied simultaneously with the rms to maintain correct acoustic perspective.\n\nAlthough each control provides a defined, predictable effect, it is not always possible to determine the precise operating point desired. The addition of four led's to the front panel resolved this difficulty. Peak and rms compression led's are associated with the Ratio and Crest Factor controls. Peak and rms limit led's are associated with the Threshold and Crest Factor controls.\n\nImagine that audio is flowing through the system, and after listening, we decide the really low level portions should be 5 dB louder. We turn the GAIN control to +5. If the Ratio is set at 1.5:1, the compression threshold will now be at —15 dBm. 5 dB of gain is added at levels below this point, as illustrated in Figure 3.\n\nAssuming that the level is gradually rising from —40,\n\nFigure 3. The Input/Output Transfer Function, showing limits for 20 dB compression, 10 dB peak limiting, and 10 dB crest factor.\n\nthe function led's will remain extinguished. At $-15$ input level, the rms Compression led will light and will remain lighted as long as the level is above $-15$ but has not reached the point where any limiting action occurs. At $+15$ in, the output will be $+10$.\n\nNow, assuming you desire a limit on rms level, turn the Threshold switch counter-clockwise from its maximum position. At some level setting, $+6$ for example, the rms limit led begins flashing, indicating your rms level at this time is $+6$ dBm. If you want 3 dB more headroom, turn the switch to $+9$. Occasionally the rms Limit led will blink, indicating that the rms level has reached $+9$, and is being limited. Whenever the rms Limit led is lighted, the rms Compress led will be extinguished, as these functions are mutually exclusive. The two time constant controls (Attack and Release) are set to achieve the most audibly-satisfying control.\n\nAfter the setting of these four controls, you have complete control over rms operations, but have no peak control. If peak limiting is desired, gradually reduce the setting of the Crest Factor control. At some point, the Peak Limit led will begin blinking. If that point is a switch setting of 8 dB, it indicates that the peak amplitude is reaching $+17$ dBm ($+8$ added to the previously-set rms Threshold of $+9$). If this level of limiting is satisfactory, it may be left unchanged, and a certain well-defined sound will result, since the peak and rms level now share a definite ratio relationship. This relationship is preserved even as the rms Threshold control is varied—the peaks will always be limited 8 dB above the rms limit level.\n\nDuring our early listening tests, a distressing effect became evident. As the audio level rose and fell, and the function shifted from compression to limiting at the rotation point, the character of the audio changes due to the shift from an area of peak limiting to an area of no peak limiting.\n\nWhen this was discovered, a number of fixes were attempted, but the final solution came considerably later. A new control algorithm was devised, which develops a voltage related to the settings of both the Crest Factor and Ratio controls. As the signal leaves the area of limiting for the region of compression, a controlled amount of peak compression will occur, but this amount is gradually reduced as the signal amplitude is reduced. Transitions from one region to another are now accomplished smoothly, without change in the perceived crest factor.\n\nOne of the advantages of having all operations center around the Rotation Point is that adjustments in panel controls can quite-often be made with no apparent change in audio. If the audio signal is hovering around 0 dBm, a change in compression or limiting control settings will become apparent only as the input signal progresses into the areas where these functions are operative. It is never necessary to adjust one control to compensate for a change in another.\n\n**PROGRAMMING**\n\nAs the design progressed, a secondary benefit soon became obvious. Most control voltages generated were in the range of 0 to 3 VDC; ideal for interfacing to an Allison 65K programmer. Minor adjustments to the circuitry now provided the ability to completely program the functions and the breakpoints of the Gain Function Boards. A multi-pin connector on the rear of the control board provides a signal path to and from the Interface Module, where the programming functions are interpreted and controlled.\n\n**ADDING AN EXPANDER**\n\nSeveral prospective users of the finished system had expressed concern that an expander function had not been included. Luckily, the modular concept provided a means for remedying this. An external Expander/Gate Module processes audio and control signals from the GFBs and generates another control signal for the VCA. Individually-controllable functions include Operating Threshold, Ratio (or Slope), Range (amount of expansion) plus Attack and Release time controls.\n\n**METERING**\n\nAlthough much use of a device such as described here is based on the user's aural perception, it was felt that a significant improvement in flexibility could be provided if user-oriented readouts were included. Three distinct modes of display were:\n\n1. The four-led function display previously described.\n2. A real-time thirty-one element led moving dot display. Arranged in a row adjacent to the operating controls these led's display gain from $-20$ (limiting) to $+20$ dB (compression). Color coding provides an immediate approximation of the system gain with a speed great enough to catch limiting on short transients. The action of the panel controls is immediately obvious, even if no audible effect occurs.\n3. An analog meter, switchable to read gain in three independent modes—compress, limit, or limit memory. Either of the first two modes displays gain change over a 20 dB range, but on a peak-hold basis. For example, if the maximum compression in the last time increment is $+6$ dB, the meter will read $+6$ for up to twenty seconds (the time is user-adjustable). The limit memory mode holds the maximum amount of limiting for up to thirty minutes. After cutting a reference disc, the engineer can decide if more or less limiting is desired and either adjust the program level or the limit threshold control to provide the exact change required.\n\nIn the preceding, no mention has been made of metering to provide audio level indication, either incoming or outgoing, and with good reason. With level metering already available at most important points in any audio systems, the addition of a VU meter to this unit would be redundant.\n\n**EPILOGUE**\n\nThis writer, masquerading as an audio purist, dislikes limiters or compressors in his audio circuits. If music was meant to have its dynamic range squeezed to a dull-gray uniformity, musicians would play it that way. It shouldn't be, and so, they don't. So much for philosophy.\n\nThe pages of publications catering to audio enthusiasts are replete with letters to the editor, lambasting record companies for reducing the dynamic range of recordings to a mere 70 dB. (So we've noticed—Ed.) The discouraging truth is that dynamic range compression is not new; it is here to stay, and if we must be forced to live with it, we may as well make the best of it. For, without compression and limiting, whether done by manual gain-riding or by an automatic device, many recordings would be unplayable or unenjoyable.\n\nThe goal, therefore, was to develop in the DRC-200 a device that, under the control of an intelligent engineer, would produce a finished product satisfactory to both-production personnel and listener. Only time will tell if success has been achieved.\n\nAs a postscript, it should be noted that the unusual conceptual design of the gain control circuits, the rms and peak detectors, and the analog logic circuits were the product of the fertile mind of George Schlemmer, without whose tireless efforts the writer would look several years younger.\n\nXY Response Plotters For The Studio\n\nA \"picture\" of an audio system can serve as a handy reference aid—providing valuable hard-copy information.\n\nFrom the beginnings of civilization, men have used graphics to convey information, or to store it for later recall. As Almon Clegg reminded us last month, the expression, \"A picture is worth one thousand words,\" is still quite true. In fact, considering the complexity and volume of modern data, it may even be somewhat of an understatement. (See \"Three-Dimensional Analysis: It's About Space\" in our April issue—Ed.)\n\nFor the recording or broadcast engineer, a \"picture\" of the frequency response of an audio system is one of the most basic and valuable types of information available. In fact, often the picture may tell us quite a bit more about the system than merely its frequency response. Potential instability, phase characteristics, slew-rate limiting, and audible performance may be inferred or predicted, by carefully examining the overall shape of the response plot. For example; an otherwise-unexplainable peak at some high frequency may indicate system instability, an irregular frequency response may be symptomatic of a phase problem, and so on.\n\nXY PLOTTERS FOR PRO AUDIO\n\nWho needs XY plotting of audio signals? Certainly, laboratories and production test departments have found XY plotters and level recorders to be invaluable aids in the design of amplifiers, signal processors and transducers. But, in this era of high technology in recording studios, broadcasting, commercial sound, and hi-fi systems, the XY plotter can also perform valuable functions of verifying and/or documenting system or component performance—often with more simplicity and convenience than other measurement techniques.\n\nRECORDING STUDIO APPLICATIONS\n\nAn XY plotter can be extremely useful in recording studio maintenance. Response plots of all channels of a multi-track tape recorder or console can be on standard graph paper, in just a few minutes.\n\nMaintaining a file of these graphs, taken over a period of time, will alert the engineer to slowly-developing problems, before they become severe. Separate graphs of playback-only (using a standard test tape), and of record-playback, serve to verify the alignment technique of the technician, and the proper (or improper) adjustment of the tape recorder for the type of tape being used. The utilization of such an instrumentation system can also help reinforce the credibility, technical competence and reliability of both the studio equipment and the personnel.\n\nBROADCASTING\n\nBroadcasters are required to make, and document, annual \"proof-of-performance\" tests of their audio system quality, all the way from microphone input to the transmitter and antenna. A hard-copy XY plot of frequency-versus-amplitude is a simple, effective way to satisfy one important element of the \"proof\" report. And, once this instrumentation capability is available to the station, it can also be used to advantage during regular maintenance schedules, to generate permanent records of the performance characteristics of tape and cart machines, consoles, etc. By comparison of current and previous graphs, warning signs are documented, and costly down-time may be averted, while at the same time transmission quality is maintained. For example, tape head wear is a progressive defect that may go unnoticed until the program director or time salesman asks; \"How come WZZZ sounds so much brighter than we do?\"\n\nCOMMERCIAL SOUND AND HI-FI\n\nBoth the sound system installer and the hi-fi systems specialist will find the XY plotter a valuable checkout tool to verify their work, and the performance of system components. Perhaps more important—as a growing number of systems people are discovering—is the potential\n\nThe UREI model 200 Automatic Response Plotting System. The System consists of a mainframe, plus one of a series of plug-in modules. In the photo, the model 2020 DC Input Module is seen.\n\nBrad Plunkett is vice president, Engineering at UREI—United Recording Electronics Industries, Sun Valley, California.\n\nvalue of an XY plotting system as a sales tool. As impressed as a customer may be with the sound of your well-designed system, he will be all-the-more impressed with an actual \"hands-off\" response plot—especially if he watches you make it. This could even be the clincher for that big-buck hi-fi sale, as you graphically point out the superiority of a top-of-the-line tape recorder, by comparing it to the El Cheapo model.\n\nLater on, a reputation for quality service and good customer relations can be enhanced by supplying before-and-after response plots of the repaired audio system.\n\nA LITTLE HISTORY\n\nMachines for automatically plotting amplitude-versus-frequency have been available for many years. But they have seen little use outside of \"big-buck\" high-technology laboratories, due to high cost and generally complex operation. Until recently, this has left the small radio station, recording studio, sound contractor and audio component manufacturer in the dark ages of response measurement, using manually-tuned oscillators and a.c. voltmeters to make laborious point-by-point tests in order to assess the performance of a network, transducer or other audio system. In addition, a great deal of expensive and bulky test gear has been required to plot the response of a tape recorder or phonograph arm/cartridge system.\n\nIn 1975, UREI began experimenting with the development of an in-house XY plotter, in order to meet our own internal needs for a compact, accurate, and reasonably-priced system which would automatically produce hard-copy plots of frequency-versus-amplitude, specifically designed for our own professional audio applications. The early prototypes—crude ancestors of the present model 200/2000 system—were used in our engineering lab and production lines, to develop and test our other products. As we gained experience through usage, the system was refined through a series of evolutionary changes. These contributed greatly to meeting our design objectives:\n\n1. Accuracy and reliability.\n\n2. Ease of operation.\n3. Compact, modular configuration.\n4. Expandable functions.\n5. Cost-competitive with existing manual-instrumentation.\n\nA number of new concepts, including a \"slope-sense\" and \"smart\" pen-lift circuitry were incorporated, and in 1976 it was decided to make the 200/2000 system commercially available. At the time, the system consisted of a basic XY plotter mainframe, with a plug-in sine wave sweep generator and response-plotting module. Since then, additional accessory components have been developed, and others are in the planning stages. Presently, the complete system consists of the following parts;\n\n- XY plotter mainframe\n- Automatic response plotting module\n- Level and frequency detector module\n- D.C. input module\n- Oscilloscope display interface mainframe\n- Selected AKG 451 omnidirectional microphone\n- Microphone pre-amp/warble generator\n\nThese component parts can be combined into very powerful measurement systems, which can still be carried under one arm, allowing convenient use in recording studios, auditoria, etc.\n\nMAINFRAMES: The cornerstones of the system are the mainframes, which allow hard-copy plotting, or temporary oscilloscope display of response curves. The hard-copy mainframe (UREI model 200) is used where detailed permanent records are desired, as in most engineering work. The oscilloscope-interface mainframe (model 201) is used where permanence is not important, such as in production testing. Of course, the two mainframes may be used together to provide hard-copy only when it is required, as in production line deviations outside of established limits.\n\nTHE AUDIO-TO-XY INTERFACE\n\nThe standard XY recorder requires d.c. inputs, which are plotted along its X and Y axes. While this may be all that is required in the research laboratory, it doesn't offer...\n\nmuch promise in the studio, where we are more concerned with a.c. levels and frequency. Therefore, some sort of audio-to-XY interface system is required. Some variations in the interface system may be necessary, depending upon the particular audio application.\n\nThe following paragraphs describe a selection of plug-in modules, in order to give the reader a better understanding of the methods of applying the XY recorder to audio tests and measurements.\n\n**AUTOMATIC RESPONSE PLOTTING MODULE**\n\nA block diagram of this module is shown in Figure 1. Basically, it consists of a voltage-controlled, swept sine wave oscillator for generating test tones, and a rectifier/“decibel converter” for receiving signals from the device or system under test. The oscillator is sweepable by voltage control and includes an exponential converter, so that the frequency increase is at a constant ratio-per-unit time. In other words, during the automatic sweep, every unit of time represents the same number of octaves of frequency change. In linear form, the same control voltage is used to drive the horizontal axis of the display. This arrangement allows the use of standard 8½” x 11” audio graph paper, which is horizontally scaled logarithmically at about 0.9 inches-per-octave. This scaling produces the familiar bell shaped bandpass, or straight-line roll-off, curves with which we are familiar. Without this log scaling, the frequencies tend to “crunch up” at one end, producing distorted plots. Another way of looking at this is to say that one octave is “6 dB” of frequency, and the horizontal scale is frequency, laid out linearly, in decibels. (Enough of that!)\n\nThe vertical axis drive is derived from the signal received back from the device or environment being tested. After initial scaling with the input control, the received signal is rectified and logarithmically compressed to produce equal size decibels on the vertical axis. The “size” of decibels displayed on the vertical axis may be scaled by a front panel switch from 1 dB/inch to 10 dB/inch in four ranges. Centimeter scaling is also switch-selectable to allow the use of metric paper.\n\nThe large size of the display on the XY plotter allows\n\n---\n\n**You're in business with the most dependable complete professional sound system money can buy**\n\nGLI has the answer:\nA dramatic heavy-duty component sound system with crisp, clear power so sharp that it sounds like money well spent.\n\nGLI SA-2125 POWER AMPLIFIER\n\nThe model 201 Display Interface Mainframe is used for direct interface with oscilloscopes, or for applications where a standard laboratory XY recorder is already available. In the photo, the model 2010 module has been inserted in the mainframe.\n\nPlug-in modules for the model 200 Mainframe. On the left is the model 2000 Sine Wave Frequency Response Module. Next to it is the model 2010 Level and Frequency Detector.\n\nThe model 21 Warble Generator/Microphone Preamplifier.\n\nvertical resolution down to 0.05 dB, and horizontal (frequency) resolution to about 2 per cent. The specified accuracy is 1 per cent ± 2 Hz of indicated frequency, and 0.05 dB of the indicated amplitude on the 1 dB/inch scale. The sweep goes from 20 Hz to 20 kHz, with precise push-button-selectable calibration points at 20 Hz, 100 Hz, 1 kHz, and 10 kHz generated by internal circuitry. The vertical channel contains a 10 dB precision attenuator, which may be activated with a push-button switch to allow verification of the vertical scaling accuracy. Figure 2 shows a typical test set-up for measuring the response of an amplifier, equalizer, record-through-play response, etc. The figure shows the 2000 response module in a 2000 XY plotter mainframe, but it could just as well be in a 201 oscilloscope interface mainframe with the response indicated on the screen. (Semi-permanently, with a storage scope).\n\nSome of the less-common, but valuable, measurements that are possible are acoustical transmission characteristics of materials, and speaker impedance-versus-frequency. A typical impedance test set-up is shown in Figure 3.\n\nLEVEL AND FREQUENCY DETECTOR\n\nA different module (UREI 2010) should be used whenever a signal source already exists; such as test records, test tape or test films, remote-oscillator testing of phone lines, phono cartridge testing, etc. The level and frequency detector module is block-diagrammed in Figure 4. It is capable of receiving any coherent signal between 20 Hz and 20 kHz, measuring and displaying its frequency on the horizontal axis, and displaying its amplitude on the vertical axis. The vertical axis drive circuit is much like the one described above, in the 2000 module. It includes a frequency tracking \"rumble\" filter, which filters the input signal to eliminate turntable rumble or other low-frequency disturbances from the vertical signal. Without this filter, it would not be possible to measure high frequencies accurately from a test record, because of interference from low-frequency components. However, since the filter tracks with the received frequency (always maintaining a cut-off point approximately two octaves below the received frequency), rumble is accurately reproduced at the low frequencies. (At a received frequency of 20 Hz, the -3 dB point is 5 Hz.)\n\nHorizontal axis drive voltage is obtained from a frequency-to-voltage converter. This is capable of measuring frequency in the presence of noise, and over an amplitude range of more than 60 dB (the vertical scale length at 10 dB/inch). Sync signal is taken either from the input low-frequency filter, or from a front-panel connector. This allows measurement of crosstalk signals—the level of which might not be adequate to reliably operate the frequency detector circuitry. The sync signal is passed through a limiting amplifier, and then to the tracking band-pass filter. This band-pass filter is capable of centering on, and filtering, any signal from 20 Hz to 20 kHz, over a 70 dB or greater amplitude range. The output of the band-pass filter drives a pulse generator, which in turn feeds an integrating log converter. The output of the log converter drives the horizontal axis through a \"track and hold\" amplifier which ties in with the pen-lift circuitry.\n\nA very important part of the 2010 level and frequency module is the \"smart\" pen-lift feature. The pen-lift (and horizontal axis drive) are controlled by 3 separate detectors. If the synchronizing signal drops to a level too low to guarantee good operation of the frequency detector, the pen-lift is activated. If output from the pulse generator ceases or, if pulses are not coming often enough (indicating a frequency below 20 Hz), the pen is lifted. Finally, if the output of the log converter is not steady, indicating an input which is rapidly changing in frequency, the symmetry detector will operate, and lift the pen.\n\nThe purpose of these detection methods is to permit the use of the system with non-continuous inputs, such as spot-tones (even with voice announcements in-between) with no danger of \"scribbling\" on the graph. With a spot-tone test record or tape, the pen simply lifts during voice announcements, silence or lead-in, and drops only after a legitimate tone has satisfied all three criteria of detection.\n\nA precise (1 per cent) oscillator is included in the module, to facilitate horizontal-axis calibration, and a 10 dB precision attenuator allows verification of vertical calibration.\n\nIn use, the model 2010 is inserted in the 200 or 201 mainframe and receives signal from the device under test. A typical set-up is shown in Figure 5. When testing stereo separation-versus-frequency, the sync input receives the \"signal\" channel, while the channel to be measured for crosstalk is applied to the module's receive input. For normal response measurement, the sync is switched to...\n\nthe internal mode, and is therefore derived from the signal being measured.\n\n**D.C. INPUT MODULE MODEL 2020**\n\nThe 200 XY plotter mainframe is a modified Hewlett-Packard model 7015B Lab XY Recorder. As described earlier, the recorder is designed to produce displacements proportional to d.c. voltages at the X and Y axis inputs. The model 2020 D.C. input module has been designed to allow use of the system as a conventional XY recorder, for connection to any analyzer with d.c. analog outputs. Three ranges of sensitivity are provided: 0.1, 1.0 and 10 volts-per-inch on both axes. Remote pen-lift is also provided, which may be activated with a logic-low signal or a contact closure to ground.\n\n**MICROPHONE PREAMP/WARBLE GENERATOR MODEL 21**\n\nA quite old, and in the past difficult-to-use, acoustic measuring method involves the use of a \"warbled\" or frequency-modulated sine wave. When a sine wave is frequency-modulated, additional frequency components are generated around the carrier frequency. This spectrum spreading tends to break up standing wave patterns and produce a sort of spatial integration of resonant peaks and valleys. Early systems using warble techniques involved large, bulky, heterodyne oscillators, which required constant resetting of bandwidth when the test frequency was changed. Due to the set-up complexity, this type of analysis was replaced in large part by pink noise techniques. However, pink noise suffers from lack of resolution, and where narrow-band analysis is required in a reverberant environment, warble testing can be the answer. The width of the analysis window can be adjusted, simply by changing the width of frequency modulation. A typical warble-tone analysis of a good speaker system is shown in Figure 6, with a typical sine wave response of the same speaker system above it. The sine wave response simply tells you too much. However, the swept one-third octave warbled-sine wave still gives more information than would be obtained with noise and a one-third octave fixed-window analyzer. The test set-up is as in Figure 7. These plots were made with a model 2000 module and a model 21 mic preamp/warble generator, with a selected AKG 451 omnidirectional microphone.\n\nAs noted earlier, a picture is worth one thousand words. And, there's another old axiom—especially true in any recording or broadcast studio: \"time is money.\"\n\nA modern response plotting system is a typical example of how modern audio instrumentation technology can save the studio engineer both time and money, and also conveniently provide those thousand-word pictures.\n\n---\n\n**Amber 4400A: top studio performer.**\n\n**AMBER 4400A MULTIPURPOSE AUDIO TEST SET.** Designed for an industry where time is money, and maintaining top performance is essential. It saves you time by integrating virtually every test and measurement function you could need. It cuts setup time, and assures quality equal to or exceeding competitive equipment, but at a fraction of the cost.\n\nWith your oscilloscope, the Amber 4400A can plot the frequency response of a tape recorder or monitor system; measure the weighted noise of a console; plot the phase response of an equalizer or check the transient behaviour of a speaker; tune your room or measure the RT₆₀ of your studio. Optional interface lets you make hard copy plots with any XY recorder.\n\nThe Amber 4400A combines versatility with quality. It integrates sine, function, sweep, tone burst and noise generator; autoranging digital dBm meter and frequency counter; multimode filter; spectrum analyser; frequency response and phase response plotter.\n\nThe Amber 4400A lets you make sure your product is always at its best.\n\nAmber Electro Design Ltd.\n4810 Jean Talon West\nMontreal Canada H4P 2N5\nTelephone (514) 735-4105\n\nCircle 20 on Reader Service Card\n\nDoohickii Digitali\n\nA \"bit\" here, a \"bit\" there, digital signal processing is growing by leaps and bounds.\n\n“DIGITAL” IS A POPULAR word of late. When you asked the time of day ten years ago, you would have received a reply “half past 7.” Today you’re more likely to hear “7:28:57.” Digital data are easier to read, interpret, and remember than are equivalent analog data. One need not approximate the position of a watch hand, mentally correct for parallax, and then translate the data into a suitable format for the user.\n\nAlthough it may not be instantly obvious, the watch hand is capable of giving more accurate information than the digital readout! For instance, one could position a microscope over the hand and watch it sweeping along. A mark could be made on the dial, indicating that when the hand passed a specific point, the time was precisely 7:28:57 and 31/100 second. Of course, one rarely needs to know the time to such a high precision, but the point is that it is at least theoretically possible to determine the time to any degree of precision using the above technique, or modifications thereof. On the other hand (not the watch), once one has QUANTIZED, or given a precise numerical value to the time, there is simply no way to extract additional information from the number. It might be almost 7:28:58, or much closer to 7:28:56, and the clock-watcher would have nary a clue. Again, in this case it hardly matters. But let’s take our analogy into the world of signal processing.\n\nOne object of the recording art is to reproduce, as faithfully as possible, the input signal. While immense strides have been made in recent years, there are still flaws in the process. The primary flaws involve the introduction of noise into the signal chain. Every time a signal goes through a processing, recording, or reproducing step, a small amount of inaccuracy (noise) is introduced by the processor. Referring to our example, suppose the gears in the watch were a little worn and the hand moved in fits and starts: this “noise” limits the precision to which the actual time (or signal value) may be determined. As the number of processing steps increases (or as the watch, microscope, and observer all vibrate at different rates), it may well become impossible to determine the time (or the signal value) to the precision necessary. On the third hand, once the time has been quantized to a specific number, it is not readily subject to additional distortion by misreading or misunderstanding. There is much more difference between a “1” and a “2” then there is between a watch hand and a mark several micrometers apart. So, if one can quantize one’s signal before it is subject to noise and distortion-producing devices and procedures, one can recover it intact later. Of course, if this were all that were desired, there would be little need for companies specializing in digital manipulation of data and this article would be signed by different authors. Because it isn’t (signed by different authors, that is), you may infer that we’ll have something to say about what can be done with a signal once it’s in quantized form.\n\nSince we were talking about precision earlier, let’s consider what’s precise enough. The end-user of the quantized signal is an extremely complicated analog processor known as a human being (a “hey you” in some dialects). For audio signals, this is the limiting factor. Because there is a definite expense involved in improving the precision of our processing, it makes no sense to improve our capabilities significantly beyond the capability of the human to discern the difference. The precision of reproduction of an analog signal can generally be characterized by the term “signal-to-noise ratio.” This ratio, measured in decibels, indicates that, below a certain level (referred to the maximum level present), the signal assumes a (usually) random or meaningless value, and no further information can be extracted. The major degradations of signal-to-noise ratio are usually caused by transmission or storage channels, such as radio transmission, tape recording, or disc pressing. The advent of digital recording and videodiscs (which may include digitally-encoded audio data), will eventually eliminate the major causes of degradation. This leaves the minor causes to be dealt with. As was stated earlier, every analog processing step adds some noise. Digital processing generally does not. If there were no other reason for digital, this would be sufficient. However, there are many other reasons, chief among which is the following:\n\nDigital processing can routinely perform certain tasks which are difficult or impossible to perform with analog circuitry. This article will discuss some of the many possibilities.\n\nDELAY\n\nRemember delay? There have been so many articles on the digital delay line in recent years that it’s probably time to stop belaboring the process involved. Semiconductor memories and shift registers—rare beasties in the early\n\n'70's—are now so plentiful that almost every electronic device that can conceivably use them to advantage has one or more contained therein. Telephones that remember the last number dialed, television sets that remember which channel to turn on, and calculators that remember checkbook balances after being off for a week are a few examples that readily come to mind. Contravening inflation, the pricing of these components has decreased to the point where one can now purchase a delay line with 6.4 seconds of delay for little more than the price (and this in inflated dollars) of a 200 millisecond delay line of 1973! While the economics of delay remain essentially the same, wherein the amount of memory required is the product of the delay time and the frequency response, the price of memory continues to decline, to the point where a 6.4 second delay is practical and the price of shorter delay lines is buoyed principally by the cost of ancillary componentry, such as A/D and D/A converters, power supplies, and ever more by the complex, microprocessor and high-speed logic-intensive control circuitry.\n\nWe feel that we have pretty much exhausted the need for longer delay. The 6.4 second delay line was designed for broadcast obscenity policing. (See \"There Will Be a Short (Expletive Deleted) Delay\" in our September, 1978 issue—Ed.) Occasionally longer delays may be useful, such as for delaying network broadcasts for a few minutes to fit a particular format, but generally any further delays will have to be much longer, for archival storage. Since semiconductor memories lose their data when power is removed, it is unlikely that we will see people collecting Random Access Memories (RAMs) instead of records or tapes. Thus, at least in this one particular, digital processing will have to expand in other areas, such as quality and versatility.\n\nTo see where digital processing might be employed, let's look at some of the processing operations commonly performed during the recording/mixing process:\n\nThere are amplitude-related processes, such as compression, limiting, and noise-gating.\n\nThere are frequency-related processes, such as equalization and effects filtering.\n\nThere are time-related processes, such as automatic double-tracking, slap-echo, and artificial choruses.\n\nThere are multiple effects, such as flanging, which can be regarded as a time or frequency modification, and—most complicated of all—the simulation of room acoustics, using spring or plate devices, whose operation affects time, frequency and amplitude simultaneously.\n\nDevices to perform all of these processes are commercially available and work well. It's possible to synthesize any of them with appropriate digital circuitry, usually with a substantial increase in capability and versatility. In fact, it is a credit to the versatility of digital computation that all of the above effects can be achieved simply (or more accurately, very complicatedly) by shifting numbers around under the proper kind of control.\n\nA BYTE OF HISTORY\n\nThe techniques employed in digital signal processing (DSP from here on) are from a branch of mathematics known as \"numerical analysis,\" originally developed by the 16th and 17th century mathematicians LaPlace, Newton, Gauss, Napier, and others. The purpose then was to aid in the computation of the orbits of heavenly bodies. Fortunately for the development of mathematics, the data rate of the sky is quite low, and the results of the mathematical operations could be evaluated by hand and later by quite-complicated, but only mildly-effective, mechanical devices. The data or \"sampling\" rate of audio signals is of another magnitude. Far from being one, or a few, observations-per-night, audio theoretically requires 40,000 observations (or samples) per second, and practical considerations raise this number to about 50,000. When one considers that even the simplest digital application (such as attenuation, or multiplication by a number less than 1) requires 50,000 multiplications per second, and more complicated applications such as reverb synthesis can require millions of operations per second, it becomes obvious that pencil and paper won't do!\n\nOne fortunate simplification of what might appear to be an intractable problem is that only two basic operations are required for DSP. They are: addition and multiplication (Subtraction is mathematically equivalent to addition of a negative number, while division is equivalent to multiplication by a fraction). In fact, strictly speaking, even multiplication can be performed by repeated addition, so that conceptually DSP can be reduced to a rather long series of additions. The only other requirement is for storage. The input sample must be available, the output sample must be available, and—depending upon the processing being performed—anywhere from zero to many thousands of intermediate samples must be available, either sequentially or simultaneously. The problem of storage\n\nhas been solved historically (if ten years can be considered history) with shift registers, and more recently with RAMs. The problem of computation has been aggressively attacked and ground into the dust by hordes of semiconductor manufacturers, seeking to sell parts to the military and instrumentation segments of the industry. One of the most notably-successful is the TRW Corporation, which makes single integrated circuits capable of performing (are you ready?) 10 million multiplications of two 24-bit numbers per second! That's 16 million x 16 million x 10 million. If this fails to impress you, consider the following:\n\n1. The chip, even with the power off, is damn cute, and\n2. Despite the prodigious capability of such multipliers, it's not enough.\n\nSo complicated are real-world processes, such as reverb, that many characteristics cannot be synthesized, even with the computational capability alluded to above. Before we get to the difficult stuff, let's consider some readily achievable processes, such as compression and filtering.\n\n**ARCHITECTURE**\n\nOne cannot build a digital signal processor by throwing a multiplier and some RAMs into a pot, any more than one can build a console by stuffing some attenuators and VU meters into a hollowed-out control room. One must carefully plan the interconnection of the various components so that they may interact with each other in useful ways. One reason that there is such a profusion of delay lines nowadays is their architectural simplicity: a DDL is basically a series connection of processing elements, straight from the input to the output. In order to perform a series of numerical operations on a stream of digital words, there must be modes of interconnection between the processing element's inputs and outputs. For instance, consider a simple digital reverberation simulator, an effect performed analogically by feeding back the output of a DDL or tape machine to its input, through an attenuator. Achieving this digitally would require connecting the input of a multiplier to the output of a delay chain, and the output of the multiplier to one set of inputs of an adder. The other set of adder inputs would come from the original signal. The adder outputs would go to the delay chain input, and the system output could be picked off in parallel with the multiplier input.\n\nCarrying this just a bit further, assume it was also desired to use the same device as a digitally-controlled attenuator. It would be necessary to extract the output immediately following the multiplier, zero the delay, and suppress the feedback input to the adders. This type of switching is done frequently in the analog world with the infamous patch bay, which in itself can become almost impossibly complex during a mix. Contemplate if you will how it would be if each audio cable comprised the output of a 24-track tape machine (24 digital bits in parallel), and the entire patching arrangement had to be changed a million times per second! Digital circuits called multiplexers do this routinely. Processing other-than-switching signals and high-speed multiplication is best performed using the so-called \"bit slice\" microprocessor. These chips are individually not as versatile as the more common and much more familiar 8-bit MOS microprocessors, but they have three distinct and necessary advantages:\n\n1. They are much (typically ten times) faster. Without this capability, they could not operate in real time, and would thus be about as useless as conventional microprocessors for high-speed signal processing.\n\n2. They are expandable to any reasonable word width. The 8-bit width of the conventional micro is inadequate for more than telephone-quality audio. The bit slice can be 12, 16 or more bits wide at only a tiny speed penalty. The same accuracy can be achieved by a microprocessor only by using multiple instruction steps, almost inevitably causing an additional speed decrease of 3 to 10 times.\n\n3. The instruction set can be defined by the user. For instance, if it is necessary in step one to take the output of a delay and feed it to the multiplier input, and in step two to take the multiplier output and add it to the next delayed element, one can program single-step instructions to do precisely this. Again, this can be done by a microprocessor, but only in many steps for yet a further speed penalty on the order of 5.\n\nThus, it is obvious that although the common microprocessor is excellent for control functions of audio equipment, such as automation and remote control interfacing, it is woefully inadequate for actually working with the audio data itself. This will not remain true forever, by the way. The newer generation of 16-bit microprocessors will be able to perform reasonable amounts of processing by virtue of their larger word size, slightly faster speed, and expanded instruction set. Another interesting development is the INTEL announcement of a microprocessor designed specifically for digital signal processing. Unfortunately, preliminary information indicates that this will have only a 9-bit input word width and will thus only be marginally adequate for some professional audio applications. For the reasonable future the bit-slice processor seems like the most economical way to go. Incidentally, there is obviously much more to the subject of architecture than selecting processors and connecting them to delays and multipliers. There's just as obviously not nearly enough room in this article for even a beginning.\n\nNow that we've had a glimpse of how a digital processor might be put together, let's consider some applications. We mentioned compression and equalization earlier. We will also consider one of the more common digital processor applications; pitch changing.\n\n**DIGITAL COMPRESSION**\n\nCompression, limiting, gating or what-have-you, can be characterized simply: the amplitude of the signal is measured and the result of this measurement is used to modify\n\nthe amplitude of the signal. The electronic circuitry which accomplishes this effect normally comprises a rectifier (either peak or envelope, depending upon whether compression or limiting is desired) and a variable gain stage such as a lamp/photocell combination or a FET. As the signal level increases, the lamp gets brighter, the photocell resistance gets smaller, and the signal is attenuated. This normally is done in a closed loop, so that as the signal gets lower, the photocell gets less drive, and the signal is attenuated less. An advantage of this technique is that it is simple. Precise gain control circuitry is not necessary because the process employs a good deal of negative feedback. A more versatile but far more critical method is to employ a logarithmic detector and logarithmic gain control amplifier so that the output of the level detector can be applied with any gain and polarity to the level control circuit. This permits a continuous variation of the compression (or expansion) ratio, even to \"dynamic reversal,\" where a larger input signal is reduced in output below the level of a smaller one.\n\nA limitation of these devices is that they cannot handle pulsed waveforms gracefully. If the time constant is set for limiting so that a signal beyond a given amplitude must be instantaneously squished, implying an attack time of 1 to 100 microseconds, gain change is so rapid as to cause high levels of distortion. Slower time constants will let initial transients through. Although one solution frequently used is fast attack and slow decay, this isn't entirely satisfactory, as it can cause \"pumping\" on signals with sharp transients but otherwise non-uniform levels.\n\nAn ideal solution would be to combine several of the digital elements discussed earlier. The signal would first be applied to a delay, and would simultaneously be \"detected\" by looking at the input bit pattern to the delay line. Following the delay line would be a multiplier, whose second input would be a gain control signal derived from the input level \"detector.\" Both the detector and multiplier are inherently high-precision devices, and the time the signal spends going through the delay could be employed by using a computation unit to determine the proper gain profile for the output multiplier to apply to the delayed signal. A microprocessor might well be fast enough for this application, since it only has to deal with the signal envelope, not the signal itself. While this configuration is obviously not as economical as a simple analog one, the basic circuitry could handle multiple channels simultaneously.\n\nThus a single control section could compress, limit, or what-have-you a stereo or quad signal with almost the same facility as a mono one. There would be no problem with image shifting or gain mis-tracking, since level and delay are inherently controlled to an accuracy far beyond the limit of discernment.\n\nIn case the above seems simple and you're now wondering why there aren't bunches of these on the market, it's because the argument is simple but the realization is not. One of the major questions is exactly what form the gain control contour should take before, during, and after the transient reaches the multiplier. There is no one obvious answer and because \"pre-limiting\" simulates no natural phenomenon, almost any realization is likely to sound \"unnatural,\" which is frequently equated with \"bad,\" and may well be.\n\n**DIGITAL EQUALIZATION**\n\nAnother common studio operation is equalization or filtering. Confronted with a digital signal—nothing but a series of numbers—how can we perform an operation analogous to, say, analog low-pass filtering? Let's try an experiment: examine the following signal (sequence) 2, 9, 7, 5, 2, 6, 4, 8, 0.\n\n\n\nNote that the difference between consecutive samples ranges from 1 to 8. The larger inter-sample differences are indicative of a high frequency component. Using only the arithmetic operations of addition and multiplication, we would like to eliminate these high frequency components. So, let's play \"digital filter\": add the values of the first, second, and third samples, multiply the sum by one third, and record the result. Repeat this procedure for the second, third, and fourth samples, and so on. Your results should look something like this:\n\n6, 7, 4½, 4½, 4, 6, 4.\n\n**INTRODUCING THE ALGORITHM**\n\nNotice that the greatest difference is now only 2½. Those rapid variations in amplitude are gone. In fact, the signal has been low-pass filtered. We should note that this filtering was accomplished by a repeated sequence of elementary operations. Such a sequence, in the jargon of DSP, is called an algorithm. In this example each sample value was utilized in the computation of three output samples. This illustrates the requirement for storage in signal processing.\n\n**Figure 1** is a block diagram of how this algorithm might be implemented digitally. Three consecutive samples are added and the sum is multiplied by ⅓ at A. In practice, however, a more general and versatile form of this filter is employed (see **Figure 2**). If each of the three multipliers (A1, A2, A3) is set equal to ⅓, it should be evident that this filter is equivalent to the one shown in **Figure 1**. However, the structure of **Figure 2** is preferred, because it allows the individual tap multipliers, called coefficients, to be selected independently. The greater the number of taps employed, the more control one has over the characteristics of the filter. The name given to this class of tapped-delay filter is \"non-recursive, finite-impulse, linear-phase response.\" **Figure 3(A)** shows a first-order, non-recursive filter, while **Figure 3(B)** demonstrates the effect of varying the coefficient of the filter multiplier, A. Not surprisingly, a single tap doesn't result in impressive performance. However, if enough taps are used, and the coefficients are correctly chosen, any arbitrary frequency response may be realized. **Figure 4** is an example of the type of response possible using only 32 taps. Although the response is nifty, an awful lot of operations are required to obtain it. Take heart: there is a more-efficient method.\n\nIf the signal is fed back around the delay line, a more frequency-selective (higher Q) filter results. Once again, delay, addition and multiplication are all that are needed. As shown in **Figure 5**, the frequency response varies with the value of the feedback coefficient, B. The most-widely-used form of digital filter employs a combination of feedforward and feedback coefficients. This is an extremely versatile second-order structure analogous to the general-purpose analog second-order active filter. Examples of second-order analog and digital filters are shown in Figure 6. Higher-order filters are formed by cascading second-order sections in both analog and digital processors.\n\nBy now you are wondering \"Why go?\" to all this trouble, if you can do the same thing with a few op-amps. One reason is the precision of which digital circuitry is capable. Many analog filters require one per cent components—frequently difficult to obtain. But small fractional per cent precision is easy to obtain digitally, allowing many sections to be cascaded for sharp response. Digital filters are immune to temperature-induced drift, and their frequency response may be easily varied, simply by changing clock frequencies instead of changing a host of analog element values. Finally, it is usually possible to generate several filters from one set of hardware. Although studio filtering requirements are not usually as severe as those encountered in other disciplines, such as communications, the versatility and protean quality of the digital filter makes it a natural to replace parametrics and other equalizers, once the cost of the hardware is reduced by another order of magnitude.\n\n**PITCH CHANGE**\n\nOne increasingly-familiar effect is that of \"pitch change\"; a multiplication of every frequency component of the input signal by a constant. This constant defines the \"pitch ratio,\" which for most practical applications is between 0.5 and 2.0 (corresponding to an octave down and an octave up). The natural process most akin to pitch changing is \"doppler shift,\" in which pitch changes in a manner proportional to the relative velocities of the source and listener. Pitch change should not be confused with \"frequency shifting\"—an effect achieved quite easily by analog or digital means—which adds a fixed frequency to all components of the original signal. Frequency shifting (\"ring modulation\") creates disharmonies by the modification of the spacing between fundamental and harmonics. As an example, if the fundamental of the original signal is at 1000 Hz, the second harmonic would be 2000 Hz. Multiplying both frequencies by any constant preserves the relationships (i.e. a ratio of 1.1 gives 1100 and 2200 Hz.) Adding 100 Hz to both gives 1100 and 2100, which are no longer harmonically related.\n\nUsing digital techniques to change pitch can employ one of two general processes. The first is an analysis/synthesis process, in which the input signal is filtered into many very-close bands (using a digital filtering algorithm called the \"Fast Fourier Transform\"). After this analysis is performed, the filter characteristics are changed to perform the desired pitch shift and the inverse transform is applied. Unfortunately, even with the current state of the art, this is an expensive and time-consuming process, and we know of no hardware realization of such a device capable of operating in real-time. Another method takes advantage of the analogy to doppler shift: if the input signal is stored at one rate and read out at another rate, the pitch varies by an amount equal to the ratio of the two rates. This would be a 100 per cent-effective solution, but for the splicing problem. A moment's reflection will point out that, if a signal is read in at one rate and out at another, eventually one will run out of (or overlap) input! Anyway, it would be unsatisfactory for another reason—if an unlimited amount of signal were available, changing read-out rate would not only change pitch but would change tempo as well. For this reason, a technique of \"splicing\" is universally employed, in which certain segments of signal are deleted or overlapped electronically. This leads to yet another problem; \"splicing glitches.\" Real-world signals are extremely complex. Adding or subtracting time segments from music or speech can result (depending upon how it is done) in anything from extremely-annoying...\n\nThe reason it is so difficult to simulate a reverberant space digitally is the immense number of computations required to recreate the physical situation. A given room has at least four walls, a ceiling, and a floor. Let's say a pulse of sound is created in that room. A listener would hear the pulse, followed by its reflections from the various surfaces of the room. Each surface has its own reflection coefficient, which in turn is frequency-selective, depending upon the material covering the surface. Even this wouldn't be so bad, were it not for the problem that each reflection generates additional reflections from each of the room surfaces! In most rooms, the number of reflections becomes so high after several hundred milliseconds that an analytical attempt to simulate it becomes technologically impossible. At this point, psychoacoustics takes over, and the question becomes, \"What kind of digital simulation is sufficiently convincing so that the simulator can be manufactured at a less-than-prohibitive price?\" Several manufacturers have brought to market quite good-sounding units, and we can confidently predict that others are working on them. None of the good units are inexpensive, however, and it will be quite a while before we have \"echo-on-a-chip.\"\n\nIn this article we have summarized some of the possibilities of digital signal processing (and completely ignored digital recording, a probably-more-important subject). While we don't have the \"all-digital\" studio yet, it can be reasonably foreseen that before too long, all the components will be available to make one, so that the only analog elements remaining will be the microphone and the speaker. Since these are the primary limitations of the recording process at present, we anxiously await the development of a standard digital I/O bus for the human element.\n\n**Figure 6. Second-order filters**\n(A) An analog filter.\n(B) The digital equivalent.\n\nclicks and pops, to an almost-unnoticeable change. The way these glitches are handled is itself governed by an algorithm, which may be simple or complex, and effective or ineffective, not necessarily one in relation to the other! Complicating the problem is the fact that an algorithm which may work perfectly for one type of signal is completely ineffective on another. As digital circuitry becomes more complex, one can expect the handling of these splicing glitches to become more effective, but never perfect. One recent improvement in this field employs a bit-slice architecture to determine operational characteristics. The new Eventide Harmonizer contains (programmed-in-replaceable Read-Only Memory) two different splicing algorithms which are user-selectable. Taking advantage of recent developments in memory technology, the unit offers more delay, greater dynamic range, wider frequency response, and much greater control versatility for only a modest increase in price. Because of the extremely-high speed of the bit-slice processor, many decisions can be made during each sample period as to, for instance, the location, amplitude, and phase of the next signal sample. Other enhancements, such as stable control and readout of very small pitch ratios, are rendered possible.\n\n**REVERBERATION**\n\nPossibly the most difficult problem facing the DSP people is the simulation of natural reverberant spaces. It is possible to fill many articles this size with just a description of the problems. The \"solutions\" would fill volumes.\n\nDesigning a digital reverb is a very desirable end of DSP. Unlike, for instance, the analog equalizer, which sits merrily in its little cabinet and behaves in a convenient and tractable manner, the quality of a reverb unit frequently seems proportional to its physical size. Frequently, one of the best ways to simulate a reverberant room is to use (you guessed it), a dedicated reverberant room! In addition to the problem of size, mechanical reverbs are sensitive to shock and vibration.\n\nEqualizers For Professional Recording Applications\n\nEqualizers—\"three and four knob\" modules, graphic, or parametric—a survey of design characteristics.\n\nAt the current state-of-the-art, there are a number of practical techniques for achieving musically-useful equalization of audio program material. The state-of-the-art has changed greatly in the last twenty years: the old classical passive LC equalizers have given way to active devices, using transistors and integrated circuits. The advent of low-cost integrated circuit operational amplifiers, in particular, has resulted in a revolution in equalizer circuit design, and a dramatic improvement in the cost/performance ratio achievable.\n\nThe purpose of this article is to provide an overview of the different types of equalizers available today, and to clarify some of the important performance characteristics which can make or break an equalizer design. Hopefully, this information will help you determine which type of equalizer is the best one for your particular needs. We have tried to include enough basic material to inform the newcomer, and enough more-challenging material to provide some insight for the more experienced user.\n\nWe will be discussing four basic types of equalizers found in modern sound equipment: tone controls, \"three knob\" and \"four knob\" console equalizers, graphic equalizers, and parametric equalizers. Each equalizer function can be achieved electrically in various ways, each with associated compromises. Each technique has relative advantages and disadvantages in a given situation.\n\nBACK TO BASICS: TONE CONTROLS\n\nThe simplest form of equalizer found in professional use is the bass and treble tone control. While lack of flexibility and control limits usefulness, they have definite and often-unappreciated advantages over more elaborate equalizers.\n\nTypically, tone controls are \"shelving\" equalizers with a maximum slope of 6 dB-per-octave, and \"reciprocal\" characteristics. What do we mean, exactly?\n\nBy shelving, we mean that the frequency response of the equalizer has a shape similar to Figure 1. The gain of a treble control starts out at 0 dB at low frequencies. Then it starts to slope upwards (or downwards, depending on whether you are boosting or cutting). Finally, it reaches a new level at some higher frequency, and stays there. It doesn't slope downward (or upward) again—at least not until the frequency is outside the audible range. The curve shape resembles a shelf—thus, \"shelving.\"\n\nBecause the electrical network which produces this curve is \"first-order\" (has only one capacitor or one inductor), the maximum rate at which the voltage gain can change is to double (or halve) every time the frequency doubles—a 6 dB-per-octave slope. Higher-order networks (containing more than one capacitor or inductor, or combination thereof) can produce steeper slopes, and more complicated curves.\n\nOne advantage of a first-order (6 dB-per-octave) response is that it can't ring under any circumstances. Ringing occurs when some higher-order networks are hit with transients. The transient forces the network to produce a tone, which may decay slowly or rapidly, depending on the degree of \"damping\" or the \"Q.\" This tone can cause nasty coloration of speech or music.\n\nFinally, our tone control is reciprocal. This means that if we take two identical tone controls, connect them in series, and adjust one for a given amount of boost and the other for the same amount of cut, that the overall frequency response is flat, and square waves are not degraded by passage through both tone controls. The effect of the second control has entirely nullified the effect of the first.\n\nReciprocal curves are highly desirable in equalizers without adjustable bandwidth, because they permit an engineer to \"undo\" equalization that he may have performed when a track was originally cut. However, as we'll see later, reciprocal curves may not always be desirable.\n\nRobert Orban is chief engineer at Orban Associates, Inc., San Francisco, California.\n\nTHE HARD FACTS ABOUT RINGING, PHASE, AND FREQUENCY RESPONSE\n\nIt is often heard in the studio that such-and-such equalizer sounds bad because it has phase shift or ringing. The subject is often treated like black magic. The truth is very simple: with one qualification (below), knowledge of either an equalizer's phase response, square wave response, or frequency response uniquely determines the other two characteristics. Therefore, if an equalizer is ringy, it means that the frequency response is excessively peaky, and that there is a rapid change in the phase response around the peak. Any other equalizer with the same frequency response will have the same phase shift and the same amount of ringing.\n\nThere are two qualifiers. First, the frequency response outside the audible range can have substantial effect on the phase shift and ringing inside the audible range. Just looking at one section of the frequency response isn't enough. Second, the equalizer must be \"minimum phase.\" This is of little practical importance, since practically every equalizer is minimum phase, just because minimum phase circuits are simplest and least costly.\n\nIn general, it can be said that the ear is far more sensitive to the frequency response than to phase response, so that the shape of the frequency response curves that an equalizer produces are of paramount importance in determining its musical utility.\n\n\"THREE KNOB\" AND \"FOUR KNOB\" CONSOLE EQUALIZERS\n\nThe next most complex equalizers found in contemporary studio practice are so-called \"three knob\" and \"four knob\" equalizers. These equalizers, true to their name, have either three or four sections of equalization. The highest and lowest frequency ranges are often switchable between shelving and peaking response.\n\nA peaking response is produced by a second-order network, and is generally the most musically-useful equalizer response because it is capable of far more selectivity over the frequency range it affects when compared to a first-order shelving equalizer. But this selectivity is not without its drawbacks. If too much selectivity (too narrow a bandwidth) is attempted, the equalizer will ring, and can introduce bizarre and highly unpleasant coloration into the signal. Therefore, the peaking equalizer must be used with more care and taste than the shelving equalizer. In addition, if the bandwidth is not user-adjustable, then the manufacturer must be trusted to provide musically useful characteristics at all degrees of boost or cut. Too often, the same circuitry used to produce reciprocal curves also results in an increasingly sharply peaked frequency response, as equalization is increased towards maximum boost. This can make large peak boosts musically intolerable. This tends to be less of a problem in those \"three-knob\" etc. equalizers which employ stepped switches to determine the amount of peak or boost, and more of a problem in those equalizers with continuously-variable adjustment. In addition, nearly all such equalizers provide switches in several of the equalization sections to vary the frequency at which the maximum equalization occurs. This switching is in discrete steps. The shape of the equalization curve usually stays constant as these switches are operated, and varies only in frequency.\n\nCertain \"three-knob\" equalizers also provide switchable lowpass and highpass filters. These filters sharply discriminate between frequencies in the \"passband\" (perhaps 100 Hz to 8 kHz), and frequencies in the \"stopband\" (perhaps above 8 kHz or below 100 Hz), rolling off stopband frequencies at a rate of 12 dB-per-octave or greater. They are useful for noise reduction in cases where the dominant frequency of a sound being recorded lies in the passband, and interence exists in the stopband.\n\nGRAPHIC EQUALIZERS\n\nA graphic equalizer provides a series of peaking equalizers whose center frequencies are equally spaced according to musical intervals. Therefore, an \"octave band\" graphic equalizer might have eleven equalization controls spaced at octave intervals: 20, 40, 80, 160, 320, 640, 1.25k, 5k, 10k, and 20 kHz for example. The equalization controls for the various bands are usually linear slide controls, and are arranged side-by-side. Therefore, the physical positions of the controls gives a rough approximation of the actual frequency response of the overall equalizer—thus \"graphic.\"\n\nNote that we said rough. The graphic's controls are almost invariably reciprocal, and graphic equalizers seem particularly prone to the problem of excess ringing due to narrow bandwidth, when large amounts of peak boost are used. While it is possible to minimize this sort of behavior by careful design, the most inexpensive graphic equalizer circuits are particularly prone to it. The practical result is that it is not possible, with many graphics, to obtain broadband boosts of more than 6-7 dB. Beyond this, the responses of the individual equalizers which must be boosted in tandem to obtain the broadband response begin to peak excessively, and the curve becomes uneven (\"rippy\"), eventually becoming intolerably colored and ringy.\n\nGraphic equalizers are manufactured commercially with bandwidths as wide as two octaves, and as narrow as one-third octave. Octave-wide bandwidths seem most accepted.\n\nFigure 2. (A) A set of frequency response curves for a constant-Q equalizer with a Q of 0.29. Note that the affected portion of the frequency spectrum is greatest at the maximum-boost position, and continuously decreases as the equalization is moved towards maximum cut. This characteristic tends to produce an equalization effect whose tolerability to the ear remains relatively constant as the amount of boost/cut is varied. (B) The equalizer's square-wave output for a 12 dB boost. Note that the very low Q of 0.29 produces a very large overshoot, and that it takes a relatively long time for the overshoot to decay to the final level. However, no ringing is present.\n\nFigure 3. (A) A set of frequency response curves for a constant-Q equalizer with a Q of 0.5. (B) The equalizer's square-wave output for a 12 dB boost. Note that the overshoot decays much faster than in Figure 2(B), but there is still no ringing. (C) With a Q of 1.0, the overshoot again decreases, but now ringing is visible. However, it is rapidly damped out, and would not tend to be audible.\n\nFigure 4. (A) A set of frequency response curves for a constant-Q equalizer with a Q of 3.2. Curves with such a narrow bandwidth tend to cause objectionable coloration when used in the boost mode, and are useful only for special effects, such as telephone filters or simulation of old-time recordings. However, in the cut (or \"notch\") mode, such curves are useful for filtering out hum, camera whine, etc., with negligible effect on the overall sound quality.\n\n(B) The equalizer's square wave output for a 12 dB boost. Again, the overshoot is decreased, but the ringing takes a much longer time to damp out, and would tend to be audible in the boost mode.\n\ndamped out. As the \"Q\" increases beyond 0.5, the ringing hangs on for more and more cycles and becomes narrower and narrower. At $Q=0.5$, the circuit no longer rings, and is said to be \"critically damped.\" As the \"Q\" goes below 0.5, the bandwidth continues to increase, with no ringing. The shape of the peaking curve approaches a flat top with skirts falling at 6 dB-per-octave—like a pair of tone control shelving responses.\n\nPARAMETRIC EQUALIZERS\n\nIn general, the term \"Parametric Equalizer\" means what an individual manufacturer wants it to mean. It tends to imply that the center frequency is continuously adjustable, rather than switchable in steps. Some control over the bandwidth or \"Q\" is provided, although some manufacturers provide only two discrete choices of bandwidth, rather than making the bandwidth continuously variable. Finally, the amount of boost or cut is usually continuously variable, rather than stepped. Some parametric equalizers provide independent and non-interacting control over all three parameters. It can be shown that in order to provide constant \"Q\" as the equalization control is varied, that the peaking and dipping curves are not reciprocal. However, because the curves are all second-order, reciprocal curves are easily generated by readjusting the bandwidth control, if such curves are desired.\n\nThe \"constant Q\" characteristic in both peaking and dipping modes is prompted by musical and practical considerations. The reciprocal circuit most often used increases the \"Q\" as the amount of boost is increased. Therefore, equalization extremes become extremely colored and ringy. In contrast, if the \"Q\" of the equalizer remains constant, it reduces or eliminates the need to readjust the bandwidth control as equalization is increased.\n\nThe constant \"Q\" characteristic has several other advantages. First, it is possible to provide an infinite depth notch, which is invaluable in removing interference of fixed pitch, such as hum or camera sprocket noise. Second, the utility of the infinite depth notch is augmented by the fact that the constant \"Q\" characteristic results in wider peaking curves than dipping curves, thus permitting a notch to be introduced with negligible effect on most sound passed through the equalizer. On the other hand, the widest bandwidth (minimum \"Q\") results in very gentle, totally the time it takes for the ringing to damp out.\n\n(C) The square-wave output for a 5 dB boost. The ringing damps out much faster, indicating that the Q has been lowered. While the ringing seen in Figure 5(B) would tend to be audibly offensive, the curve in this figure would probably be acceptable.\n\nnon-ringing peak equalization, which can be as subtle and innocuous as simple tone controls, with the added advantage of continuously variable control over the frequency at which the control begins to act. Attempts to get the same effect with a graphic equalizer are doomed to failure, as the graphic equalizer's simulation of the curve consists of a large number of higher-\"Q,\" ringy peaks.\n\nOrban prefers to use a series connection of its parametric equalization sections—each section is cascaded with the next. Most graphics use a parallel connection. Parallel connections raise the possibility of interaction between adjacent bands because of phase additions and cancellations around the skirts of the individual bands' curves. In the series connection, such interactions are totally absent: the total equalization is simply the sum (in dB) of the equalization contributed to each of the sections.\n\nThe parametric is highly useful in sound reinforcement work, as the notches can be exactly tuned to the desired frequencies to suppress feedback. A useful variation is the use of a dual-channel parametric equalizer with both sections cascaded: one section providing broadband equalization to correct the \"sound\" of the system, and the other section providing narrowband notches to suppress feedback.\n\nQUASI-PARAMETRIC EQUALIZERS\n\nThe Quasi-Parametric equalizer, like the true parametric, provides control over bandwidth, center frequency, and amount of peak or dip. However, unlike the true parametric, in quasi-parametrics, these parameters can interact. In particular, changing the tuning and/or changing the amount of peak or dip will also cause a change in the \"Q.\" Orban quasi-parametric equalizers provide reciprocal curves which are carefully controlled so that the \"Q\" does not change in \"peak\" mode (although as it must, the \"Q\" does change in \"dip\" mode).\n\nThe reason for providing quasi-parametric characteristics is simple—they are considerably less costly to provide than true parametric characteristics. The user trades the convenience of true parametric operation for substantially lower cost per channel of equalization. Also, because the user still has control over all three parameters, he can eventually obtain the same curves and same flexibility as with a true parametric—he just has to work harder. The only exception to this is that infinite-depth notches are not available because of the reciprocal characteristics.\n\nDesigning A Notch Filter With A Programmable Calculator\n\nWith a little help from his HP-67 calculator, Dr. Hayes shows us how to design a notch filter.\n\nWhen it becomes necessary to null out some undesired frequency, it's hard to beat the standard bridged-T notch filter. Stray pickup on long phone lines often brings with it some strange hums, buzzes and whistles. By using a filter such as illustrated in Figure 1, any single frequency can be pretty-well notched out of the audio spectrum.\n\nThe conditions for the null are: $2X_C = X_L$ and\n\n$$R = \\frac{X_L Q}{4}$$\n\n$X_C =$ the capacitive reactance of each capacitor.\n$X_L =$ the inductive reactance of the coil.\n$Q =$ the Q of the coil.\n\nHowever, since the user normally asks for a null at a specific frequency, and the coil is the hardest component to find at a specific value, the problem is usually to find out what values of $R$ & $C$ will make a null network with whatever coil is at hand. For this state of affairs, the design formulas are:\n\n$$C = \\frac{1}{2\\pi^2 f^2 L} \\text{ and } R = \\frac{\\pi f L Q}{2}$$\n\nNow, since $Q = \\frac{2\\pi f L}{R_L}$, therefore, $R = \\frac{(\\pi f L)^2}{R_L}$\n\nC, L, and R are in farads, henries, and ohms, while $R_L$ is the d.c. resistance of the coil, also measured in ohms. These relationships lend themselves readily to implementing on a programmable pocket calculator, which makes the task of identifying which of a series of available inductors comes up with the most practical values of R and C in a given case. It would take several minutes to make each calculation by hand, and less than five seconds for each one on the calculator.\n\nTable 1 is a 51-step program which has been written for the Hewlett-Packard HP-67 calculator. It can be stored on a recorded magnetic card, so as to be readily available any time a bridged-T filter design is required.\n\nFigure 1. The bridged-T Notch Filter. One of the simplest, and still one of the best, ways to introduce a null into a pass-band.\n\nAlbert E. Hayes, Jr., is a consulting engineer in Fullerton, California.\n\nTable I—The program for the bridged-T notch filter, run on an HP-67 programmable calculator. It can be slightly condensed for use on the HP-25 by eliminating steps 014, 030 and 045, which are included for programming convenience only.\n\n| Step | Command | Description |\n|------|---------|-------------|\n| 001 | f LBL A | enter first input (=f) |\n| 002 | STO 1 | store f in register 1 |\n| 003 | h RTN | continue program—stand by to |\n| 004 | f LBL B | enter next input (=L) |\n| 005 | STO 2 | store L in 2 |\n| 006 | h RTN | continue program—standby to |\n| 007 | f LBL C | enter next input (=R_L) |\n| 008 | STO 3 | store R_L in 3 |\n| 009 | h SF 3 | set flag (see text) |\n| 010 | E | skip to 015, or, |\n| 011 | f LBL D | enter next input (=Q) |\n| 012 | h CF 3 | clear flag (see text) |\n| 013 | STO 4 | store Q in 4 |\n| 014 | E | |\n| 015 | f LBL E | continue program |\n| 016 | RCL 1 | recall 1 (=f) |\n| 017 | g X^2 | square f (=f^2) |\n| 018 | h π | enter π |\n| 019 | g X^2 | square π (=π^2) |\n| 020 | × | multiply f^2 by π^2 |\n| 021 | 2 | enter 2 |\n| 022 | × | multiply f^2π^2 by 2 |\n| 023 | RCL 2 | recall 2 (=L) |\n| 024 | × | multiply 2f^2π^2 by L |\n| 025 | h 1/X | 1/2f^2π^2 |\n| 026 | EEX | see text |\n| 027 | 6 | |\n| 028 | × | |\n| 029 | DSP 4 | |\n| 030 | STO 5 | |\n| 031 | R/S | |\n| 032 | RCL 2 | recall 2 (=L) |\n| 033 | h π | enter π |\n| 034 | × | multiply L by π |\n| 035 | RCL 1 | recall 1 (=f) |\n| 036 | × | multiply Lπ by f (i.e., πfL) |\n| 037 | h F? 3 | is Flag 3 set? If no, then skip 038 |\n| 038 | GTO 1 | go to LBL 1 (@ 047) |\n| 039 | RCL 4 | recall 4 (=Q) |\n| 040 | × | multiply πfL by Q |\n| 041 | 2 | enter 2 |\n| 042 | ÷ | πfLQ/2 (=R) |\n| 043 | LBL 2 | |\n| 044 | DSP 1 | display R |\n| 045 | STO 6 | store R in 6 |\n| 046 | R/S | run/stop |\n| 047 | LBL 1 | πfL |\n| 048 | g X^2 | (πfL)^2 |\n| 049 | RCL 3 | recall 3 (=R_L) |\n| 050 | ÷ | (πfL)^2/R_L (=R) |\n| 051 | GTO 2 | go to 043 and display R |\n\nProgram that a value for R_L has been entered. On the other hand, if the Q of the coil is known, 011-014 stores this value in register 4. In this case, 012 “clears” Flag 3, to indicate that the formula using Q (rather than the one involving R_L), will be used to calculate R.\n\nSteps 015-025 solve \\( C = \\frac{1}{2\\pi^2f^2L} \\)\n\n026-031 convert C to microfarads, set the display to show a four-decimal-place value, and halt the calculation to display the desired value of C.\n\n032-036 calculate the value of \\( \\pi fL \\) (actually, \\( L\\pi f \\)), which is used as part of the computation of R. 037 tests to see if Flag 3 is set or cleared, to make a determination as to which formula for R will be used. If the flag is set, 038 directs the program to branch to 047-050, where we calculate\n\n\\[ R = \\frac{(\\pi fL)^2}{R_L} \\]\n\nThe program then returns this value to 043 for display. However, if the check at 037 had shown that the flag was not set, the calculator would skip over 038, and then 039-042 would calculate the value of R from the formula;\n\n\\[ R = \\frac{\\pi fLQ}{2} \\]\n\nIn either case, 044-046 sets and displays the value of R to one decimal place.\n\nIt should be noted that normally either R_L or Q will be known, but not both. If both values do happen to be known, the chances are that the value of Q will have been measured in the audio range, and the use of Q (rather than R_L, which can be measured with an ohmmeter) will yield a slightly-deeper null.\n\nAs an illustration of the program, it is desired to null out an interfering signal of 1020 Hz. A 0.088 toroid coil with a d.c. resistance of 15 ohms happens to be lying about. What values of C and R will we need to fashion the notch filter?\n\nAfter entering the pre-recorded magnetic card containing the program, the notch frequency is entered as 1020, A. Next, the inductance is entered as .088, B. The coil resistance is 15, C. At this point, the answer, 0.5533 (microfarads) is displayed. Since this is not an unreasonable\n\n**Figure 2. A parallel-T Notch Filter—no inductors required.**\n\n\\[ R = \\sqrt{2R_{GEN}R_L} \\]\n\n\\[ C = \\frac{1}{2\\pi fR} \\]\n\nvalue for a capacitor, the value of $R$ is computed by pressing R/S. The resultant display is 5301.2 (ohms)—also not an unreasonable value. Obviously, no 5301.2-ohm resistor is going to be available, but it's usually no problem to get close enough to the required value with two stock resistors in series.\n\n**FILTERING WITHOUT COILS**\n\nNo inductors in sight? Then with a basketful of resistors and capacitors in hand, we can re-design the notch filter, as shown in Figure 2. In the illustration, $R_{GEN}$ is the source resistance of the interfering signal—say, a 600-ohm phone line—and $R_L$ is the load into which we're working, which is a 72-ohm video modulation input terminal. The frequency of the offending tone again turns out to be 1020 Hz, and we want to come up with the proper $R$ and $C$ values to clean up the signal.\n\nThe program is given in Table II—this time without explanatory remarks in the table. Try deciphering it yourself before reading the program analysis.\n\n**Table II—The program for calculating $R$ and $C$ for the parallel-T notch filter shown in Figure 2.**\n\n| Step | Operation |\n|------|-----------|\n| 001 | f LBL A |\n| 002 | 2 |\n| 003 | × |\n| 004 | h π |\n| 005 | × |\n| 006 | STO 1 |\n| 007 | h RTN |\n| 008 | f LBL B |\n| 009 | h RTN |\n| 010 | f LBL C |\n| 011 | h RTN |\n| 012 | f LBL D |\n| 013 | × |\n| 014 | 2 |\n| 015 | × |\n| 016 | f √X |\n| 017 | DSP 1 |\n| 018 | R/S |\n| 019 | f LBL E |\n| 020 | RCL 1 |\n| 021 | × |\n| 022 | h 1/X |\n| 023 | EEX |\n| 024 | 6 |\n| 025 | × |\n| 026 | DSP 4 |\n| 027 | R/S |\n\n**PROGRAM ANALYSIS**\n\nAs in the earlier program, we begin by keying in the offending frequency, followed by the letter, A. Steps 002-006 multiply $f$ by $2\\pi$, and store this value in register 1. Step 007 instructs the calculator to continue the program. Now, we enter the values of $R_{GEN}$ (600, B) and $R_L$ (72, C).\n\nSo far, no operations have taken place, but the two resistance values are stacked in the input registers of the calculator. To initiate the calculation of the value of $R$ required for the notch filter, we press D, and at step 013, the calculator multiplies $R_{GEN}$ by $R_L$. In steps 014-018, this product is multiplied by 2, the square root is found, and the calculator displays the calculated value of $R$, rounded-off to one decimal point. The correct answer is 293.9 ohms.\n\nAfter noting the value of $R$, we initiate the calculation of the capacitance by pressing E. This brings us to 020, where the value of $2\\pi f$ is recalled. Next, this is multiplied by the value of $R$ that we recently calculated (293.9 ohms). Now, the reciprocal is found ($1/2\\pi f R$) and this value is multiplied by $10^6$ to convert from farads to microfarads. By now, the calculator (and hopefully, the reader), is at 026, where the value of $C$ is displayed to four decimal places. The display should read 0.5308 (microfarads).\n\nIn assembling the notch filter, take care to note that the shunt capacitance is about 1.06 microfarads, and the series capacitors are about 0.53 microfarads each. The series resistors can be selected from stock values in the 5-percent range (say, 300 ohms) and the 147-ohm value needed for the shunt resistance should be found in a batch of 150-ohm units.\n\nAltec Lansing International\n1515 South Manchester Avenue\nAnaheim, California 92803\n(714) 774-2900\nEqualizer, Limiter, Delay Systems\n\nAshley Audio\n1099 Jay Street\nRochester, New York 14611\n(716) 328-9560\nLimiters\nEqualizers, Compressor/Limiter\n\nAudio & Design Recording\nP.O. Box 902\nMarina, California 93933\n(408) 372-9036\nEqualizers, Compressor/Limiter,\nNoise Filter, Expander\n\nAudio Machinery\nSound Workshop Professional Audio Products, Inc. (Distributor)\n1324 Motor Parkway\nHauppauge, New York 11787\n(516) 582-6210\nDigital Signal Processing System\n\nAutomated Processes, Inc.\n790 Park Avenue\nHuntington, New York 11743\n(516) 427-6024\nEqualizers, Compressor/Limiter\n\nBode Sound Co.\n1344 Abington Place\nNorth Tonawanda, New York 14120\n(716) 692-1670\nVocoder, Feedback Stabilizer\n\nBogen\nP.O. Box 500\nParamus, New Jersey 07652\n(201) 343-5700\nEqualizers\n\nCrown International\n1718 West Mishawaka Road\nElkhart, Indiana 46514\n(219) 294-5571\nEqualizer\n\ndbx, Incorporated\n71 Chapel Street\nNewton, Massachusetts 02195\n(617) 964-3210\nNoise Reduction, Compressor/Limiter\n\nDeltaLab Research, Inc.\n25 Drum Hill Road\nChelmsford, Massachusetts 01824\n(617) 453-7551\nDigital Delay Systems\n\nDolby Laboratories, Inc.\n731 Sansome Street\nSan Francisco, California 94111\n(415) 392-0300\nNoise Reduction Units\n\nDukane Corporation\n2900 Dukane Drive\nSt. Charles, Illinois 60174\n(312) 584-2300\nDynamic Range Limiter\n\nDynacord Electronics, Inc.\nP.O. Box 26 038\nPhiladelphia, Pennsylvania 19128\n(215) 482-4992\nDigital Delay System\n\nEMT\nGotham Audio Corp. (Distributor)\n741 Washington Street\nNew York, New York 10014\n(212) 741-7411\nReverberation Units,\nLimiter/Compressor/Expander Units\n\nEventide Clockworks, Inc.\n265 West 54th Street\nNew York, New York 10019\n(212) 581-9290\nDigital Delay Systems\n\nFurman Sound, Inc.\n616 Canal Street\nSan Rafael, California 94901\n(415) 456-6766\nEqualizer\n\nHell Sound System\n2 Hell Industrial Boulevard\nMarissa, Illinois 62257\n(618) 295-3000\nEqualizer\n\nIndustrial Research Products, Inc.\n321 Bond Street\nElk Grove Village, Illinois 60007\n(312) 439-3600\nDigital Delay Systems\n\nInovonics, Inc.\n503-B Vandell Way\nCampbell, California 95008\n(408) 374-8300\nBroadcast Processors\n(A.G.C./Compressor/Limiter),\nStudio Compressor/Limiter,\nNoise Reduction Unit\n\nIntersound, Inc.\nBox 1864\nBoulder, Colorado 80306\n(303) 443-5050\nEqualizer-Reverb Unit\n\nKLH Burwen Research, Inc.\n145 University Avenue\nWestwood, Massachusetts 02090\n(617) 326-8000\nDynamic Noise Filter\n\nKlark-Teknik\nHammond Industries, Inc.\n155 Michael Drive\nSyosset, New York 11791\n(516) 364-1900\nAnalogue Time Processor,\nDigital Time Processor\n\nLexicon, Inc.\n60 Turner Street\nWaltham, Massachusetts 02154\n(617) 891-6790\nDigital Delay Systems\n\nLoft Modular Devices, Inc.\n91 Elm Street\nManchester, Connecticut 06040\n(203) 646-7806\nDelay Line/Flanger\n\nMicmix Audio Products, Inc.\n2995 Ladybird Lane\nDallas, Texas 75220\n(214) 352-3811\nDelay Line/Flanger\n\nModular Audio Products\n50 Orville Drive\nAirport International Plaza\nBohemia, New York 11716\n(516) 567-9620\nEqualizer Module\n\nMusimafic\n4187 Glenwood Road\nDecatur, Georgia 30032\n(404) 289-5159\nEqualizer\n\nNeptune Electronics, Inc.\n934 N.E. 25th Avenue\nPortland, Oregon 97232\n(503) 232-4445\nEqualizer\n\nOpamp Labs, Inc.\n1033 North Sycamore Avenue\nLos Angeles, California 90038\n(213) 934-3566\nReverberation System\n\nOrban Associates, Inc.\n645 Bryant Street\nSan Francisco, California 94107\n(415) 957-1067\nTelex: TLX 17-1480\nReverberation Unit, Limiter/\nCompressor, Dynamic Sibilance\nController, Equalizers, Stereo\nSynthesizer\n\nParasound, Inc.\n680 Beach Street\nSan Francisco, California 94109\n(415) 673-4544\nEqualizers\n\nQuad/Eight Electronics\n11929 Vose Street\nNorth Hollywood, California 91605\n(213) 764-1516\nReverberation Unit,\nCompressor, Noise Gate\n\nRauland-Borg Corporation\n3535 West Addison Street\nChicago, Illinois 60618\n(312) 267-1300\nEqualizers, Tunable Notch Filter\n\nSennheiser Electronic Corporation\n10 West 37th Street\nNew York, New York 10018\n(212) 239-0190\nVocoder\n\nShure Brothers Incorporated\n222 Hartrey Avenue\nEvanston, Illinois 60204\n(312) 866-2200\nEqualizer\n\nSoundcraftsmen, Inc.\n2200 South Ritchey\nSanta Ana, California 92705\n(714) 556-6191\nEqualizers\n\nSpectra Sonics\n3750 Airport Road\nOgden, Utah 84403\n(801) 392-7531\nCompressor/Limiter System\n\nTeac Corporation of America\n7733 Telegraph Road\nMontebello, California 90640\n(213) 726-0303\nEqualizer\n\nTechnics\n1 Panasonic Way\nSecaucus, NJ 07094\n(201) 348-7000\nEqualizer\n\nUnited Recording Electronics\nIndustries (UREI)\n8460 San Fernando Road\nSun Valley, California 91352\n(213) 767-1000\nP.A. Processing Systems, Equalizer.\nCompressor/Limiter, Filter Set,\nDelay Line\n\nWhite Instruments, Inc.\nP.O. Box 698\nAustin, Texas 78767\n(512) 892-0752\nEqualizers\n\nClosing date is the fifteenth of the second month preceding the date of issue.\nSend copies to: Classified Ad Dept.\ndb THE SOUND ENGINEERING MAGAZINE\n1120 Old Country Road, Plainview, New York 11803\n\nMinimum order accepted $10.00.\nRates: 50¢ a word.\nBoxed Ads: $25.00 per column inch.\ndb Box Number: $1.00 per issue.\n\nFrequency Discounts: 3 times, 10%; 6 times, 20%; 12 times, 33%.\n\nALL CLASSIFIED ADS MUST BE PREPAID.\n\nFOR SALE\n\nMCI JH 428 PROFESSIONAL recording console. Excellent condition, fully operational, 3 years old, 28 x 24 with quad. & stereo outputs, light meters, full patch bay and power supplies. $25,000. For more information write:\nConsole, P.O. Box 3015, Washington, D.C. 20010. Or call (202) 347-1420.\n\nBEST PRICE ON TEAC, Tascam, Ampex, Sennheiser, Allison, Eventide, Sound Workshop, UREI, BGW, Electro-Voice, JBL and more. Paul Kadal's Home and Commercial Audio, Baton Rouge, Louisiana (504) 924-1006.\n\nMCI 24 TRACK with 16 track heads. Well maintained work horse—reasonable M. Guthrie (212) 581-6505.\n\n12½ in. NAB 0.050 in. ALUMINUM FLANGES. This new item in stock for immediate delivery. For prices, call or write, RECORDS RESERVE CORP., 56 Harvester Ave., Batavia, N.Y. 14020. (716) 343-2600.\n\nMODERN RECORDING TECHNIQUE, by Robert E. Runstein. The only book covering all aspects of multi-track pop music recording from microphones through disc cutting. For engineers, producers, and musicians. $10.50 prepaid. Robert E. Runstein, 1105 Massachusetts Ave., #4E, Cambridge, Mass. 02138.\n\nAMPEX TAPE. Factory fresh, quality inspected. ¼-inch and wide widths. We ship around the world. Techniarts, 8555 Fenton Street, Silver Spring, MD 20910. (301) 585-1118.\n\nSPECK 800D CONSOLE; 16 in; 16 out; 16 mon; 2 cues; 2 echo's; parametric EQ; stereo solo; console/prod. desk; $5,500.00. Jay Sound, 4300 Watertown Rd., Maple Plain, MN 55359. (612) 475-3151.\n\nJFET TUBE REPLACEMENTS for first playback stages in most Ampex Professional audio tape recorders/reproducers available from VIF International, Box 1555, Mountain View, CA 94042. (408) 739-9740.\n\nMCI-JH 16-RECORDER, with autolocator, 8-track heads, vari-speed, mint condition, best offer over $12,500.00. 16-channels dbx-157, $2,500.00. Call: (201) 359-5520.\n\nTAPCO and Electro-Voice: mixers, equalizers, amps, mics, and raw loudspeakers. Write or call for low mail order prices. Sonix Co., P.O. Box 58, Indian Head, Md. 20640. (301) 753-6432.\n\nFREE CATALOG & AUDIO APPLICATIONS\nCONSOLES\nKITS & WIRED AMPLIFIERS\nMIC. EQ. AC LINE, TAPE/DISC POWER\nOSCILLATORS\nAUDIO TAPE BIAS POWER SUPPLIES\n1033 N. STYCAMORE AVE\nLOS ANGELES, CA. 90038\n(213) 934-3600\n\nTHE LIBRARY . . . Sound effects recorded in STEREO using Dolby throughout. Over 350 effects on ten discs. $100.00. Write The Library, P.O. Box 18145, Denver, Colo. 80218.\n\nSONY DXC-1200 color video camera. Like new with tripod. Call Bill (419) 385-4724.\n\nPROFESSIONAL AUDIO COMPONENTS: AKG mics; Badap 1; Crown; dbx; Delta Lab; Eventide; Frazier; Gauss; GLI; Ivie; Malatchi; MasterRoom; Nagra; Neumann mics; Orban; Otari; Pentagon; RTR; Sennheiser mics; Switchcraft; Tascam; Uni-Sync; and UREI. These products are on demo in our showroom and in stock for immediate delivery. Our shipping is insured and prepaid. Barclay Recording & Electronics, 233 E. Lancaster Ave., Wynnewood, Pa. 19096. (215) 667-3048 or 649-2965.\n\n1,200 FIDELIPAC tape carts, 40 second—10½ minutes. $1,000 for lot, or $100 per 100. Dan Brennan (205) 870-9900.\n\nNAB ALUMINUM FLANGES. We manufacture 8\", 10½\", and 14\". Also large flanges and special reels to order. Stock delivery of assembly screws & nuts & most aluminum audio, video, & computer reels. For pricing, call or write Records Reserve Corp., 55 Harvester Ave., Batavia, N.Y. 14020. (716) 343-2600.\n\nSCULLY 1-INCH 8-track—great machine—went 16—Wells Sound, 2038 Pasket, Houston, TX 77092. (713) 688-8067.\n\nSCULLY 280-8 . . . 8 track reel-to-reel recorder/playback, one inch tape, in console with remote syncmaster panel. Good condition. Need to sell. Dan Brennan (205) 870-9900.\n\nWANTED RECORDING EQUIPMENT OF ALL AGES AND VARIETIES microphones, outboard gear, consoles, tape decks, etc. Dan Alexander 6026 Bernhard Richmond, Ca. 94805 USA (415) 232-7933 or (415) 232-7818\n\nCANADIANS! SEMI-PRO MULTITRACK RECORDING HEADQUARTERS FOR TEAC/Tascam, Soundcraft, Sennheiser, Bryston, Altec, Lexicon, dbx, Bi Amp, Beyer, JBL, Ashly, ElectroVoice, many more. Check Our Prices Before You Buy Richard's Music Shop, Inc. 6078 Sherbrooke W. Montreal, Canada H4A 1Y1 (514) 487-9911\n\nAMPEX AND NAGRA TAPE RECORDERS: ART-100, ATR-700 stocked. Laboratory alignment, calibration, and quality assurance. Washington's most experienced professional audio dealer. Techniarts, 8555 Fenton Street, Silver Spring, MD 20910. (301) 585-1118.\n\n3M-M 79, MINT condition, 8 track—used less than 6 months total. $10,000. Including 15 rolls new 206-1\" on reels. (203) 322-5778.\n\nAPI CONSOLE 16 input, 8 bus 8 direct, adapted full 16 track monitoring, 24 faders, separate monitor mix, 2 cue sends, 4 echo sends, jack field, 16 VU meters. 3M model M56 track recorder/reproducer with Auto Locator both in very good condition $25,000. Pat Costa (617) 685-1832.\n\nREELS AND BOXES 5\" and 7\" large and small hubs; heavy duty white boxes. W-M Sales, 1118 Dula Circle, Duncanville, Texas 75116. (214) 296-2773.\n\nTASCAM MODEL 10 input & output modules. Inputs $160.00, Outputs $110.00. Jay Sound, 4300 Watertown Rd., Maple Plain, MN. (612) 475-3151.\n\nAMPEX, OTARI & SCULLY recorders in stock for immediate delivery; new and rebuilt. RCI, 8550 2nd Ave., Silver Spring, MD 20910. Write for complete product list.\n\nUREI TIME ALIGNED MONITOR SPEAKERS, a significant advancement in reproduction technology, may be auditioned in our demonstration studios. Techniarts, 8555 Fenton Street, Silver Spring, MD 20910. (301) 585-1118.\n\nAMPEX, SCULLY, OTARI, all major professional audio lines. Top dollar trade-ins. 15 minutes George Washington Bridge. Professional Audio Video Corporation, 384 Grand St., Paterson, N.J. 07505. (201) 523-3333.\n\nSTOP GETTING ZAPPED! Phillips transient voltage protector has nano-second response time, rated 30,000 watts within 1 microsecond per plug-in cell, resets automatically, includes neon pilot indicator. No varistors—will not age! $38.00 each, quantity discounts available. Thousands installed nationwide. Fultec-Transvolt Inc. 4672 Nisqually Rd., Jackson, MS 39206. (601) 362-5489, or 948-2474.\n\nUSED STUDER CONSOLE FOR SALE Model 189-080 Swiss made like a fine watch—a steal at $20,000 complete & in perfect condition. Steve (212) 765-2005\n\nSOUND LEVEL METER and analyzer, General Radio Precision Type 1933 with ½-inch microphone. (201) 540-8811.\n\nFOR SALE: ELECTRODYNE Model 1608C console, 20 inputs, 16 track monitoring, many gold records made on this console. Available immediately, $14,500. Also, Ampex AG350 2 track in console, $1,500. Spare parts also available. Condor Recording Studios, 143 51st Street, New York, NY 10019. Tel. (212) 581-3674.\n\nTEST RECORD for equalizing stereo systems; Helps you sell equalizers and installation services; Pink noise in ½ octave bands, type QR-2011-1 @ $20. Used with various B&K Sound Level Meters. B&K Instruments, Inc., 5111 W. 164th St., Cleveland, Ohio 44142.\n\nSPECTRA SONICS CUSTOM P.A./Prod. console, 16 in. quad/stereo/mono out; separate sub/mix, mix section. 3 Quad pans, 2 F.B., cost over 20K new. Exc. Cond., Perfect for school, church, performing arts, production studio. 13K or offer. Call Michael (602) 267-0653 days.\n\nWANTED\n\nWANTED: Recording equipment of all ages and variety; Neumann mics, EMT, etc. Dan Alexander, 6026 Bernhard. Richmond, Ca. 94805. (415) 232-7933.\n\nWANTED: YAMAHA PM 1000 mixing consoles, any condition. Sennheiser 421 and 441 microphones. Call Jim at (914) 633-8556.\n\nEMPLOYMENT\n\nAUDIO ELECTRONICS ENGINEER. Install, service electronic music studio, other audio equipment, Ampex and Scully recorders. Training, experience in voltage-controlled, digital units, interest in R&D. Send resume to Professor Semegen, Music Dept., SUNY at Stony Brook, Long Island, NY 11794. AA/EEO.\n\nINSTRUCTION\n\nSHORT INTENSIVE SUMMER courses in recording techniques, electronics, electronic music, jazz improvisation, contemporary song writing, popular and jazz harmony, musical instrument repair and instrumental workshops in saxophone, clarinet, flute, trombone, and percussion, with Allard, Oberbrunner, Rascher, Goebel, Purcell and Strohman. Write or call Frank Stachow, Summer Workshops. (717) 857-4411 Ext. 275, Lebanon Valley College, Annville, Pennsylvania 17003.\n\nBUSINESS OPPORTUNITIES\n\nFOR LEASE: Denver recording studio, 6,000 square feet; two control rooms . . . \"live\" chamber. Attractive offices . . . ample parking. Centrally located near downtown. Plus equipment for sale: Audio Designs board . . . mint; two ampx, 440 B mono machines; two 3M, M64 2-track machines; assorted speakers, amplifiers, etc. Write or call . . .\n\nFred Arthur Productions, Ltd., 1218 E. 18th Ave., Denver, CO 80218. (303) 832-2664.\n\n24 TRACK STUDIO closing out. Everything goes. MCI 24 channel console, MCI 24 track recorder, MCI-Scully recorders, AKG/EMT reverbs, Neumann, Sennheiser, Shure, etc. Mics., Limiters, Amps, Speakers, 9-foot Steinway, Yamaha CS 80. Phone (214) 651-9982.\n\nSERVICES\n\nAMPEX SERVICE COMPANY: Complete factory service and parts for Ampex equipment; professional audio; one-inch helical scan video systems; video closed circuit cameras; instrumentation; consumer audio; professional audio motor and head assembly rebuilding. Service available at 2201 Lunt Ave., Elk Grove Village, IL 60007; 500 Rodier Dr., Glendale, CA 91201; 75 Commerce Way, Hackensack, NJ 07601.\n\nACOUSTIC CONSULTATION — Specializing in studios, control rooms, discos. Qualified personnel, reasonable rates. Acoustilog, Bruel & Kjaer, HP, Tektronix, Ivie equipment calibrated on premises. Reverberation timer and RTA rentals. Acoustilog, 19 Mercer Street, New York, NY 10013. (212) 925-1385.\n\nPARTS-SERVICE, Akai, Ampex, Professional & Consumer, Dokorder, Pioneer, Tandberg, Teac, etc. Electronic Engineers, Inc., 1639 West Evergreen Ave., Chicago, IL 60622. (312) 227-2600.\n\nMAGNETIC HEAD relapping—24 hour service. Replacement heads for professional recorders. IEM, 350 N. Eric Dr., Palatine, IL 60067. (312) 358-4622.\n\nCUTTERHEAD REPAIR SERVICE for all models Westrex, HAECO, Grampian. Modifications done on Westrex. Avoid costly down time; 3-day turnaround upon receipt. Send for free brochure: International Cutterhead Repair, 194 Kings Ct., Teaneck, N.J. 07666. (201) 837-1289.\n\nSPECIALISTS IN THIELE cabinet designs & conical exponential horns; tour systems, permanent installations using Electro-Voice, BGW, White, dbx, Soundcraft, Harrison, Otarí, David Clark, DeltaLab, Lexicon, Sennheiser, Sony and Wireworks components. Contact: Engineering and Sales Group, Star Tech Sound, Inc., (609) 779-7887.\n\nLake Placid 1980.\nOur only home advantage will be your support.\n\nWithout your help, we can't afford to win.\n\nMake check payable to U.S. Olympic Committee,\nP.O. Box 1980-P, Cathedral Station, Boston, MA 02118\n\nName ____________________________________________\nAddress _________________________________________\nCity _____________________________________________\nState ___________________ Zip _________________\n\nPlease send me the symbol of support checked below.\n☐ Belt Buckle ($10) ☐ Winter Games Tote Bag ($25)\n☐ Ski Cap ($25) ☐ Bookends ($50)\n\nYour contribution is tax deductible.\n\nBenjamin B. Bauer, former vice president and general manager of the CBS Technology Center, Stamford, Conn., died of a heart attack in Stamford Hospital on Saturday, March 31, 1979. He was 65 years old. A towering figure in the audio and acoustics fields, he had remained a consultant to CBS following his retirement in July 1978, after 21 years of service.\n\nMr. Bauer's first invention came shortly after his graduation from college in 1937. It was the single-transducer cardioid dynamic, or directional, microphone whose acoustical phase-shift principle is, to this day, used almost universally in commercial microphones for broadcasting and public address systems. At that time a novice development engineer for Shure Brothers, Inc., manufacturers of microphones and phonograph pickups in Evanston, Illinois, he was to become Shure's director of engineering and vice president before joining CBS Inc. in 1957 where he assumed responsibility for audio technology development at the then-CBS Laboratories in Stamford, Conn.\n\nMany contributions in the ensuing four decades followed Mr. Bauer's landmark 1938 microphone invention, spanning a broad range of technology disciplines. He was awarded 75 U.S. patents. Foreign patents swelled the total to more than a hundred. His long list of achievements included microphones created for acoustical measurements, pistophoners, heartbeat measurements, hearing aids, public address systems, broadcasting, sound ranging, and civilian and military communications; headphones and artificial voice and ear devices; loudspeakers and loudspeaker enclosures; vibration measuring instruments; stereophonic test records and transducers for phonograph recording and reproduction; magnetic recording heads and transports; directional hydrophones and hydrophone calibrators; devices for automatic level control in broadcasting; psychoacoustic research related to the measurement of loudness and to directional hearing in air and underwater; and techniques and instrumentation for reproducing and broadcasting quadraphony.\n\nMr. Bauer was born in Odessa, Russia, in 1913, and spent his youth in Cuba. Coming to the U.S. in 1930, he earned a degree in Industrial Engineering from Pratt Institute, in New York City, before attending the University of Cincinnati, where, in 1937, he received his electrical engineering degree. Postgraduate studies included physics, mathematics, and acoustics at Chicago and Northwestern Universities.\n\nDedicated to learning and scientific education, Mr. Bauer authored nearly 100 technical papers, lectured widely in this country and abroad, contributed to textbooks on acoustical subjects, was technical editor and publisher of a textbook, \"Acquisition, Reduction and Analysis of Acoustical Data,\" for the U.S. Navy, and was visiting professor of Engineering Acoustics at Pennsylvania State University.\n\nHe was elected to the National Academy of Engineering in 1974, and was a member of the Naval Studies Board of the National Academy of Science. He was a Fellow of the Institute of Electrical and Electronic Engineers (IEEE), of the Acoustical Society of America (ASA), and of the Audio Engineering Society (AES). He was an Honorary Member of the latter organization, as well as a past president and recipient of its Gold Medal Award. In 1977, the Acoustical Society presented Mr. Bauer with its Silver Medal in Acoustics, only the third scientist so honored, \"for his contributions to engineering acoustics, particularly in the development of techniques and devices used to pick up, record, and reproduce sound.\"\n\nRecently, in March, 1979, Mr. Bauer had been inducted into L'Ordre de Chevalerie de L'Etoile de la Paix—a chevalier of the Order of the Knights of the Star of Peace—an international nondenominational organization founded in 1229 and dedicated to peace and which recognizes heads of state and leaders in the fields of government, international relations, diplomacy, the arts, and sciences.\n\nWe saw Ben this past March in Brussels at the AES convention and chatted with him about new editorial contributions that will now never come. We at db Magazine have lost more than a contributor; Ben was a friend whose generosity and warmth we shall miss.\n\nMIDAS 1979 extend the possibilities\n\nMidas design philosophy has provided high quality signal processing in a compact and rugged frame of innovative modular design, making the PR system the choice of professionals.\n\n24 into 6/2 PCA controlled Theatre Sound Reinforcement Console providing six separate pre-set mixes with integral cross-fade and remote automation interface facilities, another example of PR System versatility.\n\nHow can MIDAS experience benefit you?\n\nBacked by extensive research into advanced technology components plus thorough understanding and analysis of over 350 consoles sold in the last seven years, the PR System has come of age.\n\nMIDAS AUDIO SYSTEMS LTD., DUDU SOHRI, 34-36 STATHORPE STREET, LONDON NW1 3PX, UK. 01-388 7060. OI-487 7659\nMIDAS AUDIO CORPORATION, 808 STRIGGINS, 240 MAIN STREET, TIGERAR FALLS, NEW YORK 14470, USA. Tel: 716-382-4100\nMIDAS CANADA, PARK PIMBROKE, GERR ELECTRO-ACOUSTICS, 565 RODRICK STREET, TORONTO M5B 2R9, ONTARIO, CANADA. Tel: 416-848-0538\n\nSee us in May at the LA AES exhibition\n\nCircle 11 on Reader Service Card\n\nWait till the Word gets out.\n\nFor the Artist in Every Engineer\n\nQuad/Eight Electronics\nQuad/Eight International, 11929 Vose Street, North Hollywood, California 91608 (213) 764-1516 Telex 582-446\n\nCircle 12 on Reader Service Card\nwww.americanradiohistory.com"}}},{"rowIdx":204888,"cells":{"text":{"kind":"string","value":"1. 6:30 P.M. Parkland-Spanaway-Midland LUAC Study Session\n\n Documents:\n\n 2-7-18 PSMAC Study Session Agenda.pdf\n\n2. PSMAC Handout - Attachment E\n\n Documents:\n\n 2-7-18 meeting draft.docx\n\n3. PSMAC Handout - Attachment E (1/10/18 Version)\n\n Documents:\n\n 1-10-18 Meeting Draft.docx\n\n4. PSMAC Handout - Identified Policy Issues\n\n Documents:\n\n PSMAC Identified Policy Issues.docx\n\n5. PSMAC Handout - Resource Use Categories\n\n Documents:\n\n Resource Use Categories.pdf\n\nPARKLAND-SPANAWAY-MIDLAND LAND USE ADVISORY COMMISSION AGENDA\n\nFebruary 7, 2018, 6:30 p.m.\n\nSE Tacoma Community Center, 1614-99th St. E., Tacoma\n\nSTUDY SESSION\nParkland-Spanaway-Midland Community Plan Review\n\nPublic comment is limited to 3 minutes per speaker. If possible, please have a spokesperson for people with similar views.\n\nThe Parkland-Spanaway-Midland Land Use Advisory Commission (PSMAC) will conduct a study session to continue review of the draft Parkland-Spanaway-Midland Communities Plan policies, and discuss outstanding update topics.\n\nStaff contact: Tiffany O’Dell, firstname.lastname@example.org\n\nPlease Note: Topics on the agenda that are not fully covered during this Study Session may be continued to the next study session.\n\nFor more information, please visit the Pierce County Community Plan Update web page, www.piercecountywa.org/CPupdate\n\nThe public is welcome to attend.\n\nAttachment E: Parkland-Spanaway-Midland Update Summary\n\n2/7/18 Draft – use draft from 1/31/18 meeting to complete land use discussion, and use this draft to complete review of other policies.\n\nCultural Resources Policies\n\nGOAL PSM CR-1 In the alteration of existing buildings and construction of new buildings, the following principles should be followed:\n\nPSM CR-.1 Adhere to historic front property setbacks;\n\nPSM CR-.2 Install awnings and canopies that are compatible to the historic character of the district; and\n\nPSM CR-.3 Use exterior materials and designs that are compatible with nearby historic structures.\n\nGOAL PSM CR-2 Explore opportunities for forming a historic district program.\n\nGOAL PSM CR-3 Encourage property owners and developers to conduct a structural engineering assessment of buildings to determine the structural deficiencies before rehabilitation activities begin on designated historic properties.\n\nPSM CR-.1 Pierce County and private sector interests shall investigate the feasibility of establishing a financial revolving loan program dedicated to structural engineering analyses and implementation of recommended structural repairs.\n\nGOAL PSM CR-4 Encourage productive and economically attractive uses of historic buildings.\n\nPSM CR-.1 Encourage private investment to renovate commercial buildings.\n\nPSM CR-.2 Through public and private efforts, obtain recognition, financial assistance, and technical assistance for historic properties currently on historic registers and those which have been identified as having potential historic significance to the communities.\n\nGOAL PSM CR-5 Conserve and interpret the heritage of the Parkland, Spanaway, and Midland communities so that their citizens can be aware of connections with the past.\n\nPSM CR-.1 Promote use of features that reflect characteristics of Parkland, Spanaway, or Midland's history in the architectural and site designs of commercial, industrial, civic, and residential developments.\n\nPSM CR-.2 Pierce County should establish a task force to look at historic signage.\n\nNOTES\n\n24 Address issue: restructure and rewrite section\n\n25 Address issue: specify if language is geared toward registered historic structures or just older structures. Include list of registered if specific to those. Address concerns with existing character if they aren’t appealing but historic.\n\nDesign and Character Policies\n\nGoals\n\nEnsure a high quality visual environment through design, guidelines, standards, and procedures for architectural, site, and landscape design in all public and private development.\n\nThe intent of the policies contained within the Community Plan is to provide design concepts and policies which will direct future development creates, reinforces, or preserves the character and sense of place in Parkland and Midland.\n\nGateways\n\nGOAL PSM D-1 Create identifiable boundaries, entries, and gateways for Parkland-Spanaway-Midland so that residents, workers, and visitors know they are entering the community.\n\nPSM D-.1 Pierce County shall work with the Washington State Department of Transportation (WSDOT) to develop planting plans distinctive to Parkland, Spanaway, and Midland for SR 7 and SR 512.\n\nPSM D-.2 Pierce County shall develop planting plans distinctive to Parkland, Spanaway, and Midland along major County routes entering the communities and neighborhoods within the communities.\n\nPSM D-.3 Recognized entries consisting of tree plantings, signage, or public art shall be established at the following locations to create a gateway effect into the communities and neighborhoods within the communities.27\n\nMidland:\n\nN: Portland Avenue E. at 72nd Street E.;\nN: Golden Given Road E. at 72nd Street E.;\nE: 80th Street E. at 22nd Avenue Court E.;27\nE: 85th Street E. at the 2200 block;27\nE: 104th Street E. at 22nd Avenue E.;27\nW: 80th Street E. at McKinley Avenue E.;27\nW: 85th Street E. at McKinley Avenue E.;\nW: 96th Street E. at McKinley Avenue E.;\nW: 99th Street E. at Pacific Avenue;\nS: Golden Given Road E. at the north edge of SR 512; and\nS: Portland Avenue E. at the north edge of SR 512.\n\nParkland:\n\nN: Pacific Avenue at 99th Street S.;\nN: Yakima Avenue S. at 96th Street S.;\\textsuperscript{27}\nN: Ainsworth Avenue S. at 96th Street S.;\\textsuperscript{27}\nN: Steele Street S. at 96th Street S.;\nN: Waller Road E. at Brookdale Road E.;\nN: Golden Given Road E. at Brookdale Road E.;\\textsuperscript{27}\nE: 99th Street S. at Pacific Avenue;\\textsuperscript{27}\nE: 108th Street S. at A Street (the west-bound Pacific Avenue off-ramp of SR 512);\\textsuperscript{27}\nE: 112th Street E. at Golden Given Road E.;\nE: 128th Street E. at Golden Given Road E.;\\textsuperscript{27}\nE: Brookdale Road E. at Golden Given Road E.;\\textsuperscript{27}\nW: 96th Street S. at the east edge of Interstate 5;\\textsuperscript{27}\nW: 102nd Street S. at Sales Road S.;\\textsuperscript{27}\nW: Sales Road/108th Street S. at Steele Street S.;\\textsuperscript{27}\nW: 112th Street S. at Steele Street S.;\nW: Steele Street S. at 23rd Avenue S.;\\textsuperscript{27}\nS: Spanaway Loop Road S. at Military Rd.; and\nS: Pacific Avenue at 152nd/Military Road.\n\nSpanaway:\\textsuperscript{28}\n\nN: Spanaway Loop Road S. at 152nd/Military Road;\nN: Pacific Avenue at 152nd/Military Road;\nN: Waller Road (south side) at Brookdale Road E.;\nE: 152nd Street E. at 27th Avenue E.;\nE: 160th Street E. at the 2600 block;\nE: 176th Street E. at the 2600 block;\nE: 192nd Street E. at 22nd Avenue E.;\nE: 208th Street E. at 22nd Avenue E.;\nW: Old Military Road at the McChord East Gate;\nS: SR 507 at Pacific Avenue/Mountain Highway; and\nS: Mountain Highway at 22nd Avenue E.\n\nGOAL PSM D-2 Streetscape improvement plans shall address the following topics: public and private landscaping, sidewalk and crosswalk improvements, street furniture, signage, utility placement, funding sources, development priorities, etc.\n\nGOAL PSM D-3 Create a clearly defined entry into the Garfield Street Activity Center, Garfield Street, and Pacific Lutheran University (PLU) from Pacific Avenue, Park Avenue, and C Street through signage, landscaping, paving, and street furniture.\n\nPSM D-1 Pierce County shall work with PLU to meld university functions into the broader Garfield Street Activity Center and broader neighborhood.\n\nPSM D-2 Pierce County shall work with PLU, the business community, the surrounding Parkland community, Pierce Transit, and the WSDOT to develop a streetscape improvement plan for the Garfield Street Activity Center.\n\nGOAL PSM D-4 Through signage, landscaping, paving, and street furniture, create a clearly defined entry into the 176th Street Community Center from Pacific Avenue, Spanaway Loop Road/176th Street, and potentially the Cross Base Highway.\n\nPSM D-1 Pierce County shall work with the business community, the surrounding Spanaway community, Pierce Transit, and the WSDOT to develop a streetscape improvement plan for the 176th Street Community Center.\n\nGOAL PSM D-5 Pierce County shall work with the developers of the approved Hidden Village Shopping Center to develop a project that is pedestrian-oriented in design and includes uses that encourage customers to stroll from business to business.\n\nPSM D-1 Create a clearly defined entry into the 8th Avenue Community Center from 8th Avenue and Mountain Highway through signage, landscaping, paving, and street furniture.\n\nPSM D-2 Pierce County shall work with the developers of the Hidden Village shopping center, the general business community, the surrounding Spanaway community, Pierce Transit, and the WSDOT to develop a streetscape improvement plan for the 8th Avenue Community Center.\n\nPSM D-3 The streetscape plan developed for the 8th Avenue Community Center shall be coordinated with the streetscape plan for the Mixed Use District located across Mountain Highway to the west.\n\nPSM D-4 Pierce County Planning and Land Services shall work with the corridor business communities, the surrounding residential communities, Pierce County Public Works and Utilities, Pierce Transit, and the WSDOT to develop a streetscape improvement plan for the MUDs.\n\nGOAL PSM D-6 Pierce County shall work with the general business community, the surrounding Midland community, and Pierce Transit to develop a streetscape improvement plan for the 99th Street, 112th Street, and Park Avenue/162nd Street Neighborhood Centers.\n\nGOAL PSM D-7 Provide landscaping and building placement requirements to improve the appearance along the SR 512 freeway.\n\n| PSM D-1 | Loading docks, outdoor storage, parking lots, and waste facilities shall be sited and screened so that they are not prominent when viewed from the freeway. |\n|---------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| PSM D-2 | Building facades facing and visible from the freeway should have the same high quality design as the non-freeway facing facades. |\n| PSM D-3 | Signage associated with properties fronting the freeway shall be sized and designed to provide minimal visual impacts on freeway users. |\n| PSM D-4 | The freeway corridor through Midland and Parkland shall be buffered through the establishment and retention of substantial plantings to achieve year-round screening. |\n| PSM D-.1 | Freeway landscape plans shall be implemented through landscape plans for new development or redevelopment of properties abutting or visible from the freeway. |\n| PSM D-.2 | Pierce County and the communities shall enhance landscaping within the freeway rights-of-way through cooperative planting efforts with the Washington State Department of Transportation. |\n\n**GOAL PSM D-8** Pierce County shall designate scenic driving, walking, or biking routes along major streets.\n\n**GOAL PSM D-9** Promote the planting of street trees to enhance neighborhood character.\n\n**PSM D-1** Pierce County, in conjunction with business organizations, community groups, and property owners, shall develop street tree management programs.\n\n**PSM D-2** Such programs shall focus on maintenance and enforcement.\n\n**Neighborhoods**\n\n**GOAL PSM D-10** Encourage design that reflects the wide diversity among residents, provided each maintains a degree of compatibility and reflects the character of the plan area.\n\n**PSM D-1** Encourage development to recognize and incorporate significant distant views into project design.\n\n**PSM D-2** New developments should connect to existing adjacent developments where opportunities exist, and shall provide for connectivity to future developments to ensure internal circulation between developments and utilize interior circulation systems in new developments thus minimizing minimize access points along streets.\n\n**PSM D-.1** Curb cuts should be utilized only where traffic needs and safety considerations allow.\n\n**NOTES**\n\n29 Address issue: improve connectivity between subdivisions\n\nGOAL PSM D-11 Require urban development standards in all new urban developments.\n\nPSM D-.1 Sidewalks, public transit amenities, street trees, and street lighting shall be provided within developments and abutting frontage roads.\n\nPSM D-.2 Minimize site excavation.\n\nPSM D-.3 Natural vegetative cover should be planted on slopes of all cuts and fills in conformance with safety, erosion, and visual aesthetics standards.\n\nPSM D-.4 Provide for separated automobile, pedestrian, and bicycle access.\n\nPSM D-.5 Create a transition between residential, commercial, industrial, and civic uses through a variety of measures including setbacks, screening, berming, vegetative buffering, and shielded lighting.\n\nGOAL PSM D-12 Develop specific design guidelines for single-family and multifamily residential development dealing with site planning and building placement.\n\nPSM D-.1 Promote the visual quality of neighborhood streetscapes so that they become a valued element of the character of the community and enhance neighborhood quality.\n\nPSM D-.2 Provide opportunity for porches and decks within front yard setbacks.\n\nPSM D-- .1 Permit single-family detached dwelling units to encroach into front yard setbacks the same distance the garage entrance is recessed behind the front yard setback line.\n\nPSM D-.3 Encourage underground stormwater retention systems by providing development incentives.\n\nPSM D-.4 Discourage flag lots or pipistem lots within new residential developments.\n\nGOAL PSM D-13 Develop specific design guidelines for two-family (duplex), attached single-family, and multifamily residential developments dealing with architectural design and scale of buildings.\n\nPSM D-.1 Provide incentives for innovative architectural design of two-family (duplex), attached single-family, and multifamily residential development.\n\nPSM D-.2 Discourage residential design that accentuates carports and garages.\n\nPSM D-- .1 Encourage two-family developments that provide alley access to the vehicle enclosure.\n\nPSM D-3 Avoid locating parking areas for multifamily developments between the buildings and the street.\n\n**Commercial and Industrial**\n\nGOAL PSM D-14 Organize the site plan to provide an orderly and easily understood arrangement of building, landscaping, and circulation elements that support the functions of the site.\n\nPSM D-1 Emphasize the importance of street corners through building location, pedestrian access, special site features, or landscape features.\n\nPSM D-2 Provide adequate lighting levels in all pedestrian areas including building entries, along walkways, parking areas, and other public areas.\n\nPSM D-3 Design landscaping so that long term growth will not interfere with site lighting and surveillance.\n\nPSM D-4 Use durable, high quality materials in site furnishings and features for ease of maintenance.\n\nPSM D-5 Use fencing and landscaping with high quality materials to conceal outside storage and sales areas.\n\nPSM D-6 Where distant view corridors have been identified, require development to recognize and incorporate these into project design.\n\nPSM D-7 Integrate water quality treatment techniques such as biofiltration swales and ponds with overall site design, where appropriate.\n\nPSM D-8 Encourage pedestrian movement between commercial properties and neighborhoods by providing gates, ramps, and steps where natural or man-made barriers exist.\n\nPSM D-9 Dedicate additional rights-of-way to enable the construction of sidewalk improvements where adjacent rights-of-way are substandard in width.\n\nPSM D-10 Integrate bicycle use, access, and parking into site designs.\n\nGOAL PSM D-15 Architectural and site design of non-residential developments should reflect desired neighborhood or community character.\n\nPSM D-1 Provide for visual and functional continuity between the proposed development and adjacent structures when these existing structures demonstrate minimal consistency with the building design criteria of this plan.\n\nPSM D-2 Incorporate architectural design features reflective of residential building scale and character into non-residential buildings in portions of centers and corridors where they abut or are in proximity to single- and two-family neighborhoods.\n\n| PSM D-3 | Provide distinctive building corners at street intersections through the use of special architectural elements and detailing and pedestrian-oriented features where possible. |\n|---------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| PSM D-4 | Integrate the design and placement of exterior lighting with the architectural design and materials of on-site buildings, overall site character, and the surrounding neighborhood. |\n| PSM D-5 | Street-facing building facades shall employ a variety of measures including window and entrance treatments, overhangs and projections, and innovative use of standard building materials and landscaping to increase visual interest and visually break up large building massings. |\n| PSM D-6 | Provide pedestrian-friendly facades on the ground floor of all buildings that face public streets and parking areas. |\n| PSM D-7 | Provide visual relief for large blank walls such as murals, landscaping, or variations in building relief that are visible from pedestrian walkways and parking areas. |\n| PSM D-8 | Enhance building entries with a combination of weather protection, landscaping, pedestrian amenities, or distinctive architectural features. |\n| PSM D-9 | Locate or screen roof-mounted mechanical equipment to minimize visibility from public streets, building approaches, and adjacent properties. |\n| PSM D-10 | Locate or screen utility meters, electrical conduit, and other utility equipment to minimize visibility from the street. |\n| GOAL PSM D-16 | Select plant materials that are appropriate to their location in terms of hardiness, maintenance needs, and growth characteristics with an emphasis on use of native and drought-resistant vegetation. |\n| PSM D-1 | Incorporate existing significant trees, wooded areas, or native vegetation into the planting design where they would contribute positively to the overall landscape and site design, enhance habitats for various species of fish, bird, and animal species, and the neighborhood as a whole. |\n| PSM D-2 | Utilize adopted street tree plans when developing on-site landscape designs. |\n\n**Design**\n\nGOAL PSM D-17 Encourage and provide incentives for including open space and retaining existing native vegetation on sites proposed for urban development.\n\n**NOTES**\n\n33 Delete policy and sub-policies\n\n34 Address issue: rather than provide urban wildlife habitat, direct toward protecting and maintaining existing habitat\n\n35 Delete part: remove percentage requirements\n\n36 Delete policy and sub-policies\n\nPSM D-1 Prohibit the vacation of unopened public rights-of-way at shoreline locations except when the vacation would enable a public authority to acquire the vacated property for public purposes.\n\nPSM D-2 Provide a procedure for removing dangerous or diseased trees that require mitigation, including replacement of any removed trees.\\(^{33}\\)\n\nPSM D-.1 Sites that are devoid or deficient in vegetation shall be required to introduce supplemental landscaping with plantings that are native to the Pacific Northwest and are based on the historic indigenous plant species for the underlying soils.\n\nPSM D-.2 These supplemental plantings shall equal the minimum amount required for retention.\n\nPSM D-3 Reduce the amount of density or intensity allowed within a proposed development for lack of permanently designated usable open space.\n\nGOAL PSM D-18 Property improved with buildings, parking areas, and other impervious cover shall include areas of natural and landscaped vegetative cover to protect the aesthetic qualities of the area, to protect aquifers and aquifer recharge areas, provide maintain urban wildlife habitat, and to prevent runoff to adjoining properties, streams, and other critical areas.\\(^{34}\\)\n\nPSM D-1 Require natural or planted vegetative screens as an integral part of areas with expansive impervious cover.\n\nPSM D-2 Provide a range of open space dedication requirements, from 15% to 50% of the site, based upon the density or intensity of the proposed use.\\(^{35}\\)\n\nPSM D-3 Require a permanent dedication of open space as a condition of approval for a site plan or division of land.\n\nThe following uses should be allowed within designated open space areas and are listed in order of priority:\\(^{36}\\)\n\nPreservation of natural vegetation including fish and wildlife habitat;\n\n| PSM D- .1 | Natural resource protection including steep slopes and aquifer recharge areas; |\n|-----------|----------------------------------------------------------------------------------|\n| PSM D- .2 | Buffers between incompatible land uses; Passive recreation (pervious and impervious); Active recreation (golf course); On-site utilities (drainfields, stormwater management systems); Pedestrian and bicycle trails. |\n| PSM D- .3 | Require the open space area to be clearly marked and separated from the development area through the use of methods such as fencing. |\n\n**GOAL PSM D-19**\nProtect adjacent sites and uses or mixes of commercial and residential uses on the same site from the noxious effects (e.g., noise, light, odor, particulate, or other air pollution, traffic) generated by other uses through the use of vegetation.\n\n| PSM D- .1 | Require vegetative screens between new urban development and adjacent uses. |\n|-----------|----------------------------------------------------------------------------------|\n| PSM D- .2 | Provide a range of required vegetation screening widths based upon the use, density, and intensity of the proposal. |\n| PSM D- .1 | Vegetation screening requirements should range from 20 to 70 feet based on the increase in impacts or the degree of incompatibility between uses. |\n| PSM D- .2 | Screening performance is judged as it will exist at the time the development is completed and not as it will exist at some time in the future. |\n| PSM D- .3 | Encourage the provision of public easements where linkages between open space and screening buffers occur. |\n| PSM D- .4 | Preserve established vegetation buffers in perpetuity. |\n| PSM D- .5 | Encourage the replanting of greenbelts on previously developed commercial and residential sites through public assistance, grants, and incentives. |\n\n**NOTES**\n\n37 Address issue: make a 5-year plan for trees’ growth, and change policy to be as it will exist in a 5-year window rather than the size at planting. Ensure it still has to be planted at time of development.\n\n38 Address issue: goal to get all signs to comply with policies. Separate policies for billboard and commercial signage, and restrict human signs (sign spinners).\n\n39 Address issue: make a specific timeframe.\n\n40 Address issue: update language to protect these areas rather than identify (which has been done).\n\nCooperative programs should be established with owners and residents of such developments to assure that such properties achieve suitable screening within a five-year time period.\n\n**GOAL PSM D-20**\nImprove neighborhood health, safety, and appearance by requiring homeowners to be responsible for the proper storage of waste and vehicles, maintenance of yards, and the screening of hobby vehicle repair or restoration to ensure these activities do not adversely affect neighbors.\n\n**PSM D-1**\nLimit outdoor vehicle storage as an accessory use on residential property to 5 vehicles.\n\n**PSM D-2**\nProvide criteria and a permitting process to allow for residential storage of more than 5 vehicles under limited conditions.\n\n**PSM D-3**\nRequire screening for proper storage of vehicles to protect the environment and for sight-obscuring screening of vehicles undergoing repair or restoration.\n\n**PSM D-4**\nDevelop an abatement or amnesty program for the removal of junk vehicles from residential properties.\n\n**PSM D-5**\nEstablish and publicize standards for the storage and proper handling of household garbage and other solid waste on residential property.\n\n**Signs**\n\n**GOAL PSM D-21**\nConsistently apply and enforce sign regulations. \n\n**PSM D-1**\nRequire consolidation of signage within commercial development to reduce visual clutter along streets and the freeway.\n\n**PSM D-2**\nIntegrate freestanding signs with the placement and design of landscape features.\n\n**GOAL PSM D-22**\nEstablish and implement uniform and balanced requirements for new signs and an amortization schedule for the removal of signs made nonconforming by the adoption of regulations implementing this plan.\n\n**NOTES**\n\n37 Address issue: make a 5-year plan for trees’ growth, and change policy to be as it will exist in a 5-year window rather than the size at planting. Ensure it still has to be planted at time of development\n\n38 Address issue: goal to get all signs to comply with policies. Separate policies for billboard and commercial signage, and restrict human signs (sign spinners)\n\nPSM D-1 Incentives should be provided to bring existing signs into conformance with new codes.\n\nPSM D-.1 Incentives should include tax credits or dismissal of permit fees for replacing the sign prior to the assigned sunset date.\n\nPSM D-2 Billboards should have an amortization period consistent with the Internal Revenue Service depreciation schedule.\n\nPSM D-3 Aggressively seek nuisance abatement to eliminate problems that inhibit the goals of the community.\n\nPSM D-.1 Pierce County shall identify dilapidated, abandoned, and illegal signs for future abatement action.\n\nGOAL PSM D-23 Ensure that temporary signs are promptly removed after the culmination of the event described or symbolized on the sign.\n\nPSM D-1 Hand held signs, or “human signs” shall be prohibited.\n\nGOAL PSM D-24 Prohibit any additional billboard faces or structures in the three communities beyond those existing at initial communities plan adoption, and provide for the elimination of nonconforming billboard signs after a reasonable amortization period.39\n\nEnvironment Policies\n\nGOAL PSM ENV-1 Identify Protect remaining fragments of prairies and oak woodlands located within the plan area.40\n\nPSM ENV-.1 Conduct an inventory of existing prairies that are greater than one acre in size.\n\nPSM ENV-.2 Encourage the retention of slow growing heritage or specimen trees.\n\nGOAL PSM ENV-2 Increase critical area standards for natural vegetation buffers within riparian and hyporheic zones to protect water quality and the health of the aquatic ecosystem.\n\nPSM ENV-.1 Buffer widths shall be calculated and increased, as necessary, based upon the presence of critical fish species, cumulative impacts of stormwater discharge and in-stream flow reductions, pollutant levels, and water temperatures.\n\nPSM ENV-.2 The establishment of natural vegetation buffer widths along streams should include existing floodplain meanders, adjacent steep slopes, wetlands, and the area necessary to support the healthy functioning of the hyporheic zone and aquatic species.\n\n| Policy | Description |\n|--------|-------------|\n| PSM ENV-3 | Prohibit tree cutting and removal of any native vegetation within the hyporheic zone or riparian buffer zone except as provided through a fish and wildlife habitat buffer variance. |\n| PSM ENV-4 | Where disruption of the natural condition within vegetative buffers is permitted, require revegetation that duplicates the historic, indigenous plant community type to restore the buffers’ protective value. |\n| GOAL PSM ENV-3 | Require a minimum percentage of natural/native vegetation as a component of all new development within the plan area. |\n| PSM ENV-1 | Identify and retain a minimum of 15% native vegetation consisting of trees, understory shrubs, and herbaceous groundcover on a portion of each site for development. |\n| PSM ENV-.1 | If the development has been previously cleared, then a minimum of 15% native vegetation shall be replanted to achieve this requirement. |\n| PSM ENV-2 | Retaining areas of mature native vegetation on a site is a higher priority than providing supplemental landscaping. |\n| PSM ENV-3 | Encourage that setback areas be retained in native vegetation and enhanced with additional native plant species selected from the historical, indigenous plant community type where native vegetation is sparse or nonexistent. |\n| PSM ENV-.1 | Require follow-up horticultural care of these supplemented plants that ensures 80-90% success. |\n| PSM ENV-4 | Preserve a minimum percentage of existing mature stands of trees on each site proposed for development. |\n| PSM ENV-.1 | The percentage of trees to be retained shall be based upon the historic, indigenous plant community type for that site. |\n| PSM ENV-.5 | Retain and re-use existing topsoil/organic duff layer on each development site. |\n| GOAL PSM ENV-4 | Remove non-native plants at Parkland Prairie Preserve. |\n| PSM ENV-1 | Conduct the removal activities in such a manner so as not to damage existing native plants. |\n\n**Water Resources**\n\n*Surface Water Runoff and Flooding*\n\nGOAL PSM ENV-5 | Existing natural drainage courses should be retained and kept free and open to pass storm runoff through any development or use activity instead of encasing the surface water runoff into a piped stormwater conveyance system. |\n\nHowever, in cases where a drainage course must be modified, the drainage system entrance and exit points to and from the development must be retained.\n\nNatural drainage courses should be protected post-development through an appropriate mechanism, such as developer agreements, maintenance agreements, homeowners’ covenants, or conservation easements.\n\n**GOAL PSM ENV-6**\nPreserve those portions of the plan area (both public and private), such as B Street, 136th, and Tule Lake Road, which serve as storage areas for surface water runoff.\n\n**PSM ENV-1**\nConsider purchase of sites that serve as an expansion of the natural drainage/retention system.\n\n**PSM ENV-2**\nUtilize floodplain buy-out monies to purchase priority flood storage areas.\n\n**GOAL PSM ENV-7**\nRegulate the filling or modification of surface waters and natural water retention areas.\n\n**PSM ENV-1**\nFilling or modifications that decrease or detrimentally affect the existing water levels and water storage capacity within perennial and intermittent streams, ponds, wetlands, or high groundwater areas shall not be permitted.\n\n**PSM ENV-2**\nFilling of pothole(s) located on an individual parcel or contiguous with several separate parcels shall address the cumulative impacts of the decrease in natural water retention areas.\n\n**PSM ENV-. .1**\nAn analysis shall be provided which identifies how this water will be retained elsewhere on site and how affected adjacent property owners shall be notified.\n\n**Groundwater and Water Supply**\n\n**PSM ENV-3**\nWork with the Pierce County Emergency Management Department to identify appropriate methods for handling spill response in high-risk areas.\\(^{44}\\)\n\n**PSM ENV-4**\nInstall signage around the perimeter of wellhead protection areas or the most sensitive aquifer recharge areas.\n\n**PSM ENV-5**\nPursue funding opportunities to map spill locations on state routes for areas that have a potential to enter the one-year time of travel zone or storm drainage systems.\n\n**GOAL PSM ENV-8**\nReduce the amount of irrigation that occurs on grass/vegetation that has been installed over soils that have been disturbed and degraded.\n\nApply 6-12 inches of woodchip mulch on sites in forested areas to replace duff, control weeds, and retain moisture.\n\nApply 6-12 inches of woodchip mulch on sites in forested areas to replace duff, control weeds, and retain moisture.\n\n**PSM ENV-2** Require the installation of irrigation meters on all new systems and establish limits on the amount of water that can be used for irrigation purposes.\n\n**GOAL PSM ENV-9** Require re-use of native topsoil or appropriate soil amendments prior to installation of grass seed, sod, or other vegetation in new developments.\n\n**PSM ENV-1** All of the site’s native topsoil must be retained on site and used for installation of grass, shrubs, and trees.\n\n**GOAL PSM ENV-10** Develop cost-sharing programs to help people purchase low-flow fixtures (e.g., faucets and toilets) for their existing homes.\n\n**GOAL PSM ENV-11** Discourage extensive, irrigated landscape areas in new developments.\n\n**PSM ENV-1** Encourage drip irrigation systems and promote water conservation methods for lawn watering (e.g., even-numbered houses would water on even-numbered days, promote conservation pricing measures, re-use of rainwater through collection in cisterns, etc.).\n\n**Water Quality**\n\n**GOAL PSM ENV-12** Condition Forest Practice approvals to eliminate transport of erosion and sedimentation into rivers, streams, and wetlands; provide adequate riparian buffers of natural vegetation; and redirect stockpiling of debris away from water bodies and courses.\n\n**GOAL PSM ENV-13** Provide additional protection to improve the quality of surface water bodies in the area (e.g., Spanaway Lake, Clover Creek, and Spanaway Creek).\n\n**PSM ENV-1** Develop a lake management plan for Spanaway Lake that contains elements addressing water quantity and water quality.\n\n**PSM ENV-2** Pierce County Parks and Recreation Department should limit the use of and guide the application of chemicals (such as pesticides, herbicides, fertilizers, etc.) within the entire park system, including Spanaway Park, the golf course, and Sprinker Recreation Center, in a manner which does not adversely impact the biological functioning of surface waters.\n\nEncourage the replanting of historic indigenous plant community types within the buffers of any stream, creek, or lake within the plan area.\n\nRequire a no spray zone for any chemicals within the buffers of any stream, creek, or lake within the plan area or ditches that drain into these waters.\n\nIdentify areas where restoration activities could potentially have a positive effect on water quality and encourage restoration projects within these areas.\n\nIdentify potential restoration areas through Clover Creek Basin planning and Puyallup RiverChambers-Clover Creeks Watershed Council efforts.\n\nWork with existing volunteer groups, such as the Pierce Conservation District stream team and Chambers-Clover Watershed Council, to provide restoration actions on identified sites.\n\nEstablish the Chambers-Clover Creek Basin Advisory Committee to serve as a long-term forum for addressing water quality issues within a portion of the plan area.\n\nWork with the Puyallup River Watershed Council to address water quality issues in that portion of the Midland community located within the Water Resource Inventory Area 10 Puyallup Watershed boundaries.\n\n**Wetlands**\n\nEncourage wetland restoration activities that increase the wetland functions and values.\n\nUtilize native species, appropriate to the historic, indigenous plant community type, for vegetation replanting; maintain planting for 3-5 years to ensure success.\n\nRequire the preparation of habitat management plans prior to authorization of restoration activities.\n\nEncourage restoration of wetlands and their buffers that have been degraded as a result of previous development actions within the plan area.\n\nPursue grants and other funding sources that could be used to restore important wetland systems that have been degraded.\n\nPromote programs that involve volunteer efforts to clean up and repair the function and value of damaged wetlands.\n\nPursue development and promotion of incentive programs for property owners whose parcels contain wetlands.\\textsuperscript{55}\n\nConduct public workshops on the County’s Current Use Assessment program, Public Benefit Rating System (tax reduction) to encourage property owners to place wetlands into open space designations.\n\n\\textbf{PSM ENV-4} Develop a Transfer of Development Rights and Purchase of Development Rights program for wetland area density transfers.\n\n\\textbf{GOAL PSM ENV-18} Provide greater protection for those wetlands that are inhabited or utilized by federal or state-listed endangered or threatened plant, fish, or animal species.\\textsuperscript{56}\n\n\\textbf{PSM ENV-1} Changes to water quality and quantity that could negatively affect a listed species shall be prohibited.\n\n\\textbf{Fish and Wildlife Resources}\n\n\\textbf{GOAL PSM ENV-19} Retain and protect biodiversity management areas and corridors located within and adjacent to the plan area.\n\nConsider implementing urban sensitive resource zones within biodiversity management areas and corridors.\\textsuperscript{57}\n\n\\textbf{GOAL PSM ENV-20} Protect priority habitats for resident wildlife such as trees that provide snags, nesting sites, and roosting areas for bird populations and prairies for butterflies.\n\n\\textbf{PSM ENV-1} Establish buffers that are sized according to the best available science.\n\n\\textbf{PSM ENV-.1} Buffers should be located around important features, such as heron rookeries.\n\n\\textbf{PSM ENV-2} Consider restricting construction activities (e.g., loud noises) that could disturb native birds during nesting periods.\n\n\\textbf{GOAL PSM ENV-21} Regulate development activities in naturally occurring ponds that are less than 20 acres.\n\n\\textbf{PSM ENV-1} Eliminate the exemption currently granted to ponds.\n\n\\textbf{GOAL PSM ENV-22} Require that native vegetation buffers of an adequate width be maintained between proposed development and riparian areas/aquatic systems to protect the functional values of such areas and systems.\n\n\\textbf{NOTES}\n\n\\textsuperscript{55} Delete policy and sub-policies\n\n\\textsuperscript{56} Delete policy and sub-policy\n\n\\textsuperscript{57} Delete policies from 20.1 through 24.3 (next page)\n\nPSM ENV-1 Allow limited activities within riparian area buffers only when such activities are compatible with the overall functions of the buffer and when such activities do not diminish the functional value of the buffer.\n\nPSM ENV-2 Buffers should include any flood hazard areas, floodplain migration zones, and adjacent wetlands and steep slopes.\n\nPSM ENV-3 Maintain buffers between new roads and utility corridors and riparian areas and aquatic systems, wherever feasible.\n\nGOAL PSM ENV-23 Mining, dredging, or the removal of gravel, fill, or similar materials from streams or other surface water areas shall be regulated to prevent adverse alterations to flow characteristics, siltation, and the pollution or disruption of spawning bed and rearing pool areas.\n\nPSM ENV-1 Development of ponds for farm uses, fish propagation, residential amenities, and wildlife or waterfowl habitat that are contiguous to wetlands, lakes, ponds, or streams shall require a permit.\n\nPSM ENV-.1 Such uses may be permitted only if the natural drainage pattern is not adversely altered or water from fish pond does not degrade the stream.\n\nPSM ENV-2 Channelizing, riprapping, diking, or other stream bank stabilization methods which detrimentally increase stream flow or adversely impact the stream’s existing characteristics in any other way shall not be permitted.\n\nPSM ENV-3 Eliminate the illegal removal of surface water which decreases the quantity or flow rate of the creek/stream system and regulate the legal removal of surface water.\n\nGOAL PSM ENV-24 Reconstruct infrastructure that acts as a barrier to fish passage as part of any public road or utility projects associated with the blockage.\n\nPSM ENV-1 Reduce culverts and encourage bridges, when needed, when constructing or reconstructing water passages under roads.\n\nGOAL PSM ENV-25 Incorporate landscaped greenbelt areas into the open space network.\n\nPSM ENV-1 Utilize greenbelts for pathways and integrate this system into the nonmotorized transportation network.\n\nPSM ENV-2 Encourage the planting of native vegetation within greenbelt areas, but recognize that other non-native species, such as turf, may be appropriate for the intended use.\n\nPSM ENV-3 Integrate man-made structures such as children’s play equipment, climbing rocks, water features, benches, trails, and picnic tables into greenbelt systems.\n\nPSM ENV-.1 Trails shall be made of permeable pavement or materials.\n\nPSM ENV-4 Greenbelt areas should integrate or bridge critical areas, such as wetlands and fish and wildlife habitat areas, or designated open space areas when possible.\n\nGOAL PSM ENV-26 Encourage preservation of large tracts of open space corridors through site design mechanisms, such as mandatory clustering requirements, and set aside in separate tracts.\n\nDevelop best construction methods for activities within or nearby designated open space areas and to protect native growth protection areas.\\(^{58}\\)\n\nGOAL PSM ENV-27 Establish design standards and location criteria for open space/greenbelt areas.\n\nPSM ENV-.1 Utilize open space sites as part of a nonmotorized trail system.\n\nPSM ENV-.2 Open space corridors should be used to connect wetlands.\n\nPSM ENV-.3 Structures in designated open space areas should be designed and situated such that they are harmonious with their surroundings, constructed with natural materials, and well screened.\n\nPSM ENV-. .1 Utilize materials made of wood and stone for benches, steps, railings, and fences.\n\nPSM ENV-.4 Environmentally sensitive design standards should be utilized in new developments or redevelopment located within designated open space areas.\n\nAll critical areas shall be set aside as a separate open space tract.\\(^{59}\\)\n\nDepending on the zone classification, the total amount of impervious surfaces on a site should be limited.\\(^{60}\\)\n\nPSM ENV-. .1 Clustering of lots, dwelling units, or building structures should be considered during the conceptual site development stage.\n\nDepending on the zone classification, a range of 25% to 50% of each site shall be retained in natural vegetation.\\(^{61}\\)\n\nPSM ENV-. . .1 Restoration of vegetated areas to native vegetation, based on the sites soils, hydrology, and topography should occur on each site as necessary to enhance the function of the open space corridor.\n\nPSM ENV-. .2 Vehicle parking facilities shall be integrated into open space sites in such a manner that critical areas are not impacted and stormwater impacts are mitigated.\n\nOther low impact development tools should be considered such as minimizing soil disturbance and erosion, disconnecting constructed drainage courses, utilizing micro-detention facilities on each lot where feasible rather than one facility at the end of a conveyance system, and reducing/sharing parking facilities or using permeable pavement/pavers.\n\n**PSM ENV-.5** Vegetation within native growth protection areas shall be left undisturbed except for carefully planned and maintained pathways.\n\n**PSM ENV-. .1** Access into native growth protection areas shall be limited to nonmotorized transportation systems.\n\n**PSM ENV-. .2** Access through native growth protection areas shall be designed to avoid sensitive critical areas such as wetlands and fish and wildlife habitat areas.\n\n**PSM ENV-. .3** Nonmotorized transportation paths shall follow the natural land contours and be constructed of permeable materials that blend into the natural surroundings.\n\n**PSM ENV-. .4** Institute an exception for removal of non-native, invasive, or noxious plant species.\n\n**PSM ENV-.6** Encourage developers to utilize green building techniques to soften the urban environment within the open space network.\n\n**PSM ENV-. .1** Reduce impervious surfaces by providing a layer of plants on hard surfaces to create a new network of vegetation linking roofs, walls, courtyards, streets, and open spaces.\n\n**PSM ENV-. .2** Design buildings to complement the open space network.\n\n**PSM ENV-. .3** Utilize courtyards to provide green spaces for work or relaxation, be cultivated as wildlife habitats, or organized as attractive green areas to offer pleasing views from the home or office window.\n\n**PSM ENV-. .4** Design the outside space during the design of the building structure to integrate vegetation into the design of the building.\n\n**PSM ENV-. .5** Promote the use of balconies and small terraces in multifamily developments.\n\n**PSM ENV-. .6** Encourage the use of vegetated rooftops in greenbelt areas or in designated open space areas.\n\nPSM ENV- .7 Integrate public stormwater detention/retention facilities into the open space network.\n\nEconomic Development Policies\n\nGoals\n\nThe following statements comprise the goal for economic development in the Parkland-Spanaway-Midland Communities Plan:\n\n- Encourage economic investments in the communities which will result in a variety of well-balanced, family wage job opportunities;64\n- Encourage development of a well-balanced economic base for the communities;65\n- Economic activities are encouraged within the communities, but not to the detriment of either the natural environment or residential neighborhoods;\n- The type and scale of economic development proposed for specific locations in the communities shall be compatible with nearby residential neighborhoods and other land uses;\n- New economic development in and redevelopment of existing business areas shall focus on meeting present and future needs of the residents of individual communities and the region as a whole; and\n- Economic activities with similar needs and impacts should be planned for areas most compatible with those uses, especially where facilities and infrastructure needs exist. With similar infrastructure needs, operational needs, and customer bases shall be located in proximity to one another and permitted only in areas where needed public facilities and services can be efficiently provided prior to or concurrent with commencement of the economic activity.66\n\nCommercial/Industrial Growth\n\nGOAL PSM EC-1 Designate an adequate amount of land to support commercial and industrial needs within the Parkland-Spanaway-Midland Communities Plan area over the next 20 years.\n\nPSM EC-1 Develop an inventory of locations within the communities plan area where commercial and industrial development opportunities are encouraged to occur in the future.\n\nPSM EC-2 Pierce County shall work with other public agencies and private interests to identify and promote sites which can be suitably developed for a variety of local employment/community development opportunities.67\n\nPSM EC--3 Pierce County shall work with property owners to determine the development potential of sites having commercial and industrial employment possibilities.\n\nGOAL PSM EC-2 Utilize existing commercial and industrial areas within the communities plan area to the maximum development potential.\n\nPSM EC--1 Allow new residential development within designated commercial areas where it supports the primary commercial functions and can maximize the economic development potential within these areas.\n\nPSM EC--2 Prohibit new residential development within designated industrial areas to maximize the economic development potential within these areas.\n\nPSM EC--3 Ensure that compatible economic activities are located in proximity to each other and their functioning is not adversely impacted by other uses.\n\nPSM EC--4 Encourage redevelopment of underutilized commercial and industrial areas within the communities plan area.\n\nGOAL PSM EC-3 Target new areas for commercial and industrial growth which are or are planned to be serviced with the infrastructure for development.\n\nGOAL PSM EC-4 Designate additional land for industrial uses and incubator space for start-up industrial businesses.\n\nPSM EC--1 Encourage the development of industrial areas which provide incubator space for small-scale, start-up industrial and high tech businesses.\n\nPSM EC--2 Efforts shall be made to focus industrial, office park, and research development into the following areas: \n\nPSM EC--.1 South Portland Avenue Community Employment Center (CE);\nPSM EC--.2 A Street/SR 512 CE;\nPSM EC--.3 North Steele Street CE;\nPSM EC--.4 South Steele Street CE;\nPSM EC--.5 South Pacific Avenue CE;\nPSM EC--.6 Mountain Highway CE; and\nPSM EC--.7 Selected portions of the Mixed Use Districts and Community Centers.\n\nGOAL PSM EC-5 Work with authorities at Joint Base Lewis-McChord to identify and promote development of commercial businesses.\n\nPSM EC--1 Work with military authorities to identify the commercial retail and service needs and wants of single and married personnel who live both on base and off, and encourage the development of such uses where compatible with residential and commercial neighborhoods and community values.\n\nPSM EC--2 Work with military authorities to identify employment needs of military families and work to encourage location of businesses that can accommodate employment needs.\n\nPSM EC--3 Work with military authorities to identify the types of military supplies that could be obtained locally and encourage the development of such businesses.\n\nPSM EC--4 Work with and encourage military authorities to allow regular access through the Joint Base Lewis-McChord east gates for persons working on base to more easily obtain goods and services in Parkland and Spanaway.\n\n**Commercial Revitalization**\n\nGOAL PSM EC-6 Develop strategies to enhance commercial eCenters and eCorridors within the communities plan area.\n\nPSM EC--1 The following commercial c Centers, Corridors, and districts meet the criteria for commercial revitalization efforts, and efforts shall be focused into the neighborhoods according to the following community rankings.\n\nPSM EC--.1 Revitalization efforts shall not be focused into second or subsequent priority neighborhoods prior to the top priority of each community having received appropriate revitalization attention.\\(^{69}\\)\n\nMidland:\n- 99th Street Neighborhood Center (NC) district; and\n- 72nd Street Mixed Use District (MUD) district.\n\nParkland:\n- Garfield Street Activity Center (AC);\n- South Parkland/Pacific Avenue MUD;\n- North Parkland/Pacific Avenue MUD;\n- 112th Street MUD (west of D Street); and\n- Park Avenue/112th Street/C Street NC.\n\nSpanaway:\n\n- Central Spanaway/Pacific Avenue MUD;\n- Spanaway Park Sprinkler ACCenter; and\n- 176th Street Community Center.\n- 8th Avenue South and Mountain Highway (Walmart Superstore)\n\n**SR7/Pacific Avenue/Mountain Highway Corridor:**\n- The SR7/Pacific Avenue/Mountain Highway Corridor from the northerly boundary of the Community Plan Area to the Mountain Highway Town Center at the Walmart Superstore.\n- The portion of the 112th Street East Corridor within the Community Plan area.\n- The portion of the 176th Street East Corridor within the Community Plan area.\n\n**PSM EC--2** The following commercial centers and districts do not meet the criteria for commercial revitalization efforts, but efforts shall be focused toward developing these neighborhoods for commercial purposes:\n- North Portland Avenue Mixed Use District (MUD);\n- 112th Street MUD (east of D Street);\n- Central Parkland/Pacific Avenue MUD;\n- 8th Avenue MUD; and\n- 8th Avenue Community Center.\n\n**PSM EC--3** Pierce County, in cooperation with the business organizations and associations, shall work with business groups to institute business improvement programs within selected commercial areas targeted for commercial revitalization and in areas requiring substantial initial development and in new and existing industrial areas.\n\n**PSM EC--4** Pierce County shall work with the local business community within selected commercial target areas to develop the framework for a business improvement program, including structuring local marketing efforts, physical improvements programs, parking and building improvements, special management organizations, or other programs necessary for effective revitalization of the area.\n\nBusiness improvement programs shall focus on activities related to the collective improvement, promotion and maintenance of the commercial target area. Improving the tenant base through retention and recruitment efforts, facade renovations which utilize common design elements, installation of supporting public improvements, active enforcement of local zoning, weed and refuse control ordinances, and collective promotion and maintenance of the commercial target area.\n\nFunding for a business improvement program shall be provided through public financial incentives including revolving loan funds (RLF), Small Business Administration (SBA) loans, microenterprise loans, efforts of private financial institutions, and a commitment from local businesses to complete identified site and facade renovations.\n\nWork with the private sector to create a Pacific Avenue redevelopment strategy that can mobilize local and regional resources to build an enhanced tax base.\n\nThe County, Chamber of Commerce, and business and community leaders should form a task force to make recommendations on the formation of a Parkland-Spanaway-Midland business district along SR 7 from SR 512 to 176th.\n\nPierce County shall work with the community to reprioritize planned public projects within the commercial revitalization target areas.\n\nSuch projects will contribute to a revitalization effort by upgrading the appearance, setting it apart from its surroundings, and enhancing the attractiveness of the business environment.\n\nProjects which enhance a commercial target area’s appearance may include: installation or repair of common public spaces such as sidewalks, plazas, and bus stops; installation of planting areas, landscaping, and specialized street furniture or lighting; and design and installation of quality graphics, directional signs, planters and plantings, or banners that bring color to the street.\n\nGOAL PSM EC-8 Work with business organization to market and promote businesses and areas targeted for revitalization efforts within the communities. Seek the support of business organizations and associations to provide marketing and promotion assistance to businesses within the communities plan areas targeted for commercial revitalization.\n\nPSM EC-.1 Request that the Tacoma-Pierce County Chamber of Commerce prepare a market assessment to help determine the viability of potential target areas.\n\nPSM EC-.1 Market assessments shall provide an update of the commercial market through analyzing the area’s past and recent performance in the various sectors; documenting existing conditions, emerging trends, opportunities, and constraints (i.e., the depth of the market); and identifying a portfolio of key properties and development opportunities.\n\nPSM EC-.2 The market assessment shall help rank and prioritize the potential target areas for the receipt of public improvements.\n\nPSM EC-.2 Utilize existing or form new local business associations to help develop common promotion (advertising, joint merchandising, and special events) and future business development (leasing, business recruitment, and market research) within selected commercial target areas.\n\nPublic/Private Partnerships\n\nGOAL PSM EC-9 Pierce County shall participate in special public/private ventures within the communities plan area when such ventures provide public benefits, support commercial or industrial development or commercial revitalization policies, and are appropriate to the long-range goals of the County.\n\nPSM EC-.1 Pierce County shall act in partnership with the private sector to fund infrastructure as part of the communities plan to encourage redevelopment to convert outdated and underutilized land and buildings to high-valued or appropriate land uses.\n\nPSM EC-.2 Pierce County shall budget for public infrastructure to encourage infill, land assembly, redevelopment, and land conversion for commercial and industrial development, with the priority toward those areas with substantial private development.\n\nGOAL PSM EC-10 Centers and districts in each community shall be targeted for a planned action according to the following priorities:\n\nMidland:\n- 99th Street Neighborhood Center (NC);\n\nSouth Portland Avenue Community Employment Center (CE);\nA Street/SR 512 CE;\nNorth Portland Avenue Mixed Use District (MUD); and\n72nd Street MUD.\n\nParkland:\nGarfield Street Activity Urban Center (AUC);\nSouth Steele Street CE;\nNorth Steele Street CE;\nSouth Parkland/Pacific Avenue MUD;\nNorth Parkland/Pacific Avenue MUD;\n112th Street MUD;\nPark Avenue/112th Street/C Street NC; and\nCentral Parkland/Pacific Avenue MUD.\n\nSpanaway:\nCentral Spanaway/Pacific Avenue MUD;\nSpanaway Park AC;\nMountain Highway CEC/8th Avenue MUD/8th Avenue Community Center (CC); and\n176th Street CC;\nSprinker Urban Center\n\nMountain Highway:\n8th Avenue S. and Mountain Highway (Walmart)\n\nEmployment Opportunities\n\nGOAL PSM EC-11 Encourage Washington State to develop a Washington State Economic Security Department co-location site within the communities plan area.\n\nParks and Recreation Policies\n\nPark Site Acquisition\n\nGOAL PSM PR-1 Focus on park site acquisitions that serve to expand existing facilities.\n\n| PSM PR-1 | Expand Gonyea Playfield with an extension to the Hope property through walking trails and road-crossing striping. |\n|----------|------------------------------------------------------------------------------------------------------------------|\n| PSM PR-2 | Expand Dawson Playfield by adding any vacant adjacent parcels to provide more park/open space area. |\n| PSM PR-3 | Priority should be given to expanding a system of community and neighborhood local level parks that are within walking distance of residential neighborhoods. |\n\n**GOAL PSM PR-2**\nPurchase additional land throughout the plan area for future development of park facilities.\n\n| PSM PR-1 | High priority areas for future park acquisition include: |\n|----------|--------------------------------------------------------|\n| PSM PR-.1 | Areas around Ford Middle School and Harvard and Midland Elementary schools; |\n| PSM PR-.2 | 169th and 170th and SR 7; |\n| PSM PR-.3 | Property between Mayfair Playfield and Brookdale Golf Course; Around the Spanaway Speedway (22nd and Military Road); |\n| PSM PR-.4 | 176th past B Street by the Prairie House Museum (Spanaway Historical Society) located at 824 E. 176th Street; |\n| PSM PR-.5 | South Spanaway area – Elk Plain road shop site or Bethel High School area; |\n| PSM PR-.6 | South of Tule Lake Road and Clover Creek and along the edges of Clover Creek and North Fork Clover Creek; Look for recreation opportunities on existing Conservation Futures or SWM property near Clover Creek west of Pacific or North Fork Clover Creek areas; |\n| PSM PR-.7 | Larger park or several smaller parks south of 152nd and east of SR 7; |\n| PSM PR-.8 | Local park in the Midland area; Golden Given and 105th Street E.; |\n| PSM PR-.9 | C Street on the south side of Clover Creek; |\n| PSM PR-.10 | Look for opportunities for passive recreation on Surface Water properties in the area of A Street and B Street and along 132nd, 133rd, 134th, etc.; and |\n| PSM PR-.11 | Other designated locations along Clover Creek. |\n\n**PSM PR-2**\nNew level of service standards for developing recreational facilities on existing park sites should be achieved pursued in conjunction with acquisition of raw land.\n\n**NOTES**\n\n78 Address issue: add Brookdale Golf Course\n79 Delete policy\n80 Delete policy\n81 Delete policy\n\nPark and Recreation Facility Development and Level of Service (LOS) Standards\n\nGOAL PSM PR-3 Explore alternative methods of funding regional park and recreation facilities.\n\nPSM PR-.1 Pierce County should continue to operate Sprinker Recreation Center (SRC) as a regional park facility and pursue additional private vendors (such as soccer clubs) as a means to enhance programs and activities.\n\nPSM PR-.2 Explore sponsorship opportunities to support recreational programs at SRC.\n\nPSM PR-.3 Continue to improve the financial performance of SRC, including regular increases in review and adjustment of fees to help pay for the actual costs of operating and maintaining league play;\n\nPSM PR-.4 Continue to explore methods to increase, and savings from operational efficiencies.\n\nGOAL PSM PR-4 The County should assist the community to develop a funding mechanism for the acquisition and development of local park and recreation facilities. The standards below provide recommended policies to guide this effort:\n\nPSM PR-.1 Support the creation of a park service area to help fund and develop community and neighborhood local level parks throughout the plan area.\n\nPSM PR-.2 Require an impact fee, land dedication, or fee in lieu of dedication for community and neighborhood local parks based upon the adopted LOS standards set forth in the technical appendixcreation of a park service area.\n\nPSM PR-.1 Amend existing development regulations to ensure consistency with the neighborhood local level of service standards set forth in the technical appendixcreation of a park service area.\n\nPSM PR-.2 At such time as a park service area is formed, an impact fee or fee in lieu of dedication program for community parks should be developed and administered by Pierce County. Collected fees should be transferred to the park service area used for park the acquisition and development of local parks within the plan area.\n\nPSM PR-.3 New Master Planned Communities should be required to dedicate land for the development of community parks that are available to the general public.\n\nPSM PR-.4 Require all new residential lots or new residential units on lots of record to pay an impact fee, dedicate land, or pay a fee in lieu of land dedication for the development of local parks. The structure of each of these options shall be correlated to the LOS standards set forth in the technical appendix.\n\nPSM PR-.5 In no case shall a required dedication of land within a residential development be less than 5,000 contiguous square feet.\n\nWhere appropriate, develop park facilities that generate funds. Incorporate revenue collection into design of new community and neighborhood parks.\n\nWhen appropriate, consider charging user fees at sites that provide recreational opportunities at a rate that will support the facilities maintenance and operating costs.\n\nConsider a sliding fee structure to allow fee discounts for low income and elderly individuals.\n\nMaintain the countywide LOS for regional parksthe parks system within the plan area.\n\nEncourage the County to establish LOS standards for community and neighborhood level park and recreation facilities.\n\nEnsure that publicly-owned park sites are protected and maintained in perpetuity.\n\nPlace conservation easements or covenants on existing and acquired publicly-owned park sites that restrict future uses to park and recreation activities.\n\nRequire any proceeds from sales of publicly-owned park sites located within the plan area be used to purchase an equivalent or greater amount of land within the plan area for park and recreation use.\n\nThe quality of the land needs to be the same or greater than that of any piece sold.\n\nNew parks within the plan area should be designed and located to serve the needs of all segments of the community per the County’s Parks, Recreation, and Open Space Plan.\n\nThe size of a regional park is typically 40 acres; however, these parks may be developed on larger or smaller parcels.\n\nThe size of a community park is typically 15 to 25 acres.\n\nAccess to a community park should be from an arterial street if traffic volumes are anticipated to be high, and parking shall be dependent upon the facilities provided. Restroom facilities should be provided at a community park.\n\nThe size of a neighborhood park is typically 5 to 10 acres.\n\nNeighborhood Local parks should be separated from one another in a relatively even manner throughout the plan area.\n\nTypically a one to two-mile separation is desirable.\n\n| PSM PR- .3 | Neighborhood Local parks should be reasonably central to the neighborhood they are intended to serve. |\n|-----------|----------------------------------------------------------------------------------------------------------|\n| PSM PR- .4 | Access to a neighborhood park should be via a local residential street. |\n| PSM PR- .5 | Walking and bicycle access routes should avoid physical barriers such as major arterial roads or stream crossings whenever possible. |\n| PSM PR- .6 | Parking or restroom facilities are typically not provided at a neighborhood park. |\n| PSM PR- 4 | Neighborhood Local parks should be developed adjacent to school sites whenever possible to promote facility sharing. |\n| PSM PR- .1 | Facilities on the neighborhood local park site should supplement uses that the school does not provide such as trails, open space, picnic areas, playground equipment, and multi-purpose paved courts. |\n| PSM PR- .5 | Mini-parks shall be provided in all new residential subdivisions, multifamily complexes, mobile home parks, and senior housing developments. |\n| PSM PR- .1 | Each mini-park should be improved with a variety of recreational amenities such as a playground, sports court, tot lot, picnic facility, gazebo, on-site water line, and associated landscaping. |\n| PSM PR- .2 | When possible, open space tracts, screening buffers, and stormwater facilities should be connected with any mini-park to create the opportunity for a system of integrated walking trails. |\n| PSM PR- .3 | At a minimum, there should be a mini-park every four or five blocks. |\n| PSM PR- .4 | Require walking paths or trails that connect new residential developments to any dedicated mini-park area. Such paths or trails should not cross any major roadways. |\n| PSM PR- 6 | Areas designated for parks should be located contiguous to other designated park or open space areas. |\n\n**Trails**\n\n**GOAL PSM PR-8** Utilize a classification system to distinguish the level of service (LOS) for each type of trail.\n\nPSM PR- .1 Major trails link destinations, provide for all user groups, and serve a regional scale.\n\nPSM PR- .2 Minor trails should provide access to local points of interest or unique environmental features, serve smaller user groups, and are typically at the community or neighborhood scale.\n\n**GOAL PSM PR-9**\nPurchase additional land throughout the plan area for future development of trail facilities. High priority areas for future trail acquisition and development include:\n\n- **PSM PR-.1** Along Clover Creek and North Fork Clover Creek;\n- **PSM PR-.2** Parkland east and west - Tule Lake Road to accommodate five schools going to Parkland Prairie, Schibig farm, and Gonyea Park; and\n- **PSM PR-.3** Parkland north and south - C Street to Park Avenue to Yakima Avenue to SRC.\n- **PSM PR-.4** Parkland Core Trail\n\n**GOAL PSM PR-10**\nRequire the dedication of major and minor trails during the site development process for proposed trails as identified in an adopted county plan.\n\n- **PSM PR-.1** Designated trails should be considered for each subdivision and site plan approval.\n- **PSM PR-.2** When a site is located along a proposed trail route, then a linear section of land shall be dedicated and developed as a condition of approval.\\(^{84}\\)\n - **PSM PR-.1** Such portion of land shall be credited toward any required park land dedication.\n- **PSM PR-.3** When a site is not located along a proposed trail route, then a fee in lieu of land dedication shall be required to contribute toward the regional trail system.\n- **PSM PR-.4** Required land dedications or fee in lieu of land dedications for minor (local) trails shall be based on the LOS standard described in the technical appendix and for major (regional) trails based on the LOS standard described in the Comprehensive Plan.\n- **PSM PR-.5** Consider dedicating unopened rights-of-way and other public lands for trail purposes.\n\n**Existing Parks and Recreation Areas**\n\n**GOAL PSM PR-11**\nConduct maintenance and renovations that serve to enhance existing regional park and recreation facilities and programs.\n\n- **PSM PR-.1** Pierce County should continue the ownership and management of SRC and Bresemann Forest site for parks and recreation purposes and should complete the SRC Master Site Plan process (phase II and implementation strategy), and implement the recommendations contained in the phase I report including:\n\n| PSM PR- .1 | Initiate discussions with Fire Protection District No. 2 regarding the status of the satellite fire station and the potential reacquisition of the district’s .60-acre parcel. |\n|-----------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| PSM PR- .2 | Evaluate whether ice rink facilities can be expanded at SRC by adding a second sheet of ice to accommodate increased user volumes and activities. |\n| PSM PR- .3 | Enclose/cover the existing outdoor tennis courts at SRC to meet increasing demands for indoor tennis facilities. At a minimum, improve the outdoor tennis facilities for safety and attractiveness; |\n| PSM PR- .4 | Expand SRC to include indoor soccer programs and a full conditioning, weight training, and gymnasium complex; |\n| PSM PR- .5 | Retain Spire Rock and pickleball, handball, racquetball, and basketball courts within the SRC complex; |\n| PSM PR- .6 | Improve and expand support areas within SRC such as restrooms, hallways, locker rooms, and training rooms; |\n| PSM PR- .7 | Improve the access to SRC by providing better connections to the surrounding neighborhoods and to Spanaway Park through sidewalks, pathways, and crossings; |\n| PSM PR- .8 | Improve the parking lot landscaping, lighting, stormwater control, and signage at SRC; and |\n| PSM PR- .9 | Conduct immediate actions for SRC facility, as outlined in the SRC Master Plan, to improve access and life safety. |\n\n**NOTES**\n\n85 Delete policy\n\n86 Delete policy\n\n87 Delete policy\n\n---\n\n**PSM PR- .2**\n\nEvaluate establishing a start-up location for a Boys and Girls Club at SRC.\n\n**PSM PR- .1**\n\nThe Boys and Girls Club should include a computer lab and programs.\n\n**PSM PR- .3**\n\nInstall a skateboard park at SRC.\n\n**PSM PR- .4**\n\nInstall outdoor covered basketball courts at SRC.\n\n**PSM PR- .5**\n\nUpdate the Bresemann Forest management plan.\n\n**PSM PR- .1**\n\nAddress the trail system and the need for amenities.\n\n**PSM PR- .2**\n\nConsider invasive plant removal.\n\n**PSM PR- .3**\n\nExplore environmental education opportunities.\n\n**PSM PR- .6**\n\nDevelop an environmental education trail along Spanaway Park/Spanaway Creek regarding wetlands/riparian areas.\n\nProvide a portable restroom facility near Bresemann Forest/Spire Rock.\n\nAddress the goose overpopulation problem in Spanaway Park.\n\nProvide upgrades to existing community and neighborhood parks within the plan area.\n\nCommence development of the Hope site as future expansion of Gonyea Playfield.\\(^{88}\\)\n\nClean up the garbage at the Hope site and maintain site until development occurs.\\(^{89}\\)\n\nUpdate the site plan for Dawson Playfield that at a minimum addresses drainage and the ball fields.\n\nRe-establish and maintain the wading pool and resurface the existing tennis courts Develop a splash pad at Dawson Playfield.\\(^{90}\\)\n\nIncrease enforcement and safety within park and recreation facilities.\n\nContinue Establish bike and horseback patrols of the parks by the Pierce County Sheriff’s Department. Provide foot patrols in Bresemann Forest to deter people from lighting fires/camping and perpetrating vandalism around Spire Rock.\\(^{91}\\)\n\nIncrease enforcement of scoop/leash laws.\n\nProvide plastic sacks in park areas for dog scoops.\n\nReclassify Gonyea Playfield to a neighborhood park.\\(^{92}\\)\n\nDevelop regional swimming pools within the plan area.\n\nConsider putting a regional level swimming pool at one of the local high schools or at SRC.\n\nExpand the public swimming opportunities at Pacific Lutheran University pool.\n\n**Agency Coordination**\n\nPartner with local school districts and other agencies to develop safe pedestrian and bicycle paths connecting schools and parks in a community trail network.\n\nSchool fields should not be over-used by the community to the extent that they become damaged.\n\nCommunity groups and recreation organizations should pay user fees to the school district that compensate for the costs associated with maintenance of school district facilities.\n\nTransportation Policies\n\nNonmotorized Transportation\n\nGOAL PSM T-1 Meet the needs of bicyclists, pedestrians, and equestrians traveling on roads in the County and encourage the provision of nonmotorized facilities, including sidewalks, where it is appropriate to provide safe and convenient access between properties and facilities.\n\nPSM T-.1 Separate nonmotorized facilities should be provided for incompatible modes in areas of intensive demand.\n\nPSM T-.2 Nonmotorized routes should be planned to avoid major arterial highways by following adjacent parallel rights-of-way where possible.\n\nPSM T-.3 Nonmotorized facilities that serve or provide access to recreation areas should not interfere with other recreation activities in the area.\n\nPSM T-.4 Freeway overpasses and underpasses should include safe and accessible sidewalks and paved shoulders for pedestrian and bicycle traffic.\n\nPSM T-.5 Maps, signs, and directional markers should be incorporated in the nonmotorized transportation system.\n\nPublic Transportation and Commuter Trip Reduction\n\nGOAL PSM T-2 Explore opportunities to increase transit service in the Parkland-Spanaway-Midland (PSM) communities such as:\n\nPSM T-.1 New east-west routes and higher frequency for all routes;\n\nPSM T-.2 Increase time range of service to continue running in the late evening;\n\nPSM T-.3 Provide and maintain transit restroom facilities;\n\nPSM T-.4 Utilize transit vans where cost efficient;\n\nPSM T-.5 Integrate school transit and public transit; and\n\nPSM T-.6 Extend rail service to the PSM communities and ensure that the commercial centers are connected to the regional rail service.\n\nNOTES\n\n93 Address issue: make sure transportation can keep up with densification. Create connections, thoroughfares, keep traffic out of residential neighborhoods, address lack of shoulders, review project list\n\n94 Address issue: consolidate list and call it nonmotorized\n\n95 Address issue: remove “explore opportunities” and address facilities (restrooms to increase service). Need more capacity at existing park and rides, potentially more options\n\n96 Address issue: split policy\n\n97 Change text: “Increase” to “expand”\n\n98 Delete policy\n\n99 Change text: “Integrate” to “Coordinate”\n\n100 Address issue: Consider existing rail\n\nSustainable Transportation\n\nGOAL PSM T-3 Access on and off SR 512 should be limited to Steele Avenue, and Canyon Road.\n\nPSM T-.1 State Route 7, Canyon Road, Portland Avenue, and Midland Road remain the only major north-south arterials.\n\nGOAL PSM T-4 Work with the Washington State Department of Transportation to manage the flow of traffic volume on SR 7.\n\nNOTES\n\n101 Address issue: change name of section to circulation and move it to the top\n102 Delete policy\n103 Delete policy\n104 Delete policy\n105 Delete policy and sub-policies\n106 Delete policy\n\nUtilities Policies\n\nSewer and Wastewater Treatment\n\nSchedule construction activities to avoid sensitive time periods in the life cycle of fish and wildlife, such as spawning, nesting, and migration.\n\nGOAL PSM U-1 Design landscaping around sewerage facilities to reflect the area surrounding the facility or as otherwise provided in community plan design standards.\n\nGOAL PSM U-2 Implement or administer contamination protocols during construction of sewer utilities.\n\nPSM U-.1 Enforce spill containment practices.\n\nPSM U-.2 Service and fuel construction equipment outside of construction areas when practical.\n\nPSM U-.3 Remove and dispose of contaminated materials in appropriate locations.\n\nPSM U-.4 Adjust facility locations and alignments in the event that contaminated soils, groundwater, or buried wastes are identified during construction.\n\nRemove exotic invasive species such as Scot’s broom and Himalayan blackberry in conjunction with revegetation of disturbed areas.\n\nGOAL PSM U-3 Design treatment/collection systems to minimize impacts on the natural environment and surrounding development.\n\nPSM U-.1 Consider the noise sensitivity of neighboring uses during the design of sewage facilities.\n\nPSM U-.2 Design housing for above ground pump stations to be harmonious with surrounding structures.\n\nEstablish conservation measures that minimize the impacts of water usage associated with sewer utilities.\n\nPSM U-1 Urge retention of plumbing code requirements Encourage use of low-flow fixtures.\\textsuperscript{107}\n\nPSM U-2 Support cost-effective incentive programs for plumbing fixture and appliance replacement in service areas.\n\nPSM U-3 Participate in public information and education programs on water conservation in service areas.\n\nContinue an aggressive infiltration and inflow control program.\\textsuperscript{108}\n\nContinue an aggressive pretreatment program.\\textsuperscript{109}\n\n\\textit{Domestic Water Systems}\n\nGOAL PSM U-5 Pierce County should pursue encourage the needed changes in state legislation either to ensure that water rights needed to accommodate future growth can be obtained or that the Growth Management Act be amended to limit growth in the County so that additional water rights are not necessary.\\textsuperscript{110}\n\nPierce County should continue to develop the Pierce County Water Utility as a source of wholesale water for purveyors operating within Pierce County.\\textsuperscript{111}\n\n\\textit{Stormwater Facilities}\n\nGOAL PSM U-6 Enhance drainage facilities within the plan area.\n\nPSM U-1 Adequately size stormwater pipe/culvert and retention/detention systems in new development to handle conveyance and storage/slowdown of surface water runoff and install in such a manner as not to impede or alter substantially the flow of existing water bodies.\n\nPSM U-2 Acquire flood-prone properties (both public and private) within the plan area, such as B Street, 136th, and Tule Lake Road, for future stormwater detention areas.\\textsuperscript{112}\n\nPSM U-3 Identify all culvert and stormwater inlets that discharge directly into or that are tight-lined directly to wetlands, lakes, and riparian areas.\n\nPSM U-.1 Develop a program and timeline to retrofit any points of direct discharge and redirect this discharge into appropriate stormwater detention/retention or water quality facilities.\n\nIn any new development, prohibit stormwater from being directly piped into surface water bodies (i.e., wetlands, streams, creeks, lakes).\n\n**NOTES**\n\n113 Delete policy and sub-policy\n\n**PSM U-.4** Explore the merger of the local drainage districts with Pierce County Surface Water Management.\n\n**PSM U-. .1** At a minimum, coordinate ditch maintenance and additional release of surface water runoff into existing ditches with applicable drainage districts.\n\n**PSM U-.5** Create a new program to *adopt a stormwater pond*.\n\n**PSM U-. .1** Explore opportunities to utilize these ponds for educational activities.\n\n**PSM U-. .2** Encourage groups to provide enhancements to the natural environment in accordance with the plan.\n\n**PSM U-. .3** Establish volunteer monitoring of the ponds.\n\n**PSM U-. .4** Allow selected groups to place a sign on the site that indicates they are working in conformance with the adopted plan.\n\nAttachment E: Parkland-Spanaway-Midland Update Summary\n\n1/10/18 Review draft for PSMAC. Includes draft Land Use Element\n\nLand Use Policies\n\nGoals\n\nThe following statements comprise a general land use goal which will be used to guide the development of more specific goals and standards throughout the communities plan Land Use Element:¹\n\n- Uses should locate in those areas where sufficient infrastructure and services exist or can be readily and economically provided;\n- Higher intensity uses should locate in areas where impacts on adjacent lower intensity uses and natural systems would be minimal. The intensity of an allowed use should be proportional to the ability of such use to mitigate its impacts on its surroundings; and\n- Uses should be designed and located to allow for sufficient areas in the community for low, moderate, and high intensity development.\n\n- The majority of future growth within the plan area should be concentrated within the Center and Corridor designations along SR-7, 112th Street East, and 176th Street East.\n\nThe following statements comprise the goal for commercial and industrial character and development in the Parkland-Spanaway-Midland Communities Plan:²\n\n- Commercial development, designed and scaled to serve the needs of residents within the boundaries of the communities plan and those in nearby communities, should be concentrated along the Pacific Avenue/Mountain Highway; and 112th Street East within designated Centers and Corridors, and 72nd Street corridors; where existing or planned placement of public facilities, utilities, and services can support such development in an efficient manner;\n\n- Commercial development, designed and scaled to serve the needs of neighborhoods primarily within the boundaries of the communities plan, should be concentrated in pedestrian-oriented commercial centers along portions of Portland Avenue and 112th Steele Street where existing or planned placement of public facilities, utilities, and services can support such development in an efficient manner;\n\n- Commercial and industrial development should be allowed to occur only when adequate public facilities and services are available and the carrying capacity of the natural environment is not exceeded;\n\n- Groupings of compatible commercial and civic uses of various individual intensities should be concentrated in moderate and high intensity pedestrian-oriented commercial centers along the Pacific Avenue/Mountain Highway corridor and 112th Street East;\n\n- Individual uses of various individual intensities should be located in auto-oriented and auto/pedestrian-friendly commercial corridors along Pacific Avenue/Mountain Highway and 112th Street East, between moderate intensity and high intensity pedestrian-oriented commercial centers and employment centers. The architectural and site design characteristics of auto-oriented and auto/pedestrian-friendly uses shall serve to\n\nenhance the aesthetic character of the Pacific Avenue/Mountain Highway corridor and 112th Street East;\n\n- Residential and civic uses should separate commercial centers along Portland Avenue and 112th Streets;\n- Low and moderate intensity commercial development should be allowed to occur where adequate separation, buffering, and sensitive placement of buildings and parking can make such development compatible with adjacent residential neighborhoods;\n- Development and redevelopment of low, moderate, and high intensity commercial areas should enhance the image and appearance of those areas and the overall community;\n- Low intensity industrial activities which require convenient transportation access, have low employee densities, and cause minimal environmental impacts should be encouraged to remain or locate in proximity of the north end of McChord Air Force Base;\n- Low and moderate intensity industrial activities should be limited to commercial centers and auto/pedestrian-friendly employment centers located within Employment Center designations along the Pacific Avenue/Mountain Highway, A Street, SR-7, SR-512, Portland Avenue, and Steele Street corridors, where such uses are or can be made compatible with surrounding non-industrial uses through adequate separation, buffering, and sensitive placement of buildings and parking; and\n- Strive to make nonconforming uses, nonconforming developments, nonconforming use of structures, and nonconforming use of land more compatible with existing and future conforming uses and development by: 1) restricting or prohibiting the expansion of nonconforming uses, depending upon the land use designation and the degree of consistency with the comprehensive and communities plans; and 2) increasing public involvement in review of any request to expand a nonconforming use, nonconforming development, nonconforming use of structures; and nonconforming use of land.\n\nThe following statements comprise the goal for residential character and development in the Parkland-Spanaway-Midland Communities Plan:\n\n- The key to health, safety, a strong sense of community, and a high quality of life in the Parkland-Spanaway-Midland region is to preserve, maintain, and enhance existing residential neighborhoods, and develop and maintain new residential neighborhoods which provide a variety of well and sensitively designed and sited housing types, densities, and complementary land uses;\n- The majority of the Parkland-Spanaway-Midland region should consist of medium density residential neighborhoods with recreational, commercial, professional, and other services of low, moderate, and high intensity in defined locations convenient to residents;\n\n• Residential development should be allowed to occur only when adequate public facilities and services are available and the carrying capacity of the natural environment is not exceeded;\n\n• The character of historically low density residential areas should be preserved, restored, and maintained; \n\n• Areas with historically low residential densities, significant environmental constraints, or compatibility conflicts with adjacent military installations and industrial uses should be maintained with low urban densities; and\n\n• Public and private facilities and services, which enhance and are compatible with the living environment of residents and are of an appropriate scale and design, may be integrated into residential neighborhoods.\n\n• High density residential development should be concentrated within Center and Corridor designations.\n\nCOMMERCIAL & INDUSTRIAL\n\nGOAL PSM LU-1 Commercial centers shall be focused around key intersections in transportation corridors that serve one or more neighborhoods or communities and provide a people place as well as a commercial focus for businesses along the corridor.\n\nPSM LU-1 In new development and redevelopment, incorporate substantial landscaping, both along street frontages and within parking lots:\n\nGOAL PSM LU-2 Ensure that all new development and redevelopment in the commercial centers reflects the unique character of each center.\n\nPSM LU-1 Development codes shall be revised as needed to recognize the historic uniqueness of certain centers, including the Garfield Street Activity Center, through appropriate performance standards, design standards and guidelines, and other measures.\n\nPSM LU-2 The commercial centers along the Pacific Avenue/Mountain Highway corridor shall be comprised of a mixture of uses consistent with each center’s role as a pedestrian-oriented gathering place for the Parkland and Spanaway communities and the broader central Pierce County area.\n\nPSM LU-3 The commercial centers along the Portland Avenue corridor shall be comprised of a mixture of uses consistent with each center’s role as a pedestrian-oriented gathering place for the Midland community.\n\nGOAL PSM LU-3 Develop parking programs for the commercial centers which recognize and support the area’s historic or planned pedestrian character, while providing sufficient parking for customers of all businesses.\n\nPSM LU-1 Pierce County shall work with the business community in public/private partnerships to develop a coordinated and effective approach to providing adequate parking and circulation within the centers.\n\nA comprehensive study of parking, transit, and nonmotorized transportation needs of each commercial center shall be made to determine the most efficient method of meeting the unique demands of the area and the role of the public and private sectors in accommodating the demands.\n\nThe development of parking lots open to the general public shall be guided by a parking plan for each commercial development.\n\nParking policy for a center shall balance the impact of parking on each center’s pedestrian character, economic development, and transit usage.\n\nExplore greater use of road rights-of-way as a method to increase parking in pedestrian-oriented commercial neighborhoods.\n\nSome flexibility in the general parking requirements of the Pierce County Development Regulations may be necessary to accommodate re-use of existing buildings and to accommodate new development or redevelopment, given the pattern of existing development in centers.\n\nProvide for the orderly transition to other uses of older residential or commercial areas that are no longer viable for their original use, scale, or intensity of use.\n\nPortions of arterials experiencing strong pressure for commercial development, but not yet committed to general commercial uses, shall be identified as areas for offices, professional services, non-auto-dependent commercial services, and moderate or high density residential uses. The Development Regulations shall promote the development of professional offices and similar uses along these arterials.\n\nResidential arterials having good potential for long-term maintenance of a quality living environment shall be protected from the intrusion of commercial uses. In some instances, these may be appropriate locations for churches and other religious institutions, or moderate or high density residential uses.\n\nSpecial location consideration shall be given to those manufacturing operations which are non-polluting of the environment.\n\nIndustries which handle hazardous or flammable materials shall be located away from residential areas and population concentrations.\n\nSpecial location consideration shall be given to those manufacturing operations which are non-polluting of the environment.\n\nIndustries which handle hazardous or flammable materials and strong or offensive odors shall be located away from residential areas and population concentrations.\n\nActivity Center Centers and Corridors\n\nThe Parkland Spanaway Midland Communities Plan contains portions of the Centers and Corridors Plan. SR-7 (Pacific Avenue and Mountain Highway), 112th Street East, and 176th Street East form the spine of the Centers and Corridors Plan. Centers and Corridors are part of the County’s plan to accommodate future growth by concentrating population, housing, and\n\nemployment growth along the main arterials in the County’s Central Urban Growth Area. The main arterials identified as Corridors include SR-7, SR-161, Canyon Road East, 112th Street East, and portions of 176th Street East.\n\n- The Centers within the plan are located at the intersections of SR-7 and Garfield Street, SR-7 and 152nd Street East/Military Road East, and SR-7 and 8th Avenue.\n- The Corridors within the plan area are located along SR-7, 112th Street East, and 176th Street East, connecting the Centers and connecting to other Community Plan areas.\n- The focus of the Centers and Corridors plan is on creating a sense of place at Centers with connections between Centers along Corridors whose purpose is to provide walkable, connected areas with access to services and multi-modal transportation opportunities.\n\n**Centers**\n\n**GOAL PSM LU-7** Designate three Urban Centers in the plan area at:\n\n- **PSM LU-.1** Garfield Street South and Pacific Avenue;\n- **PSM LU-.2** 152nd Street East and Pacific Avenue; and\n- **PSM LU-.3** 8th Avenue East and Mountain Highway.\n\n**GOAL PSM LU-8** Develop economically strong Centers, each with a distinct image and character, of bold architectural form, that provide for a mixture of commercial, civic, and residential uses, along with access to transit and public amenities, which will meet the general high intensity, pedestrian-oriented shopping and service needs of community residents and the surrounding communities and will partially satisfy community housing needs.\n\n- **PSM LU-.1** The Centers shall continue to be recognized as the business focal points of the community.\n- **PSM LU-.2** A diversity of uses, including moderate and high density residential uses should be encouraged to maintain a vibrant, active, and competitive Center for the community.\n- **PSM LU-.3** Support development of residential uses to increase transit viability and pedestrian activity within the Center.\n\n**GOAL PSM LU-9** Centers shall be focused around key intersections in transportation corridors that serve one or more neighborhoods or communities and provide a people place as well as a commercial focus for businesses along the corridor.\n\n- **PSM LU-.1** In new development and redevelopment, incorporate substantial landscaping, both along street frontages and within parking lots.\n\n| GOAL PSM LU-10 | Ensure that all new development and redevelopment in the Centers reflects the unique character of each Center. |\n|----------------|------------------------------------------------------------------------------------------------------------------|\n| PSM LU-.1 | Development codes shall be revised as needed to recognize the historic uniqueness of Centers through appropriate performance standards, design standards and guidelines, and other measures. |\n| PSM LU-.2 | The Centers along the SR-7 (Pacific Avenue/Mountain Highway) corridor shall be comprised of a mixture of uses consistent with each Center’s role as a pedestrian-oriented gathering place for the Parkland and Spanaway communities and the broader central Pierce County area. |\n\n| GOAL PSM LU-11 | Develop parking programs for Centers which recognize and support the area’s historic or planned pedestrian character, while providing sufficient parking for customers of all businesses. |\n|----------------|------------------------------------------------------------------------------------------------------------------|\n| PSM LU-.1 | Pierce County shall work with the business community in public/private partnerships to develop a coordinated and effective approach to providing adequate parking and circulation within the centers. |\n| PSM LU-.2 | A comprehensive study of parking, transit, and nonmotorized transportation needs of each commercial center shall be made to determine the most efficient method of meeting the unique demands of the area and the role of the public and private sectors in accommodating the demands. |\n| PSM LU-.3 | The development of parking lots open to the general public shall be guided by a parking plan for each commercial development. |\n| PSM LU-.4 | Parking policy for a Center shall balance the impact of parking on each Center’s pedestrian character, economic development, and transit usage. |\n| PSM LU-.5 | Explore greater use of road rights-of-way as a method to increase parking in Centers. |\n| PSM LU-.6 | The parking requirements of the Pierce County Development Regulations should be used to ensure adequate parking is available with the re-use of existing buildings and to accommodate new development or redevelopment, given the pattern of existing development in Centers. |\n\n**Activity-Center**\n\n| GOAL PSM LU-12 | Preserve and enhance the role of the Garfield Street, and Spanaway Park, and 8th Avenue East and Mountain Highway neighborhoods as the civic centers of the community and focal points for the broader area for governmental, educational, recreational, and cultural activities and businesses which support these activities, each with its own distinct image and character. |\n\nPSM LU-1 A diversity of uses, including pedestrian-oriented commercial, civic, and mixed use residential uses, shall be encouraged. Allow moderate intensity, pedestrian-oriented commercial retail and service, entertainment, and office uses.\n\nPSM LU-2 Promote, expand, and enhance the recreational, cultural, civic, or educational attractions and pedestrian-oriented commercial experience offered by the Activity Center to increase the draw of residents of nearby communities and visitors.\n\nGOAL PSM LU-13 Centers are the focal point of high density residential and commercial activity center for the community.\n\nPSM LU-1 The Center shall contain design standards that promote mixed-use development, small-scale storefronts, taller buildings, plazas, pedestrian access/streetscapes, and landscaping.\n\nPSM LU-2 Access between to the residential, civic, and commercial and transit use within the Center are a priority.\n\nPSM LU-.1 Connections by sidewalk, pedestrian paths or trails and bike paths or designated lanes are essential for the center.\n\nPSM LU-.2 All developments within the Centers shall provide connections that further access to the Corridor for transit and commercial services.\n\nPSM LU-3 The Center should serve as a focal point of commercial and civic activities for the Parkland-Spanaway-Midland communities.\n\nPSM LU-4 Permitted uses should include civic, high density residential, and pedestrian-scaled retail activities with big box commercial used as a draw for a Center.\n\nPSM LU-5 A residential component such as lofts, senior housing, and apartments above retail storefronts shall be included in the Center.\n\nPSM LU-6 Permit business uses and regulatory measures that allow personal services, small-scale retail, and sit-down eating and drinking establishments.\n\nPSM LU-7 All new commercial developments in the Urban Center must have residential uses as a component of the project.\n\nGOAL PSM LU-14 Promote Design and develop the Garfield Street Activity Urban Center as a compact, high-density, pedestrian-oriented, transit-friendly center.\n\nPSM LU-1 Promote creation of Allow restaurants, art galleries, theaters, and other uses as a key component to the Garfield Street Activity Urban Center.\n\nPSM LU-2 Commercial operations which are oriented to evening and drop-in services shall be encouraged to locate in the center.\n\nPSM LU-3 Within the Activity Center, new residential uses may exceed 25 units per acre as part of a mixed use development:\n\nPSM LU-.4 Placemaking design characteristics based on the primary draw of the Center, Pacific Lutheran University, shall extend to all parts of the Center.\n\nPSM LU-.1 Both sides of Pacific Avenue in the Center shall contain design elements that connect to and help create a sense of place focused on the University with a “college town” feel.\n\nPSM LU-.5 Mixed Use development shall focus around the transit center and provide direct access to the transit center.\n\nPSM LU-.6 Infrastructure improvements for the area around the transit center shall be prioritized to improve transit service and enhance the Center.\n\nGOAL PSM LU-15 Promote Design and develop the Spanaway Park-Activity Sprinker Urban Center as a pedestrian-oriented, transit-friendly center.\n\nPSM LU-.1 Promote Permit establishment of commercial businesses which complement the recreational activities of the public recreational facilities, e.g., Spanaway Park, Lake Spanaway Golf Course, and Sprinker Recreation Center.\n\nPSM LU-.2 Pierce County shall work with owners of the Marymount property to encourage development of the property to accomplish the following objectives:\n\nPSM LU-.1 Public display and appropriate maintenance or restoration of part or all of the Harold LeMay Car Collection;\n\nPSM LU-.2 Selection of private development activities (e.g., retirement housing, offices, etc.) to enhance the opportunity for family wage jobs for community residents, and to be compatible in type and placement with surrounding residential and commercial neighborhoods;\n\nPSM LU-.3 Incorporation of historic on-site structures or mature vegetation into future development, where feasible; and\n\nPSM LU-.4 Use of portions of the property as a public or private sector gathering place for community residents and visitors.\n\nPSM LU-.3 Pierce County shall work with the owners of the Harold LeMay Car Collection, the Tacoma-Pierce County Chamber of Commerce, Tacoma-Pierce County Convention and Visitors Bureau, and others to assist in the siting, funding, development, and marketing of a facility for the display of part or all of the Harold LeMay Car Collection in the Parkland-Spanaway-Midland community, preferably on the site of the Marymount Academy in Spanaway.\n\nPSM LU-.4 Create clearly defined entries into the Spanaway Park and Garfield Centers. These entries should include elements such as signage, landscaping, paving and street furniture.\n\nPSM LU-.1 Entrances to the Garfield Center should be defined at entrances to the Center along Park Avenue, C Street, and Pacific Avenue.\n\nEntrances to the Sprinker Park Center should be defined at the entrances to the Center along Pacific Avenue, Military Road, C Street, and 152nd Street.\n\nCreate a clearly defined entry into the Spanaway Park Activity Center from Pacific Avenue, Military Road, C Street, and 152nd Street through signage, landscaping, paving, and street furniture.\n\nPierce County Planning and Land Services shall work with the business community, the surrounding Spanaway community, Pierce County Parks and Recreation, Pierce Transit, PLU, and the WSDOT to develop a streetscape improvement plan for the Spanaway Park Activity Center Centers.\n\nThe Spanaway Park Activity Center Streetscape Improvement Plans for Centers shall address the following topics: public and private landscaping, sidewalk and crosswalk improvements, street furniture, signage, utility placement, funding sources, development priorities, etc.\n\nThe streetscape plan shall be assisted by zoning and design regulations that promote building location in close proximity to the arterials and creating a wide pedestrian space that allows for buffering from the arterial while improving pedestrian safety and activity.\n\nPromote the Towne Center at 8th Avenue East and Mountain Highway as a compact pedestrian-oriented, auto-friendly commercial center focused toward providing general household goods, specialty goods, banking, professional, and commercial services to the surrounding Spanaway community, and to those in other communities passing through the center, given its location along Mountain Highway.\n\nBuilding mass and orientation should be pedestrian scaled.\n\nSite design and building orientation shall safely accommodate pedestrians and should incorporate connections to the surrounding residential neighborhoods.\n\nThe Towne Center should be a compact node and should not sprawl further south on Mountain Highway.\n\nCommunity commercial uses draw from a variety of neighborhoods, including South Pierce County rural areas.\n\nCommunity commercial uses include stores and activities to which patrons can walk, drive, or take transit. Uses such as large commercial centers and stores, grocery stores, theaters, and large-scale clothing stores should be located in the Towne Center.\n\nThe Towne Center shall contain design standards that emphasize safe pedestrian connections throughout the Center.\n\nGOAL PSM LU-17 Develop economically strong Community Centers, each with a distinct image and character, of bold architectural form, that provide for a mixture of commercial, civic, and residential uses, along with access to transit and public amenities; which will meet the general high intensity, pedestrian-oriented, auto-friendly shopping and service needs of community residents and the surrounding communities and will partially satisfy community housing needs:\n\nPSM LU-1 The Community Centers shall continue to be recognized as the business focal points of the community.\n\nPSM LU-2 A diversity of uses, including moderate and high density residential uses in appropriate locations, should be encouraged to maintain a vibrant, active, and competitive center for the community.\n\nPSM LU-3 Support development of residential uses in the primarily commercial portions of Community Centers as a secondary component of a mixed use project to increase pedestrian activity within the neighborhood.\n\nGOAL PSM LU-18 Promote the 176th Street Community Center as a compact pedestrian-oriented, auto-friendly commercial center focused toward providing general household goods, specialty goods, banking, professional, and commercial services.\n\nPSM LU-1 Promote the development of residential uses in the 176th Street Community Center in portions of the center where they can serve as a transition between commercial areas and adjacent residential neighborhoods and to increase pedestrian activity within the neighborhood.\n\nGOAL PSM LU-19 Promote the 8th Avenue Community Center as a compact pedestrian-oriented, auto-friendly commercial center focused toward providing general household goods, specialty goods, banking, professional, and commercial services to the surrounding Spanaway community, and to those in other communities passing through the center, given its location along Mountain Highway.\n\nCorridors\n\nSR-7 (Pacific Avenue and Mountain Highway) within the plan area and portions of 112th Street East and 176th Street East make up three of the major corridors that form the spine of the Centers and Corridors Plan. These Corridors connect the three Centers in the plan area. SR-7 and surrounding areas are generally designated at Urban Corridor and Neighborhood Corridor with portions of the area south of the “Roy Y” (intersection of SR-7 and SR-507) designated as Employment Corridor.\n\nUrban Corridor\n\nGOAL PSM LU-20 Designate the Urban Corridor on Pacific Avenue as an area for regional commercial and high density residential uses.\n\n**PSM LU-1** The purpose of the Urban Corridor is to provide opportunities for large, auto-oriented businesses.\n\n**PSM LU-2** The type of commercial uses in the Urban Corridor should serve a regional market, i.e. a market greater than Parkland-Spanaway-Midland residents and businesses.\n\n**PSM LU-3** The permitted commercial activities may include land consumptive (e.g. modular home sales) and auto-dependent businesses (e.g. warehouse grocery or building materials and supplies).\n\n**PSM LU-4** The size of the individual commercial buildings should be unlimited.\n\n**PSM LU-5** Regional commercial uses shall have design standards that lessen the impacts of noise, light, and glare.\n\n**PSM LU-6** Regional commercial uses are identified as auto-dependent.\n\n**PSM LU-7** All development within the Urban Corridor should provide safe pedestrian pathways, while accommodating automobiles.\n\n**PSM LU-8** Promote the Urban Corridor at 176th Street East and Pacific Avenue Community Center as a compact pedestrian-oriented, auto-friendly commercial center focused toward providing general household goods, specialty goods, banking, professional, and commercial services.\n\n---\n\n**NEIGHBORHOOD CORRIDOR**\n\n**GOAL SH LU-1** Promote the development of residential uses in portions of the Corridor where they can serve as a transition between commercial areas and adjacent residential neighborhoods and to increase pedestrian activity within the neighborhood.\n\n**GOAL SH LU-2** Designate the Neighborhood Corridors on Pacific Avenue paralleling the Urban Corridor.\n\n**SH LU-1** The neighborhood Corridor provides an area for moderate to high density residential uses as a transition to existing moderate density single family neighborhoods on either side of the Corridors.\n\n**SH LU-2** Densities in the Neighborhood Corridor shall be transit supportive of 12+ units per acres.\n\n**SH LU-3** The Neighborhood Corridor shall provide limited commercial uses that would service local needs within the corridor.\n\nSH LU-4 Access connections to the primary Corridor arterials shall be a priority for residential areas to access commercial and civic services and transit.\n\n**EMPLOYMENT CORRIDOR**\n\nGOAL PSM LU-21 Designate Employment Corridors along 112th Street east of Golden Given Road East and along portions of Mountain Highway south of the Roy Y where industrial uses exist.\n\nPSM LU-1 The Employment Corridor provides an area for industrial and office uses that generate employment in the community.\n\nPSM LU-2 Residential uses are not allowed in the Employment Corridor.\n\nPSM LU-3 The Employment Corridor shall provide limited commercial uses that would service the needs of employment uses within the Corridor.\n\nPSM LU-4 Access to transit within Employment Corridors is a priority.\n\n**Neighborhood Center Mixed Use**\n\nGOAL PSM LU-22 Provide needed products and services to neighborhood residents in a convenient, recognizable, compact, pedestrian-oriented location, while protecting existing and future residential neighborhoods from the disruptive effects of commercial intrusions.\n\nPSM LU-1 Neighborhood Centers shall be prevented from spreading along the arterials that serve them through clear Comprehensive Plan criteria for expansion.\n\nPSM LU-2 In neighborhood commercial developments, harmoniously reflect the design new developments to be compatible with the scale and architectural details of the surrounding residential structures neighborhood.\n\nPSM LU-3 Promote the development of residential uses in portions of Neighborhood Centers Mixed Use areas where they can serve as a transition between commercial areas and adjacent residential neighborhoods and increase pedestrian activity within the Neighborhood Center Mixed Use area.\n\nPSM LU-4 Support development of residential uses in the primarily commercial portions of Neighborhood Centers as a secondary component of a mixed use project to increase pedestrian activity within the neighborhood.\n\nPSM LU-5 Through use of signage, landscaping, paving, and street furniture, create a clearly defined entry into: the 99th Street Neighborhood Center from 99th Street and Portland Avenue; and the 112th Street Neighborhood Center from 112th and C Streets and Park Avenue.\n\nMixed Use District\n\nGOAL PSM LU-23 Promote Mixed Use Districts as areas with cohesive identities which are attractive, safe, functional, diverse, and profitable auto-oriented places to live, do business, shop, and work.\n\nPSM LU-.1 Promote portions of the various Mixed Use Districts as auto-oriented commercial areas focused toward providing large household goods, automobile-related and dependent products and services, and single-purpose professional services.\n\nPSM LU-.2 Mixed Use Districts will convey a positive reflection of the community as a whole, and of the surrounding residential and business neighborhoods in particular.\n\nPSM LU-.3 MUDs are corridors in which buildings, parking, and plantings are prominent and uses are oriented to transit and automobiles.\n\nPSM LU-.4 In new development and redevelopment, incorporate substantial landscaping, both along street frontages and within parking lots.\n\nPSM LU-.5 Encourage the development of corridor focal points, while ensuring high quality architectural design.\n\nGOAL PSM LU-24 Encourage the appropriate use of areas adjacent to heavily traveled arterials while minimizing land use and traffic conflicts.\n\nPSM LU-.1 Pierce County shall identify those arterials that are appropriate for continued or future office and service commercial development, mixed use development (retail, service and office commercial, and residential), and moderate and high density residential development.\n\nPSM LU-.2 Residential uses shall be permitted except on the ground floor where commercial retail shall be the dominant use.\n\nPSM LU-.3 Pierce County should coordinate with Pierce Transit; and WSDOT, and Pierce County Public Works and Utilities to develop a transit and pedestrian-and bicycle safe and usable transportation system inclusive of transit, pedestrians, and bicycles that allows for safe and convenient movement through the Pacific Avenue, Mountain Highway, Portland Avenue, 112th Street, and 72nd Street corridors and encourages movement by bus.\n\nGOAL PSM LU-25 Promote the establishment of low and moderate intensity industrial, research, and office activities in Community Employment Centers (GECs) along the Pacific Avenue, Portland Avenue, A Street, 115th Street, Mountain Highway, and Steele Street corridors.\n\nPSM LU-.1 Locate where such uses are or can be made compatible with surrounding non-industrial uses through adequate separation, buffering, and sensitive placement of buildings, loading areas, materials storage, and parking.\n\nPSM LU-.2 GECs will have cohesive identities and will be attractive, safe, functional, diverse, and profitable places to work and do business, and are a positive reflection of the community as a whole.\n\nPSM LU-.3 Low and moderate intensity industrial manufacturing, research, office, industrial service, and warehousing uses and activities that provide living wage jobs shall be promoted where they provide local needed services; increase local employment opportunities; and where environmental impact on surrounding uses can be mitigated.\n\nPSM LU-.4 Retailing of goods and services shall be limited to bulk commodities and large items requiring on-site warehousing (e.g., building materials, commercial equipment, and supplies).\n\nPSM LU-.5 All developments on the periphery of the industrial area shall be designed, screened, bermed, or other means implemented to mitigate undesirable impacts upon surrounding areas.\n\nResidential\n\nGOAL PSM LU-26 The permitted residential densities shall discourage urban sprawl throughout the plan area.\n\nPSM LU-.1 The density of new residential growth shall be a minimum of 4 dwelling units per acre (net) throughout the overall plan area. Residential densities throughout the plan area should meet the standard for urban development at a minimum density of four dwelling units per net acre, unless significant environmental constraints exist on the site.\n\nPSM LU-.2 Residential areas where substantial environmental constraints exist shall develop at densities of 1 to 3 dwelling units per acre within the Residential Resource zone.\n\nPSM LU-.3 New residential growth in established single-family neighborhoods shall develop at densities of 4 to 6 dwelling units per acre.\n\nPSM LU-4 New residential growth in areas that serve as a transition between commercial centers and districts and employment centers and single-family neighborhoods shall develop at densities between 4 and 12 dwelling units per acre.\n\nPSM LU-5 New residential growth within commercial centers and districts shall develop at densities of 8 to 25 dwelling units per acre.\n\n**Moderate Density Single-Family**\n\nGOAL PSM LU-27 Residential densities in the Moderate Density Single-Family (MSF) designation should vary depending on the natural constraints, the type of development, proximity to facilities and services, and surrounding densities.\n\nPSM LU-1 Non-residential development within the Moderate Density Single-Family designation shall be limited to specified civic, resource, and utility uses and Essential Public Facilities.\n\nPSM LU-2 Attached single-family housing units within the MSF zone shall be limited to triplexes and fourplexes and permitted only by conditional use permit.\\(^{18}\\)\n\nPSM LU-.1 Attached single-family units shall have ground level access to each unit unless architecturally designed to appear as a single-family dwelling.\n\nPSM LU-3 Allow community gardens and small-scale hobby farms when farm management plans are utilized within the Residential Resource zone.\n\nPSM LU-4 Duplexes should be prohibited in the SF and RR zones and allowed in the MSF zone.\n\nGOAL PSM LU-28 Establish new residential zoning classifications that allow for variations in density within the The Moderate Density Single-Family land use designation provides three zone classifications that vary in density based on neighborhood character and site constraints.\n\nPSM LU-1 The Moderate Density Single-Family (MSF) zoning classification shall allow a minimum density of 4 dwelling units per acre and a maximum density of 6 dwelling units per acre.\n\nPSM LU-2 The Single-Family (SF) zoning classification shall allow a minimum and maximum density of 4 dwelling units per acre.\\(^{19}\\)\n\nPSM LU-.1 Single-family attached and two-family units shall be prohibited.\n\nPSM LU-3 The Residential Resource (RR) zoning classification shall allow a minimum density of 1 unit per acre when environmental constraints are present and a maximum density of 3 dwelling units per acre.\n\nGOAL PSM LU-29 The following characteristics shall be used when applying Residential Resource (RR) zone classification:\n\nPSM LU-1 Substantial environmental constraints, (e.g., wetlands, steep slopes).\n\nPSM LU-2 Connects identified open space corridors.\n\nGOAL PSM LU-30 The following characteristics shall be used when applying the Single-Family (SF) zone classification:\n\nPSM LU-.1 Established single-family residential neighborhoods with a minimum number of two-family and attached single-family dwelling units; and\n\nPSM LU-.2 A desire to maintain low densities in keeping with existing neighborhoods.\n\nGOAL PSM LU-31 The following characteristics shall be used when applying the Moderate Density Single-Family (MSF) zone classification:\n\nPSM LU-.1 Located within a distance of 1,500 feet from the High Density Residential, Mixed Use District, Community Center, Activity Center, Neighborhood Center, and Employment Center land use designations;\n\nPSM LU-.2 Areas where environmentally sensitive areas are not present;\n\nPSM LU-.3 In established neighborhood at 4 or more dwelling units per acre; and\n\nPSM LU-.4 Where sewer is available.\n\nResidential Resource\n\nGOAL PSM LU-32 Carefully control residential development activities in the Urban Growth Area on sites that have been identified as open space in the Comprehensive Plan Open Space/Greenbelt Map through implementation of a Residential Resource zone.\n\nPSM LU-.1 Avoid fragmentation of the remaining open space corridors that create habitat for wildlife species native to the plan area and that benefit water quality.\n\nPSM LU-.1 Vegetation and tree preservation shall be a priority on each site that is developed in the Residential Resource zone.\n\nPSM LU-.2 To enhance corridors, open space should be located on each site plan so that it provides connectivity, is contiguous to open space on adjacent properties, connects stands of trees, and provides areas for wildlife movement.\n\nPSM LU-.3 Those portions of a site which contain high priority resource categories should be designated as the open space tract as these areas are most likely to promote healthy fish and wildlife habitat areas and enhance water quality.\n\nPSM LU-.4 Compatibility between the proposed use and designated open space tracts, as well as between adjacent uses, shall be maintained through a variety of techniques such as increased setbacks and vegetative screens utilizing native plant species.\n\nPSM LU-.2 Utilize environmentally sensitive design standards for development on sites that are located in a Residential Resource zone.\n\nPSM LU-.1 Impervious surfaces, in the form of rooftops, roads, and lawns which generate rapid runoff and prevent infiltration of water into the ground for gradual recharge of streams, shall be avoided or mitigated.\n\nPSM LU-.2 The greater the intensity of the development in terms of the noise, traffic, odor, light, and other factors that could impact the open space corridor, the more open space shall be required, up to 50% of the site.\\(^{20}\\)\n\nPSM LU-.3 Individual dwelling units and accessory dwelling units should be designed and placed in such a manner to avoid impacting the open space tract.\n\nPSM LU-.4 Lawns, turf areas, driveways, and roads should be limited and located in a manner that will result in the least impact to the open space tract.\n\nPSM LU-.5 Buildings, signage, and other structures such as fencing shall be located in a manner that ensures protection of the open space corridor.\n\nPSM LU-.6 Other environmentally sensitive development tools should be considered for implementation including: reducing the amount of impervious surfaces on each site, minimizing soil disturbance and erosion, disconnecting constructed drainage courses, and utilizing micro-detention facilities on each lot where feasible rather than one facility at the end of a conveyance system.\n\nPSM LU-.3 Develop standards for implementation that describe a ratio between impervious surfaces and open space.\n\nPSM LU-.1 This ratio shall be based on the various environmentally sensitive development techniques and best management practices that are proposed on a site plan.\n\n**High Density Residential**\n\nGOAL PSM LU-33 The primary uses within the High Density Residential District (HRD) designation shall be moderate to high density single-family detached, two-family, attached single-family and multifamily uses development.\n\nPSM LU-.1 Commercial service and limited commercial retail establishments within the High Density Residential District designation shall be permitted only where the development is incorporated into a moderate to high density residential development complex.\n\nPSM LU-.2 Within the Moderate-High Density Residential (MHR) zone, retail shopping and convenience establishments shall be limited to 1,500 square feet, must be accessory to residential development, and must comply with residential design standards.\\(^{21}\\)\n\nPSM LU-3 Office uses are permitted in portions of the HRD designation recognized as transitional areas between commercial centers, districts, and single-family neighborhoods, and must comply with residential design standards.\n\nPSM LU-4 Compatible civic uses are permitted in the HRD designation and must comply with residential design standards.\n\nGOAL PSM LU-34 Establish new residential The High Density Residential District designation includes two zoning classifications that allow for variations in character density, uses and housing type within the High Density Residential District (HRD) land use designation.\\(^{22}\\)\n\nPSM LU-1 Within the Moderate-High Density Residential (MHR) zone classification, provides for moderate to high density residential development and compatible civic uses.\n\nPSM LU-.1 The MHR can serve as a transition between commercial centers and districts and the MSF land use designation.\n\nPSM LU-2 In the Residential Office/Civic (ROC) zone classification, provides for moderate to high density residential development; low to moderate intensity office, commercial service, and civic development; and limited commercial retail development in a pedestrian-oriented environment.\n\nPSM LU-.1 The ROC can serve as a transition between commercial centers and districts and the MSF land use designation.\n\nGOAL PSM LU-35 Locate based on the following criteria:\n\nPSM LU-1 Consider the following characteristics when applying the Moderate-High Density Residential (MHR) zone classification:\n\nPSM LU-.1 Vacant or redevelopable parcels within the Mixed Use District and Neighborhood Center Mixed Use land use designations;\n\nPSM LU-.2 Locations that provide direct access to public transportation services, commercial personal service and retail establishments, and other community amenities;\n\nPSM LU-.3 Areas where existing moderate to high density residential uses are already present;\n\nPSM LU-.4 Areas where environmentally sensitive areas are not present; and\n\nPSM LU-.5 Locations where moderate to high density residential uses can serve as a transition between commercial and employment areas and single-family neighborhoods.\n\nPSM LU-2 Consider the following characteristics when applying the Residential Office/Civic (ROC) zone classification:\n\nPSM LU-.1 Vacant or redevelopable parcels within the Mixed Use District and Neighborhood Center-Mixed Use land use designations;\n\nPSM LU-.2 Locations that provide direct access to public transportation services, commercial personal service and retail establishments, and other community amenities;\n\nPSM LU-.3 Areas where existing moderate to high density residential uses are already present;\n\nPSM LU-.4 Areas where environmentally sensitive areas are not present;\n\nPSM LU-.5 Locations where moderate to high density residential uses and pedestrian-oriented, low to moderate intensity office, commercial service, and limited retail commercial uses can serve as a transition between commercial and employment areas and single-family neighborhoods; and\n\nPSM LU-.6 The existing neighborhood is characterized by a mix of moderate to high density residential uses, and office, service commercial, or retail commercial development.\n\n**High Density Single-Family**\n\nThe High Density Single-Family (HSF) zone classification is a new classification intended to provide for single-family detached residential uses with all entry on the first floor, at densities ranging from 6 to 12 dwelling units per acre.\\(^{23}\\)\n\n**GOAL PSM LU-36**\nThe High Density Single-Family (HSF) designation was developed to provide for single-family detached and attached residential uses.\n\n**PSM LU-.1**\nThe High Density Single-Family (HSF) zoning classification shall allow a minimum density of 6 dwelling units per acre, and a maximum density of 12 dwelling units per acre.\n\n**PSM LU-.2**\nAll entrances to residential units within the HSF designation shall be on the ground floor.\n\n**GOAL PSM LU-37**\nLocate based on the following criteria:\n\n**PSM LU-.1**\nConsider the following characteristics when applying the High Density Single-Family (HSF) zone classification:\n\n**PSM LU-.1**\nLocated on an arterial, within 1,500 feet of a transit route;\n\n**PSM LU-.2**\nSeparated from other HSF areas, MHR areas, and MUD areas by 2,500 feet, or more May be used as a transitional zone between neighborhood scale commercial or multifamily development in HRD and NMU designations and lower density single-family residential areas;\n\n**PSM LU-.3**\nIndividual areas zoned HSF should be kept small in size to prevent the proliferation of large-scale apartment complexes; and\n\nPSM LU-. .4 Sewer availability.\n\nPSMAC Identified Policy Issues\n\nLand Use Element\n\n- General: quality of life (define), health, safety. Identify PLU as a focus area\n- General: living-wage jobs and attracting industries that create them\n- Delete fourth bullet in intro to land use – The character of historically low density residential areas should be preserved, restored, and maintained\n- Address issue: business opportunities at 176th and Pacific. Consider redeveloping character, cover in depth what it would look like in the design and character section. Encourage redevelopment.\n- Address issue: emphasize sidewalks\n- Goal LU-11 and sub-policies: clarify, turn into policy rather than statement, and expand to ensure adequate parking is available with the reuse of older buildings\n- LU 6.1: include offensive odors\n- Centers: like the idea of placemaking/establishing an identity for centers. Want to see signage and identifiers at center entrances. Apply to all centers.\n- LU 15.7 and 15.7.1: standardize what can be done in streetscape areas.\n- Neighborhood Center: reflect a neighborhood feel that is compatible with surroundings rather than scale and detail of surrounding structures, and to encourage sidewalks/ pedestrian access\n- Community Employment Center heading: change name to “Employment Center” for consistency\n- Goal LU-25: add 115th St.\n- LU 25-3: delete part “where they provide local needed services” and add another policy to make this an area for living wage jobs\n- Residential: look into new PDD regulations and consider eliminating PDDs\n- Residential: add language about developing at urban densities\n- LU 26.1-26.4: remove policies setting density and portray it in a table at beginning of section\n- LU 27.2: Delete policy\n- LU 28.2: Delete “minimum and maximum”\n- LU 32.2.2: revise to lower % and change “intensity” to “density. Consider deletion.\n- LU 33.2: increase allowed square footage or delete part limiting square footage.\n- LU-34: revise language in general, change part about “variations in character”\n\nwide variety of services such as providing advice, reports, marketing, financial needs, engineering, research, management, and related services that are necessary to conduct personal or professional business.\n\nA. **Administrative and Professional Offices.** Administrative and Professional Offices Use Type refers to offices, private firms, or organizations which provide professional or administrative services to individuals or businesses. Typical uses include employment services, property management services, title companies, law offices, engineering/surveying consulting firms, architecture and landscape architecture firms, advertising and public relations firms, diagnostic testing services, advertising agencies, travel agencies, talent agencies, insurance offices, real estate offices, investment brokers, financial planners, banking services with or without drive through facilities, offices for non-profit and quasi-public agencies, firms involved in the development of high technology in an office setting which does not require industrial processes for research purposes, and other business offices customarily associated with professional or administrative office services.\n\n**Level 1:** Office buildings with a maximum size of 5,000 square feet.\n\n**Level 2:** All other office buildings.\n\n(Ord. 2016-33 § 1 (part), 2016; Ord. 2016-24s2 § 1 (part), 2016; Ord. 2015-86 § 1 (part), 2015; Ord. 2015-40 § 4 (part), 2015; Ord. 2007-6 § 2 (part), 2007; Ord. 2004-87s § 6 (part), 2004; Ord. 2004-52s § 3 (part), 2004)\n\n18A.33.260 Resource Use Category – Description of Use Categories. Revised 9/16 Amended Ord. 2017-43s\n\nResource Use Category includes the production or sale of plant and animal products and other resource-based industries such as forestry, mining, aquaculture, or the sale of products associated with resource-based industry.\n\nA. **Agritourism.** Agritourism Use Type refers to uses which are agriculturally based operations or activities that bring visitors to an active farm or ranch. The uses are associated with an ongoing agricultural use and may involve the sale of locally grown agricultural products. Agritourism includes a wide variety of activities including, but not limited to, corn mazes, harvesting fruit and vegetables, feeding animals, riding animals, lodging, farm gift shops, farm-related events, learning about farm practices, small scale breweries, wineries, distilleries, barn wedding venues, and produce stands. Agritourism may include tractor rides, but shall not involve motorized off-road vehicle racing or similar motor vehicle activities. At least 50 percent of products offered for sale must be produced in Pierce County. See PCC 18A.36.070 for accessory uses in Agricultural Resource Lands.\n\n**Level 1:**\n- Agritourism is allowed where there is at least 2 acres in agricultural crop production or operation, or 5 acres of ranch/animal husbandry; or combination as determined appropriate by the Director.\n- This may include indoor retail sales area, whether stand alone or a portion of another structure.\n\n• The cumulative indoor retail sales area shall not exceed 1,500 square feet.\n\n**Level 2:** Sales associated with horticultural nurseries and greenhouses on a project site of any size. Indoor retail sales area is allowed up to 2,500 square feet, excluding greenhouse space used primarily for growing plants. Not more than 30 percent of the retail sales area may contain other related retail products.\n\nB. **Agricultural Supply Sales.** Agricultural Supply Sales Use Type refers to uses which include, but are not limited to, the sales of agricultural supplies, including feed, grain, fertilizers, and farming equipment.\n\n| Level | Primary activity | Total floor area | Use of outdoor areas | Other requirements |\n|-------|----------------------------------------------------------------------------------|-----------------------------------|-----------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------|\n| Level 1 | Retail sale of feed, grain, fertilizers, and small farming equipment sales and service. | Up to 10,000 square feet | For display and storage as an accessory use | Accessory uses may also include retail sales of fencing, small domestic pets and livestock and pet supplies and equipment. |\n| Level 2 | Same as Level 1 | Over 10,000 and up to 30,000 square feet | Same as Level 1 | Same as Level 1 |\n| Level 3 | Same as Level 1 | Over 30,000 and up to 80,000 square feet | Same as Level 1 | Same as Level 1 |\n| Level 4 | Same as Level 1 | Over 80,000 square feet | Same as Level 1 | Same as Level 1 |\n| Level 5 | Sales of large farming equipment sales and services for items such as tractors and combines. | Up to 30,000 square feet | Display of farming equipment for sales and parking area for services. | Service area parking shall be located in the rear or side of the building and screened from the street and adjacent properties. |\n| Level 6 | Same as level 5 | Over 30,000 and up to 80,000 square feet | Display of farming equipment for sales and parking area for services. | Same as Level 5 |\n\nC. **Agricultural Services.** Agricultural Services Use Type refers to businesses that support the agricultural industry and operate primarily outside an office setting. Typical uses include soil preparation and soil testing services, farm and farm labor management services, landscape and crop fertilizing and spraying services, livestock veterinary services, and other commercial services which typically provide the personnel and equipment necessary to maintain agricultural productivity.\n\nD. **Animal Production, Boarding, and Slaughtering.** Animal Production and Slaughtering Use Type refers to uses which involve the commercial raising of animals, the production of animal products, such as eggs or dairy products, the boarding of animals, and the slaughtering and processing of animals.\n\n*Level 1:* Animal Production, Boarding, and Slaughtering uses which involve the commercial raising or boarding of animals or production of animal products, such as eggs or dairy products produced on-site, but excluding the slaughtering and processing of animals unless conducted in a mobile slaughter unit which is operated in accordance with State and Federal regulations. Examples include grazing, ranching, dairy farming, commercial stables, riding academies, and breeding and boarding kennels.\n\n*Level 2:* Animal Production, Boarding, and Slaughtering uses which involve the slaughtering of animals to be sold to others or to be used in making meat products on the same premises. Examples include fat rendering, meat packing plants, poultry slaughter and processing, slaughter houses.\n\nE. **Crop Production.** Crop Production Use Type refers to uses which involve the raising and harvesting of row crops, field crops, or tree crops on a commercial basis, including packing, primary processing, and storage facilities. For the purposes of this Use Type, primary processing means performing service on crops subsequent to their harvest with the intent of preparing them for market or further processing. This Use Type does not include the processing of agricultural products described under the \"Food and Related Products Use Type\" of the Industrial Category.\n\n*Level 1:* Crop Production uses which involve the raising and harvesting of crops, which may include the storage, primary processing and preserving of those agricultural products. Examples include grain and vegetable crops, fruit trees, and horticultural nurseries.\n\n*Level 2:* Crop Production uses which involve the primary processing, packaging, and storage of agricultural products. Examples include fruit and vegetable packing and shipment plants, warehouses, fruit and vegetable cold storage plants, and other uses.\n\ninvolved in the harvesting and primary processing of locally grown agricultural products.\n\nF. **Fish Processing, Hatcheries and Aquaculture.** Fish Processing, Hatcheries and Aquaculture Use Type refers to uses which involve the production, processing or sales of finfish, shellfish, or other aquatic or marine products within a confined space and under controlled feeding, sanitation, harvesting, or processing procedures. Examples include salmon farms, oyster growing operations, geoduck growing operations, and fish hatcheries.\n\n*Level 1:* Raising or production of finfish, shellfish, or other aquatic or marine animal or plant species, but not including processing of aquatic or marine products as either a primary use or accessory use.\n\n*Level 2:* Processing or sales of finfish, shellfish or other aquatic or marine products.\n\nG. **Forestry.** Forestry Use Type refers to uses which involve commercial harvesting of forest products, primary manufacturing of wood products, and scientific research related to management of forest lands.\n\n*Level 1:* Forestry Use Types which involve commercial harvesting of forest products and scientific research related to management of forest lands. Examples include timber harvesting, gathering of forest products (e.g., bark, berries, mushrooms), silvicultural, and environmental research facilities.\n\n*Level 2:* Forestry Use Types which involve the manufacturing of lumber and basic wood materials; (examples include saw, lath, shingle, planing, plywood, drying kilns, and veneer mills) or involve processing of the lumber or wood materials into a consumer good. Examples include cabinets or other finished products made mainly from wood.\n\nH. **Surface Mines.** Surface Mines Use Type refers to uses which involve the mining of naturally-occurring minerals, including metallic minerals, coal, nonmetallic minerals, and oil and gas, together with allied uses of rock crushing, screening, asphalt processing, and other auxiliary uses as approved by the Examiner. Examples include gold mines, coal mines, sand and gravel pits, rock quarries, and oil and gas extraction.\n\n*Level 1:* Surface mines located within an existing Mineral Resource Overlay (MRO) as set forth in PCC 18A.10.100 E.\n\n*Level 2:* New surface mines or proposed expansions of surface mines not located within a Mineral Resource Overlay (MRO) as set forth in PCC 18A.10.100 E.\n\n(Ord. 2016-33 § 1 (part), 2016; Ord. 2016-24s2 § 1 (part), 2016; Ord. 2015-86 § 1 (part), 2015; Ord. 2015-40 § 4 (part), 2015; Ord. 2013-85 § 1 (part), 2013; Ord. 2013-30s2 § 5 (part), 2013; Ord. 2012-2s § 5 (part), 2012; Ord. 2010-70s § 11 (part), 2010; Ord. 2009-10 § 2 (part), 2009; Ord. 2008-26s § 1 (part), 2008; Ord. 2007-85s § 2 (part), 2007; Ord. 2007-109s § 3 (part), 2007; Ord. 2007-6 § 2 (part), 2007; Ord. 2006-53s § 1 (part), 2006; Ord. 2004-87s § 6 (part), 2004; Ord. 2004-52s § 3 (part), 2004)\n\n18A.33.270 Commercial Use Category – Description of Use Categories. Revised 9/16\n\nCommercial activities include the provision of services and the sale, distribution, or rental of"}}},{"rowIdx":204889,"cells":{"text":{"kind":"string","value":"Thank you completely much for downloading vsepr lab answers. Most likely you have knowledge that, people have look numerous times for their favorite books afterward this vsepr lab answers, but end up in harmful downloads.\n\nRather than enjoying a fine ebook past a mug of coffee in the afternoon, on the other hand they juggled considering some harmful virus inside their computer. vsepr lab answers is within reach in our digital library an online entry to it is set as public in view of that you can download it instantly. Our digital library saves in multipart countries, allowing you to acquire the most less latency epoch to download any of our books gone this one. Merely said, the vsepr lab answers is universally compatible behind any devices to read.\n\nMolecules That Amaze Us - Paul May 2014-10-23\n\"This new book is by two knowledgeable and expert popularizers of chemistry and deals exclusively with molecules and compounds rather than with the simpler atoms and elements. It is based on the very successful Molecule of the Month\" website that was begun by Paul May fifteen years ago and to which his co-author Simon Cotton has been a frequent co\n\nLab Manual for Zumdahl/Zumdahl's Chemistry, 9th - Steven S. Zumdahl 2013-01-01\nBuild skill and confidence in the lab with the 61 experiments included in this manual. Safety is strongly emphasized throughout the lab manual. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version.\n\nEssentials of Computational Chemistry - Christopher J. Cramer 2013-04-29\nEssentials of Computational Chemistry provides a balanced introduction to this dynamic subject. Suitable for both experimentalists and theorists, a wide range of samples and applications are included drawn from all key areas. The book carefully leads the reader thorough the necessary equations providing information explanations and reasoning where necessary and firmly placing each equation in context.\n\nChemistry: An Atoms First Approach - Steven S. Zumdahl 2011-01-01\nSteve and Susan Zumdahl's texts focus on helping students build critical thinking skills through the process of becoming independent problem-solvers. They help students learn to think like a chemists so they can apply the problem solving process to all aspects of their lives. In CHEMISTRY: AN ATOMS FIRST APPROACH, the Zumdahs use a meaningful approach that begins with the atom and proceeds through the concept of molecules, structure, and bonding, to more complex materials and their properties. Because this approach differs from what most students have experienced in high school courses, it encourages them to focus on conceptual learning early in the course, rather than relying on memorization and a plug and chug method of problem solving that even the best students can fall back on when confronted with familiar material. The atoms first organization provides an opportunity for students to use the tools of critical thinkers: to ask questions, to apply rules and models and to evaluate outcomes. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version.\n\nExploring General Chemistry in the Laboratory - Colleen F. Craig 2017-02-01\nThis laboratory manual is intended for a two-semester general chemistry course. The procedures are written with the goal of simplifying a complicated and often challenging subject for students by applying concepts to everyday life. This lab manual covers topics such as composition of compounds, reactivity, stoichiometry, limiting reactants, gas laws, calorimetry, periodic trends, molecular structure, spectroscopy, kinetics, equilibria, thermodynamics, electrochemistry, intermolecular forces, solutions, and coordination complexes. By the end of this course, you should have a solid understanding of the basic concepts of chemistry, which will give you confidence as you embark on your career in science.\n\nUnderstanding Chemistry -\n\nGeneral Chemistry - Ralph H. Petrucci 2011-08\nNASSAU 2006 - E.E. Alp 2010-04-15\nThis volume contains the proceedings of the 4th Nassau Mössbauer Symposium, held in Garden City, NY, USA in January 2006. The conference and its proceedings are dedicated to one of the pioneers of Mössbauer Spectroscopy, the late Dr. Stanley Ruby, whose original ideas, insight and enthusiasm helped create new research fields. The volume reports on the progress in various areas of applications of Mössbauer Effect.\n\nChemistry Success in 20 Minutes a Day - Michael B. McGinnis 2005\nOffers a diagnostic test and twenty lessons covering vital chemistry skills.\n\nChemistry 2e - Paul Flowers 2019-02-14\n\nExploring Physical Science in the Laboratory - John T. Salinas 2019-02-01\nThis full-color manual is designed to satisfy the content needs of either a one- or two-semester introduction to physical science course populated by nonmajors. It provides students with the opportunity to explore and make sense of the world around them, to develop their skills and knowledge, and to learn to think like scientists. The material is written in an accessible way, providing clearly written procedures, a wide variety of exercises from which instructors can choose, and real-world examples that keep the content engaging. Exploring Physical Science in the Laboratory guides students through the mysteries of the observable world and helps them develop a clear understanding of challenging concepts.\n\nThe VSEPR Model of Molecular Geometry - Ronald J Gillespie 2013-03-21\nAuthoritative reference features extensive coverage of structural information as well as theory and applications. Helpful data on molecular geometries, bond lengths, and bond angles in tables and other graphics. 1991 edition.\n\nElectronic Structure and Chemical Bonding - J. R. Lalanne 1996\nThis book addresses the problem of teaching the Electronic Structure and Chemical Bonding of atoms and molecules to high school and university students. It presents the outcomes of thorough investigations of some teaching methods as well as an unconventional didactical approach which were developed during a seminar for further training organized by the University of Bordeaux I for teachers of the physical sciences. The text is the result of a collective effort by eleven scientists and teachers: physicists and chemists doing research at the university or at the CNRS, university professors, and science teachers at high-school or university level. While remaining wide open to the latest discoveries of science, the text also offers a large number of problems along with their solutions and is illustrated by several pedagogic suggestions. It is intended for the use of teachers and students of physics, chemistry, and of the physical sciences in general.\n\nLaboratory Manual - Jo A. Beran 1990\n\nBarron's AP Chemistry - Neil D. Jespersen 2012-02-01\nReviews all subjects covered on the exam, presents study and test-taking tips, and provides three diagnostic and three practice tests.\n\nA Natural Approach to Chemistry: Student text - Tom Hsu 2016\n\nQuantities, Units and Symbols in Physical Chemistry - E Richard Cohen 2007-10-31\nThe first IUPAC Manual of Symbols and Terminology for Physicochemical Quantities and Units (the Green Book) of which this is the direct successor, was published in 1969, with the object of 'securing clarity and precision, and wider agreement in the use of symbols, by chemists in different countries, among physicists, chemists and engineers, and by editors of scientific journals'. Subsequent revisions have taken account of many developments in the field, culminating in the major extension and revision represented by the 1988 edition under the simplified title Quantities, Units and Symbols in Physical Chemistry. This 2007, Third Edition, is a further revision of the material which reflects the experience of the contributors with the previous editions. The book has been systematically brought up to date and new sections have been added. It\n\nstrives to improve the exchange of scientific information among the readers in different disciplines and across different nations. In a rapidly expanding volume of scientific literature where each discipline has a tendency to retreat into its own jargon this book attempts to provide a readable compilation of widely used terms and symbols from many sources together with brief understandable definitions. This is the definitive guide for scientists and organizations working across a multitude of disciplines requiring internationally approved nomenclature.\n\n**Introduction to Computational Chemistry** - Frank Jensen 2016-11-28\n\n*Introduction to Computational Chemistry* 3rd Edition provides a comprehensive account of the fundamental principles underlying different computational methods. Fully revised and updated throughout to reflect important method developments and improvements since publication of the previous edition, this timely update includes the following significant revisions and new topics: Polarizable force fields Tight-binding DFT More extensive DFT functionals, excited states and time dependent molecular properties Accelerated Molecular Dynamics methods Tensor decomposition methods Cluster analysis Reduced scaling and reduced prefactor methods Additional information is available at: www.wiley.com/go/jensen/computationalchemistry3\n\n**Chemical Principles** - Richard Earl Dickerson 1979\n\n*Chemistry 2e* · Paul Flowers 2019-02-14\n\n**The Effects of Laboratory Curriculum and Instruction on Undergraduate Students' Understanding of Chemistry** - Dawn Kerry Rickey 1999\n\n**Laboratory Manual for Chemistry** - Nivaldo J. Tro 2017-05-08\n\nFor laboratory courses in General Chemistry Engaging students in real-world applications Laboratory Manual for Chemistry: Structure and Properties provides a series of experiments written to correspond with an atoms-first approach. The experiments connect to the daily lives of students with engaging, real-world applications and incorporate household items such as Coca-Cola®, fertilizer, light bulbs, and aluminum cans. The investigations challenge students while exposing them to recent advances in science. The labs also promote critical thinking by placing the experiments in the context of a practical problem and emphasize data collection and analysis versus mere step-by-step instruction. Some of the exercises are inquiry-driven, while others provide a straightforward method for introducing new laboratory techniques. This manual includes a sample of problem-based and traditional experiments to give instructors flexibility.\n\n**IB Chemistry Course Book** - Sergey Bylikin 2014-01\n\nThe most comprehensive match to the new 2014 Chemistry syllabus, this completely revised edition gives you unrivalled support for the new concept-based approach, the Nature of science. The only DP Chemistry resource that includes support directly from the IB, focused exam practice, TOK links and real-life applications drive achievement.\n\n**Conformational Concept For Synthetic Chemist's Use: Principles And In Lab Exploitation** - Belostotskii Anatoly M 2015-09-17\n\nThis innovative book presents an original account of the principles of conformational theory. It has a strong focus on computational methodologies for conformational space exploration. By revisiting basic conformational conventions, considering experimental results which are often misinterpreted by organic chemists, and qualitatively analyzing the potential energy surface, the book helps non-experts to understand molecular flexibility at the level required in contemporary research. The book shows synthetic organic chemists how to perform successful conformational studies using widespread calculation packages ('click computational chemistry') instead of being misguided by textbook-based conformational analysis. The monograph actually offers to synthetic chemists a new research tool that can significantly upgrade their ability to predict, or at least explain, regioselectivity and stereoselectivity in their own reactions.\n\n**Chemistry in the Laboratory** - James M. Postma 2004-03-12\n\nThis clearly written, class-tested manual has long given students hands-on experience covering all the essential topics in general chemistry. Stand alone experiments provide all the background introduction necessary to work with any general chemistry text. This revised edition offers new experiments and expanded information on applications to real world situations.\n\n**Argument-Driven Inquiry in Chemistry** - Victor Sampson 2014-10-01\n\n**Chemistry** - Theodore Lawrence Brown 2017-01-03\n\nNOTE: This edition features the same content as the traditional text in a convenient, three-hole-punched, loose-leaf version. Books a la Carte also offer a great value; this format costs significantly less than a new textbook. Before purchasing, check with your instructor or review your course syllabus to ensure that you select the correct ISBN. Several versions of MyLab(tm) and Mastering(tm) platforms exist for each title, including customized versions for individual schools, and registrations are not transferable. In addition, you may need a Course ID, provided by your instructor, to register for and use MyLab and Mastering products. For courses in two-semester general chemistry. Accurate, data-driven authorship with expanded interactivity leads to greater student engagement Unrivaled problem sets, notable scientific accuracy and currency, and remarkable clarity have made *Chemistry: The Central Science* the leading general chemistry text for more than a decade. Trusted, innovative, and calibrated, the text increases conceptual understanding and leads to greater student success in general chemistry by building on the expertise of the dynamic author team of leading researchers and award-winning teachers. In this new edition, the author team draws on the wealth of student data in Mastering(tm) Chemistry to identify where students struggle and strives to perfect the clarity and effectiveness of the text, the art, and the exercises while addressing student misconceptions and encouraging thinking about the practical, real-world use of chemistry. New levels of student interactivity and engagement are made possible through the enhanced eText 2.0 and Mastering Chemistry, providing seamlessly integrated videos and personalized learning throughout the course. Also available with Mastering Chemistry Mastering(tm) Chemistry is the leading online homework, tutorial, and engagement system, designed to improve results by engaging students with vetted content. The enhanced eText 2.0 and Mastering Chemistry work with the book to provide seamless and tightly integrated videos and other rich media and assessment throughout the course. Instructors can assign interactive media before class to engage students and ensure they arrive ready to learn. Students further master concepts through book-specific Mastering Chemistry assignments, which provide hints and answer-specific feedback that build problem-solving skills. With Learning Catalytics(tm) instructors can expand on key concepts and encourage student engagement during lecture through questions answered individually or in pairs and groups. Mastering Chemistry now provides students with the new General Chemistry Primer for remediation of chemistry and math skills needed in the general chemistry course. If you would like to purchase both the looseleaf version of the text and MyLab and Mastering, search for:\n\n0134557328 / 9780134557328 *Chemistry: The Central Science*, Books a la Carte Plus MasteringChemistry with Pearson eText -- Access Card Package\n\nPackage consists of:\n\n0134294165 / 9780134294162 *MasteringChemistry with Pearson eText -- ValuePack Access Card -- for Chemistry: The Central Science*\n\n0134555635 / 9780134555638 *Chemistry: The Central Science*, Books a la Carte Edition\n\n**Lab Manual** - Steven S. Zumdahl 2022-08-05\n\nBuild skill and confidence in the lab with the 59 experiments included in this manual. Safety is strongly emphasized throughout the lab manual. Important Notice: Media content referenced within the product description or the product text may not be available in the ebook version.\n\n**Explorations in Chemistry** - Nicholas Kildahl 1995-09-07\n\nThe experiments in this manual are designed in a discovery format and the majority require only small quantities of reagents.\n\n**Organic Chemistry, a Guided Inquiry** - Andrei Straumanis 2003-01-17\n\nIncludes worked-out solutions to all Skill Development Exercises.\n\n**Lab Manual for General, Organic, and Biochemistry** - Denise Guinn 2009-08-21\n\nTeaching all of the necessary concepts within the constraints of a one-term chemistry course can be challenging. Authors Denise Guinn and Rebecca Brewer have drawn on their 14 years of experience with the one-term course to write a textbook that incorporates biochemistry and organic chemistry throughout each chapter, emphasizes cases related to allied health, and provides students with the practical quantitative skills they will need in their professional lives. Essentials of General, Organic, and Biochemistry captures student interest from day one, with a focus on attention-getting applications relevant to health care professionals and as much pertinent chemistry as is reasonably possible in a one term course. Students value their experience with chemistry, getting a true sense of just how relevant it is to their chosen profession. To browse a sample chapter, view sample ChemCasts, and more visit www.whfreeman.com/gob\n\n**BIS-Technical Assistant (Lab) Chemical eBook PDF** - Chandresh Agrawal 2022-08-17\n\nGearing up for the AP Chemistry exam? *AP Chemistry For Dummies* is packed with all the resources and help you need to do your very best. This AP Chemistry study guide gives you winning test-taking tips, multiple-choice strategies, and topic guidelines, as well as great advice on optimizing your study time and hitting the top of your game on test day. This user-friendly guide helps you prepare without perspiration by developing a pre-test plan, organizing your study time, and getting the most out of your AP course. You'll get help understanding atomic structure and bonding, grasping atomic geometry, understanding how colliding particles produce states, and much more. Two full-length practice exams help you build your confidence, get comfortable with test formats, identify your strengths and weaknesses, and focus your studies. Discover how to Create and follow a pretest plan Understand everything you must know about the exam Develop a multiple-choice strategy Figure out displacement, combustion, and acid-base reactions Get familiar with stoichiometry Describe patterns and predict properties Get a handle on organic chemistry nomenclature Know your way around laboratory concepts, tasks, equipment, and safety Analyze laboratory data Use practice exams to maximize your score *AP Chemistry For Dummies* gives you the support, confidence, and test-taking know-how you need to demonstrate your ability when it matters most.\n\n**Molecular Explorer** - 1998\n\n**Advanced Organic Chemistry** - Francis A. Carey 2007-06-27\nThe two-part, fifth edition of *Advanced Organic Chemistry* has been substantially revised and reorganized for greater clarity. The material has been updated to reflect advances in the field since the previous edition, especially in computational chemistry. Part A covers fundamental structural topics and basic mechanistic types. It can stand-alone; together, with Part B: Reaction and Synthesis, the two volumes provide a comprehensive foundation for the study in organic chemistry.\n\nCompanion websites provide digital models for study of structure, reaction and selectivity for students and exercise solutions for instructors.\n\n**Chalkbored: What's Wrong with School and How to Fix It** - Jeremy Schneider 2007-09-01\n\n**24 Lessons that Rocked the World** - Ian Guch 1999\n\n**Molecular Structure and Bonding** - Benjamin M. Gimarc 1979\n\n**Top Shelf** - Brian Pressley 2003\nCovers chemical formulas and equations, chemical reactions, structure of atoms, the gas laws, and more. Presents hands-on activities as catalysts to fuel student imagination.\n\n**Inquiries into Chemistry** - Michael R. Abraham 1999-05-20\nThe laboratory course should do more than just acquaint the students with fundamental techniques and procedures. The laboratory experience should also involve the students in some of the kinds of mental activities a research scientist employs: finding patterns in data, developing mathematical analyses for them, forming hypotheses, testing hypotheses, debating with colleagues and designing experiments to prove a point. For this reason, the student-tested lab activities in *Inquiries into Chemistry, 3/E* have been designed so that students can practice these mental activities while building knowledge of the specific subject area. Instructors will enjoy the flexibility this text affords. They can select from a comprehensive collection of structured, guided-inquiry experiments and a corresponding collection of open-inquiry experiments, depending on their perception as to what would be the most appropriate method of instruction for their students. Both approaches were developed to encourage students to think logically and independently, to refine their mental models, and to allow students to have an experience that more closely reflects what occurs in actual scientific research. Thoroughly illustrated appendices cover safety in the lab, common equipment, and procedures."}}},{"rowIdx":204890,"cells":{"text":{"kind":"string","value":"Consent Management in Data Workflows: A Graph Problem\n\nDorota Filipczuk \nUniversity of Southampton \nUnited Kingdom \nemail@example.com\n\nEnrico H. Gerding \nUniversity of Southampton \nUnited Kingdom \nfirstname.lastname@example.org\n\nGeorge Konstantinidis \nUniversity of Southampton \nUnited Kingdom \nemail@example.com\n\nABSTRACT\nIn modern data processing systems users expect a service provider to automatically respect their consent in all data processing within the service. However, data may be processed for many different purposes by several layers of algorithms that create complex workflows. To date, there is no existing approach to automatically satisfy fine-grained privacy constraints of a user in a way which optimises the service provider’s gains from processing. In this paper, we model a data processing workflow as a graph. User constraints and processing purposes are pairs of vertices which need to be disconnected in this graph. We propose heuristics and algorithms while at the same time we show that, in general, this problem is NP-hard. We discuss the optimality versus efficiency of our algorithms and evaluate them using synthetically generated data. On the practical side, our algorithms can provide a nearly optimal solution in the face of tens of constraints and graphs of thousands of nodes, in a few seconds.\n\n1 INTRODUCTION\nModern computing has created a proliferation of large volumes of user data across data processing systems. When user data enters such a workflow, it is automatically processed, at several processing points for different purposes and by several service providers. Consequently, this processing creates new information, often conveying predictions and inferences that are used to fulfil a certain purpose. By doing so, the service provider may gain utility – e.g., monetary benefits in the case of a commercial website selling the data or providing personalised features – or achieve a research goal, e.g., in the case of a research organisation.\n\nSuch data workflows are used in many commercial, scientific and academic applications. Consider for example the data workflow in Fig. 1, which is a real bioinformatics workflow found in [22], where a medical patient’s genome is subject to different processing by different algorithms. What each algorithm creates additional value at each stage, the end purpose of data processing, in this example, is that of visualising the individual’s phylogenetic tree; that is, placing them in an evolutionary diagram relative to their ancestors and other species.\n\nIndividuals, users and patients should have control over how their data is used in a data processing system and across different providers, and a user may refuse to consent to some of the data processing. Particularly, in certain regulatory frameworks such as the GDPR [13], unless there exists another legal basis, user’s consent is necessary to legally allow the data to be processed.\n\nConsider another example from a social media service provider seen in Fig. 2. Social media platforms have aggregated a multitude of in-website services that build on users’ data, from dedicated e-shops and marketplaces all the way to disaster detection and notification of individual users. In Fig. 2 we have depicted a part of the data workflow for these two types of functions. User posts, including photos, can be used - in combination with outside sources such as sensors or video feeds - to detect a natural disaster and alert users based on their location; at the same time users’ information including location is used to serve orders, advertisements or different kinds of recommendations. Again, although there is a growing interest and incentive to offer users fine-grained choices regarding their personal data usage in the system, today’s options are limited.\n\nIn this example, the user may be happy for their purchase information, e.g., their home address, to be used for suggesting book clubs/communities to join, but may not wish to be subject to personalised product recommendations based on it. There are many alternatives to satisfy these user privacy constraints imposed on the data processing: the phylogeny prediction service could refrain to share its output with the product recommendation service. Another way would be for the geolocation service to not receive at all the user address, however this one seems more conservative, since the system will lose the capability of using the user’s address or location for disaster notification purposes, even though the user might allow such a processing of their location.\n\nOptions such as these are expressed in Figure 2 as different paths from the user’s nodes to the product recommendation node. In particular, in order to have the user’s address not be used in\n\nproduct recommendation we need to break paths between these two nodes in the figure. Evidently, enforcing privacy constraints may affect the utility of the service providers in different ways, so the option chosen should minimise the utility loss of the system overall. What complicates the task even more is its large scale: there may be many further stages of data processing, in a workflow that involves hundreds of nodes.\n\nIn this paper, we propose a novel approach to finding the most optimal ways of satisfying the user’s privacy constraints. Specifically, we model the data workflow as a graph and privacy constraints as pairs of vertices of the graph. We formulate the problem as an optimisation problem, where pairs of graph vertices must be disconnected such that utility is maximised (Section 2).\n\nWe model the utility of a purpose node as a black-box function of the subgraph connected to that node, and suggest a simple breakdown of a purpose node’s utility as a sum of the “value” that each edge has on this subgraph. We call this, still generic problem, CDW and we prove that it is NP-hard through a polynomial-time reduction from the minimum multicut problem (MinMC) (Section 3). Additionally, we present 5 alternative generic heuristics for implementing the privacy constraints into data workflows (Section 5) with an optimal or approximately optimal global utility, depending on the actual utility function used. In order to implement and present experiments, we present a simple concrete instance of the general problem, called CDW-LA, where we employ a utility that is linearly additive (Section 4), as a natural first instance of this problem.\n\nThen, we analyse the (non-)optimality of our heuristics for CDW-LA with respect to their computational complexity (Section 6). We evaluate and compare the algorithms in terms of accuracy and performance (Section 7). Notably, we show that, although computing the optimal solution can be very time-consuming, the proposed heuristics can provide very accurate and efficient alternatives. Finally, we juxtapose this approach with related work (Section 9) and discuss the further lines of research that this paper opens (Section 8).\n\n2 THE CONSENTED DATA WORKFLOW PROBLEM\n\nWe consider consent in data processing as a graph theory problem. First, we propose a new data processing model, which describes the workflow of personal information. Second, we present a formal formulation of the problem of identifying the parts of data processing workflows that align with the user’s constraints, and bring the most benefits to the service provider.\n\n2.1 Model\n\nIn order to describe the data workflow in the system, we formulate our data processing model as a directed graph $G = (V, E)$ with a set of edges $E$ representing the data flow and a set of vertices $V$ representing the stages of data processing. These stages refer to three activities: data collection from the user (start), algorithmic data processing (possibly at multiple stages) and satisfying the purpose of processing (end). For this reason, we distinguish three kinds of vertices, i.e. $V = V^U \\cup V^A \\cup V^P$, where:\n\n- $V^U$ is a set of user data vertices, which represent the types of data collected directly from the user, such as name, shipping address, credit card number. These will be vertices where the information originates from, and are seen as the input data vertices in Fig. 2;\n- $V^A$ is a set of algorithm vertices, which represent data processing algorithms that take one or more data types as input, e.g. purchase analytics and location, and output a new data type, e.g. predicted purchases – these are vertices in the intermediate layers of the graph, seen as “Algorithms” in Fig. 2;\n- $V^P$ is a set of purpose vertices, which represent the end goals of data processing, e.g. serving personalised advertising or suggesting communities to join – these are terminal vertices, (seen in the Purposes box in Fig. 2).\n\nImportantly, we view data processing algorithms as ‘black boxes’. That is, our model does not make assumptions about their internal workings – we only describe the input and output\n\ndependencies by the incoming and outgoing edges. To summarize, in our model, vertices in $V^A$ have at least one incoming and at least one outgoing edge. Differently, vertices in $V^U$ have no incoming edges and those in $V^P$ no outgoing edges.\n\nFurthermore, satisfying the given purposes is what brings service providers utility. For any vertex in $V^P$, we will have an associated utility that reflects the value processing that this purpose brings to service providers. In practice, the service providers’ valuation depends on factors such as the accuracy of the datasets used as the input to the processing algorithms [14, 20]. In particular, where data processing is a multi-stage process, the utility is affected by all stages and all datasets processed for the purpose.\n\nTherefore, in order to calculate the utility of data processing for a given purpose, in our model we look for all vertices and edges that carry the data workflow to the given purpose vertex. Formally, we say that a vertex $v_i \\in V$ is reachable from a vertex $v_j \\in V$ if there exists a path in $G$ defined as a graph $\\{(v_1, v_2, \\ldots, v_k), \\{(v_1, v_2), (v_2, v_3), \\ldots, (v_{k-1}, v_k)\\}\\}$ such that $v_1 = v_j$ and $v_k = v_i$. We also consider the so-called reachability subgraph of a purpose vertex. For each purpose vertex $p \\in V^P$ our graph $G$, the reachability subgraph of $p$ is the graph $G_p = (V_p, E_p)$ where $V_p \\subseteq V$ is the set of the vertices that $p$ is reachable from and $E_p \\subseteq E$ is the set of edges from $G$ that connect them. For example, the reachability graph of purpose ‘Product Recommendations’ from Fig. 2 is shown in Fig. 3. If an edge is removed from $G$, the reachability subgraph of one or more purpose vertices is affected. In general, we write $R(G_p)$ to denote the set of all subgraphs of the reachability subgraph of $p$ in $G$ – that are still reachability graphs when some $n$ edges are removed. Then, to calculate the utility of fulfilling a purpose for each purpose vertex $p \\in V^P$, we define a utility function $u_p : R(G_p) \\rightarrow \\mathbb{R}^+_0$, which is a function of a reachability subgraph of $p$.\n\nWhile $u_p$ can be an arbitrary function dependent on the valuation of datasets in the corresponding reachability subgraph, the valuations of some datasets may influence the valuations of others. For example, when users are clustered based on their shipping address to be served personal advertising, the accuracy and, thus, valuation of the address may impact the accuracy, i.e. valuation of the clustering. To describe the relationships between these valuations in our model, we define a valuation function $\\pi : E \\rightarrow \\mathbb{R}^+_0$, representing the valuation of the data propagating through the edge in the data processing system. As we later describe in Section 4, given the reachability subgraph $G_p = (V_p, E_p)$ of a vertex $p \\in V^P$, the utility function $u_p(G_p)$ at $p$ can be defined as a function of the evaluations of edges in $E_p$.\n\n### 2.2 Problem Formulation\n\nThe presented data processing model describes the workflow of data in the system. However, the user may refuse consent to some of this processing. For example, one of the user’s constraints may be: *I’m happy for my shipping address to be used for recommending more products, but I don’t want to be served more general advertising based on it*. To formulate this specific constraint, the user does not need to have an expert understanding of how their personal data is processed. Whereas, in order to satisfy this constraint, the system should be able to analyse the data workflow and make sure that there is no connection between the vertex where the shipping address enters the workflow and the vertex representing advertising. If there is no such connection, we call this data workflow consented.\n\nThus, our goal is to find the consented data workflow under certain constraints. We focus on what we call the Consented Data Workflow problem (CDW): given user’s constraints expressed in terms of the vertices that they do not wish to be connected, find a subgraph of the original workflow where these constraints are satisfied. However, if there is more than one way of disconnecting the given vertices, the optimal solution should minimise the utility loss for the service provider from applying the constraints. In other words, we are looking for the utility-maximising solution subject to the users’ privacy constraints.\n\nUsers’ constraints can be expressed as a set of pairs of vertices. In this paper we focus on personal consent against a set of purposes, thus we will want to disconnect particular user vertices in $V^U$ with purpose vertices in $V^P$. Formally, our set of constraints is a set $N = \\{(u_s, u_t) | u_s \\in V^U, u_t \\in V^P\\}$. In order to satisfy the constraints, the initial graph $G$ needs to be modified by removing one or more edges that belong to the paths between pairs $(u_s, u_t)$, such that the total utility $u_p$ is maximised. In essence, our problem is a multi-objective optimisation problem, where the objectives are to maximise $u_p$ for all $p \\in V^P$. The most common approach to multi-objective optimization is to turn the problem into a single-objective optimization using a weighted sum [21]. This allows us to define the utility of the system $G$ as:\n\n$$U(G) = \\sum_{p \\in V^P} w_p u_p(G_p),$$\n\nwhere $w_p$ is the weight of the purpose corresponding to vertex $p$ and $G_p$ is the reachability subgraph of $p$. Therefore, given $N$, the objective of CDW is to find the consented subgraph of $G$:\n\n$$G^* = \\arg \\max_{G'} U(G')$$\n\nsuch that $G' = (V, E')$ is a subgraph of $G$ where $E' \\subseteq E$ and there is no path from $s$ to $t$ for each $(s, t) \\in N$.\n\nNote that, the way that the utility functions and their weights (and the weighted sum) can be estimated would be similar to the way that, for example, a business estimates its returns for online advertising. This is typically done by estimating the click-through-rate, the conversion rate, and the average value of each conversion. Each of these components would be influenced by the precision of the prediction, which in turn would depend on the data used as input. Additionally, in a real setting the values of the various data inputs could be established experimentally.\n\nNote as well, that our framework can clearly support an algorithm that is unable to produce outputs in the absence of certain inputs. This would be implemented by having the utility function removing the outgoing edges of the algorithm as well (that is, certain edges have to be removed together with their successor edge). Elimination of the output edges would result in a normal subgraph and our algorithms can evaluate and treat this.\n\n3 COMPLEXITY ANALYSIS\n\nIn this section we study the complexity of our problem. Specifically, we show that the CDW problem is NP-hard. In order to do so, we reduce from the minimum multicast (MinMC) problem which is NP-hard in directed acyclic graphs (DAGs) [7]. Given a DAG, \\( G = (V, E, w) \\), where \\( V \\) is a set of vertices, \\( E \\) is a set of edges and \\( w : E \\to \\mathbb{N}^+ \\) an edge weight function, as well as a set \\( N \\) of pairs (source \\( s \\), sink \\( t \\)) of terminal vertices of \\( G \\), the objective of MinMC is to find a set of edges of \\( G \\), \\( E_{MinMC} \\), whose removal leaves no directed path from \\( s \\) to \\( t \\) for each \\((s, t) \\in N\\) such that:\n\n\\[\nE_{MinMC} = \\arg \\min_{E'} \\sum_{e \\in E'} w(e).\n\\] \n\n(3)\n\nTo prove the complexity of CDW, let us consider an instance \\( I_{MinMC} = (G, N) \\) of MinMC in DAGs and translate it into an instance of CDW. Let \\( G = (V, E) \\). We are going to construct an instance of CDW on the same DAG \\( G \\) and the same constraints \\( N \\) such that, for a set of edges \\( E^{*}_{MinMC} \\), the subgraph of \\( G, (V, E \\setminus E^{*}_{MinMC}) \\) is a solution to the CDW instance if and only if \\( E^{*}_{MinMC} \\) is a solution to \\( I_{MinMC} \\).\n\nFor simplicity, for any vertex \\( v \\in V \\), we use \\( in(v) \\) to denote a set of incoming edges of \\( v \\) and \\( out(v) \\) to denote outgoing edges in \\( G \\). We first construct the set \\( V^{U} \\subseteq V \\) such that for any vertex \\( u \\in V \\) \\( in(u) = \\emptyset \\) and only if \\( v \\in V^{U} \\). Similarly, we construct the set \\( V^{P} \\subseteq V \\) such that, for any vertex \\( v \\), \\( out(v) = \\emptyset \\) if and only if \\( v \\in V^{P} \\). Note that \\( V^{U} \\) and \\( V^{P} \\) cannot be empty sets, because \\( G \\) is acyclic. Then, we construct a set \\( V^{A} = V \\setminus (V^{U} \\cup V^{P}) \\). Moreover, we construct a purpose-reachability function \\( r : V^{U} \\cup V^{A} \\to P(V^{P}) \\), which for any vertex \\( v \\in V^{U} \\cup V^{A} \\) returns a set of vertices in \\( V^{P} \\) such that \\( p \\in r(v) \\) iff \\( p \\) is reachable from \\( v \\). Note that this construction happens in polynomial time. Then, for each edge \\( e = (v, v') \\in E \\), we construct a valuation function \\( \\pi : E \\to \\mathbb{R} \\) such that \\( \\pi(e) = \\frac{w(e)}{|r(v)|} \\). In addition, for each \\( p \\in V^{P} \\), we have a utility function \\( U(G_p) = \\sum_{e \\in E_p} \\pi(e) \\), where \\( G_p = (V, E_p) \\) is a reachability subgraph of \\( p \\). Lastly, we construct a utility function of \\( G \\) as \\( U(G) = \\sum_{p \\in V^{P}} \\mu_p(G_p) \\), which implies that:\n\n\\[\nU(G) = \\sum_{e \\in E} w(e)\n\\] \n\n(4)\n\nNote that each edge contributes to \\( U(G) \\) exactly its original weight \\( w(e) \\) because of the way \\( \\pi(e) \\) is constructed.\n\nThis concludes the construction of instance \\( I_{CDW} \\), which is a CDW instance with the objectives weighted equally, i.e. for all \\( p \\in V^{P} \\), \\( w_p \\) is equal. Note that since all pairs \\((s, t) \\in N\\) consist of terminal vertices, \\( N \\) is the same set for \\( I_{CDW} \\). Now, let us prove the following:\n\n**Lemma 3.1.** Given an instance \\( I_{MinMC} \\) of MinMC, there is a polynomial time reduction to an instance \\( I_{CDW} \\) of CDW such that a graph \\((V, E \\setminus E_{MinMC})\\) is the solution to \\( I_{CDW} \\) iff \\( E_{MinMC} \\) is the solution to \\( I_{MinMC} \\).\n\n**Proof.** (\\( \\Rightarrow \\)) Let \\( E_{MinMC} \\) be a solution to \\( I_{MinMC} \\). Since \\( E_{MinMC} \\) is a multicast of \\( G \\) given \\( N \\), this guarantees that when the edges in \\( E_{MinMC} \\) are removed from \\( G \\), there is no directed path from \\( s \\) to \\( t \\) for each \\((s, t) \\in N\\). We show that the removal of set \\( E_{MinMC} \\) maximises the utility \\( U(G^*) \\). Firstly, the set of edges after removal of \\( E_{MinMC} \\) from \\( G \\) can be expressed as:\n\n\\[\nE^* = E \\setminus E_{MinMC}.\n\\] \n\n(5)\n\nThen, if we plug Equation 3 to Equation 5, we have:\n\n\\[\nE^* = E \\setminus \\{ \\arg \\min_{E'} \\sum_{e \\in E'} w(e) \\}.\n\\] \n\n(6)\n\nSince \\( E^* \\) is a difference between \\( E \\) and the subset of \\( E \\) whose sum of edge weights is minimal, the sum of edge weights of \\( E^* \\) is maximal. Therefore, Equation 6 is equivalent to:\n\n\\[\nE^* = \\arg \\max_{E} \\sum_{e \\in E} w(e).\n\\] \n\n(7)\n\nThus, if we plug Equation 4 into Equation 7, we have:\n\n\\[\nG^* = \\arg \\max_{G'} U(G).\n\\] \n\n(8)\n\nAs this is exactly Equation 2, the graph \\( G^* = (V, E \\setminus E_{MinMC}) \\) is the solution to \\( I_{CDW} \\). Notably, this transition is performed in polynomial time.\n\n(\\( \\Leftarrow \\)) Conversely, let \\( G^* = (V, E \\setminus E_{MinMC}) \\) be a solution to \\( I_{CDW} \\). By definition of the consented subgraph, in graph \\( G^* \\) there is no directed path from \\( s \\) to \\( t \\) for each \\((s, t) \\in N\\) and the utility is maximised as per Equation 2. If we plug Equation 4 into Equation 2, we have:\n\n\\[\nE^* = \\arg \\max_{E} \\sum_{e \\in E} w(e).\n\\] \n\n(9)\n\nSince \\( E^* \\subseteq E \\), there exists a set of edges \\( E \\setminus E^* \\) such that:\n\n\\[\nE \\setminus E^* = E \\setminus \\{ \\arg \\max_{E'} \\sum_{e \\in E'} w(e) \\}.\n\\] \n\n(10)\n\nThis is equivalent to:\n\n\\[\nE \\setminus E^* = \\arg \\min_{E'} \\sum_{e \\in E'} w(e).\n\\] \n\n(11)\n\nIf we call this set \\( E_{MinMC} \\), i.e. \\( E \\setminus E^* = E_{MinMC} \\), then:\n\n\\[\nE_{MinMC} = \\arg \\min_{E'} \\sum_{e \\in E'} w(e).\n\\] \n\n(12)\n\nAs this is exactly Equation 3, \\( E_{MinMC} \\) is the minimum multicast of \\( G \\) given \\( N \\). Therefore, \\( E_{MinMC} \\) is the solution to \\( I_{MinMC} \\). Notably, this is achieved in polynomial time. \\( \\square \\)\n\nGiven this, we can now show that even for a small number of user’s constraints our problem is NP-hard, since MinMC is an NP-hard problem in di-graphs:\n\n**Theorem 3.2.** CDW is NP-hard, even if \\(|N| = 2\\).\n\n**Proof.** By Lemma 3.1, an instance of MinMC in DAGs can be converted to CDW in polynomial time. Moreover, solving CDW yields in polynomial time a solution to MinMC. Since MinMC in DAGs is known to be an NP-hard problem for any \\(|N| > 1\\) [7], there exists a polynomial-time reduction from a known NP-hard problem to CDW. Therefore, the CDW problem is NP-hard for any \\(|N| > 1\\), which concludes the proof. \\( \\square \\)\n\n4 ADDITIVE MODEL\n\nAs shown in Section 3, CDW in general is NP-hard, which makes it difficult to expect a relatively efficient algorithm. Even more so because of the fact that\n\n- The valuation functions defined in Section 2.1, that we used in order to show NP-hardness can be arbitrary complex functions. In this section, we focus on a simple but practical instance of the problem, where these functions are linearly additive. In practice, data valuation is determined by a complex interaction of multiple factors including its age, accuracy and reliability [15]. Here, we choose a linear valuation function as a natural choice of a function. In particular, we assume that the valuation function of the data type going out of a vertex is linearly additive with respect to the importance of the data types on the incoming edges. That is, the value of every node’s output is the sum of the values of the data products that reach its input (see Fig. 3). If we initialise each input edge to have an original value of 1, as in Fig. 3, then the utility of a purpose node sums up how many times the inputs “have been used” in algorithms before reaching the purpose node, thus giving some hint about the overall importance of an input.\n\nThe linear additive model is the simplest model that captures the intuition of each input having an “added value” on the subsequent algorithm. This model may not apply to all settings and, e.g., a sub-additive model might be more appropriate. In many cases the linear additive model could be a reasonable approximation of a model where the interdependencies are difficult to measure.\n\nIn more detail, consider an instance of CDW, where for each edge \\( e = (v, v') \\in E \\), the valuation is defined recursively as follows:\n\n\\[\n\\pi(e) = \\sum_{e' \\in \\text{in}(v)} \\pi(e').\n\\] (13)\n\nSimilarly, we model the utility gained from processing the data for a purpose as a linearly additive function with respect to the valuation of the data types on the incoming edges. That is, for each purpose vertex \\( p \\in V_P \\) and its reachability subgraph \\( G_p \\), we define a utility function as follows:\n\n\\[\nu_p(G_p) = \\sum_{e \\in \\text{in}(p)} \\pi(e).\n\\] (14)\n\nSince the valuation is defined recursively, we also assume that our model has no cycles. That is, the original graph \\( G \\) is a directed acyclic graph (DAG).\n\nFormally, the objective of our linearly additive instance of the CDW problem, called CDW-LA, is to find a the consented subgraph of \\( G \\) given: a DAG \\( G = (V^U \\cup V^A \\cup V^P, E) \\), a valuation function \\( \\pi(e) = \\sum_{e' \\in \\text{in}(e)} \\pi(e') \\) for each \\( e = (u, v') \\in E \\), a utility function \\( u_p(G_p) = \\sum_{e \\in \\text{in}(p)} \\pi(e) \\) for each reachability subgraph \\( G_p \\) of each \\( p \\in V_P \\), a weight \\( w_p = 1 \\) of the purpose represented by vertex \\( p \\) and a set \\( N \\) of pairs \\( (s, t) \\) of terminal vertices of \\( G \\) such that \\( s \\in V_U \\) and \\( t \\in V_P \\).\n\n5 ALGORITHMS\n\nIn this section, we devise a range of new algorithmic approaches that can solve the CDW-LA problem. Although there might exist multiple optimal solutions, we design our algorithms looking for a single solution \\( G^* = (V^*, E^*) \\). While some of them offer optimal solutions to CDW-LA, others serve as viable heuristics. Note that, even though the algorithms may not be optimal (i.e. utility maximising), all five algorithms always return a feasible solution, which is any subgraph of \\( G \\) with no path between each \\( (s_i, t_i) \\in N \\) for \\( i \\in \\{1, \\ldots, |N|\\} \\).\n\nFirstly, a simple heuristic for finding a feasible solution is an algorithm that removes a random edge from each of the paths connecting \\( (s, t) \\in N \\). In more detail, Algorithm 1 RemoveRandomEdge finds all paths from \\( s \\) to \\( t \\) (in lines 1 - 2) and from each of the paths selects a random edge to remove (in lines 3 - 4). Then, before the edge is removed (in line 7), the other edges whose valuation depends on the presence of the given edge in the graph must be updated. This is done by the updateDependencies function (in line 6). In particular, if the valuation of an edge after the update is 0, such edge must also be removed, e.g. if edge \\( (s, v_1) \\) in Figure ?? is removed, edges \\( (v_1, t) \\) and \\( (v_1, t') \\) also require removal. Although the solution has a high variance, the run time of this algorithm is polynomial.\n\n**Algorithm 1 RemoveRandomEdge**\n\n**Input:** A graph \\( G \\) and a set of constraints \\( N \\).\n\n**Output:** A graph \\( G \\).\n\n1. **for all** \\( (s, t) \\in N \\) **do**\n2. **for all** \\( e \\in \\text{getAllEdgePaths}(G, s, t) \\) **do**\n3. \\( \\text{edgeIndex} \\leftarrow \\text{getRandomInteger}(1, |p|) \\)\n4. \\( e \\leftarrow p[\\text{edgeIndex}] \\)\n5. **if** \\( \\text{hasEdge}(G, e) \\) **then**\n6. \\( \\text{updateDependencies}(G, e) \\)\n7. \\( \\text{removeEdge}(G, e) \\)\n\nSecondly, as the valuation function of the edges is additive, and because the valuation of the incoming edge of an algorithm vertex is always greater or equal than the outgoing one, the removal of the first edge of each path from \\( s \\) to \\( t \\) can serve as another trivial heuristic. Specifically, Algorithm 2 RemoveFirstEdge is very similar to RemoveRandomEdge, except that, instead of selecting a random edge, it removes the first edge from each path (in line 3). This algorithm reflects an approach whereby the user’s data type is removed entirely and not even collected by the system. Similarly to RemoveRandomEdge, the runtime of this algorithm is polynomial.\n\n**Algorithm 2 RemoveFirstEdge**\n\n**Input:** A graph \\( G \\) and a set of constraints \\( N \\).\n\n**Output:** A graph \\( G \\).\n\n1. **for all** \\( (s, t) \\in N \\) **do**\n2. **for all** \\( \\text{path} \\in \\text{getAllEdgePaths}(G, s, t) \\) **do**\n3. \\( e \\leftarrow \\text{getFirstEdge}(\\text{path}) \\)\n4. **if** \\( \\text{hasEdge}(G, e) \\) **then**\n5. \\( \\text{updateDependencies}(G, e) \\)\n6. \\( \\text{removeEdge}(G, e) \\)\n\nNext, we look for algorithms that can provide more accurate solutions. In particular, we propose a greedy algorithm that can provide a feasible solution in polynomial time. This algorithm follows the heuristic of making locally optimal choices for each constraint. To do so, it uses a polynomial-time algorithm solving the Minimum Cut problem (MinCut) [11, 12], defined as follows: given a graph \\( G = (V, E) \\), a weight function \\( w : E \\rightarrow \\mathbb{N}^+ \\) and a single pair (source \\( s \\), sink \\( t \\)) of terminal vertices of \\( G \\), find a set of edges of \\( G \\), \\( E_{\\text{MinCut}} \\) whose removal leaves no directed path from \\( s \\) to \\( t \\) for each \\( (s, t) \\in N \\) such that:\n\n\\[\nE_{\\text{MinCut}} = \\arg \\min_{E' \\subseteq E} \\sum_{e \\in E'} w(e).\n\\] (15)\n\nTo design a greedy algorithm, we can use algorithms solving MinCut to find a minimum cut of $G$ for each $(s, t) \\in N$. Consequently, we remove the minimum cut before moving on to the next constraint, which results in a partial solution. In more detail, Algorithm 3 RemoveMinCuts starts from initialising the weights $w(e) = \\pi(e) \\sum_{p \\in \\pi(e)} w_p$ for all edges $e \\in E$ (in lines 1 - 4). Then, for each constraint $(s, t) \\in N$, it finds the minimum cut that solves MinCut for vertices $s$ and $t$ in $G$ with weights $w$ (in line 6). For each edge in the minimum cut, it uses the updateDependencies function to update the valuations of the consecutive edges (in line 8) before removing the given edge (in line 9). Given that MinCut is known to be solvable in polynomial time [11], the outcome of this heuristic can also be found in polynomial time.\n\nAlgorithm 3 RemoveMinCuts\n\nInput: A graph $G = (V, E)$ and a set of constraints $N$.\nOutput: A graph $G'$.\n\n1: $w \\leftarrow \\emptyset$\n2: for all $e \\in E$ do\n3: $w(e) \\leftarrow \\pi(e) \\sum_{p \\in \\pi(e)} w_p$\n4: for all $(s, t) \\in N$ do\n5: for all $e \\in \\text{MinCut}(G, w, s, t)$ do\n6: if hasEdge$(G, e)$ then\n7: updateDependencies$(G, e)$\n8: removeEdge$(G, e)$\n\nAnother way of approximating the solution is by converting our problem to MinMC, defined in Section 3. That is, we can solve MinMC with weights $w(e) = \\pi(e) \\sum_{p \\in \\pi(e)} w_p$ for all edges $e \\in E$ and then use the MinMC solution to find a solution to CDW-LA. In the same way as RemoveMinCuts, Algorithm 4 RemoveMinMC starts from initialising the weights $w$ (in lines 1 - 4). Then, it finds the minimum multicut of graph $G$ for constraints $N$ by executing the algorithm solving MinMC for input $(G, N, w)$ (in line 5). Subsequently, for each edge in the minimum multicut, it uses the updateDependencies function to update the valuations of the consecutive edges (in line 8) before removing the given edge (in line 9).\n\nAlgorithm 4 RemoveMinMC\n\nInput: A graph $G = (V, E)$, a set of constraints $N$.\nOutput: A graph $G'$.\n\n1: $w \\leftarrow \\emptyset$\n2: for all $e \\in E$ do\n3: $w(e) \\leftarrow \\pi(e) \\sum_{p \\in \\pi(e)} w_p$\n4: multicut $\\leftarrow \\text{MinMC}(G, N, w)$\n5: for all $e \\in \\text{multicut}$ do\n6: if hasEdge$(G, e)$ then\n7: updateDependencies$(G, e)$\n8: removeEdge$(G, e)$\n\nFinally, we propose an algorithm that can guarantee achieving an optimal solution. That is, Algorithm 5 BruteForce is an exhaustive search algorithm that enumerates all feasible candidates for the solution and compares them to eventually output the one that maximises the utility. More specifically, BruteForce starts from finding the set of all paths $\\mathcal{A}$ from $s$ to $t$ for all $(s, t) \\in N$, which need to be broken (in lines 1 - 4). In order to list all feasible multicuts of $G$ for the given $N$, the Cartesian product of $\\mathcal{A}$ is computed (in line 5). Then, the algorithm systematically checks the utility of $G$ after the removal of each multicut (in lines 8 - 27). Importantly, at the beginning of the multicut check, copies are made of the valuation values $\\pi'$ of each edge and the number of paths $p'$ the edge belongs to in $G$, as well as of the graph $G$ itself (in lines 9 - 14). Before an edge of the feasible multicut is removed from the copy of $G$ (in line 18), the valuation $\\pi'$ and the number of paths $p'$ in the copy of $G$ are updated for its dependencies (in line 17). At the end of the multicut check, the utility of the copy of $G$ is compared to the utility of the most optimal solution found so far (in lines 21 - 25). This way, given that all possible solutions that satisfy the constraints are checked, the algorithm can guarantee eventually finding the optimal solution. However, the runtime of this algorithm is exponential even in the best case.\n\nAlgorithm 5 BruteForce\n\nInput: A graph $G = (V, E)$ and a set of constraints $N$.\nOutput: A graph $G^*$.\n\n1: $\\mathcal{A} \\leftarrow \\emptyset$\n2: for all $(s, t) \\in N$ do\n3: $\\mathcal{A} \\leftarrow \\mathcal{A} \\cup \\text{getAllEdgePaths}(G, s, t)$\n4: multicuts $\\leftarrow \\text{cartesianProduct}(\\mathcal{A})$\n5: maxUtility $\\leftarrow 0$\n6: $G^* \\leftarrow G$\n7: for all multicut $\\in$ multicuts do\n8: $G' \\leftarrow G$\n9: $\\pi', p \\leftarrow 0, 0$\n10: for all $e \\in E$ do\n11: $\\pi'(e) \\leftarrow \\pi(e)$\n12: $p(e) \\leftarrow \\sum_{p \\in \\pi(e)} w_p$\n13: for all $e \\in$ multicut do\n14: if hasEdge$(G', e)$ then\n15: updateDependencies$(G', e, \\pi', p)$\n16: removeEdge$(G', e)$\n17: utility $\\leftarrow U(G')$\n18: if utility > maxUtility then\n19: maxUtility $\\leftarrow$ utility\n20: $G^* \\leftarrow G'$\n21: return $G^*$\n\nWhile Alg. 1, 2 and 5 are designed to work on models with arbitrary valuation and purpose utility functions, specifying these functions is needed to calculate the weights $w(e)$ in Alg. 3 and 4. Table 1 presents a summary of the different algorithms.\n\n6 OPTIMALITY OF SOLUTIONS\n\nOut of five algorithms proposed in Section 5, only BruteForce guarantees an optimal solution to CDW-LA. In contrast, it is clear that RemoveRandomEdge does not guarantee an optimal\n\nsolution—we use it as a benchmark for our evaluation. In this section, we analyse the properties of the solutions returned by our three remaining heuristics and prove that none of them can guarantee finding an optimal solution even for the linear setting.\n\nFirstly, we show that a simple removal of the first edge of each path proposed in Algorithm 2 RemoveFirstEdge does not guarantee an optimal solution. In more detail, for each \\((s_i, t_i) \\in N\\), there is at least one path \\(P = (V_P, E_P) \\in A\\) of the form \\(V_P = \\{s_1, v_2, \\ldots, v_k, t_1\\}, E_P = \\{(v_1, v_2), (v_2, v_3), \\ldots, (v_{k-1}, v_k)\\}\\) where \\(s_1 = s_i\\) and \\(t_k = t_i\\). From each such path \\(P \\in A\\), we could remove edge \\((v_1, v_2)\\). We refer to \\((v_1, v_2)\\) as the first edge. We show that the removal of the first edge from each \\(P\\) does not always result in an optimal solution to CDW-LA by the following example.\n\nLet \\(G\\) be a data processing model where \\(V^U = \\{s_1\\}, V^A = \\{s_2\\}, V^P = \\{v_1, v_4\\}, E = \\{(v_1, v_2), (v_2, v_3), (v_2, v_4)\\}\\) and for each \\(p \\in V^P\\), \\(w_p = 1\\). In addition, assume that for edge \\(e_1 = (v_1, v_2)\\), \\(\\pi(e_1) = a\\) where \\(a \\in \\mathbb{R}_+^n\\) and that \\(N = \\{(v_1, v_3)\\}\\).\n\nIn such case, we use Equation 13 to calculate the valuation of edges \\(e_2 = (v_2, v_3)\\) and \\(e_3 = (v_2, v_4)\\), which is \\(\\pi(e_2) = \\pi(e_3) = a\\). We also use Equation 1 to calculate the initial utility of \\(G\\), which is \\(U(G) = 2a\\). Given that \\(N = \\{(v_1, v_3)\\}\\), we establish that there is one path that needs to be disconnected in order to satisfy the constraints, i.e., \\(A = \\{P\\}\\) where \\(P = \\{(v_1, v_2, v_3), ((v_1, v_2), (v_2, v_3))\\}\\).\n\nThen, we remove the first edge \\((v_1, v_2)\\) from \\(P\\). The utility of the resulting graph \\(G^1\\) is \\(U(G^1) = 0\\), since purpose vertices \\(v_3\\) and \\(v_4\\) are now not linked to any user vertex. However, if instead we removed the alternative edge \\((v_2, v_3)\\), vertex \\(v_4\\) would still be linked to \\(v_2\\), and therefore the utility of the resulting graph \\(G^2\\) would be \\(U(G^2) = a\\). Thus, in this case, the removal of the first edge does not provide us with an optimal solution.\n\nIn a similar way, we can prove that removing the last edge \\((v_{k-1}, v_k)\\) from each path in \\(A\\) also does not guarantee the optimal solution. However, since for all \\((s, t) \\in N\\) all paths from \\(s\\) to \\(t\\) are broken, it similarly provides a feasible solution.\n\nFurthermore, we show that solving the problem in a greedy way, i.e. where we apply the constraints one at a time as proposed in Algorithm 3 RemoveMinCuts, also does not lead to an optimal solution. Specifically, consider a series of graphs \\(G^0, G^1, \\ldots, G^{|\\mathcal{N}|}\\). These graphs are computed recursively such that \\(G^0 = G = (V, E)\\) and for all \\(l \\in \\{1, \\ldots, |\\mathcal{N}|\\}\\), \\(G^l = (V, E^l)\\) where \\(E^l = E^{l-1} \\setminus \\text{MinCut}(G^{l-1}, s_l, t_l, w)\\) corresponds to \\(l\\)-th pair of vertices in \\(\\mathcal{N}\\). Given a solution to MinCut, one could transform CDW-LA into a repeated MinCut problem looking for \\(G^{|\\mathcal{N}|}\\). While this approach leads to a feasible solution, \\(G^{|\\mathcal{N}|}\\) is not necessarily an optimal solution.\n\nWe show this by the following example. Let \\(G\\) be a data processing model where \\(V^U = \\{s_1, s_2\\}, V^A = \\{v_1\\}, V^P = \\{t_1, t_2\\}, E = \\{(s_1, v_1), (s_2, v_1), (v_1, t_1), (v_1, t_2)\\}\\) and for each \\(p \\in V^P\\), \\(w_p = 1\\). Assume that for \\(e_1 = (s_1, v_1)\\), \\(\\pi(e_1) = a\\) and for \\(e_2 = (s_2, v_1)\\), \\(\\pi(e_2) = b\\), where \\(a, b \\in \\mathbb{R}_+^n\\) and \\(a > b\\). This model is illustrated in Figure 4. In addition, there are two constraints: \\(N = \\{(s_1, t_1), (s_1, t_2)\\}\\).\n\nIn such case, \\(i = 2\\). We look for \\(G^2 = (V, E \\setminus \\text{MinCut}(G^1, s_1, t_1, w))\\). Thus, we first calculate \\(G^1 = (V, E \\setminus \\text{MinCut}(G, s_1, t_1, w))\\). We observe that there is one path \\(P = \\{(s_1, v_1, t_1), \\{(s_1, v_1), (v_1, t_1)\\}\\}\\) between vertices \\(s_1\\) and \\(t_1\\). Because \\(a > b\\), \\(w((s_1, v_1)) = a + b < w((s_1, v_1)) = 2a\\). Thus, \\(G^1 = (V, E \\setminus \\{(s_1, v_1)\\})\\). With this information, we return to looking for \\(G^2\\). We observe that there is one path \\(P = \\{(s_1, v_1, t_1), \\{(s_1, v_1), (v_1, t_2)\\}\\}\\) between vertices \\(s_1\\) and \\(t_2\\). However, now \\(w((s_1, v_1)) = a\\) and \\(w((v_1, t_2)) = a + b\\). So, \\(w((s_1, v_1)) < w((v_1, t_2))\\) and \\(G^2 = (V, E \\setminus \\{(s_1, v_1), (v_1, t_1)\\})\\).\n\n\n\nAfter that, we calculate utility \\(U(G^2) = b\\). However, we can see that in order to optimally solve CDW-LA, it is sufficient to remove edge \\((s_1, v_1)\\) only. That is, the optimal solution to CDW-LA in this case is \\(G^* = (V, E \\setminus \\{(s_1, v_1)\\})\\), because its utility is \\(U(G^*) = 2b\\). Thus, \\(G^2\\) is not an optimal solution to CDW-LA.\n\nIntuitively, it is reasonable to assume that the optimal solution requires removing no more than one edge per path between \\(s\\) and \\(t\\) for each \\((s, t) \\in N\\). In what follows, we first prove that, for settings where this is indeed the case, our Algorithm 4 RemoveMinMC finds the optimal set of edges to remove. However, we then show that there are settings where this assumption does not hold, and where the optimal solution requires removing more than one edge from the same path. However, in Section 7, we show that these cases are rare and, in most cases, the algorithm does return the optimal solution. Hence showing that the algorithm guarantees the optimal solution in restricted settings is useful.\n\n**Theorem 6.1.** If for each path \\(P = (V_P, E_P) \\in A\\) there is exactly one edge \\(e \\in E_P\\) such that \\(e \\in E_{\\text{MinMC}}\\), then there exists a solution \\(G^* = (V, E \\setminus E_{\\text{MinMC}})\\).\n\n**Proof.** Let \\(T \\subseteq V^P\\) be a set of purpose vertices such that for all \\((s, t) \\in N\\), \\(t \\in T\\). If for each path \\(P = (V_P, E_P) \\in A\\) there is exactly one edge \\(e \\in E_P\\) such that \\(e \\in E_{\\text{MinMC}}\\), then the removal of a set of edges \\(E_{\\text{MinMC}}\\) reduces the utility of a purpose vertex \\(t \\in T\\) by \\(\\sum_{e \\in E_t} \\pi(e)\\) where \\(E_t \\subseteq E_{\\text{MinMC}}\\) is a set of those edges in \\(E_{\\text{MinMC}}\\) that are within the reachability subgraph of \\(t\\), \\(G_t\\). Thus, if the resulting graph after the removal of set \\(E_{\\text{MinMC}}\\) from \\(G\\) is \\(G^* = (V, E^*)\\), then using Equation 1, the total loss of the utility can be calculated as follows:\n\n\\[\nU(G) - U(G^*) = \\sum_{t \\in T} \\sum_{e \\in E_t} w_t \\pi(e).\n\\] \n\n(16)\n\nThis is equivalent to the following equation:\n\n\\[\nU(G^*) = U(G) - \\sum_{t \\in T} \\pi(e) \\sum_{t \\in T} w_t.\n\\] \n\n(17)\n\nWe are looking for the consented subgraph \\(G^* = (V, E^*)\\). In fact, if we plug Equation 17 into Equation 2, we have:\n\n\\[\nG^* = \\arg \\max_{G^*} \\left[ U(G) - \\sum_{e \\in E \\setminus E^*} \\pi(e) \\sum_{t \\in T} w_t \\right].\n\\] \n\n(18)\n\nEquivalently, we are looking for a subgraph \\(G^* = (V, E^*)\\) where:\n\n\\[\nE^* = E \\setminus \\{\\arg \\min_{e \\in E \\setminus E^*} \\pi(e) \\sum_{t \\in T} w_t\\}.\n\\] \n\n(19)\n\nThus, by Equation 3, $E^*$ is the set difference of $E$ and the minimum multicast of $G$ given $\\mathcal{N}$, where the edge weight is $w(e) = \\pi(e) \\sum_{t \\in T} w_t$. In more detail, the minimum multicast with edge weights $w(e) = \\pi(e) \\sum_{t \\in T} w_t$ can be expressed as:\n\n$$E_{MinMC} = \\arg \\min_{E'} \\sum_{e \\in E'} \\pi(e) \\sum_{t \\in T} w_t.$$ \n\n(20)\n\nIf we plug Equation 19 into Equation 20, then what we are looking for is $G^* = (V, E^*)$ where:\n\n$$E^* = E \\setminus E_{MinMC}.$$ \n\n(21)\n\nSince $E_{MinMC}$ is a solution to MinMC, there is $G^* = (V, E \\setminus E_{MinMC})$. □\n\nHowever, removing a single edge from each path does not always result in an optimal solution. We prove this by the following example. Consider a graph $G$ where $V^{UJ} = \\{s_1, s_2\\}$, $V^A = \\{a_1\\}$, $V^P = \\{t_1, t_2\\}$, $E = \\{(s_1, u_1), (s_2, u_2), (u_1, t_1), (u_2, t_2)\\}$ and for each $p \\in V^P$, $w_p = 1$. In addition, assume that for $e_1 = (s_1, v_1)$, $\\pi(e_1) = a$ and for $e_2 = (s_2, u_1)$, $\\pi(e_2) = b$, where $a, b \\in \\mathbb{R}_+$ and $a > b$. This graph is illustrated in Figure 4. Now, let the set of constraints be as follows: $\\mathcal{N} = \\{(s_1, t_1), (s_1, t_2), (s_2, t_1)\\}$. We can see that the optimal solution in this case is $G^* = (V, \\{(s_2, u_1), (v_1, t_2)\\})$. However, since $(s_1, t_1) \\in \\mathcal{N}$ and there is a path from $s_1$ to $t_1$ in the original graph $G$, we can observe that the optimal solution $G^*$ does not contain two edges $(s_1, v_1)$ and $(v_1, t_2)$ from that path. Therefore, in general, it is not true that Algorithm 4 RemoveMinMC can guarantee finding an optimal solution to CDW-LA by removing only one edge from each path.\n\n7 EVALUATION\n\nIn this section, we evaluate the performance of the proposed algorithms empirically. First, we discuss the experimental setup, including details on the algorithm implementation and graph data generation. Then, we present results of the experiments focusing on the runtime and accuracy of each algorithm.\n\nFor our experiments, we have used synthetic data, since the very nature of privacy and consent makes obtaining real data very difficult. Users would be hesitant to share the ground truth of their data and their privacy preferences on top of that. Moreover, commercial service providers are still hesitant to share their internal data workflow models. Most importantly, there has not been a technology so far to support such fine-grained user privacy constraints that disconnect arbitrary input data from an arbitrary workflow purposes; thus real data is rare on this problem. We believe that this is changing; service providers tend to offer more choices and research that offers automation of fine-grained consent is starting to take off [18].\n\n7.1 Experimental Setup\n\nWe implement the proposed algorithms using the NetworkX\\textsuperscript{1} library. In particular, this library provides a method to solve the Mincut problem in Algorithm 1. In addition, we implement Algorithm 4 using the PICOS\\textsuperscript{2} API for optimization solvers. Specifically, we use the GLPK (GNU Linear Programming Kit)\\textsuperscript{3} package for solving the MinMC problem.\n\nWe compare the different algorithms by measuring their performance on synthetic data. This choice allows us to test the algorithms when all the assumptions of the CDW-LA instance are met. To do so, our graph generation method includes the following parameters:\n\n- number of constraints $|\\mathcal{N}|$;\n- number of vertices $|V|$;\n- path length $k$ - for any $(s, t) \\in \\mathcal{N}$, if there is a path $P = ((v_1, v_2, \\ldots, v_k), ((v_1, v_2), \\ldots, (v_{k-1}, v_k)))$ such that $v_1 = s$ and $v_k = t$, then $k$ defines the number of workflow stages, i.e. data that ‘flows’ from $s$ to $t$ though $k - 2$ algorithm nodes;\n- vertex distribution vector $X_k$ – proportions of vertices at workflow stages, e.g. a setting $X_k = (50\\%, 25\\%, 10\\%, 10\\%, 5\\%)$ represents a scenario for $k = 5$ where half of the vertices are the user data vertices, 35% are the algorithm vertices and 5% are the number of the purpose vertices;\n- minimum density $d$ – the proportion of initially generated edges between any two workflow stages.\n\nTo generate a graph, we distribute $|V|$ vertices onto $k$ workflow stages as per vector $X_k$. For any two workflow stages, the initial $d$ of all possible edges are generated though a pseudo-random\\textsuperscript{4} selection of vertices. Then, to ensure that all vertices in $V^{UJ}$ and $V^A$ have at least one outgoing edge, and that all vertices in $V^{UJ}$ and $V^A$ have at least one incoming edge, we add additional edges with one of the vertices selected randomly. All edges going out of the user vertices are assigned integer values $\\pi(e)$ through a uniform selection from a range of 1–100. Furthermore, for each purpose vertex $p \\in V^P$, the purpose weight introduced in Equation 1 is set to $w_p = 1$. Then, we generate the set of constraints by selecting $|\\mathcal{N}|$ distinct pairs of randomly selected user data vertices and purpose vertices, ensuring that for any $(s, t) \\in \\mathcal{N}$, there exists at least one path from $s$ to $t$.\n\nThis approach generates three datasets with different configurations of the above parameters. Firstly, to observe how the number of constraints affects the runtime of algorithms and graph utility, we generate dataset 1. We create this dataset in different variants: a variant with 100 vertices (1a), a variant with 1000 vertices (1b) and a variant with a minimum density of 20% (1c). To observe how the shape of the graph affects the runtime and utility, we apply a non-uniform vertex distribution ($X_k = (50\\%, 25\\%, 10\\%, 10\\%, 5\\%)$ abbreviated as ‘NU’) in variants 1a and 1b, and a uniform vertex distribution ($X_k = (20\\%, 20\\%, 20\\%, 20\\%, 20\\%)$ abbreviated as ‘U’) in variant 1c. Secondly, to observe the impact of the path length on the runtime and utility, we generate dataset 2 with graphs that have a constant number of paths. To do so, we first generate graphs with $|V| = 150$, $k = 3$, and vertices distributed uniformly such that $|V^{UJ}| = 50$, $|V^A| = 50$ and $|V^P| = 50$. Then, we keep generating new graphs by adding 50 additional vertices to the previous graph and connecting each vertex to the graph with a single edge. This way we extend the length of each path in\n\n\\textsuperscript{1}NetworkX, https://networkx.org/.\n\\textsuperscript{2}PICOS, https://picos-api.github.io/picos/.\n\\textsuperscript{3}GLPK (GNU Linear Programming Kit), https://www.gnu.org/software/glpk/.\n\\textsuperscript{4}For details, see the Python Standard Library documentation: https://docs.python.org/3/library/random.html.\n\nthe previous graph while keeping the number of paths constant. We also adjust the constraints such that they relate to the same paths as for the previously generated graph. Finally, to observe how the size of the graph affects the runtime and utility, we generate graphs of $100 \\sim 10,000$ vertices with a constant number of constraints. The exact parameter configurations are specified in Table 2.\n\nWe perform our experiments on the University of Southampton High Performance Computing service Iridis 4\\textsuperscript{5} which offers 750 compute nodes in total with dual 2.6 GHz Intel Sandybridge processors. Each compute node has 16 CPUs per node with 64 GB of memory and the maximum runtime of a job is 60 hours. In order to ensure that the average result has low variance, we repeat the experiments until we have at least 30 runs with a sufficiently low standard error (SE).\n\n### 7.2 Results\n\nWe apply the algorithms from Section 5 to datasets 1, 2 and 3. In this section, we report on the runtime of the algorithms and changes in the graph’s utility with respect to the number of privacy constraints, number of data processing stages and the size of the workflow.\n\n#### 7.2.1 Number of constraints\n\nFigure 5 shows the runtime of the algorithms as the number of privacy constraints grows. We measure their performance on 10 times larger, 1000-vertex graphs (dataset 1a) and compare it to the performance on 10 times larger, 1000-vertex graphs (dataset 1b). Since in datasets 1a and 1b the number of paths between the constraints is equal or close to the number of constraints given, we also consider slightly denser 100-vertex graphs, where the number of edges between each level of data processing is at least 20% of all possible edges (dataset 1c). In general, when we compare the average runtime on datasets 1a (Figure 5a), 1b (Figure 5b) and 1c (Figure 5c), we observe very similar trends. As the graph size increases 10 times, the average runtimes of \\textsc{BruteForce}, \\textsc{RemoveMinMC} and \\textsc{RemoveMinCuts} also increases approximately 10 times. This suggests that, as expected, the execution time of these three algorithms depends on graph size and the number of constraints given as input.\n\nIn particular, we observe that the runtime of \\textsc{BruteForce} increases rapidly with the increasing number of constraints, reaching an average time of 14838508.46 ms (i.e. over 4 h) for just 10 constraints on dataset 1a and 8563968 ms (i.e. over 2 h; SE: 1058979.73 ms) on dataset 1b. For dataset 1c, in most cases, \\textsc{BruteForce} is unable to return a result in 60 hours even for just a single pair of constraints. Thus, although \\textsc{BruteForce} guarantees finding an optimal solution, its average runtime on such a small and sparse graphs makes this algorithm impractical. At the same time, the solver-based \\textsc{RemoveMinMC} can reach an approximate solution for even 50 constraints on dataset 1a in 6.51 seconds (SE: 405.02 ms) on dataset 1b, 7.74 seconds (SE: 430.83 ms) on dataset 1b and 11 seconds (SE: 241.47 ms) on dataset 1c. \\textsc{RemoveMinCuts} can on average find an approximate solution for 50 constraints in 220.2 milliseconds (SE: 1.1 ms) on dataset 1a, 2.55 seconds (SE: 17.27 ms) on dataset 1b and 450.57 ms (SE: 3.17 ms) on dataset 1c.\n\nMoreover, we observe the change in the graph’s utility as the number of privacy constraints grows. Specifically, in Figure 6a, we consider sparse graphs from dataset 1a. We can see that for \\textsc{RemoveMinMC}, \\textsc{RemoveMinCuts} and \\textsc{RemoveFirstEdge} the utility of the graph after applying the algorithm decreases almost linearly as the number of constraints grows. Out of these three, \\textsc{RemoveMinMC} tends to provide the most accurate solutions, reducing the utility down to 17.63% on average (SE: 1.15%) for 50 constraints. Although the exponential runtime of the \\textsc{BruteForce} algorithm means we cannot run the experiments for more than 10 constraints, we still compare the results to \\textsc{RemoveMinMC} for this limited setting. Results are presented in Table 3 and show that the utility using \\textsc{RemoveMinMC} is nearly optimal in this case. In Section 6, we have shown that the algorithm is only guaranteed to be optimal for specific settings where the optimal solutions consists of only a single edge being removed from each path. Nevertheless, this empirical outcome suggests that, for graphs with a relatively small number of constraints \\textsc{RemoveMinMC} is likely to provide very accurate solutions.\n\nIn Figure 6b, we consider the changes in sparse graphs with 100 vertices (dataset 1b) and 1000-vertices (dataset 1b). As in Figure 6a, \\textsc{RemoveMinMC} provides solutions with the highest utility, i.e. on average 89.24% (SE: 0.19%) given 50 constraints. As expected, the utility here is higher than in Figure 5a. After applying the algorithms with same number of constraints, proportionally less paths are broken in the graphs with 1000 vertices than with 100 vertices. At the same time, this results suggests that, for very large graphs, faster algorithms such as \\textsc{RemoveMinCuts} or even \\textsc{RemoveFirstEdge} may be able to provide sufficiently accurate solutions.\n\nIn Figure 6c we consider denser graphs with 100 vertices. We observe that the differences in utility between algorithms is more evident when the graphs are denser, resulting in significantly poorer performance especially for \\textsc{RemoveMinCuts}, \\textsc{RemoveFirstEdge} and \\textsc{RemoveRandomEdge}. This is because denser graphs have more paths that need to be broken. Nonetheless \\textsc{RemoveMinMC} provides the best solution with average utility being 33.29% (SE: 1.09%) of original utility of the graph.\n\n#### 7.2.2 Number of paths\n\nNext, we observe how the execution time depends on the number of paths between pairs of vertices that connect the constraints. Figure 7 presents a scatter plot of the runtime of the algorithms and distribution of utility in dense graphs (dataset 1c). In particular, we can see that, in case of \\textsc{RemoveMinCuts} and \\textsc{RemoveMinMC}, the runtimes increase almost linearly with respect to the number of paths. However, the execution times for these two algorithms differ significantly. For example, for a graph where 822 paths are required to be broken, \\textsc{RemoveMinMC} takes 12116 ms to return a solution, whereas \\textsc{RemoveMinCuts} can provide one in only 472 ms. Similarly, we can\n\n\\begin{table}[h]\n\\centering\n\\caption{Comparison of the graph's utility after applying \\textsc{RemoveMinMC} and \\textsc{BruteForce}.}\n\\begin{tabular}{|c|c|c|c|c|}\n\\hline\nNumber of constraints & \\textsc{RemoveMinMC} & \\textsc{BruteForce} \\\\\n& \\% of original & SE & \\% of original & SE \\\\\n\\hline\n1 & 97.79 & 0.32 & 97.79 & 0.32 \\\\\n2 & 95.08 & 0.35 & 95.08 & 0.35 \\\\\n3 & 92.71 & 0.58 & 92.71 & 0.58 \\\\\n4 & 90.62 & 0.57 & 90.63 & 0.57 \\\\\n5 & 88.59 & 0.75 & 88.65 & 0.75 \\\\\n6 & 86.59 & 0.72 & 86.66 & 0.72 \\\\\n7 & 84.71 & 0.72 & 84.77 & 0.71 \\\\\n8 & 83.22 & 0.70 & 83.28 & 0.70 \\\\\n9 & 81.24 & 0.69 & 81.33 & 0.69 \\\\\n10 & 79.30 & 0.69 & 79.39 & 0.68 \\\\\n\\hline\n\\end{tabular}\n\\end{table}\n\n\\textsuperscript{5}The Iridis Compute Cluster, https://cmg.soton.ac.uk/iridis.\n\nsee that the utility decreases as the number of paths connecting constraints increases. Yet again, the utility after executing RemoveMinMC tends to decrease the slowest, reaching on average the utility of 32.27% of the original utility for the graph with 822 paths to be broken. For the same graph, the next best solution is RemoveMinCuts with an accuracy of 24.58%. For comparison, RemoveFirstEdge achieves on average a utility of 15.73%.\n\n7.2.3 Number of data processing stages. Next, we apply the algorithms to graphs with a constant number of paths. Since, in the linear model, only edges connected to the purpose vertices affect the utility of the graph, increasing the lengths of the paths on its own does not affect the utility. Thus, in this experiment, we focus on the execution time of the algorithms as the length of the paths grows. In Figure 8, we consider sparse graphs with vertices distributed uniformly with the same number of user data vertices as purpose vertices (dataset 2). We can see that as the path length grows, the runtime in case of BruteForce increases faster than the others.\n\n7.2.4 Workflow size. Lastly, we analyse how the number of vertices in the graph impacts the runtime and the utility of the graph after applying the algorithms. To do this, we run the algorithms on sparse graphs of sizes between 100 and 10000 vertices and corresponding sets of 10 constraints (dataset 3). As the number of paths between the constraints and their length are equal for these graphs, in Figure 9 we can see that the size of the graph has only a slight impact on the execution time for BruteForce. In addition, RemoveMinCuts is faster on average compared to BruteForce and RemoveMinMC. Considering the utility, Figure 9 shows that the graph size does not have a significant impact on the utility when the number of paths between the constraints and their length remain equal for the graphs.\n\n8 OPEN PROBLEMS\n\nWe designed a theoretical mechanism where the data workflow is structured as a graph and privacy constraints collected from the user point to pairs of vertices in this workflow graph. When all of these pairs are disconnected, we have a Consented Data Workflow. We are currently in the process of integrating our algorithms with the more fine-grained system developed in [18]. Interestingly, there is an extensive collection of open problems and challenges around consented data workflows.\n\nFirst, our theoretical results show that the problem in general is NP-hard. This result is provides us with the lower bound on its complexity. The upper bound, however, depends largely on the complexity of the selected validation and utility functions. Future work should investigate the upper bound of the problem with different functions that depend on the application.\n\nSecond, we focused on a specific instance of the problem, where the importance of an outputted data type is linearly additive with respect to the input. In addition, we assumed that the utility functions of specific data processing purposes are also linearly additive with respect to the importance of the data processed for the purpose. For the instance of our problem, our algorithm RemoveMinMC can find approximate appropriate solutions in seconds even for large workflow graphs. Nonetheless, the complexity of the problem in this additive case remains unknown. Further investigation is needed not just to study even more efficient and optimal algorithms, but also to establish the bounds on its complexity.\n\nThird, some of our heuristic algorithms rely on the simplifying assumption that the value of different information sources is additive. While this can be a reasonable approximation in some settings, in practice the value may be subadditive (e.g. in the case of redundant data) or superadditive (when data complements each other). At the moment, finding realistic data to create large real-world models and design algorithms for them is challenging. However, as data processing systems keep expanding, future work should focus on more realistic workflow models.\n\nNote that in certain machine learning as well as statistical algorithms there is already work that addresses masking or distorting the input with noise. This gives rise to an exciting generalisation of our framework, where utility is affected not by removing the input edge but by distorting the input, and in the future we plan to explore this.\n\nIn addition, there are several open problems regarding scalability of our solution. Currently, the solution needs to be recomputed every time a new user enters the system or when an existing user updates their constraints. What is more, every time a change is made, some of algorithms that process the data would need to be re-run as well, which could be costly. At the same time, there could be many users of the same type, i.e. with similar privacy constraints, and a limited number of different user types which can be known in advance. To take advantage of this, users of the same type could e.g. be treated as a single user to enable the system to cope with thousands and even millions of users. This way, if new users enter the system, the solution can be found quickly. Generally, as there are more and more users with privacy constraints, new methods are needed that take into account scalability by re-using some of the computation performed for the previous solution, as well as the costs of making changes.\n\nFinally, there are plenty of opportunities to consider richer types of privacy constraints and user preferences. For example, users may have constraints on combinations of different data types for a specific purpose (e.g. a user may say ‘I’m okay with you using my data for advertising, but don’t combine my location with my purchase history’), processing the data types by specific service providers (e.g. ‘I’m okay with you sharing my purchase...\n\nhistory with anyone but Nile’) or time restrictions on data processing (‘I’m ok with you sharing my purchase history with Nile, but I don’t want them to keep it for more than 30 days’). For such constraints, future work should formulate new problems around consented data workflows.\n\n9 RELATED WORK\n\nWith the scale of data collection and processing growing vastly in the recent years, there has been an emergence of initiatives and tools that aim to aid users in controlling the flow of their personal data. Early efforts include the Platform for Privacy Preferences (P3P) which aimed to enable machine-readable privacy policies [8]. Such privacy policies could be automatically retrieved by Web browsers and other tools that can display symbols, prompt users, or take other appropriate actions. Users were able to communicate their privacy constraints to these so-called user agents as a list of rules expressed in a P3P Preference Exchange Language (APPEL) [8]. The agents were then able to compare each policy against the user’s constraints and assist the user in deciding when to exchange data with websites [8].\n\nHowever, the P3P lacked a mechanism that would allow for enforcement of the privacy policies within the enterprise and for management of users’ individual privacy preferences [3, 6, 17]. Thus, a new approach was proposed [6] where service providers would publish privacy policies, collect and manage user preferences and consent, and enforce the policies throughout their systems. Based on this framework, the Platform for Enterprise Privacy Practices (E-P3P) was developed [5, 16]. Our work builds on this idea and proposes how to satisfy the users’ individual preferences optimally.\n\nNonetheless, more general approaches that go beyond the P3P were required to address the need for policy enforcement. To that end, Hippocratic databases were proposed [1–4, 19] as ‘database systems that take responsibility for the privacy of data they manage’. In Hippocratic databases, personal data was required to be associated with the purposes it was collected for, as well as other metadata such as its retention period and information about who it can be given out to. Given the user’s privacy constraints, the so-called Privacy Constraint Validator would check whether the service provider’s privacy policy is acceptable to the user. Recently an approach to enable even more fine-grained control of such policies within relational databases was presented [18]. Here, we extend this approach by specifying we can optimise constraint satisfaction across entire data workflows.\n\nComplementing our work, related work has proposed methods for privacy policy-compliant data processing. For example, once it is known how the user’s privacy constraints can be optimally satisfied (e.g., using our proposed approach), it is possible to, e.g., ensure that the datasets used by the data processing algorithms align with these constraints [9, 10]. Moreover, data processing techniques can be selected based on the consented types of the input data [24]. Furthermore, to make sure that the policies are enforced, a system for checking data usage policies automatically at query runtime has been proposed [23].\n\n10 ACKNOWLEDGEMENTS\n\nE. Gerding was partially funded by the EPSRC-funded platform grant “AutoTrust: Designing a Human-Centred Trusted, Secure, Intelligent and Usable Internet of Vehicles” (EP/R02956/1). G. Konstantinidis was partially funded by the UKRI Horizon Europe guarantee funding scheme for the Horizon Europe projects RAISE (101058479) and UPCAST (101093216).\n\nREFERENCES\n\n[1] Rakesh Agrawal, Roberto Bayardo, Christos Faloutsos, Jerry Kiernan, Ralf Rautzau, and Rakesh Srivastava. 2004. Auditing compliance with a hippocratic database. In Proceedings of the Thirteenth international conference on Very large data bases-Volume 30. 516–527.\n\n[2] Rakesh Agrawal, Paul Bird, Tyrone Grandison, Jerry Kiernan, Scott Logan, and Waidi Rajab. 2005. Extending relational database systems to automatically enforce privacy policies. In Proceedings of the 22nd International Conference on Data Engineering (ICDE’05). IEEE, 1013–1022.\n\n[3] Rakesh Agrawal, Jerry Kiernan, Ramakrishnan Srikant, and Yarong Xu. 2002. Hippocratic databases. In Proceedings of the 28th VLDB Conference. VLDB Endowment. United States, 133–154.\n\n[4] Rakesh Agrawal, Jerry Kiernan, Ramakrishnan Srikant, and Yarong Xu. 2003. Implementing privacy-preserving databases. In Proceedings of the 19th International Conference on Data Engineering (Cat. No. 03CH37565). IEEE, 103–110.\n\n[5] Paul Ashley, Satoshi Hada, Gururaj Karjotih, and Matthias Schuster. 2002. E-P3P privacy policies and privacy authorization. In Proceedings of the 2002 ACM Workshop on Policies for Electronic Commerce. ACM, 103–106.\n\n[6] Paul Ashley, Calvin Powers, and Matthias Schuster. 2002. From privacy promises to privacy management: a new approach for enforcing privacy throughout the enterprise. In Proceedings of the 2002 Workshop on New Security Paradigms. ACM, 93–102.\n\n[7] Cédric Bentz. 2011. On the hardness of finding near-optimal multicuts in directed planar graphs. Theoretical computer science 412, 39 (2011), 3325–3332.\n\n[8] Lorrie Faith Cranor. 2000. Web privacy with P3P. IEEE Security & Privacy 1, 2 (2000), 30–36.\n\n[9] Christophe Debruyne, Harshvardhan J Pandit, David Lewis, and Declan O’Sullivan. 2018. Towards generating policy compliant datasets. In 2018 15th International Conference on Complex, Intelligent and Software Intensive Systems (CISIS). IEEE, 1–8.\n\n[10] Christophe Debruyne, Harshvardhan J Pandit, David Lewis, and Declan O’Sullivan. 2020. “Just-in-time” generation of datasets by considering structured representations of given contexts for GDPR compliance. Knowledge and Information Systems 58, 1 (2020), 301–326.\n\n[11] Yefim Dinitz. 2006. Diniz algorithm: The original version and Eren’s version. In Theoretical Computer Science: Essays in Memory of Shimon Even. Oded Goldreich, Amir Leshem, Rosenfeld, and Alon Rosenfeld (Eds.). Springer, 218–226.\n\n[12] Jack Edmonds and Richard M. Karp. 1972. Theoretical improvements in algorithmic efficiency for network flow problems. J. ACM 19, 2 (1972), 248–264.\n\n[13] European Parliament and the Council. 2016. Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation). Official Journal of the European Union (4 May 2016), 1–88.\n\n[14] Amitzur Ghoshani and James Zou. 2019. Data Shapley: Equitable valuation of data for machine learning. In International Conference on Machine Learning. PMLR. Long Beach, California, USA, 2244–2253.\n\n[15] Jakob Grue Larsen, Henrik Eriksson, Tom Dybå, Elizabeth Hope Peters, Milad Davaloo, and Bikáll Gopinath Kurup. 2015. A pricing model for data markets. iConference 2015 (March 2015).\n\n[16] Günter Fink, Michael Martin, Sebastian, and Michael Waidner. 2002. Platform for enterprise privacy practices. Privacy-enabled management of customer data. In 2nd Workshop on Privacy-Enhancing Technologies. Lecture Notes in Computer Science. Springer, 62–77.\n\n[17] James Zou, Stefan Edlund, Daniel A Ford, and Calvin Powers. 2002. The social contract core. In Proceedings of the 14th International World Wide Web Conference (WWW). ACM, Honolulu, Hawaii, 210–220.\n\n[18] Georgios Tzamos, Yishay Mansour, and Hadar Shapira. 2021. Enabling Personal Consent in Databases. Proc. VLDB Endow. 15, 2 (oct 2021), 375–387. https://doi.org/10.14778/3489496.3489573\n\n[19] Kristen DeVries, Rakesh Agrawal, Tak Egregorev, Raghu Ramakrishnan, Xiang Xu, and David DeWitt. 2004. Limiting disclosure in Hippocratic databases. In Proceedings of the 30th International Conference on Very Large Data Bases. VLDB Endowment, 108–119.\n\n[20] Chao Li, David DeWitt, Lu Lu, Raghu Ramakrishnan, and Dan Suciu. 2014. A theory of pricing private data. ACM Transactions on Database Systems 39, 4 (2014), 1–28.\n\n[21] R. Timothy Maier and Jashin S. Arora. 2004. Survey of multi-objective optimization methods in engineering. Structured and Multidisciplinary Optimization 26, 6 (2004), 369–395.\n\n[22] Steve Pettifer, John Isom, Leon J. 1/2 Kalai, Dave Thorpe, Philip McDermott, Hugh Jones, Alan Williams, Jose Luis Hernandez, I. Zaidie, Jose M. Rodriguez, INB Partners, et al. 2010. The EMBOSS project. Nucleic acids research 38, suppl_2 (2010), W683–W688.\n\n[23] Prasana Upadhyaya, Madhav Kamra, and Dan Suciu. 2015. Automatic enforcement of data policies via DataLawyer. In Proceedings of the 2015 ACM SIGMOD International Conference on Management of Data. ACM, 213–225.\n\n[24] Yang Wang and Alfred Kobsa. 2007. Respecting users’ individual privacy constraints in web personalization. In International Conference on User Modeling. Springer, 157–166."}}},{"rowIdx":204891,"cells":{"text":{"kind":"string","value":"Interactive comment on “Estimates of sub-national methane emissions from inversion modelling” by Sarah Connors et al.\n\nAnonymous Referee #1\n\nReceived and published: 9 January 2019\n\n1 Overview:\n\nReview of “Estimates of sub-national methane emissions from inversion modelling” by Connors et al.\n\nConnors et al. present an analysis from a year of methane measurements at 4 sites in East Anglia. They describe the 4 new instruments that are mounted on churches or other tall towers. These instruments are then used to constrain methane emissions in between June 2013 and May 2014. The description of the network is generally good and the figures are all reasonably well made. However the inversion portion of the manuscript needs quite a bit of work. I have some major concerns with the seemingly unsubstantiated choices, poor description, and potential overfitting. I think there is\n\ninteresting data here that should eventually be published, but there are some major issues that need to be dealt with first.\n\n2 Major Comments\n\nThe section on inversion modelling (Section 2.2) could use a major re-write to describe what was actually done and justify choices made.\n\n2.1 Over-fitting?\n\nA **major** drawback with a least squares cost function is over-fitting. This is precisely why most inversions use a regularization or a prior. I don’t see any discussion of over-fitting. How do the authors combat over-fitting?\n\nI strongly suspect this is why they find a ‘dipole effect’ (see Minor Comment #1).\n\n2.2 Simulated Annealing\n\n2.2.1 Use of Least-Squares and Simulated Annealing?\n\nA least squares cost function (also known as a maximum likelihood estimate), as the authors use, has a closed form solution for the optimal solution. Using the author’s notation, the optimal solution ($\\hat{x}$) would be:\n\n$$\\hat{x} = \\left( K^T \\Sigma_\\epsilon^{-1} K \\right)^{-1} K^T y' .$$ \\hspace{1cm} (1)\n\nwhere $K$ is the dilution matrix, $\\Sigma_\\epsilon$ is the error covariance matrix, $y'$ is the vector of observations after removing the background concentrations: $y' := y - b$.\n\nThere are four cases I could envision using something like Simulated Annealing:\n\n1. if the system is non-linear (e.g., if $K$ is a function of $x$)\n2. to regularize the solution (e.g., by coarsening $K$ as part of the inversion)\n3. there are additional constraints being applied (e.g., non-negativity)\n4. for computational expediency\n\nIn the case of additional constraints (such as a non-negativity constraint), it seems that bounded optimization would be preferable to a stochastic method such as simulated annealing. Gradient-based methods like L-BFGS-B (\"https://en.wikipedia.org/wiki/Limited-memory_BFGS#L-BFGS-B\") tend to be much faster for convex optimization problems such as this one. A stochastic method like Simulated Annealing would probably be better for a non-convex optimization problem.\n\n2.2.2 Error statistics from simulated annealing\n\nRegarding the use of Simulated Annealing, it’s unclear to me why the authors chose to use a technique like simulated annealing here. Simulated annealing is an optimization technique that is quite efficient, so it works rather well in high-dimensional problems. However, the samples obtained from Simulated Annealing are inconsistent with the true posterior statistics (the uncertainties will be smaller than the true uncertainties). So reporting error statistics from Simulated Annealing strikes me as dubious at best.\n\nUsing something like an adaptive MCMC or a reversible jump MCMC (rjMCMC) as some of the co-authors here have previously done seems far superior to simulated annealing.\n\nRelated to this, it’s entirely unclear why Manning et al. (2003) would be the citation for simulated annealing on Page 8, Line 26. This is not a technique or method that Manning developed. For example, the Machine Learning textbook from Christopher Bishop (Bishop, 2007) would be a much more appropriate citation for someone interested in how Simulated Annealing works.\n\n2.3 Section 2.2.3: A priori emission estimates\n\nIt’s not clear why this section is necessary at all. As mentioned above, if the system is linear (the dilution matrix is predetermined and does not change) and the authors choose a least-squares cost function then the solution can be directly computed. There would be no need for a “random, non-negative emission field”. How is this being used? Is this the initial starting point for the simulated annealing? If so, then it should be referred to as such and probably not be discussed in a 2-sentence section on prior emissions.\n\n2.4 Regarding the resolution of the solution grid\n\nThere has been an abundance of work looking at how to define a multi-scale state vector. The textbook from Rodgers (2000) talks about this. Bocquet et al. (2011; QJRMS) is entirely devoted to this topic. Other work like Turner & Jacob, (2015; ACP), Lunt et al., (2016; GMD), Henne et al. (2016; ACP), and Bousserez & Henze, (2017; QJRMS) also talk at length about how to construct this multiscale formalism.\n\nBriefly, by coarsening (or restricting) the grid you are applying a hard constraint on the inversion. Basically, sub-elements are no longer allowed to vary independently. This is a form of regularization. In the most extreme case you could coarsen to a single state vector element. The degree of coarsening can change the problem from an under-determined problem to an over-determined problem. This ties back to an earlier\n\nquestion, how do you deal with potential over-fitting? Was there any cross-validation done?\n\nAt the bare minimum, Bocquet et al. (2011) should be cited.\n\n2.5 Computing the Baseline\n\nThis section needs more work. Computing the baseline is a non-trivial task for any regional inversion and many studies are devoted entirely to estimating the baseline. At the bare minimum, the authors should provide some justification for their choice of the 18\\textsuperscript{th} percentile. Other studies such as Henne et al. (2016; ACP) provided an extensive analysis on the choice of background including precomputing it (as Connors et al. have done) vs jointly estimating it as part of the inversion.\n\n2.6 Evaluation of meteorology?\n\nI didn’t see any mention of evaluating the meteorology. This is a crucial step in atmospheric inversions using real measurements that seems to be missing.\n\n2.7 Figure 3 seems odd\n\nThe dilution matrix as Connors et al. refer to it (also commonly known as the footprint matrix, transport operator, Jacobian, etc.) looks pretty Gaussian. Is there no dominant wind pattern at Haddenham? I would usually expect some dominant wind pattern (i.e., more sensitivity to the upwind region). A wind rose showing that, indeed, the winds are roughly uniformly represented from all sectors here would be useful. Otherwise, turning this into a 3 panel figure (current figure as a large column on the left and two subpanels on the right column) with two illustrative examples of dilution matrices from\n\ntwo days. I would expect the illustrative days to show strong sensitivity upwind of the site for that day.\n\nBasically, I’m curious if this was computed correctly.\n\n2.8 Agreement with NAEI:\n\nThe authors mention good agreement with NAEI (to within ~5%). However, Figure 6 looks strikingly different. Is this because they’ve further coarsened the emissions before this comparison? I don’t see how they are getting a 5\n\n3 Minor Comments\n\n3.1 Dipoles and overfitting in the solution\n\nThe authors discuss a ‘dipole effect’ (e.g., Page 11, Line 21) in the inversion results. These are common in solutions with overfitting. The inversion is attempting to fit a high value at a measurement site, so it inflates the emissions to a very large value at that one location and then compensates by reducing the emissions in a neighboring grid cell where the observations have weak constraints. Basically, this is what happens:\n\n- Location A: concentration too low -> increase emissions in just this location\n- Location B: no constraint on concentration, domain wide emissions too high because of Location A -> reduce emissions\n\nThis is combatted in most inversion systems by having a prior or regularization that includes some off-diagonal relationships (e.g., emissions from Location A and Location B should be weakly correlated).\n\n3.2 Suggestion for title\n\nIt would be nice if the authors specified where the work was done in the title. I’d suggest adding “in East Anglia” or “in the United Kingdom” (or something to that effect). Maybe something like: “Estimates of sub-national methane emissions from inversion modelling in East Anglia”\n\n3.3 Proof of concept\n\nOn Page 3, Line 1 the authors motivate the work as a “Proof of Concept” that inversion schemes can work at sub-national scales. Although this has been shown numerous times in the past. Examples include Scot Miller’s 2013 PNAS paper for methane in the US, Stephan Henne’s 2016 ACP paper for methane in Switzerland, work from Kathryn McKain on methane emissions in Boston, work from Ken Davis’ group on urban inversion modelling in Indianapolis for CO$_2$, and work from Thomas Lauvaux on CO$_2$ at urban scales. So I don’t find a “Proof of Concept” to be a particularly compelling motivation.\n\nThe work is definitely interesting, but I don’t think this should be a major motivation for the reader.\n\n3.4 Table 1:\n\nThe instrument acronyms are rather confusing in Table 1. I would remove “UCAM” and “UEA” from the table and instead add a different column that lists the sampling rate. Alternatively, the authors could have footnotes under that table that explain the acronyms. As it stands, the reader needs to scan the text to try and figure out what the acronyms mean.\n\n3.5 “Pseudo-observations”:\n\nI would avoid using the term “pseudo-observations” because it sounds like the authors are doing a synthetic-data study (i.e., an OSSE). “Simulated”, “modelled”, or “predicted” concentrations would be preferable.\n\n3.6 Equation #1:\n\nDo not present an equation in this form. Use this equation to introduce your nomenclature for later. Something like this would be preferable:\n\n\\[ y = Kx + b \\] \\hspace{1cm} (2)\n\nwhere \\( y \\) is an \\( n \\times 1 \\) vector of concentrations (units: g m\\(^{-3}\\)), \\( K \\) is an \\( n \\times m \\) dilution matrix (units: s m\\(^{-1}\\)), \\( x \\) is an \\( m \\times 1 \\) vector of gridded emissions (units: g s\\(^{-1}\\) m\\(^{-2}\\)), and \\( b \\) is an \\( n \\times 1 \\) vector of concentrations upwind of the modelling domain (units: g m\\(^{-3}\\)).\n\n3.7 Table 3:\n\n“Simulated annealing” is not a cost function type. The cost function is a least-squares or maximum likelihood estimate.\n\nInteractive comment on Atmos. Chem. Phys. Discuss., https://doi.org/10.5194/acp-2018-1187, 2018."}}},{"rowIdx":204892,"cells":{"text":{"kind":"string","value":"ELECTRONIC TECHNICIAN/DEALER\n\nWORLD'S LARGEST TV-RADIO SERVICE & SALES CIRCULATION\n\nIsolating AGC Troubles In Solid-State Color\nNoise in TV Antenna Systems\nMedical Electronics: Servicing Defibrillators\nTroubleshooting Power Supplies\n\nWANTED\n\nTUNERS NEEDING REPAIR\n\n$$$ REWARD $$$\n\nFast!! Expert Rebuilding Service\n\nREWARD: Increase your profits, save time and gain customer satisfaction with the PTS Tuner Rebuilding Service.\n\n- Eight Hour Service on any make any model Tuner including foreign makes. Color, Black and White, Tube, Transistor or Varactor.\n- Original Parts\n- One Year Warranty\n- Quality—Professional technicians with major TV manufacturers recommendation do the work.\n\nProtective Packaging—Protects during shipping and storage.\n\nConvenience—Over 40 PTS company-owned servicenters located throughout the U.S. and Canada. See opposite page for nearest servicenter.\n\nPTS ELECTRONICS, INC.\nPRECISION TUNER SERVICE\n\nGeneral Headquarters: P.O. Box 272, Bloomington, IN 47401\n...for more details circle 102 on Reader Service Card\n\nOn June 7 of this year, the Federal Communications Commission issued a Notice Of Inquiry into its Radio Operator Licensing program.\n\nThe purpose of this Notice Of Inquiry was \"to solicit comments or recommendations from interested parties concerning changes or revisions which the public believes should be considered by the Commission in its review of the relevancy of its radio operator rules to the current state of the communications industry.\"\n\nSpecific questions asked by the Commission in its Notice Of Inquiry are:\n\n- Should the Commission drop its requirement that the adjustment, repair and maintenance of radio transmitting equipment be performed only by a person holding either a First or Second Class Radiotelephone License? (The Commission refers to such licensed service technicians as 'Service Operators')\n- If the 'Service Operator' license requirements are retained, to what degree should the 'Service Operator' be held responsible for the technical performance of transmitting equipment which he installs and/or services? (The Commission's present position is that the 'ultimate responsibility' for the proper technical performance of the equipment rests with the equipment owner, or licensee).\n- Do current First and Second Class Radiotelephone License examinations accurately reflect the knowledge required to install and service today's communications equipment?\n- Would it be more realistic for the Commission to issue a 'basic operator/technician' class of license with optional specialized endorsements for specific classes of equipment such as AM Broadcasting, TV Broadcasting, Land Mobile, etc.?\n- If retained, should the 'service operator' type of licenses be issued for the lifetime of the holder, or, as is current policy, should they be issued for a five-year period with no re-examination required for renewal, or should a five-year re-examination be implemented to determine whether or not the technician's ability has kept pace with technology?\n\nThe deadline originally set by the FCC for comments and recommendations regarding these questions was September 1, but, at the request of the National Association of Broadcasters and the Land Mobile Communications Section of the Electronic Industries Association, the deadline subsequently was extended to November 1.\n\nFor some as yet unexplainable reason, few members of the consumer electronic service industry were notified of this official FCC inquiry. In fact, the editorial staff of ET/D did not learn of the Notice Of Inquiry until November 9, when Merrill See, the owner/operator of an electronics service firm in Kalamazoo, Michigan, called us to solicit our comments.\n\nAlthough the deadline for 'official' comments has passed, I nevertheless will take this opportunity to make the following personal observations regarding the areas covered by the Commission's inquiry:\n\n**ASSIGNMENT OF LEGAL RESPONSIBILITY**—If the transmitter performance criteria established by the FCC is really necessary to insure both optimum utilization of the RF frequency spectrum and quality communications with minimum man-made interference, then somebody has to be held legally responsible for insuring that the performance of the transmitting equipment continues to meet established criteria after it is purchased and put into use.\n\n**Responsibility Of The Owner**—Unless the owner of the equipment (licensee) is assigned some degree of legal responsibility for the technical performance of his or her transmitting equipment, there will exist no real motivation for him or her to have it serviced except when it fails to provide the minimum quality of communications which he or she expects—and we all know that most types of transmitting equipment can 'fail' in a manner which causes interference with other users of the frequency spectrum, yet still provides the owner (or operator) the minimum quality of communications he or she expects.\n\nHowever, because most owners (and operators) of transmitting equipment have neither the knowledge nor technical skill needed to accurately determine whether or not their equipment is performing in accordance with FCC criteria, they realistically should not be held legally responsible for making such a judgment. Instead, their legal responsibility in the event of 'obvious' equipment failure or upon notification of equipment performance in violation of FCC criteria should be limited to the requirement that they immediately turn off the equipment and turn it over to a technician qualified to repair it.\n\n**Responsibility Of The Technician**—Unless the servicing technician also is assigned some degree of legal...\n\nTHE COVER: The scope and circuit highlight the subject of two scope-related articles in this month's issue—TV Power Supply Troubleshooting, on page 14, and Scope That Power Supply, on page 31.\n\n10 Discrete AGC In Solid-State Color TV\nA description of various discrete AGC designs, how they function, and generalized troubleshooting methods. By Paul Shih\n\n14 TV Power Supply Troubleshooting\nA Tech Book Digest of Chapter 11 from Robert L. Goodman's TAB book, \"Troubleshooting With The Dual-Trace Scope.\" Plus a review of the complete book.\n\n24 Noise and Noise Figure\nWhat 'noise figure' is—where it comes from—how it is determined—and what it means to TV picture quality. By James E. Kluge\n\n28 Intro to Defibrillator Servicing\nA look at a fairly simple piece of medical electronic equipment—and how it can be serviced for additional shop income. By Joseph J. Carr\n\n31 Scope That Power Supply\nThe technique of trouble-shooting power supplies with a scope—and how it can solve many \"tough dog\" problems. By Joseph J. Carr\n\nDEPARTMENTS\n\n1 EDITOR'S MEMO\n4 NEWS OF THE INDUSTRY\n8 TECHNICAL LITERATURE\n38 TEST INSTRUMENT REPORT\n41 NEW PRODUCTS\n48 CLASSIFIED ADS\n50 ADVERTISING INDEX\n51 READERS SERVICE\n53 TEKFAX\n\nHARCOURT BRACE JOVANOVICH PUBLICATIONS. Robert L. Edgell, President; Lars Fjeldmark, Senior Vice President; Richard Moeller, Vice President/Treasurer; Thomas Greney, Vice President; Ezra Pincus, Vice President; James Gherna, Vice President; Lois Sanders, Vice President; George Glenn, Editorial Director.\n\nELECTRONIC TECHNICIAN/DEALER is published monthly by Harcourt Brace Jovanovich Publications. Corporate offices: 757 Third Avenue, New York, New York 10017. Advertising offices: 43 East Ohio Street, Chicago, Illinois 60611 and 757 Third Avenue, New York, New York 10017. Editorial, Accounting, Advertising Production and Circulation offices: 1 East First Street, Duluth, Minnesota 55802. Subscription rates: one year, $7; two years, $12; three years, $16 in the United States and Canada. Other countries: one year, $15; two years, $24; three years, $36. Single copy price: 75 cents in the United States and Canada; all other countries, $2. Second Class postage paid at Duluth, Minnesota 55806 and at additional mailing offices. Copyright © 1976 by Harcourt Brace Jovanovich, Inc. All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any information storage and retrieval system, without permission in writing from the publisher.\n\nPOSTMASTER: Send Form 3579 to ELECTRONIC TECHNICIAN/DEALER, P.O. Box 6018, Duluth, Minnesota 55806\n\nSylvania introduces the first 5-year warranty* on picture tubes.\n\nHow can we give you a limited warranty this good?\nBecause we have complete confidence that our Color Bright 85® picture tubes will outlast this 5-year warranty and keep on giving your customers beautiful pictures.\n\nWe produce these tubes on the same equipment as our All-New line which is sold as original equipment to TV set manufacturers.\n\nIt's terrific to be able to offer your customers a high-quality tube with a warranty like this at no risk to you. There's good profit in it, too. So get in touch with your local distributor today, and get cracking on your first five years.\n\n*Limited Warranty, naturally.\nIt doesn't cover labor for replacing a tube.\n\nNEWS OF THE INDUSTRY\n\nTexas Survey Provides An Electronic Service Dealer Profile\n\nA survey of Texas area electronic service dealers conducted by the Texas Electronic Association (TEA) earlier this year, and reported in TEA Times, revealed that:\n\n*Home service calls in Texas cities over 100,000 were priced from $10.95 to $30, with an average of $18. In cities less than 100,000 the rates ranged from $7.50 to $28.50, with an average of $14.\n\n*50% of the dealers were mainly in service with some sales—27% were strong in both sales and service—and 23% were service only.\n\n*The average service-only dealer in the survey reported a net profit of 10%. The average sales and service dealer reported a net profit of 6%—and 75% of all surveyed said they made more money in 1975 than in 1974.\n\n*The largest operator in the survey employed 11 outside technicians, but the average shop had only one outside technician.\n\n*A 40-hour work week for service personnel was reported by 61% of the dealers with answers varying from 35 hours to 60 hours.\n\n*The average service calls per day in large cities was 8—and in small communities, 7.\n\n*Outside accountants were employed by 77% for the firm's bookkeeping.\n\n*42% had been in business 5 years or less—10% had been in business from 5 to 10 years—17% from 10 to 20 years—and 28% for more than 20 years.\n\nGTE Sylvania Will Realign TV Manufacturing Operations To Meet Foreign Competition\n\nAn effort to \"meet unfair price competition from foreign sources\" is the reason given by GTE Sylvania for their consolidation of all color TV final assembly operations in one U.S. facility. GTE Sylvania is a subsidiary of General Telephone & Electronics Corporation.\n\nFrank R. Lann, senior vice president of the company's Entertainment Products group, said that all final assembly of Sylvania and Philco color television sets in the U.S. will be consolidated in the group's Smithfield, N.C. manufacturing facility beginning Jan. 1, 1977.\n\n\"The increasing penetration of the U.S. color television market by certain Japanese manufacturers, using unfair competitive practices, is forcing American set manufacturers to adopt extreme measures to remain competitive,\" Lann said. \"We intend to meet this competition. However, to do so we are forced to make internal adjustments in our production strategy.\"\n\n\"We deeply regret that this decision to consolidate will require the layoff of 488 hourly and salaried employees of the current 1,200 Batavia employees,\" Lann said.\n\nHeadquarters for the Entertainment Products Group, however, will remain in Batavia.\n\n**FCC Says Most CB Interference Of TV Is Caused By TV Set Design**\n\nThe FCC decision in October that generally upheld CB rules on radiation standards and denied the television industry's petitions for stricter CB radiation standards contained a condemnation of the interference susceptibility of TV receivers. As reported in *TV Digest*, a memo from the Safety & Special Bureau of the FCC said, \"Although it is quite true that harmonic radiation from some Class D transmitters causes TV interference some of the time to some TV receivers, it is equally true that the majority of complaints received by the FCC result directly from poor TV receiver design, lack of adequate filtering in TV receivers presently on the market, and inability of TV receivers adequately to reject unwanted or adjacent-channel signals.\"\n\nA spokesman for the FCC, according to the report, expressed hope that TV manufacturers would voluntarily improve designs, in that the FCC currently has no jurisdiction over the aspect of TV receiver design.\n\n**Whirlpool To Sell TV Business of Warwick to Sanyo**\n\nPending stockholder and government approval, the Whirlpool Corporation has agreed to sell the controlling interest in the TV business of their subsidiary, Warwick Electronics, to Sanyo Electric. According to *Consumer Electronics Daily*, \"Sanyo will acquire all of Whirlpool's stock interest in the new subsidiary for $10.3 million, or $4.16 a share, and Sanyo will offer to buy the stock interest of other shareholders with the exception of 25 per cent interest held by Sears, Roebuck.\n\n**Channel Master Announces A \"Retrofit Or Swap\" Option To Cb'ers**\n\nAnother CB manufacturer, Channel Master, has announced a program to convert their\n\n23-channel models to 40-channel operation. The Channel Master approach will allow purchasers of 23-channel sets the conversion privilege over the next 2½ years, or until June 30, 1979. The buyer has the option of either returning his 23-channel unit for conversion to 40 channels, or he can return the receiver in exchange for a comparable 40-channel model. Depending on the model, conversion prices will be $39.95 and $44.95, and exchange prices will be $69.95 and $74.95.\n\n**RCA Continues to Convert Factory Distributorships To Private Ownership**\n\nRCA has converted their factory-branch distributorship for TV receivers and other products in Atlanta to private ownership. The Atlanta operation is the fifth branch of the RCA Distributing Corporation to be turned over to independent ownership in the past two years. The new distributor, the Southco Sales Corporation, will be headed by William T. Blamire, president, who had been with RCA since 1967.\n\nOnly three RCA-owned distributorships are left in the country now. They are in Detroit, Los Angeles and San Francisco.\n\n**The Winter CES For 1977 In Chicago Is Sold Out**\n\nThe fifth annual Winter Consumer Electronics Show, January 13-16, at the Conrad Hilton Hotel in Chicago promises to be the largest Winter Show ever held. \"We're sold out,\" Bill Glasgow, show manager, said, \"with over 325 exhibitors in the show this year compared to 275 last year—and we have a waiting list of over 30 exhibitor applicants.\n\nPart of the Show's expansion is attributed to the increase in CB radios and accessories exhibitors which total more than 100. Also, more than 15 exhibitors of video home games have signed up.\n\n**Newcom '77 To Place More Emphasis On Industrial Electronics**\n\nThe 1977 Newcom Show, to be held in Las Vegas, May 1 to 5, will focus more attention on the industrial electronics segment of the industry, with panel discussions planned for OEM and MRO distributors. In a report in *Electronic Buyers' News*, Newcom Show executive vice president David Fisher said that \"industrial electronics distributors at last year's Newcom—which comprised about one-third of the exhibitors—were overwhelmed by the frenzy created by citizens' band radio exhibits.\"\n\n**New Trade Show Just For Audio Dealers To Make Debut In 1977**\n\nBilled as the \"first trade event ever devoted wholly and entirely to the audio industry,\" Audex will make its debut April 25-28 in Las Vegas. A spokesman for the sponsoring organization, the International Audio Exposition, said that with an annual volume of over 6.3 billion dollars, \"the audio industry needs its own trade show where the display and demonstration of its products are primary and not subordinated to the exhibit of extraneous and incompatible items.\"\n\nTo learn more, write: Audex, 311 Madison Ave., New York, N.Y. 10017.\n\n**ISCET Yearbook To Include Directory of CET's**\n\nThe International Society of Certified Electronic Technicians (ISET) will add a CET Directory system to the 1977-78 Electronic Service Industry Yearbook, soon to be published. A recent survey by ISCET indicated that a majority of CETs consider a national directory of CETs would be of value. All CETs who want to be included in the directory are asked to send their name, address, telephone number, and CET number, along with $5.00 to: ISCET, 1715 Expo. Ln., Indianapolis, IN 46224. Deadline is Jan. 1, 1977.\n\n**PTS Opens Two New Servicenters For A Total of 42**\n\nNew servicenters in Chicago and Omaha bring the total of tuner servicenters owned and operated by PTS in the United States and Canada to 42. The Chicago servicenter, now located in the suburb of Berkeley, was formerly Central Tuner Service, which PTS recently purchased. The new PTS servicenter in Omaha is located at 5008 Dodge St., and serves Nebraska and parts of Iowa.\n\nNational headquarters for PTS are in Bloomington, Indiana.\n\n**Co-op Advertising For CB To Increase**\n\nAccording to a report in *Consumer Electronics Daily*, retailers, distributors and manufacturers of CB radio are now relying more on co-op advertising to get the brand names before the public, now that the CB boom has leveled off a bit. \"Many distributors and retailers are only now taking advantage of the co-op money available. When times were good,\" the report indicated, \"there was little need to advertise and the paperwork just wasn't worth the trouble. Most CB suppliers have co-op programs—some very elaborate, but each with its own little wrinkle.\" ■\n\nAPPLY YOUR SKILLS TO THESE PROJECTS!\n\nTHEY'RE JUST WAITING FOR YOU TO TRY IN THE NEW MOTOROLA HEP NOTES\n\nKeeping up with the leading edge of semiconductor technology is sometimes difficult because of the rapid changes that are taking place. HEP has found that one of the better ways to maintain the knowledge necessary is to \"do-it-yourself\" — keep up with the latest through a \"hands-on\" program.\n\nHEP NOTES are designed so that you can use some of the newer technologies in a practical manner by building projects that are not only educational, but can be useful in your business. Try one — we think you'll want to try them all! They're available through local HEP distributors.\n\nHEP NOTE 100 — An 80 Watt, 50 Ohm VHF Amplifier Project\n\nHEP NOTE 101 — A CMOS Tone Encoder Project\n\nHEP NOTE 102 — TWO CMOS PROJECTS\n 1) CMOS Touch Switch Project\n 2) CMOS Programmable Time Delay Circuit Project\n\nHEP NOTE 103 — A CMOS Digital Clock Project with Optional 12 or 24 Hour Display\n\nHEP NOTE 104 — A 99 Minute CMOS Timer Project\n\nHEP NOTE 105 — A Cordless, CMOS, Liquid Crystal Display Clock Project\n\nSEE YOUR DISTRIBUTOR ... TODAY!\n\nMOTOROLA Semiconductor Products Inc.\nHEP/MRO Operations — P. O. Box 20902 — Phoenix, AZ. 85036\n\nDECEMBER 1976, ELECTRONIC TECHNICIAN/DEALER / 7\n\nSound Systems And Components are presented with photos and descriptions in a new 12-page, 3-color catalog from Argos Sound. Included is a selection of sound columns, a portable sound system, baffle/speakers, wall baffles and CB base and mobile speakers. Specification include weights and measures in standard and metric systems. Free from *Argos Sound*, 600 South Sycamore, Genoa, Ill 60135.\n\nRF Semiconductors for linear applications are described in a new 12-page booklet form TRW. The booklet contains complete data for hybrids and discretes for RF linear applications from microwatts to kilowatts of output from 1 MHz to 4 GHz. It includes specifications, application block diagrams and reliability notes. Available free from *TRW RF Semiconductors*, 14520 Aviation Blvd., Lawndale, Calif. 90260.\n\nTest Instruments for industry, education and service are fully described and pictured in the 1976/77 catalog from Leader. Included complete with specifications, illustrations and prices is the firm's complete line of oscilloscopes/vectorscopes, multimeters, color bar and pattern generators, DVM's, millivolt meters, signal generators, wattmeters, sweep/marker generators and accessories. Available for $1.00 from *Leaders Instruments Corp.*, 151 Dupont St., Plainview, N.Y. 11803.\n\nDo-it-yourself Electronic Kits, Tools and Supplies are illustrated and described in the latest catalog, No. 21-1976, from Conar. The new catalog lists hundreds of items for young people, electronic servicers and hobbyists, including test instruments, sound systems, clocks, electronic kits, automobile troubleshooting equipment, and hobbyist books. Prices and mail-order instructions are included. Available free from *Conar Division*, National Radio Institute, 3939 Wisconsin Avenue, Washington, D.C. 20016.\n\nCB Antennas, in full color, are described in the latest catalog from Avanti. Included are antennas that utilized the Avanti principle of coinduction, including the omnidirectional Astroplane and the direction Astrobeam, PDL-II, and Moonraker. Facts about CB mobile and base antennas, the principle of coinduction, and full specifications are included. Free from *Avanti Research & Development*, 340 Steward Avenue, Addison, Ill. 60101.\n\nElectronic Test Instruments are displayed and described in full color in the latest catalog from Sencore. Included are descriptions of the Sencore 'family' of Cricket transistor tester/analyzers, the Big Henry Multimeters, the Mighty Mite tube tester, the Big Mack and Super Mack CRT testers and restorers, and the Little Huey digital color bar generator, plus the full line of other test equipment, including the CB Analyzer. Prices are included. Available free from *Sencore Instruments*, 3200 Sencore Drive, Sioux Falls, S.D. 57107.\n\nA New Audio Connector Series with 7-circuit capability for multi-circuit interconnecting is described in a new product bulletin from Switchcraft, Inc. The 7-pin \"Q-G\" connector series is presented in response to requests for multi-circuit interconnecting applications such as instrumentation systems, computer peripheral equipment, audio-visual systems, audio consoles, and amplification systems. Included in the series are 13 straight and right angle cord plugs and receptacles and inserts for chassis and special purpose mounting. Available free from Sales Dept., *Switchcraft, Inc.*, 5555 No. Elston Ave., Chicago, Ill. 60630.\n\nAir Suspension Speakers for home and auto hi-fi are described and illustrated in a new min-brochure from the Quam-Nichols Company. The leaflet highlights nine different Quam home and auto high fidelity speakers, indicating the size, frequency response, power handling capacity, voice coil impedance and voice coil diameter, magnet weight, depth and shipping weight, as well as the list price. Notes indicate which speakers have been given a \"big bass sound\" designation and which incorporate a \"whizzer\" cone or an integral tweeter. For free copies of the Form 76-4 leaflet, write to: *Quam-Nichols Co.*, 234 E. Marquette Road, Chicago, Ill. 60637.\n\nThe 1976 Heathkit Christmas Catalog, describing nearly 500 electronic kits for every do-it-yourself interest, is now available. Product categories include: amateur radio, hi-fi components, color TV, test instruments, digital clocks and weather instruments, radio control equipment, marine, aircraft and auto accessories. New products described are: synthesized 2-meter transceiver, a totally programmable color TV system, an audio control center, scanners, and a freezer alarm. Available free from *The Heath Company*, Benton Harbor, Mich. 49022.\n\nPricing Methods For Small Business Operators are described in a new booklet from the U.S. Small Business Administration. Titled \"A Pricing Checklist for Small Retailers,\" the 8-page booklet provides a checklist for the owner-manager of a small retail business with 52 questions that probe those considerations—from markup to pricing strategy to adjustments—that lead to correct pricing decisions. Available free from field offices and headquarters of the *U.S. Small Business Administration*, Washington, D.C. 20416.\n\nBusiness Letters—They're Easier Than You Think—is the topic of a new booklet produced for electronic service shops by Dick Pavelk of Tech Spray. While it has nothing to do with the firm's products, it does provide a lot of good hints on effective business letter writing, including collection letters, parts order communication and promotional letters. The suggestions in the booklet take the ineffective stuffiness out of traditional business letters. Free from *Tech Spray*, P.O. Box 949, Amarillo, Texas 79105.\n\nProfessional Electronic Tools and Safety Equipment are catalogued and described in the latest 80-page catalog from Klein Tools. The book is organized for easy reference and fully indexed and contains product descriptions, reference tables, information on OSHA and ANSI regulations and tips on proper use of hand tools. Products listed include: pliers, wrenches, screwdrivers, saws, hammers, measuring tapes, knives, and bull pins. Available free. Ask for Catalog 120 from *Klein Tools, Inc.* 7200 McCormick Rd., Chicago, IL 60645.\n\nMicrophones, Antennas, Test Equipment and Accessories for CB are listed and pictured in the latest booklet from Mura Corp. Included in the booklet are variable gain power microphones, three-level gain power microphones and base-station power microphones. A selection of mobile and base station CB antennas and test equipment such as meters, impedance matchers, and multimeters is also included. Free from *Mura Corporation*, 177 Cantague Rock Road, Westbury, N.Y. 11590.\n\nNow... push-button remote TV control... for all channels... for all TV sets.\n\nJerrold's new all-channel Universal TV Remote Control, Model TRC-82, provides instant push-button selection of all TV channels, UHF as well as VHF. Your customers will love the ease with which UHF channels pop in. Tuning is electronic with direct access to the desired channel. There are no motors and no movement, eliminating wear and tear on the TV tuner.\n\nThe TRC-82 can be attached to the back of any Color or Black and White TV set in minutes. It turns the set on and off and fine tunes, in addition to changing channels. The TRC-82 also amplifies incoming signals and eliminates direct pick-up ghosts for better picture quality.\n\nOnce you demonstrate this new electronic, all-channel TV Remote Control, your customers won't want to be without it!\n\nIt's packaged in a sturdy, colorful, self-selling carton.\n\nSee us at C.E.S., Exhibit E-206\n\nJerrold Electronics\nGENERAL INSTRUMENT CORPORATION\n\nJERROLD ELECTRONICS CORPORATION • 200 Witmer Road • Horsham, Pennsylvania 19044 • (215) 674-4800\n\n...for more details circle 116 on Reader Service Card\n\nDECEMBER 1976, ELECTRONIC TECHNICIAN/DEALER / 9\n\nDiscrete AGC In Solid-State Color TV\n\nBy Paul Shih\n\nHow various discrete designs function, and generalized procedures for servicing them\n\nThe principal function of the automatic gain control (AGC) system in a TV receiver is to maintain the \"average\" output of the video detector at a constant level regardless of fluctuations in the strength of the received signal. Without an effective AGC system, the picture contrast and level of sound produced by the TV receiver would fluctuate in direct proportion to the strength of the received signal. Also, the sync stability would be reduced.\n\nAs illustrated in Fig. 1, the AGC systems in modern all-solid-state color TV receivers are closed-loop types in which the level of the horizontal sync pulses in the composite video output of the video amplifier is \"sampled\" and used to develop a DC control voltage which, in turn, is used to vary the gain of the RF and video IF sections in inverse proportion to the strength of the received signal.\n\nREVERSE VS FORWARD AGC\n\nThe gain of a tube-equipped video IF stage is controlled by varying the amount of negative (reverse bias) voltage applied to the control grid. Increasing the negative voltage reduces gain.\n\nHowever, because application of reverse bias to the base-emitter junction of a bipolar transistor-equipped stage completely cuts off the stage, AGC voltage in the form of reverse bias is not used in receivers with bipolar transistor-equipped RF and video IF stages.\n\nInstead, as illustrated in Fig. 2, the gain of RF and video IF amplifiers equipped with bipolar transistors is controlled by shifting the forward bias of the base-emitter junction either above or below the value which provides maximum gain. In the method called 'reverse' AGC, the gain of the stage is decreased by decreasing the forward bias. In the method called 'forward' AGC, the gain of the stage is decreased by increasing the forward bias above the value which provides maximum gain.\n\nDespite the fact that the increase in base-emitter junction capacitance caused by forward AGC can attenuate the high-frequency components of a signal, thereby reducing the bandwidth of the stage, forward AGC is nevertheless the most prevalent type employed in today's all-solid-state color TV receivers, principally because, as evident in Fig. 2, it produces a more linear and more gradual reduction in gain than does reverse AGC.\n\nTo minimize the bandwidth-reducing characteristic of forward AGC, some color TV designers use both forward and reverse AGC—forward for the first gain-controlled video IF stage, and reverse for the second stage.\n\nNEGATIVE VS POSITIVE AGC VOLTAGE\n\nThe polarity of the DC control voltage developed by the AGC system in an all-solid-state TV receiver depends upon the \"polarity\" and type of RF and video IF transistors to which it is applied.\n\nIf the gain-controlled stage is equipped with an NPN bipolar transistor, the polarity of AGC voltage applied to the base will be positive. Conversely, if it is equipped with a PNP bipolar transistor, the AGC voltage applied to the base will be negative.\n\nIf, as is becoming more common, the gain-controlled stage is an N-channel dual-gate MOSFET, the AGC voltage applied to the \"second\" gate of the MOSFET will be negative if the device is a depletion type and will be positive if the device is an enhancement type. (The polarities of AGC voltages applied to P-channel dual-gate MOSFETS are opposite those applied to N-channel devices of like types.)\n\nKEYED AGC\n\nThe 'keyed' type of AGC system probably is used in more existing TV receivers than any other basic type. Fig. 3 is a simplified schematic diagram of a typical keyed AGC system equipped with and used to control the gain of bipolar transistors.\n\nAGC keyer transistor Q3 in Fig. 3 conducts only when it is \"keyed on\" by the simultaneous presence of a negative-going flyback-originated pulse on its collector and a negative-going horizontal sync pulse in the composite video applied to its base. Fig. 4 is a photo of these two pulses as displayed on the screen of a dual-trace scope.\n\nA negative voltage developed\n\nacross a voltage divider in the emitter circuit of Q3 reverse biases the base-emitter junction, holding Q3 in a cut-off condition until the amplitude of the negative-going horizontal sync pulse on the base exceeds the negative voltage on the emitter by .6 volt. Because the level of the negative voltage on the emitter is dependent on the setting of AGC control R3, this control therefore determines at what amplitude of the horizontal sync pulse Q3 will begin to conduct. And, because the amplitude of the horizontal sync pulse on the base of Q3 is directly proportional to the strength of the received signal, the conduction of Q3 and the AGC voltage developed by its conduction will be directly proportional to the strength of the received signal.\n\nConduction of Q3 charges up coupling capacitor C3, and the DC voltage thus developed across the capacitor is directly proportional to the amplitude of the horizontal sync tip on the base of Q3, which, in turn, is directly proportional to the strength of the RF carrier.\n\nVideo information, as well as noise pulses between the horizontal sync pulses, can not affect the AGC voltage, because the keyer, in the absence of the flyback keying pulse on the collector, does not conduct during the horizontal scanning period. In addition, any strong noise pulse that may be present during the horizontal sync period will be effectively cancelled out by noise gate Q1, which is ahead of AGC keyer Q3.\n\nPulse diode D3 performs two functions: It rectifies the flyback pulse, and also prevents the charge in C3 from leaking through the base-collector junction of Q3.\n\nThe voltage appearing across C5 is the initial AGC voltage.\n\nThe time constant of filter R5/C5 can be made very short because the lowest ripple frequency component needed to be filtered out is the horizontal pulse rate of 15,750 Hz, not the 60-Hz field rate as in simple non-keyed AGC circuits. With a short time constant, the keyed AGC system is capable of responding to fast signal variations (such as reflected signals from a passing airplane), thus providing more stable operation.\n\n**Video IF AGC**\n\nAGC amplifier stage Q5 steps up the AGC current capacity. The amplified AGC voltage for application to the video IF section is taken from the emitter of Q5 because it provides better low-impedance matching into the base circuit of the 2nd video IF stage. The positive AGC voltage may vary from 1 volt for a weak signal, to 4 volts for a strong one.\n\nThe IF AGC voltage can be applied to the bases of the 1st and the 2nd IF amplifiers either in parallel or in series. The series connection shown in Fig. 3 minimizes the loading effect between the two stages.\n\n**Delayed AGC To RF Amplifier**\n\nApplication of AGC control voltage to the RF amplifier in the tuner is delayed until the input signal becomes relatively strong. The reason for this is that the RF amplifier, being the first stage and having the lowest level of input signal, must be allowed to operate at its maximum gain, for a favorable signal-to-noise ratio. The level of the signal at the output of the RF amplifier must be high enough to override the noise generated in the mixer stage. No AGC voltage is applied to the tuner as long as there is no danger of overloading the mixer stage, and the IF AGC is still able to adequately control the gain of the IF stages.\n\nHowever, an exceptionally strong signal can cause overloading in the mixer (in the form of crossmodulation) or in the IF stages (in the form of signal clipping or distortion). Before this happens, AGC voltage must be applied to the RF amplifier, to reduce its gain. Once this takes place, the RF AGC voltage normally increases more rapidly than does the IF AGC, to prevent the onset of overloading.\n\nThere are several ways to delay the application of AGC voltage to the RF amplifier.\n\nThe simplest way is to insert an opposite-polarity DC voltage on the RF AGC line through a high-value \"bucking\" resistor. Before it can impose control action on the RF stage, the AGC bias must exceed the level of the inserted opposite-polarity voltage.\n\nOther designs of delay circuits employ conventional or zener diode clamping networks connected to the AGC bus line to produce the delaying action.\n\nIn the keyed AGC system in Fig. 3, a separate amplifier stage, Q7, is used to delay the application of AGC voltage to the RF amplifier. Q7 does not conduct until a strong signal is received and the collector voltage drops on Q5 due to a high collector current. Once Q7 begins to conduct, its collector voltage, or the RF delayed AGC voltage, increases from 3 to 8 volts. This 'forward' AGC is applied to the NPN transistor in the RF stage, decreasing its gain. RF AGC delay control R7 is provided for setting the conduction point of Q7 to assure snow-free reception from weak stations and no overloading from strong ones.\n\n**NON-KEYED AGC PEAK DETECTION**\n\nA somewhat unconventional\n\nAGC circuit is used by Sony in a number of their color chassis. A simplified schematic of such a circuit is shown in Fig. 5.\n\nThe composite video signal from the first video amplifier is fed to a pair of AGC amplifiers, Q209 and Q210. The output from Q210 is then peak detected by a diode, D202, and the current through the diode charges up capacitor C237. The average DC voltage developed across C237 is directly proportional to the amplitude of the incoming sync tips.\n\nIf a positive noise pulse with a greater amplitude than that of the sync tip arrives at the input of Q209, it will pass through diode D204 and turn on Q208. With Q208 saturated during the noise pulse period, the base of Q209 is effectively grounded, resulting in the removal of the video signal to the AGC and sync systems. The cutoff of the input signal is so short that no change in the sound or the picture can be perceived. This noise immunity system prevents the noise pulses from interfering with the operation of the AGC and sync systems.\n\nThe AGC voltage across C237 is amplified by Q304. The output at the collector is filtered by C337 and applied to the 2nd IF amplifier, Q601. The level of this control voltage can be adjusted by IF AGC control R304.\n\nThe IF AGC voltage is routed from the emitter of Q601 to the base of Q603, the 1st IF video amplifier. During reception of a strong signal, the resultant increased conduction of Q603 causes its collector voltage to decrease (become less positive). The less-positive voltage, in turn, switches on the RF AGC gate, Q955. The output from Q955 is amplified by the VHF AGC amplifier, Q953, and then is coupled to the \"AGC control\" gate of a MOSFET RF amplifier in the VHF tuner. The voltage from Q953 is inverted, and its amount of variation is reduced by UHF AGC amplifier Q954. An NPN RF amplifier in the UHF tuner is controlled by this inverted AGC voltage from Q954.\n\nControls R953 and R954 are provided to vary each of the RF delay AGC voltages. They are normally adjusted for maximum contrast and minimum snow in the picture during reception of weak VHF and UHF stations, respectively.\n\n**TROUBLESHOOTING DISCRETE AGC SYSTEMS**\n\nThe AGC voltage in a closed-loop AGC system directly controls the operation of the IF and RF stages and also can affect the functioning of the video, noise gate, and sync circuits. In turn, the operation of all these circuits in the loop can affect the function of the AGC system. Troubles anywhere in the loop can cause reactions along the entire loop.\n\n**Trouble Symptoms And Typical Causes**\n\nSome of the more common trouble symptoms caused by faults in the AGC system are: no sound and no picture, weak or washed-out picture, overloaded or dark picture with or without sound buzz, picture bending or 'flagwaving', poor vertical locking, busy background or snow on strong channels, co-channel interference and cross modulation, video flutter, line flashing, and picture shading.\n\nOverload and bending of the picture is associated mostly with *insufficient* AGC action, while \"washed-out\" or \"snow\" symptoms are the result of *excessive* AGC control. Spurious AC signals riding on the DC AGC voltage can cause picture shading, unstable sync, horizontal line flashing and other 'odd' symptoms.\n\n**Preliminary Troubleshooting Procedures**\n\nThe trouble symptoms described previously are by no means unique to AGC defects. Similar symptoms could be caused by troubles in any stage within the AGC loop system. It is, therefore, important that: 1) the symptom itself be carefully diagnosed, and 2) a logical, systematic procedure be used to isolate the trouble to a particular section during the early stage of troubleshooting.\n\nAs a preliminary assessment of the functioning of the AGC system, closely watch the picture while rotating the video IF AGC control. The quality of the picture should vary from \"washed-out\" at one end of control rotation, to over-contrast, bending or black out at the other end of rotation. The RF delay AGC control can be checked by turning it CCW on a weak signal while noticing the increase of snow in the picture. The RF AGC control can also be checked on a strong signal by turning it CW while watching for the effects of overloading and cross-modulation in the form of picture streaks following the sound information.\n\nIf rotation of the AGC control(s) affects the picture quality in a normal manner and reduces or eliminates the trouble symptom, attempt to adjust the control(s) in the manner and sequence specified in the service literature.\n\nSome receivers do not have any AGC control, while a few have as many as three AGC-related controls. Most receivers have one IF AGC control and one RF AGC Delay control. Whenever possible, the adjustment procedure outlined by the manufacturer should be followed.\n\nThe generalized procedure for most sets is as follows: 1) tune in a strong station and turn the contrast control fully CW; 2) advance the AGC level control CW to a point where the picture just begins to bend or distort and then rotate the control CCW slightly; 3) switch the channel selector to a weak station and rotate the RF delay control CW until snow just disappears from the picture; and, finally, switch the receiver back to a strong station again and check for overloading. If overloading or distortion does occur, rotate the RF control CCW slightly and then repeat the IF and RF AGC control adjustments. When consistent, maximum contrast is obtained on all active channels, the contrast control then can be rotated away from its full CW position, if necessary, for normal viewing.\n\nThe interaction between the AGC controls and the noise gate control, if one is provided, should\n\n---\n\n**Fig. 4**—Photo of the two 'keying' pulses required for conduction of AGC keyer transistor Q3 in Fig. 3. Top) Negative-going horizontal sync pulses in composite video signal applied to base of Q3. Bottom) Flyback-originated negative-going horizontal pulses applied to the collector of Q3.\n\nnot be overlooked. Rotating the noise gate control should produce voltage variations in the AGC system. Improper adjustment of the noise gate control can render the AGC and sync sections inoperative. Proper setting of the noise gate control can be accomplished by first turning it fully CCW and then performing the AGC control adjustments outlined previously. Then, slowly advance the noise gate control CW to the point where the video just begins to break up, then rotate it CCW slightly.\n\n**Localizing And Isolating The Trouble**\n\nIf adjustment of the AGC-related controls does not completely eliminate the trouble symptom(s), scope the composite video waveform at a test point in the video section, such as the output of the video detector or the first video amplifier. The amplitude and shape of the waveform should agree with what is specified by the manufacturer. Also, a DC voltmeter connected between the AGC test point and ground should indicate voltage variations when the receiver is tuned from an unused (or weak) channel to a strong one. (A weak station may be simulated on a strong channel by disconnecting and loosely coupling the antenna leads to the receiver.)\n\nIf rotation of the AGC controls produces erratic or abrupt increases or decreases of the AGC voltage and/or the amplitude of the video waveform, a defective AGC control should be suspected.\n\nIf the video waveform and AGC voltage are both abnormal and adjustment of the AGC controls does not eliminate the abnormality, there undoubtedly is a defect somewhere in the AGC loop. To isolate the trouble, the AGC source in the loop must be overridden temporarily by an external bias voltage, such as that provided by a bias box.\n\nThe reason for using the external bias source is to 'break' the AGC loop. By doing so, the trouble can be narrowed down to one half of the loop—either the *controlling* stages, or the *controlled* stages.\n\nThe polarity and the amplitude of the bias to be used generally can be determined quickly by studying the schematic. A general rule of thumb is that a *positive* bias voltage is required for video IFs equipped with NPN transistors or N-channel *enhancement* type MOSFETs, whereas a *negative* voltage is required for video IFs equipped with PNP transistors or N-channel *depletion* type MOSFETs.\n\nTo avoid damaging the transistor or FET, the amplitude of the external bias should be initially set at minimum and then gradually increased to the correct value.\n\nIf overloading of the external bias source is evident, disconnect the external bias and look for a short somewhere along the AGC bus line or in the input circuit of the controlled stage.\n\nTo avoid excessive loading of the AGC, RF and video stages in certain receivers, it is necessary to open the AGC bus line before inserting the external bias in the IF or RF input circuit.\n\nIf the insertion of the external bias fails to eliminate the trouble symptom, a defect in the IF or RF section is evident. The best way to deal with a defect in these sections is to measure the DC voltages on the elements of each transistor, along with signal tracing in the associated stage. Incorrect DC voltages or missing or distorted waveforms are key clues.\n\nThe most common defective AGC-related components are shorted or leaky transistors, defective by-pass or decoupling capacitors, and an open component in the signal path, such as a coupling capacitor or a peaking coil.\n\nTrouble in the AGC circuit is indicated if application of the external bias clears up the trouble symptom. Observe the video sync or flyback pulses on the AGC keyer or on the peak AGC detector, in addition to standard DC voltage measurements. If a pulse is missing, signal trace back to its origin. If a distorted pulse or incorrect DC voltage is encountered, focus your attention on the associated transistor and its directly related components.\n\nThere should be no pulses or AC ripple on the AGC bus line. If horizontal pulse components are observed on the bus line, look for an open AGC filter capacitor or a defective pulse diode. A defective AGC DC power supply filter capacitor can cause either 60- or 120-Hz ripple voltages to appear in the AGC source. Other common defects beside the filter capacitor are a shorted pulse diode, a leaky or open transistor, a defective \"bucking\" resistor or clamping diode, and a flyback AGC pulse winding connected in reverse during transformer replacement.\n\n**'AGC' Troubles Caused By CATV**\n\nDefective components in the chassis are the most common causes of what are or appear to be AGC troubles. However, there are certain types of 'AGC' trouble symptoms that are not caused by defects in the chassis, but, instead, are caused by the antenna distribution system. This is particularly true in CATV systems in which excessively strong signals are present. These can overload receivers which have 'marginal' AGC systems. A simple remedy to this problem is to add a resistive-pad or attenuator in the cable, to reduce the signal to a level which the AGC system in the receiver can handle.\n\n**NEXT: IC-Equipped AGC Systems**—An analysis of the theory of operation of integrated-circuit AGC systems and procedures for troubleshooting them will be presented in a near-future issue of ET/D.\n\nTV Power Supply Troubleshooting\n\nCONSTANT-VOLTAGE TRANSFORMER\n\nMany of the newer color sets are incorporating the constant-voltage power transformer regulation system. This transformer self-regulates all of its secondary voltages. Within the constant-voltage transformer (CVT) the primary and secondary windings are loosely coupled. This is accomplished by placing the windings on separate legs of the core. The regulating circuit consists of an extra winding connected to the high-voltage secondary and a capacitor shunting the total secondary winding.\n\nThis CVT system eliminates the need for any additional transistors, zener diodes, or semiconductors to regulate the DC voltages of the power supply. The CVT will also suppress transient pulses from the incoming AC power line. For example, should a 30V transient appear in the primary for approximately 2 seconds, it will appear on the output secondary at less than 15V in amplitude for a duration of only about 100 msec. This helps reduce semiconductor failure in the receiver chassis due to spikes. Since there are no zener diodes or regulator transistors in the power supply, the possibility of a voltage increase due to a zener diode or transistor failure is eliminated. The CVT helps smooth out any voltage surges.\n\nCVT Operation\n\nIn a conventional power transformer, the primary is tightly coupled to the secondary. Probably the most frequently used method is for the secondary coil to be...\n\nFORD. YOUR FIRST CHOICE IN PARCEL VANS.\n\n14-ft. body\nis largest of any parcel delivery van. 8 ft. wide, 6'2\" headroom. Ford also offers 12-ft. body.\n\n40% more cube\nthan Ford's largest previous-design body to take on bigger jobs.\n\n2,200 lbs. more weight rating than older Fords. GVW's now go to 10,500 lbs.\n\nSeparate frame\nprovides strong support for the longer body. No other parcel van is built this way.\n\nPower choice\nincludes 300 Six standard, 351 and 460 V-8's optional.\n\nWide doors\nand forward axle location make it easy to step into the roomy cab interior.\n\nDual rear tires\ncan take heavy weight, keep load floor low.\n\nFord Parcel Delivery Vans not only take on big jobs, they make the driver's job easy.\n\nThe engine's forward out of the way. There's more room to get in, more room to drive in. You can step right across the cab or into the load area. Power front discs are standard, Cruise-O-Matic Drive available. See what's new in vans; see your local Ford Dealer.\n\n93 out of 100 of all Ford trucks registered over the last 12 years are still on the job.\n\nFORD ECONOLINE VANS\n\nFORD DIVISION\n\n...for more details circle 115 on Reader Service Card\n\nDECEMBER 1976, ELECTRONIC TECHNICIAN/DEALER / 15\n\nwound over the primary coil on the same leg of the magnetic core. If the AC line voltage changes, then the secondary voltage will change in a linear manner. There is no voltage regulation with a conventional power transformer.\n\nIn order for a power transformer to regulate, it must operate in a nonlinear manner. The secondary voltage must not change even though a change does occur in the primary voltage. These conditions are met with the constant voltage transformer illustrated in Fig. 1. The obvious difference in construction between the conventional transformer and the CVT are the shunts between the primary and secondary coil windings.\n\nThere are three different magnetic flux paths in the CVT. As in the conventional transformer, there is a flux that links both primary and secondary windings, and this sets up the output voltage from the secondary. But in the CVT, the shunts permit the establishment of two other flux paths. As shown in Fig. 1, one set of flux lines remains around the primary coil only, and another set remains around the secondary coil only. It can be said that these two latter sets of flux lines are isolated from each other; therefore, a certain amount of isolation exists between the primary and secondary coils (because of the shunts).\n\nWhen a capacitor is connected across the secondary output, a capacitive current flows throughout the entire secondary winding. The current flow sets up a flux that is in phase with the flux in the primary winding; this effectively adds to the flux in the core of the secondary. The two fluxes combine to drive the secondary windings into saturation. Since the primary core is not saturated, we have a nonlinear device. Changes in the primary voltage (above certain lower limits) will not affect the secondary, because the secondary coil is already saturated. By keeping the primary unsaturated, we will not draw excessive line currents. With a normal load, the saturated secondary will maintain a constant output voltage over wide ranging primary voltages.\n\nThe output wave shape at the secondary winding of the CVT used in some TV receivers is a modified square wave. With 70V AC on the primary, the transformer core under the secondary winding is nearly saturated and the 140V DC supply will be at 80% of its rated value. At 105V AC on the primary, the secondary core is saturated and remains saturated for any further increase in primary voltage.\n\nThe operating temperature of the CVT will be higher than a conventional power transformer due to continuous operation in a saturated condition. Thus, the excessive heat does not indicate a defective transformer.\n\n**AC Voltage Checks and Square Waves**\n\nIf AC measurements are made on the regulated secondary windings, you should use a meter that reads true RMS, or use an oscilloscope for peak-to-peak readings. The reason to be particular about the meter is that a square wave is present on the CVT secondary winding. You may recall that most general-purpose instruments are peak-reading meters with a calibrated RMS scale, and do not provide true RMS readings. With the improper meter, the voltage reading at this point will vary with the peak-reading type of meter used, and the voltages read will not give a true indication of the circuit conditions.\n\nThe oscilloscope can be used with this regulation system. As shown in the power supply schematic in Fig. 2, connect one probe of the dual-trace scope to the AC line voltage input and the other probe to the secondary of power transformer T1201. The bottom waveform in Fig. 3 is the normal 120 V AC line\n\nthe picture looks quite ragged (as viewed in Fig. 7).\n\n**CVT Troubleshooting**\n\nSeveral circuit faults could cause the circuit breaker to trip. A heavy overload of the +143V supply by circuits within the chassis will trip the breaker. A shorted 3.5 mfd timing capacitor (C1207, Fig. 2) will blow the line fuse. The same is true if similar conditions would occur in the +22V or +23V lines. Shorted diodes Y901 through Y904 will cause a heavy overload and blow fuse F1201.\n\nSince there is a chance that 3.5 mfd timing capacitor C1207 may fail, it should not be overlooked during circuit diagnosis. If all B+ voltages and the CRT filament voltages are about 20% low, chances are the resonant circuit, which is formed with a 3.5 mfd capacitor across the total secondary winding, is open. If this capacitor is faulty (open), the picture will be pulled in from the sides, top, and bottom (Fig. 8).\n\nA voltage measurement between the orange and red/yellow leads from the transformer is a good check. This voltage should be approximately 300V RMS under normal conditions. In the event this capacitor fails, it is important to replace it with the correct GE part. Any variation will affect power supply and receiver performance. A higher value will increase the B+ voltage, and this may result in excessive X-radiation.\n\nThe circuit schematic in Fig. 9 shows another portion of the power supply system used in GE chassis. Filter choke L1702 and filter capacitors C1702A and B are used on the +143V line in conjunction with the saturable reactor high-voltage regulation transformer. A B+ voltage regulating circuit is not required in this chassis because of the CVT. A similar saturable-core regulation system (Fig. 10) is used in some Zenith color chassis.\n\nIf the filter choke (L210, Fig. 10) becomes faulty, it may be difficult to locate, as the only noticeable difference from a perfect picture is a slight vertical bending of the picture. If the picture moves to the right as shown in the photo in Fig. 11, the cause is a shorted filter choke. There is a slight bending on the left edge of the picture raster. Using a dual-trace scope with the probes at the input and output of the filter choke, the ripple trace voltages will look identical on the scope if the choke is shorted. If the choke is good, the input waveform will have some ripple but the output will show a smooth scope trace.\n\nIf zener CR211 opens, the picture will pull or weave and produce the same symptoms as an open filter capacitor in a tube-type chassis. Some regulator zeners have been known to oscillate, and this may produce a faint white horizontal bar across the screen that will roll through the picture. A scope can be used to locate this oscillation. If the zener opens, the +24V supply line will measure slightly more than +24V. A faulty Q212, the +24V regulator transistor, will cause a hum in the sound and some hum bars across the screen.\n\nAnother version of the saturable-core reactance power transformer is used in the Quasar TS-942 color chassis. Output voltage of this supply is regulated to maintain about 100V throughout the range of AC line voltages normally encountered.\n\nAs shown in Fig. 12, the transformer secondary and\n\ncapacitor C802 form a resonant circuit. Under normal conditions, the secondary circuit has a high circulating current, resulting in partial saturation of the specially designed core of the transformer. This makes output voltage relatively independent of line voltage variations.\n\nIncreased load current reduces the $Q$ of the resonant circuit resulting in decreased saturation of the core and increased transfer of energy from the primary to the secondary. The reverse action occurs for a decreased load. Thus, the supply regulates output voltage for both line and load variations. A circuit breaker in the AC line and fuses in the supply lines protect against excessive currents.\n\n**HORIZONTAL SCAN RECTIFICATION**\n\nMany modern TV chassis now combine a half- or full-wave rectifier system with a scan rectifier that is needed for the lower regulated DC voltages.\n\nScan rectification is an efficient method of converting horizontal sweep energy into a DC voltage. A typical circuit, the GE JA color chassis power supply, is shown in Fig. 13. To accomplish the conversion, a winding on the horizontal output transformer inductively transfers horizontal sweep voltage to the scan rectifier, Y402. The sweep voltage is then rectified by Y402 during the relatively long scanning period.\n\nDiode Y402 is reverse biased and does not conduct during the short duration of the retrace pulse (as illustrated in Fig. 14). The output of Y402 is then filtered by capacitor C418 and regulated by Q400 and its associated components to produce the +22V source.\n\nRegulator Q400 is series operated without feedback. A stable 22.5V reference is developed on the base of Q400 by zener Y404, through the path provided by Y403 and R416. The circuit composed of Y404, R418, and C420 also doubles as a separate +22V supply to the sweep circuits in the receiver. Transistor Q400 regulates by operating as a variable resistance. With an increase in circuit current, emitter voltage begins to decrease due to the increased voltage drop across Q400. This condition increases the forward bias on the base-emitter junction of Q400, causing it to conduct more heavily. Greater conduction by Q400 is comparable to a decrease in its resistance, thus restoring the supply voltage to normal. For decreases in circuit current, the reverse effect occurs. R414 and Y405 are for a measure of protection against momentary short-circuit conditions in the 22V line by limiting the amount of current through Q400 in overload conditions. The most common fault in this circuit is a shorted Y402 diode, and that will probably open resistor R412. Leakage in Q400 and faulty Y404 zeners have also caused some problems. Use the oscilloscope to check for the correct pulse (see Fig. 14) that will be found in R412.\n\nThere are several different circuit designs that use the stored energy available in the horizontal output transformer to supply low-voltage power to several circuit systems. As shown in the simplified circuit in Fig. 15, energy from the sweep transformer is available during the scan interval and is rectified by diode CR208 to provide a 20V source. This source is resistively divided to provide an additional 12V supply.\n\nPower input from the AC line through a half-wave rectifier provides the higher 115V DC requirements.\n\n**ELECTRONIC REGULATION**\n\nBecause ICs and other solid-state devices are sensitive to excessive voltages, a regulation system is needed in the power supplies. The regulators use a zener diode or a zener-controlled transistor to smooth out the DC voltages and keep the output constant under changing load conditions. These regulators react to changes so rapidly that they are sometimes called electronic filter circuits. Extensive filtering...\n\nwith heavy chokes and large capacitors are a thing of the past. Some regulated circuits may have a small 200 mfd filter capacitor; but without the solid-state electronic filter, a huge 10,000μF capacitor would be required to do a comparable job.\n\n**Shunt Regulator**\n\nA simple zener regulator circuit is shown in Fig. 16. It is called a shunt regulation system because the regulating device is in parallel with the load. Basic considerations for the shunt regulator circuit require that when no load is applied, the zener must pass the amount of current the load would require, and also an additional amount of current that would keep the zener regulating when the load is applied.\n\nThis total amount of current is determined by the value of Rs. If the value of Rs increases, the available current to the load and zener would be less. The Rs resistance value must be small enough to maintain zener regulation during maximum current drain of the load. Shunt regulation is not very efficient because there is always current flowing through the zener that is of no value to circuit operation.\n\n**Series Regulator**\n\nA more efficient regulator system is the series-type zener regulator. A series regulator system (Fig. 17) requires a control device, such as power transistor Q212, to be in series with the load. The majority of the current flows through Q212. A change in current flow through the transistor will tend to cause a voltage change at the collector. Since the base is biased at a constant voltage by CR213, the change in potential from the base to the collector will affect the current flow through the transistor. This, in turn, automatically restores the emitter output voltage to +24V. Because the transistor is used as an emitter follower, the emitter will remain very close to the zener rating, provided the load does not draw excessive current. In this circuit the zener draws very little current. If a short occurs in the load circuit and heavy current is drawn, the transistor would be damaged if it were not for limiting resistor R322.\n\n**Darlington Regulator**\n\nOne way of increasing current gain and maintaining voltage regulation is to use a Darlington circuit such as that shown in Fig. 18.\n\nThe advantage of a Darlington regulator is that a large amount of current can be handled with good voltage regulation. In the typical 125V regulator, more than 500 mA is the normal current flow. This means the current in the base circuit of the regulator driver will be near 0.5mA. To achieve a reasonable percentage of voltage regulation, the current through the zener should be at least twenty times greater, or 10 mA. Therefore, the wattage rating of the zener would have to be at least 3W. Because of several factors, in particular the temperature characteristics, a zener with a 0.5W rating is much more desirable than a 3W zener. A 0.6W zener has more temperature stability and a greater degree of built-in temperature compensation. In this configuration, the driver transistor operates in the same manner as the series regulator transistor. However, its emitter provides base bias for the regulator transistor, and this controls the current flow through the regulator transistor.\n\n**RECTIFIER SYSTEMS**\n\nThe output frequency of a half-wave power supply is 60Hz. A smoother DC voltage can be obtained from a full-wave supply because its output frequency is 120Hz, so a smaller filter capacitor system is required. In Fig. 19, diode D1 conducts when the top of the secondary winding of T1 is positive. This provides a charge to filter capacitor C1. During the next halfcycle, diode D1 is reverse biased and is cut off. At this same time, the bottom half of the secondary is positive, diode D2 conducts, and capacitor C1 is further charged. One diode will always conduct, regardless of the phase of the incoming AC.\n\nThe full-wave power supply has an output ripple frequency of 120 Hz because the output from the diodes occurs on each half-cycle of the incoming AC. The big advantage of a full-wave rectifier system is that the 120 Hz ripple is much easier to filter than the 60 Hz ripple.\n\nIf either diode shorts, a short will exist across the power transformer secondary and the fuse will blow. If the input filter capacitor C1 opens, the output DC voltage will be considerably lower, and a high ripple will be seen by a scope check of the B+ line.\n\n**Bridge**\n\nThe full-wave bridge rectifier system is now found in most color TV receivers. The bridge circuit (Fig. 20) requires four diodes but does not need a centertapped power transformer secondary. In this circuit, the chassis ground is the *negative* terminal, and it receives a charge on each half-cycle of the incoming AC. As the top lead of the transformer secondary goes positive, the bottom lead will be going negative. Thus, diodes D2 and D3 will conduct—D2 providing a negative charge to ground, and D3 providing a positive charge to the output circuit. During the next half-cycle, when the top lead of the secondary is negative and the bottom lead is positive, diode D1 conducts negative to ground, and diode D4 feeds a positive voltage into the output circuit. For each half-cycle of the AC input, the output line is positive.\n\n**Voltage Doubler**\n\nA full-wave voltage doubler circuit is shown in Fig. 21. The C2 capacitor has a different function than a filter capacitor. Operating with D1, C2 charges to the peak value of the applied AC voltage. The second rectifier, D2, charges C1, also to the peak value of the applied AC voltage. Since these two capacitors are connected in series, the voltage across both of them, from point W1 to ground, is equal to the sum of the individual voltages. The DC obtained is nearly two times the RMS value of the supplied AC voltage from the secondary of the transformer.\n\nSome of the normal scope waveforms are shown with the circuit schematic. Because this is a full-wave circuit, the output will have a ripple frequency of 120 Hz. W2 should have an amplitude of less than 2V peak-to-peak, while W1 should be double that of W2.\n\n**POWER SUPPLY FILTER SYSTEM**\n\nA smooth DC voltage is required for nearly all electronic devices, especially those that use solid-state components. To develop this smooth DC voltage after the AC has been rectified, a filter choke (or a resistor) and filter capacitors are required. A power supply filter circuit is shown in Fig. 22. This is a *capacitive*-input pi circuit using two capacitors and a filter choke. The first capacitor filters the pulsating\n\nTHE CB SERVICE MONITOR BY MEASUREMENTS\n\nMODEL CB 27E\n$495.00*\n\nLow-cost, rugged, portable instrument for accurately checking, trouble shooting and aligning Citizens Band Transceivers operating in any of 40 Channels presently assigned.\n\n- Phase-locked loop circuitry referenced to \"AT\" cut crystal.\n- Monitor and transmitter are both protected against overloading if transmitter is accidently keyed.\n- Provision for adding future channels.\n- Built-in transmitter power meter.\n- Built-in speaker monitors transmitter frequencies down to zero-beat and provides on-the-air voice evaluation.\n\nWrite or call for additional information. *F.O.B. Manchester, N.H.\n\nMcGRAW-EDISON COMPANY\nEdison Electronics Division\nGrenier Field Municipal Airport, Manchester, N.H. 03103\n(603) 669-0940 • TWX 710-220-1747\n\n...for more details circle 112 on Reader Service Card\n\nDC as it comes from the diodes. The choke opposes any change in current, resulting in a relatively smooth DC flow. The output capacitor further tends to keep the voltage constant. A resistor is occasionally used in place of the choke, but it has no filtering characteristics. The choke and filter capacitor values are chosen for a balanced system and efficient operation.\n\nThe dual-trace scope can be used to quickly check out the choke and filter capacitor circuits. The two probes from the dual-trace scope are connected to each side of the choke (input and output) at points W1 and W2, as shown in Fig. 22A. Under no-load conditions in a properly operating system, the display will be as shown in Fig. 22B. In Fig. 23 the choke has a 3 mfd capacitor across it. With the scope probes connected as shown, and a load applied to the power supply, the scope display in a good system will be as shown in Fig. 24. If either the choke or the capacitor across the choke is shorted, the waveforms on the dual-trace scope will be identical, as shown in Fig. 25.\n\nA three-section filter system is shown in Fig. 26 along with the scope waveforms that should be found. The choke and capacitors are considered the primary filter circuits. Capacitor C1 refines the pulsating DC to a ripple of not more than 10%. Capacitor C2 and the choke reduce this ripple to about 4%. Capacitor C3 produces a relatively smooth DC voltage. Capacitor C3 also bypasses to ground any stray signals that may be picked up along the supply line. If C3 should open, the scope would display some ripple on the waveform.\n\n**TECH BOOK REVIEW**\n\n**TITLE:** Troubleshooting With The Dual-Trace Scope \n(TAB BOOK No. 772)\n\n**AUTHOR:** Robert L. Goodman\n\n**PUBLISHED:** 1976\n\n**SIZE:** 224 pages, 252 illustrations\n\n**PRICE:** $5.95 softbound, $8.95 hardbound\n\nVeteran servicer Goodman’s new book tells all about the dual-trace scope and its features, how to use the triggered-and automatic-sweep modes, dual-alternate and dual-chopped sweep modes, and all the\n\nother features of these instruments. Each Chapter is packed with color TV troubleshooting tips, and how the dual-trace scope can be used to locate a whole host of problems, from one end of the receiver to the other. The first Chapter describes several of the various models of dual-trace scopes available; it lists features, and defines the specialized operation of these scopes and their application to color TV and hi-fi stereo system troubleshooting.\n\nThe author provides tips on locating the specific problem, tells how to use a dual-trace scope to trouble-track and fault-isolate in a quarter of the time required for single-sweepers. The reader will learn the most important specs to look for before buying a dual-trace scope, such as horizontal sweep speed, vertical amplifier frequency response, rise time, sensitivity, and all the other factors important in TV service work. Uses for the dual-trace scope are described in detail, such as stereo channel comparison testing, stage-gain measurements, comparison of pulse widths, checking countdown and frequency-divider circuits, time measurements in delay lines, timing checks, and many more applications.\n\nA good part of this book deals with troubleshooting various sections of modern color TV receivers. The author takes the reader step by step through a variety of specific color TV modules to show how each troubleshooting sequence is performed. His systemized procedure can be applied to any make, any model, to cut troubleshooting time by 75%! Over 125 photos of actual scope traces illustrate both abnormal and normal waveforms. Circuits and circuit modules are carefully analyzed and explained. A multitude of typical problems are discussed, along with the procedures for isolating those problems to specific components. This is an invaluable guide for anyone who now owns, or is considering purchasing, a dual-trace scope.\n\n**CONTENTS:** Introduction to the Dual-Trace Oscilloscope—Triggered-Sweep Scope Features—Waveform Observations—Convergence and Pin-cushion Circuit Troubleshooting—Horizontal AFC Circuit Analysis—Solid-State Push-Pull Vertical Sweep System—Conventional Solid-State Sweep Systems—Solid-State Horizontal-Sweep System Module Service Techniques—IF and Video Amplifier Systems—Troubleshooting the Chroma Circuits—Analyzing and Checking the Power Supply System—Vertical Internal Reference and Test Signals.\n\n---\n\n**Fig. 24**—Normal scope waveforms.\n\n**Fig. 25**—Waveforms indicate a shorted choke.\n\n**Fig. 26**—Three-section filter system.\n\nNoise and Noise Figure\n\nBy James E. Kluge*\n\nHow the \"noise figure\" of an antenna system is determined and what it means to the TV picture quality\n\n- **Noise Figure** is the term of measurement that indicates how much noise is contributed by the transistors and/or tubes in the circuitry of an antenna preamplifier or other MATV amplifier. The Noise Figure rating is developed by comparing the device to be measured with a perfect—but non-existent—amplifier that would be able to amplify the input signal without adding any noise of its own.\n\n**Antenna Provides Input Signal**\n\nLet's start with the input signal, which is generally the voltage developed by the antenna as it intercepts the electromagnetic-wave energy in the air. Looking back 'into' a VHF antenna from its output terminals we see a 75-ohm device. The pre-amplifier input to which the antenna is to be connected also 'looks' like 75 ohms. When we connect the 75-ohm antenna to the 75-ohm input of the preamp, we say they are properly matched for maximum signal-energy transfer from antenna to preamp.\n\nNow suppose that instead of connecting the antenna to the preamp input we simply connect a 75-ohm resistor to the preamp. The preamp doesn't know (and doesn't care) whether its input is terminated by a 75-ohm antenna or a 75-ohm resistor. Since the preamp has no eyes to see with, it doesn't know what's connected to its input, except that the device \"feels\" like a 75-ohm resistance, which \"pleases\" the preamp.\n\n**Resistors Are Noise Generators**\n\nNow, because the resistor is not an antenna, it cannot generate a TV signal voltage at the preamp input.\n\nHowever, if we look at the voltage at the preamplifier output terminals with an oscilloscope or spectrum analyzer we will see what engineers and technicians commonly call \"grass\".\n\nThis \"grass\", which is seen at the bottom of the scope in Fig. 1, is comprised of millions of tiny sine waves of infinite frequencies all added together to create a uniform low-level signal across the entire frequency range. The technical name for this \"grass\" is *white noise*.\n\nIt is termed \"white\" because like white light, which consists of energy at all the frequencies of the visible spectrum, it is comprised of energy at all the frequencies of the RF spectrum.\n\n**Electron Motion Generates Noise Voltage**\n\nYou might ask at this point \"Where do all these voltages come from?\" It is a phenomenon of nature that in any finite resistance (which includes most known materials) the rate of electron motion in the resistance is a function of the temperature of the material. For this reason, it is termed *thermal noise*. The higher the temperature, the faster the electrons move, and the higher is the white-noise energy and voltage across the resistance. By restricting the frequency bandwidth with such things as filters and measuring instruments we reduce the noise voltages...\n\nand thus eliminate the characteristic of white noise.\n\n**Mathematical Relationship For Thermal Noise**\n\nIt may be of interest to know that there is a mathematical formula for the determination of thermal noise. The formula, or equation reveals that any increase in resistance, temperature or bandwidth causes a corresponding increase in the thermal-noise voltage across the resistance. The mathematical expression for this open-circuit voltage is: $E^2 = 4kRT(BW)$. Across a matched load impedance it is: $E^2 = kRT(BW)$. The values are as follows:\n\n- $E^2$ = mean value of the squares of all the individual noise voltages.\n- $K$ = Boltzmann’s constant, named after the physicist who developed this physical constant = $1.38 \\times 10^{-23}$ Joules/K.\n- $R$ = resistance (in our case, 75-ohms).\n- $T$ = temperature of the resistance material in Kelvins (generally considered 290K = 62°F as standard).\n- $BW$ = frequency bandwidth = 4.2 MHz for TV channels.\n\n**Shot-Effect Noise From Transistors**\n\nIt is also important to mention at this point that up until now, we have been talking only about thermal noise which characterized itself as uniform snow throughout the TV picture or a constant hissing or frying noise from the speaker.\n\nA second source of noise is the transistor. Bias current in transistor and diode junctions generate “shot-effect” noise as well as thermal noise in the base resistance.\n\n**Electromagnetic Noise**\n\nOther types of noise not generated in the amplifier are: 1) man-made electrical noise from brush-type motors, diathermy machines and auto ignition; 2) atmospheric noise from lightning, corona, and other electrical discharges in the atmosphere characterized by random momentary streaks in the picture or crackling in the speaker; 3) galactic noise (sun spots and solar-flare activity). All these “other” types of noise exist as electromagnetic energy which is generated outside of and picked up by the antenna along with the TV signal.\n\nNoise figure is concerned only with thermal and \"shot-effect\" noise generated in the amplifier's semiconductor devices and associated resistances. The major contribution is from shot-noise.\n\nMinimum Antenna Noise\n\nNoise voltage caused by thermal agitation of electronics in a 75-ohm antenna or terminating resistor is about 1.1 µV/Ch, or −59.1 dBmV at room temperature, as illustrated in Fig. 2. At −25°F it drops to −60 dBmV (1.0 µV) and rises to −58.6 dBmV (1.175 µV) at +140°F. So, for all practical purposes, we can consider the minimum noise voltage in round numbers as 1 µV/Ch, or −60 dBmV across 75 ohms. This means that there will always be a theoretical, bare-minimum noise level of 1 µV/Ch of thermal noise measured anywhere in a 75-ohm system from the antenna to the TV set.\n\nFor this reason, the signal voltage generated by the antenna must be sufficiently higher than the noise (and maintained so throughout the system) to provide a snow-free picture at the TV set. A 100 µV (−20 dBmV) signal then provides only a 40-dB signal-to-noise ratio (S/N). This is a marginal signal level which does not provide for amplifier noise, fading and system losses. For this reason, we strive for a minimum 1,000 µV (0 dBmV or S/N = 60 dB) signal level at the antenna and throughout the system until it reaches the TV-set tuner.\n\nNoise Figure Degrades S/N\n\nThe noise figure of a good low-noise preamp is typically 4 to 5 dB at VHF and 7 to 8 dB at UHF. A 1,000 µV signal at the antenna has a S/N of 60 dB. A 100 µV signal at the antenna has a S/N of 40 dB. Running these signals through an antenna preamp having a 10 dB noise figure will reduce the S/N to 50 dB for the 1000 µV signal and 30 dB for the 100 µV signal. A S/N of 45 dB is considered an excellent picture with no snow, while a S/N of 30 dB is a marginal-quality picture with objectionable show.\n\nNow, you can begin to see why noise figure in an antenna preamp is so important in a weak-signal area. The noise figure of a preamp will degrade the S/N by adding shot noise to the signal while it is...\n\nundergoing amplification in the transistors. However, if the S/N at the input is excellent (i.e., 45 dB or higher), a good quiet preamp will have little effect on picture quality.\n\nIt should also be understood that the antenna preamp will establish the maximum S/N for the entire system. That is, *the S/N coming out of the preamp can not be improved*—that's it! The most important thing you can do is to *preserve* it.\n\nAny passive (non-amplifying) device causing attenuation or loss in the system is considered to have a noise figure in dB equal to that loss in dB. For example, a 6-dB pad can be considered to have a noise-figure of 6 dB. This is so because it attenuates the signal 6 dB, thereby reducing the S/N by 6 dB. For example, a 6 dB pad ahead of a preamp with a 6 dB noise figure yields an overall noise figure of 12dB. This is why it is so important to amplify a weak antenna signal *before* it experiences any attenuation caused by pads, cable, connectors or a mismatch of impedances.\n\nIf you have a weak signal, it is best to amplify it up to 0 dBmV with an amplifier having as low a noise figure as possible. In order to preserve the low noise figure of the amplifier there should be a very minimum of loss between the signal source and the input amplifier. If the amplifier has too much gain, pad down the amplified signal *after* the amplifier—not ahead of it. Better yet, choose a smaller amplifier having the right amount of gain. Some distribution amplifiers have a variable gain control that can be used to increase their input-signal handling capability at the input. Attenuating the input signal this way is acceptable in the case of strong or high-level signals, but not for weak ones.\n\n**Antennas Considered Noiseless**\n\nAll antennas are considered to be noiseless and lossless, or, in other words, their noise figure (NF) is 0 dB. They do not attenuate or amplify voltages. The more signal you can get from the antenna, the better your TV picture will be. In contrast to a preamp, a larger antenna will increase the signal without increasing the noise.\n\n**Measuring Noise Figure**\n\nNoise generated in the transistors and/or tubes of an amplifier appears throughout the various stages and will appear as a single combined noise voltage in the output load. It is accepted practice to refer this noise voltage (or power) back to the input by dividing it by the overall gain of the amplifier. Normally, we refer to noise in terms of power, but in a 75-ohm MATV system we can treat it and measure it as a *voltage* across a 75-ohm matched-load resistance.\n\nNoise figure is measured by terminating the amplifier *input* with 75 ohms and measuring the noise power across a 75-ohm output load. Then a 3-dB matched attenuator is inserted ahead of the load and a 75-ohm calibrated noise generator is connected to the input in place of the terminating resistor. The noise-generator output signal then is increased until the original noise-power reading is obtained in the output load. The noise-generator output then is equal to the noise figure of the amplifier.\n\nThis measurement must be made in a shielded enclosure (screen room) so that the noise power reading is the noise generated in the amplifier, and from the calibrated noise generator only—not from direct pickup of extraneous signals and/or noise.\n\n**Tuner N.F. Notoriously Poor**\n\nTV-set tuners should also be an important consideration regarding picture quality. They are notorious for having poor noise figures (e.g. 15 dB). Therefore, it is important that they be fed at least 100 μV/ch, so that the signal-to-noise ratio at the TV set antenna terminals will be 55 dB or better, for a snow-free picture.\n\nAlmost every TV set has a lossy balun between the 300-ohm antenna terminals and the 75-ohm input of the tuner. To make things worse, a 75-ohm coax download requires an external balun before connecting to the receiver's 300-ohm antenna input terminals.\n\nFor this reason, it is desirable to provide a 75-ohm connector at the rear of the set, and then use a short length of coax to connect it directly to the tuner input. This method not only eliminates the loss in two back-to-back baluns which results in degradation of tuner noise figure but also frequently eliminates leading ghosts caused by direct signal pickup in the short, unshielded 300-ohm line between the antenna connections of the set and the TV tuner.\n\n**Summary**\n\nLet's summarize the important points made in this article:\n\n* Noise figure indicates the relative amount of noise added by the amplifying devices (i.e., tube or transistors) in an amplifier.\n* Noise-figure contribution is mainly shot noise from tubes and transistors.\n* The S/N ratio of the signal applied to the receiver's antenna input terminals cannot be improved by the receiver circuitry.\n* Use a preamp to compensate for losses in the download, splitters, couplers, etc. between the antenna and next amplifier in the system, which in many cases will be the tuner in the TV set.\n* Because of poor noise figure of most tuners it is important that you have at least 1000 μV of signal at the TV set to achieve a clean picture.\n\nIntro to Defibrillator Servicing\n\nBy Joseph J. Carr, C.E.T.\n\nA look at another source of business and profit for electronic technicians\n\nDefibrillators are a relatively simple medical instrument and are amenable to servicing by local, independent technicians and service firms. The simplicity of most such instruments and the speed with which they must be serviced makes it more attractive for a hospital to have a local independent electronics servicer handle these instruments, rather than the somewhat slower factory or authorized factory service contractor.\n\nDefibrillators are used to shock a heart attack victim's heart so that normal rhythm can be restored. The electrical charge is stored in a capacitor, which is connected across the patient paddle electrodes and is delivered to the patient when the operator presses a discharge switch located either on the front panel or the paddle assembly itself.\n\nThe name 'defibrillator' is derived from the particular fatal cardiac arrhythmia the instrument is designed to correct—ventricular fibrillation, a condition in which the patient's heart is quivering rather than beating, and where contractions are too shallow to produce effective blood pumping action.\n\nTypical Defibrillators\n\nFigures 1, 2, and 3 show several typical defibrillators as might be found in a typical hospital. Fig. 1 shows a resuscitation cart. Storage cabinet drawers in the lower section are used for keeping drugs and supplies needed during the emergency. The actual defibrillator chassis is the unit in the lower right hand corner of the upper section. Next to the defibrillator chassis is a strip chart recorder which is used to draw a permanent record of the patient's ECG waveform on a piece of thermally sensitive graph paper. In the upper right hand corner we see an ECG preamplifier chassis. A patient cable attached to electrodes on the victim's chest or limbs acquires the tiny ECG voltages which are processed by this amplifier.\n\nThe oscilloscope is a special medical type which is very much like any other scope except that the CRT uses a special long persistence phosphor such as the P7. The input to this oscilloscope is connected in parallel with the input to the strip chart recorder.\n\nThe size of the charge to be stored in the capacitor is determined by the charge control knob on the front panel and is read from the calibrated panel meter. Fig. 2 shows a similar instrument but of more recent vintage. The charge control knob in this later instrument has been replaced by pushbutton switches.\n\nThe model in Fig. 3 is a battery operated portable. This model uses the defibrillator paddles to also acquire the patient's ECG signal which saves time over the method of using a separate patient ECG cable.\n\nPortables have become much publicized in recent years by TV shows such as \"Emergency\" and the proliferation of rescue squad paramedic teams. The portables are also popular in smaller hospitals where one instrument must be used to serve several areas of the building and must be hand carried to the location of the emergency.\n\n**Defibrillator Circuitry**\n\nA simplified defibrillator circuit is shown in Fig. 4. The main charge is stored in capacitor C1, which is usually a 16μF, high voltage, oil-filled capacitor. Relay K1 is a high voltage, vacuum type of relay such as the Torr model TMR10. When the defibrillator is turned on, relay K1 connects the capacitor across the high voltage DC power supply for charging. Then, when the \"discharge\" button is pressed, the energized relay coil connects the capacitor across the output circuit consisting of a 100mH choke coil, L1, and the patient's body resistance which has about 50 ohms nominal value.\n\nRelay K2, as a safety feature, clears the capacitor charge when the machine is turned off, or when the operator presses a special \"clear charge\" switch (S2). The relay connects a 10k/50 watt bleeder resistor, R1, across the capacitor for a safe discharge. Some technicians who work on defibrillators carry with them a bleeder resistor with well-insulated alligator clip leads in case they find an open bleeder resistor on the instrument itself.\n\nThe high voltage DC power supply circuit consists of variac T1, high voltage transformer T2 and a rectifier, V1. The rectifier in many older instruments will be a TV-type, such as the 1B3 or 1AD2, while in more modern instruments it will be a solid-state diode stack not unlike some of those seen in TV chassis. The variac in this case is mounted to the front panel and is the \"charge\" knob from Fig. 1.\n\nThe meter in the circuit, M1, is actually a kilovoltmeter, but the face is calibrated in watt-seconds or joules (J = lw-s).\n\nA partial schematic of another type of defibrillator control circuit is shown in Fig. 5. In this case, a comparator circuit, which might be an IC such as the LM311 or discreet components, is used to compare a sample of the capacitor voltage obtained from voltage divider R1/R2 to a reference voltage from potentiometer R3. When the two voltages are equal the comparator output goes high and turns off the AC primary voltage applied to transformer T2. Potentiometer R3 is mounted to the front panel and replaces the variac as the charge control.\n\nThe inner works of the AO defibrillator in Fig. 1 are shown in Fig. 6, to give you an idea of the size of the main capacitor. *Make no mistake about it—that capacitor stores a potentially LETHAL charge!* Always work on these instruments using good high voltage technique just as if you were working on a high power radio transmitter, or other similar device.\n\n**Testing Defibrillators**\n\nSeveral techniques can be used to check defibrillator performance. The simplest method is to use a kilovoltmeter to measure the voltage across the capacitor at full charge. This voltage level is computed from: \n\n\\[ E = \\frac{S}{C} \\]\n\nS is the stored charge in watt-seconds (joules) and C is the capacitance in farads. For a 16μF capacitor\n\nOur Grabber family is five years old now, and we're adding new members to keep pace with the complexities of state-of-the-art electronic packaging. Grabber is our name for a series of test clips designed to simplify testing of electronic packages from conventional components to maximum density DIP's. They're rugged, dependable, versatile, and very easy to use. Write for our catalog and get the complete story on the whole family of Grabbers. Find out why they are your best solution to your electronic testing problems.\n\nAVAILABLE THROUGH YOUR FAVORITE ELECTRONIC PARTS DISTRIBUTOR\n\nMODEL 4225 MAXI GRABBER\nTests high rise packaging\n\nAll Grabbers shown actual size\n\nITT POMONA ELECTRONICS\n1500 East Ninth St., Pomona, Calif. 91766\nTelephone (714) 623-3463, TWX: 910-581-3822\n...for more details circle 121 on Reader Service Card\n\nLet me pose a question to you. How often do you examine the output of a power supply circuit with an oscilloscope? If you're like many servicers (myself included), the answer is probably \"not often enough.\" Most of us tend to take the power supply for granted. If it's producing DC, we look elsewhere for the trouble. The truth of the matter is, examining the DC voltage with a scope—and knowing what to look for—can lead to the solution of many \"tough dog\" problems.\n\nA lot of modern electronic equipment is operated from internal regulated power supplies. One feature of such power supplies is that almost all of the AC ripple normally encountered in rectifier circuits is suppressed by the regulator. Fig. 1 shows a functional block diagram of an electronically regulated supply. The waveforms to be found at points A and B are shown in Fig. 2. (The vertical amplifiers in the dual-trace oscilloscope have been adjusted to have the same sensitivity so that the relative amplitudes of two voltages can be compared.)\n\nThe top waveform in Fig. 2 shows the ripple present at point A in Fig. 1. This point is at the output of the rectifier bridge and before the regulator circuit. The lower waveform shows the ripple present at point B, after regulation. Note that, on the same voltage scale, this waveform appears very nearly pure DC. To be sure, if we amplified the lower trace quite a bit we would be able to see plenty of ripple. It is, though, so low as to be almost ineffectual in most circuits.\n\nIf the regulator circuit were to become inoperative because of a shorted series pass transistor, we would find the high ripple component on both the A and the B waveform. Also, the DC voltage at point B would be excessive. To the TV servicer this would cause, at the least, a heavy 120 Hz hum bar in the picture, plus whatever other symptoms that might accompany high ripple and excessive DC supply voltages. To the industrial, medical, test equipment, digital or communications servicer these problems might produce any number of unusual symptoms.\n\nWe should also be interested in what happens in the DC power supply at the instant of turn-on. This is a dynamic time in many electronic circuits, and may be the root cause of many difficult-to-find problems. Fig. 3 shows the normal rising waveform of a positive\n\nAn Extraordinary Offer\n\nto introduce you to the benefits of Membership in\n\nELECTRONICS BOOK CLUB\n\nfor a limited time only you can obtain\n\nTHIS GIANT 434-Page Color TV Trouble Factbook for only 49¢ WITH TRIAL MEMBERSHIP\n\nMay we send you this helpful new book as described on the facing page as part of an unusual offer of a Trial Membership in Electronics Book Club?\n\nThis is a quality hardbound volume, especially designed to help you increase your know-how, earning power, and enjoyment of electronics.\n\nThis handsome, hardbound book is indicative of the many other fine offerings made to Members... important books to read and keep... volumes with your specialized interests in mind.\n\nWhatever your interest in electronics—radio and TV servicing, audio and hi-fi, industrial electronics, communications, engineering—you will find Electronics Book Club will help you.\n\nWith the Club providing you with top quality books, you may broaden your knowledge and skills to build your income and increase your understanding of electronics, too.\n\nHow You Profit from Club Membership\n\nThis special offer is just a sample of the help and generous savings the Club offers you. For here is a Club devoted exclusively to seeking out only those titles of direct interest to you. Membership in the Club offers you several advantages.\n\n1. Charter Bonus: Take \"COLOR TV TROUBLE FACTBOOK\" ... publisher's list price $9.95 ... for only 49¢ with your Trial Membership.\n\n2. Guaranteed Savings: The Club guarantees to save you 15% to 75% on all books offered. All books are offered at low Member prices (plus a small shipping charge).\n\n3. Continuing Bonus: If you continue after this trial Membership, you will earn a Dividend Certificate for every book you purchase. Three Certificates, plus payment of the nominal sum of $1.99, will entitle you to a valuable Book Dividend which you may choose from a special list provided members.\n\n4. Wide Selection: Members are annually offered over 50 authoritative, new books on all phases of electronics.\n\n5. Bonus Books: If you continue in the Club after fulfilling your Trial Membership, you will receive a Bonus Dividend Certificate with each additional Club selection you purchase. For the small charge of only $1.99, plus three (3) Certificates, you may select a book of your choice from a special list of quality books periodically sent to Members.\n\n6. Prevents You from Missing New Books: The Club's FREE News gives you advance notice of important new books... books vital to your continued advancement.\n\nThis extraordinary offer is intended to prove to you, through your own experience, that these very real advantages can be yours... that it is possible to keep up with the literature published in your areas of interest... and to save substantially while so doing.\n\nHow the Club Works\n\nForthcoming selections are described in the FREE Club News, published thirteen times a year. Thus, you are among the first to know about, and to own if you desire, significant new books. You choose only the main or alternate selection you want (or advise if you wish no book at all) by means of a handy form and return envelope enclosed with the News. As part of your Trial Membership, you need purchase as few as four books during the coming 12 months. You would probably buy at least this many anyway... without the substantial savings offered through Club Membership.\n\nLimited Time Offer!\n\nHere, then, is an interesting opportunity to enroll on a trial basis... to prove to yourself, in a short time, the advantages of belonging to Electronics Book Club. We urge you, if this unique offer is appealing, to act promptly, for we've reserved only a limited number of books for new Members.\n\nTo start your Membership on these attractive terms, simply fill out and mail the postage-paid airmail card today. You will receive \"COLOR TV TROUBLE FACTBOOK\" for 10-day inspection.\n\nSEND NO MONEY! If you are not delighted, return it within 10 days and your Trial Membership will be cancelled without cost or obligation. Electronics Book Club, Blue Ridge Summit, Pa. 17214.\n\nTypical Savings Offered Club Members on Recent Selections\n\n| Title | List Price | Club Price |\n|--------------------------------------------|-----------|-----------|\n| Master Tube Substitution Handbook | $8.95 | $3.95 |\n| Transistor Information Handbook | $8.95 | $3.95 |\n| Master Transistor Substitution Handbook | $8.95 | $3.95 |\n| Practical Solid-State DC Power Supplies | $9.95 | $6.95 |\n| 106 Basic Elec. Prof. Beyond the Transistor| $8.95 | $5.95 |\n| Understanding/Using Mod. Signal Gen. | $9.95 | $4.95 |\n| Understanding/Using Mod. Elec. Servg. Test Equip.| $8.95 | $4.95 |\n| Photo/Symptom Guide/Solid-State Color TV Tests | $8.95 | $4.95 |\n| CET License Handbook | $12.95 | $7.95 |\n| Master Home Digital Logic Applications | $11.95 | $7.95 |\n| CBer's Handybook of Simple Hobby Projects | $11.95 | $7.95 |\n| CB Radio Schematic/Servicing Manual '24 | $8.95 | $4.95 |\n| Modern Electronics Math | $12.95 | $8.95 |\n| Modern Guide to Digital Logic Impedance | $8.95 | $5.95 |\n| Build Your Own Working Robot | $12.95 | $7.95 |\n| TV Schematics Read Between the Lines | $8.95 | $4.95 |\n| Tblshg. with the Dual-Trace Scope | $8.95 | $4.95 |\n| Switching Regulators & Power Supplies | $9.95 | $5.95 |\n| OP Amps & Circuit Design Applications | $9.95 | $5.95 |\n| Build-It Book/Min. Test/Msrmt. Instr. | $7.95 | $4.95 |\n| Electronic Components/Tables/Formulas | $8.95 | $4.95 |\n| Microprocessor/Microprogramming Hdbk. | $12.95 | $7.95 |\n| Digital/Logic Electronics Hdbk. | $9.95 | $6.95 |\n| Master Hdbk. 1001 Pract. Elec. Circuits. | $12.95 | $7.95 |\n\nSEND NO MONEY! Simply fill in and mail postage-paid Airmail card today!\n\nHere it is—the hottest all-makes problem-and-cure guide ever—the fully updated master guide to troubles and circuit problems in American-made color TV receivers! This one book that can save you hours (and even days!) of troubleshooting time! This valuable book packs more facts per page than any other, and it describes every circuit diagram, and schematics the kinds of troubles you don't ordinarily see in books—like original-set wiring errors, carelessly done repairs, and printed schematics, maker-originated modifications to improve set performance, and scores of service tips for individual models of specific makes. It's fully indexed, all-in-one reference guide to color-set troubles and recommended solutions, manufacturers' service notes, and production change dates—all alphabetically arranged by manufacturer and model. This low-cost handbook contains service tips, troubleshooting data, and a wealth of special procedures, including all popular U.S. and Canadian color TV makes and models, from A (Admiral) to Z (Zenith).\n\nBut that's not all! Included also are details concerning repetitive troubles, and factory changes new and old, various circuits and descriptions of how they work, special adjustment procedures, and hosts of other invaluable service information. And, to further help you save the manufacturer's production changes—this book includes a detailed accounting of such changes where they might logically affect set performance and where the serviceman might replace a \"factory\" component with an unsuitable substitute.\n\nThis book is a \"must\" for every practising professional TV service specialist . . . the data it contains will easily save you hours of time researching troubles in color TV repair schematics, location diagrams, chassis layouts, and sketches are included as necessary to make every entry easy to understand and simple to implement in your field. To our knowledge, no other single volume contains so much easy-to-find information about so many individual models, from both the U.S. and Canada. A complete cross-reference index is provided to enable you to quickly find the specific material you need. In all, over 1000 specific items are included.\n\nIf you service color TVs, this organized file of data will pay for itself time and again. It provides instant solutions to many color TV circuit troubles, enabling you to diagnose and repair hundreds of otherwise difficult-to-solve problems. The material has been selected from the pages of Electronic Technician/Dealer magazine on the basis of its lasting usefulness to active members of the TV servicing fraternity. A must-keep-in-case-for-referencious reference. 434 pps., hundreds of schematics and diagrams. Hardbound. Publisher's list price $9.95.\n\nLiterally hundreds of complete and partial schematics and illustrations make each of the thousands of entries in \"Color TV Trouble Factbook\" easy to understand.\n\n...for more details circle 125 on Reader Service Card\n\npower supply that is mostly resistive. Fig. 4, on the other hand, shows the slightly damped waveform to expect when turning on a high capacitance power supply. This particular waveform was taken from a power supply with a 2000 Mfd capacitor.\n\nOrdinarily, this information is of little interest, but every now and then we see a piece of equipment which seems to become latched up on turn-on. Such circuits generally use dual polarity power supplies and may use op-amps, or other linear IC devices, or they may use regular transistors and diodes. The problem is caused by having one of the two opposite polarity supplies lag a little behind its companion when turning on. An open capacitor will substantially reduce the turn-on time constant and that is the root of these problems. This can be diagnosed by using a dual trace scope with one input on each of the two supplies. Examine the rise times to see that they are approximately equal.\n\nSimilarly, we should also consider what happens at turn-off. This is especially true in dual supply IC circuits—in fact, it is often critical.\n\nMost IC devices have PN junctions between the active transistors and other components of the device and the substrate of the IC. In normal operations, these PN junctions (in effect, diodes) are reverse biased, so they are inert in the circuit.\n\nIn some IC circuits, particularly those with dual-polarity DC power supplies, certain conditions can cause this PN junction (or \"diode\") to become inadvertently forward biased. Under this condition, if sufficient current flows, the IC would be destroyed.\n\nA common type of IC linear circuit configuration is shown in Fig. 5. U1 is an IC amplifier or signal processor device. For purposes of this discussion we will not specify which type it is, because the problem is almost generic to dual-polarity linear ICs.\n\nIn this particular circuit, there are three sources of rather substantial current flow: Vcc(+), Vee(−), and the current stored in capacitor C1. If the Vcc and Vee voltages decay unequally, then there might exist a brief moment in which the voltage between one power supply terminal and the top of C1 is opposite its normal relationship. In most cases, especially op-amp circuits, the actual failure mode is the reversal of the relationship of the Vee-C1 voltage. This may forward bias the substrate \"diode\" and allow a current to flow that is great enough to cause permanent damage. In this type of failure, the probability of damage is directly proportional to the length of the decay time lag and the value of C1. Large capacitors for C1 store more current and discharge more slowly.\n\nIf an oscilloscope examination reveals a substantially unequal decay time for Vcc and Vee, then suspect this as the possible cause of recurrent IC failure.\n\nThe cure for this problem might be to find the reason why the power supplies decay unequally. In normal operation we can reasonably expect both supplies to decay evenly. A defect in an electronic regulator, or an open filter capacitor, may tend to upset this delicate balance.\n\nAnother cure, although this may also be classified as a modification, is to series connect a rectifier diode in each of the two power supply lines. These diodes are connected with their polarity arranged so that only current of the right polarity can pass (see Fig. 3B).\n\nNow let's consider the type of power supply circuit shown in Fig.\n\n6—an inductive circuit that includes a switch (S1), a diode (D1), a capacitor (C1), and a coil (L1). The coil could be a solenoid or a relay coil—or in a more abstract sense—a flyback coil or deflection yoke. What the circuit amounts to is a high inductance hit by a repetitive DC step voltage that is produced by depressing and releasing the pushbutton switch, or in other words, turning on and turning off the circuit.\n\nA diode (D1) is usually placed in this kind of inductive power supply circuit to eliminate, or suppress, the so-called inductive kick, or \"spike\" which occurs each time the circuit is turned off. If the diode were to open, and the spike was not suppressed, you could easily end up with blown transistors, diodes, or IC devices. In digital circuits, the spike could also create a \"glitch\" that would reset flip-flop or register circuits—or gate them on or off at inappropriate times.\n\nTo better understand where the \"negative spike\" comes from and how a diode serves to eliminate or suppress the spike, let's take a look at Figs. 7A and 7B which show the on and off operations of a power supply circuit without the suppressing diode.\n\nIn Fig. 7A, the switch (SW1) is depressed and the circuit is turned on. The applied voltage of +5 VDC charges the capacitor C1 and creates a magnetic field around the coil (L1). The output voltage of the power supply circuit at this point is +5VDC. A drawing of the waveform produced at the moment of turn-on is shown at the right of the diagram.\n\nIn Fig. 7B., the switch is released and the circuit is turned off. The capacitor (C1) discharges and the field around the coil collapses. The combined current of the capacitor discharge and the counter electromotive force (CEMF) of the collapsing field of the coil (CEMF is series-aiding to the discharge current of the capacitor) produces a negative spike (or inductive kick). The negative spike that is produced is shown in the waveform drawing to the right of the diagram in Fig. 7B.\n\nIn Fig. 8, a diode (D1) has been added to the circuit. Now, when the switch is released and the circuit is turned off, the capacitor (C1) discharges and the field of the coil collapses as before, but now, when the voltage produced reaches −.6VDC, the diode starts to conduct and returns the voltage to ground, eliminating, or suppressing, the negative spike. The waveform produced by this circuit is represented by the drawing to the right of the circuit diagram in Fig. 8.\n\nActual photographs of the waveforms produced by connecting an oscilloscope input across the power supply circuit at capacitor C1 during several on/off cycles are shown in Figs. 9A and 9B. Please note that the leading edge of the waveforms is missing in the photographs because of a slow rise time in the particular scope used.\n\nFig. 9A is the waveform, complete with negative spike, produced when the diode is either open or missing. Fig. 9B is the waveform produced by a power supply circuit that includes a properly operating suppressor diode.\n\nAs we said in the beginning, using an oscilloscope to examine power supply circuits—and knowing what to look for—can solve a lot of your \"tough dog\" problems. In fact, it probably is safe to say that the scope is a necessary piece of equipment for truly successful power supply troubleshooting.\n\nOf course, as is the case with other electronic circuits and devices, if the problem still can't be solved with the knowledge and equipment you have at hand—a call or a letter to the manufacturer's service department, or even the engineering department, might be necessary. It's possible that this has been a recurring problem with this particular device and the manufacturer may be able to recommend a cure.\n\nPortable DMMs—Systron-Donner’s Model 7003 & Dana’s Model 2100A\n\nSYSTRON-DONNER MODEL 7003\n\nIf you’ve been looking for a portable digital multimeter which is not only ‘drop-proof’ but also virtually crush-proof, Systron-Donner’s Model 7003 could be the answer.\n\nAs shown in an accompanying photo, the clamshell-shaped, Cycloy case of the 7003 easily supports the 355 pounds of Systron-Donner design engineer Phil Kearney. (Cycloy is an ABS/Polycarbonate plastic alloy which also is used in professional football helmets and in the bumper assemblies of 1976 cars.)\n\nThe 7003 is equipped with a 3-½ digit LED display with .4-inch-high orange numerals against a black background and is capable of measuring DC voltages from .1mV to 1000 volts, AC voltages (true RMS readout) from .1mV to 500 volts, DC current from .1µA to 1999mA, AC current (true RMS readout) from .1µA to 1999mA, and resistances from .1 ohm to 19.99 megohms. (Specific ranges, accuracies and other electrical characteristics of the 7003 are detailed in the accompanying specifications table.)\n\nDisplay features of the 7003 include automatic polarity indication, with both positive and negative indicators; automatic positioning of the decimal point for each of the six range pushbuttons; automatic zeroing on all functions and ranges; and automatic over-range indication (flashing of the entire display). In addition, the word “ERROR” is illuminated to the right of the main display when the wrong combination of function and range is selected.\n\nInput to the 7003 is via three jacks in the upper right-hand corner of the front panel—the red jack, labeled ‘V/Ω’, is used in conjunction with the ‘COM’ jack for voltage and resistance measurements, and the white jack, labeled ‘mA’ is used in conjunction with the ‘COM’ jack for current measurements.\n\nThe ‘mA’ input circuit is protected against currents exceeding 2 amps by an externally resettable circuit breaker, the reset button of which is conveniently positioned above the input jacks on the front panel.\n\nAs is evident in the accompanying close-up photo of the 7003, the four function and six range pushbuttons are grouped separately on the front panel under conspicuous ‘FUNCTION’ and ‘RANGE’ labels. In addition, a white, green, gold, blue, or orange ‘panel’ automatically appears behind the clear plastic of the pushbuttons whenever they are pushed in, providing a clear visual indication of which function and range has been selected.\n\nThe basic version of the 7003 is AC powered, but it also is available optionally with a built-in rechargeable nicad battery pack/charger system which provides six hours of continuous operation be**SPECIFICATIONS**\n\n**SYSTRON-DONNER**\n\n**MODEL 7003**\n\n**DIGITAL MULTIMETER**\n\n**DC VOLTAGE**\n\n*Fullscale Ranges:* +199.9 mV (0.2), +1.999V (2), +19.99V (20), +199.9V (200), +1999V (2000)\n\n*Resolution:* 100 µV to 1V\n\n*Polarity Selection:* Automatic with plus and minus indicator.\n\n*Input Impedance:* 10 megohms all ranges\n\n*Accuracy (1 year):*\n\n- 0.2 range (25 +5°C): +0.2% rdg. + 2 counts\n- 2, 20, 200 and 2000 range (25 +5°C): +0.1% rdg. + 1 count\n\n*Maximum Input:* +1000VDC or Peak AC\n\n**DC CURRENT**\n\n*Fullscale Ranges:* +199.9 µA (0.2), +1.999 mA (2), +19.99 mA (20), +199.9 mA (200), +1999 mA (2000)\n\n*Resolution:* 100 nA to 1mA\n\n*Polarity Selection:* Automatic with plus and minus indicator\n\n*Accuracy (1 year):*\n\n- 0.2, 2, 20, and 200 ranges (25 +5°C): +0.5% rdg. +2 counts\n- 2000 range (25 +5°C) +1.0% rdg. +3 counts\n\n*Terminal Voltage:*\n\n- 0.2, 2, 20, 200 ranges: 0.2V at F.S.\n- 2000 range: 0.6V at F.S.\n\n*Maximum Input:* +2000 mA. Circuit breaker protected (Operates under 3A load for 6 seconds)\n\n**AC VOLTAGE**\n\n*Fullscale Ranges:* 199.9 mV (0.2), 1.999V (2), 19.99V (20), 199.9V (200), 1999V (2000)\n\n*Resolution:* 100 µV Ip 1V\n\n*Input Impedance:* 10 MΩ in parallel with 100 pF\n\n*Frequency Range:* 50 Hz to 10kHz\n\n*Accuracy (1 year):*\n\n- 0.2 and 2000 ranges (25 +5°C): +1% rdg. + 3 counts (applies 1% F.S.)\n- 2, 20, and 200 ranges (25 +5°C): +0.75% rdg. + 3 counts (applies 1% F.S.)\n\n*Maximum Input:* 500V (RMS)\n\n**AC CURRENT**\n\n*Fullscale Ranges:* 199.9 µA (0.2), 1.999 mA (2), 19.99 mA (20), 199.9 mA (200), 1999 mA (2000)\n\n*Resolution:* 100 nA to 1 mA\n\n*Frequency Range:* 50 Hz to 10 kHz\n\n*Accuracy (1 year):*\n\n- 0.2 and 2000 ranges (25 +5°C): +1.5% rdg. + 3 counts (applies 1% F.S.)\n- 2, 20, and 200 ranges (25 +5°C): +1% rdg. + 3 counts (applies 1% F.S.)\n\n*Terminal Voltage:*\n\n- 0.2, 2, 20, and 200 ranges: 0.2V at full scale\n- 2000 range: 0.6V at full scale\n\n*Maximum Input:* 2000 mA (Circuit breaker protected)\n\n**RESISTANCE**\n\n| FULLSCALE RANGES | CURRENT THRU Rₙ | RESOLUTION | F.S. VOLT DROP |\n|------------------|-----------------|------------|----------------|\n| 199 ΩΩ (0.2) | 1mA | 0.1Ω | 1.999 |\n| 1.999KΩ (2) | 1mA | 1Ω | 1.999 |\n| 19.99KΩ (20) | 100µA | 10Ω | 1.999 |\n| 199 KΩ (200) | 10µA | 100Ω | 1.999 |\n| 1999 KΩ (2000) | 1µA | 1KΩ | 1.999 |\n| 19.99MΩ (20 M) | 0.1µA | 10KΩ | 1.999 |\n\n*Accuracy (1 year) (25 +5°C):*\n\n- 0.2 range: +0.4% rdg. +2 counts\n- 2 range: +0.3% rdg. +2 counts\n- 20 and 200 ranges: +0.2% rdg. +2 counts\n- 2000 range: +0.4% rdg. +3 counts\n- 20 M range: +0.5% rdg. +4 counts\n\n*Maximum Open-Circuit Voltage:* 4 volts\n\n*Voltage Protection (without damage):* 250 Vrms\n\n**GENERAL**\n\n*Size:* 2 in. high x 8.75 in. wide x 10.88 in. long\n\n*Weight:* w/out battery option, 3 lbs. 3 oz; w/battery option, 4 lbs\n\n*Power Requirements:* 110-115 VAC (RMS) or 200-230 VAC (RMS), choice selected by jumpers on main printed-circuit board\n\n---\n\n**DANA MODEL 2100A**\n\n'A truly portable, 3½ digit, all-solid-state digital VOM' is an apt description of Dana's Model 2100A (Danameter II).\n\nIncluded among the design features which have earned the Model 2100A its 'truly portable' label are its:\n\n- **Small size**—its 4 in. x 7¼ in. x 2¼ in. dimensions are only slightly larger than an outstretched hand.\n- **Light weight**—a mere 1 lb., including battery.\n- **Rugged construction**—a virtually unbreakable Cylocat™ case with molded shoulders which protect the readout window and single operating switch, combined with solid-state circuitry, make the Model 2100A capable of withstanding the extreme abuse which test instruments inevitably are subjected to in off-the-bench and out-of-shop servicing situations.\n- **Extended-operation capability from a built-in power source**—powered by a single non-chargeable 9-volt 'transistor radio' battery, the Model 2100A is capable of performing about 3000 hours (or about one year) of in-spec measurements before battery replacement is necessary.\n\nComplementing the preceding 'portability' features of the 2100A are: 1) *a 3½ digit liquid crystal display (LCD)*—which can be read easily in dimly lighted environments, as well as in bright sunshine; 2) *a versatile measuring capability*—DC voltages from 1mV to 1000 volts, AC voltages from 1mV to 700 volts RMS, DC current from .01µA to 1.999A, and resistances from 1 ohm to 19.99 megohms; and 3) *single-switch operation*—all functions and ranges, including on/off and battery test, are selected by one large 18-position switch on the front panel.\n\nOther ease-of-operation features are: *automatic zeroing*, *automatic decimal positioning*, *automatic polarity indication* (depending on the polarity of the DC voltage or current being measured, either a negative (−) or plus (+) sign is displayed on the left side of the readout, eliminating...\n\nthe need for reversing the test leads), and overrange indication (if the quantity being measured exceeds the capability of the selected range, the letters 'OL' are displayed by the readout, indicating the need to select a higher range).\n\nOverload protection of all voltage and resistance ranges and 20µA current range, up to the associated maximum input levels indicated in the accompanying table of specifications, is provided by the inherently high input impedances of these functions and ranges.\n\nOverload protection for the 2mA, 200mA and 2A DC current ranges is provided by a 2½ amp fast-blow fuse, which, along with the battery, is housed in a compartment in the back of the instrument. (Access to the fuse or battery is accomplished by loosening the single screw which secures the cover of the battery/fuse compartment and then sliding the cover up and out.)\n\nAnother design feature which enhances the ease with which the 2100A can be used in off-the-bench applications is a built-in, two-position, bail-type stand on the back of the instrument. In addition to serving as a stand which can be tilted to two positions for ease of viewing on the bench, the bail also makes it possible to wear the 2100A on the back of one hand like a wrist watch in awkward servicing situations, thereby freeing both hands for test lead positioning.\n\nPrice of the Model 2100A, complete with test leads, is $199.50. Accessories available on an optional basis include shunts for AC current measurement, a 50-KV high-voltage probe, a 200-MHz RF probe, and a carrying case.\n\nMINIATURE DIGITAL MULTIMETER 127\n\nA miniature portable digital multimeter which is said to be the first miniature to provide high accuracy and sensitivity with true RMS measurement of AC volts and current has been introduced by Data Precision Corporation. Measuring 1½ inches high, 5½ inches wide and 3½ inches deep, the Model 248 is a full-function, high-resolution unit offering 4½ digit resolution on all parameters. It is convertible for bench use with an optional bench stand, and features 10 microvolt sensitivity DC and AC and basic one-year accuracy of ±0.05% of input. Most logic components in the Model 248 are contained in a single LSI chip. It has only two controls, function and range. Priced at $345.\n\nMAGNETIC VEHICLE DETECTOR 128\n\nA loop vehicle detector, designed for direct burial in the earth, parking lot, or other surface, has been introduced by Mountain West Alarm Supply. Called the T10 detector, the new device is said to be ideal for unattended use in surveillance of remote access areas or perimeters, and for use in urban environments for surveillance or to alert attendants while on duty. The detector provides coverage of from a few feet to more than 400 feet with a single unit. Signal recognition circuitry coupled with adjustable sensitivity provides for detection of targets ranging from small magnets and bicycles to motorcycles, snowmobiles, and automobiles, while rejecting false alarms. Sells for $680.00.\n\nAUDIBLE CIRCUIT TESTER 129\n\nA new current-limited audible circuit tester for rapid tracing of electronic circuits is being introduced by Western Technical Products. Called the Safetone Tracer it has been designed for rapid tracing or troubleshooting of circuits, IC's, semiconductors, logic components, harnesses, pots and relays. Unlike ohmmeters, test lights, buzzers, and high current testers, the new tracer will not degrade or damage components, according to the manufacturer. While listening to the tone pitch, which increases with resistance, the user is able to sweep rapidly across circuits with freedom of eye and body. Replaceable test leads can be extended to allow for 2-man testing. The tracer uses two standard size D batteries. Retail price is $29.50.\n\nSEALED LEAD-ACID CELLS & BATTERIES 130\n\nA new line of rechargeable sealed lead-acid (SLA) cells and batteries has just been released by General Electric. They feature the same type of wound-plate construction used in GE's nickel-cadmium batteries. The first units marketed will be the \"D\" size; high capacity \"X\" cells will be available shortly. These new cells are sealed so they can be used in any position, but a resealable safety vent is provided to prevent cell bursting under extreme abusive use. The \"D\" cells provide 2.5 ampere-hours capacity at the 250 milliamper discharge rate. They are capable of delivering continuous current up to 40 amps or...\n\nmomentary currents (one second) of 75 amps. Standard batteries made from \"D\" cells are also available in 6 and 12 volt designs. Dimensionally, the batteries will be interchangeable with batteries of other manufacturers. The \"D\" cells are priced from $2.49 to $4.80, depending on size of order.\n\nALUMINUM FOIL-SHIELDED CB CABLES\n\nA new line of CB cables with an aluminum foil-shield is being introduced by Columbia Electronic Cables. The bonded feature of the new foil-shielded cable, called Stat-Stop, is said to prevent shield pushback during connector application. Shield pushback and the resultant gap in the shield and connector are common causes of poor reception. The new cable consists of a 20 AWG bare copper conductor insulated with cellular polyethylene. The shield is wrapped and adhesive bonded over the insulation. A 95% tinned copper braid shield supplies additional shielding and the entire assembly is protected by a black vinyl jacket with a nominal overall diameter of 195 inches.\n\nDIGITAL MULTIMETER\n\nA new battery/ac portable 4½ digit, five-function digital multimeter that features a 'touch-hold' probe as an accessory is being introduced by Hewlett-Packard. The 'touch-hold' probe allows the user to freeze the reading on the display when probing closely-packed circuit boards. Called the Model 3465B, the meter has a DC measurement range from 1 microvolt to 1 kilovolt with a mid-range accuracy of ± (0.02 of rdg. ± 0.01% of range) for one year. AC measurement range is 10 microvolt to 500 volts with a mid-range accuracy of ± (0.15% of rdg. ± 0.05% of range) over a 40 Hz to 20 kHz bandwidth. AC and DC current measurement range is from 10 nanoamps to two amps. The DMM, with rechargeable nickel-cadmium batteries, sells for $500. The touchhold probe sells for $40.\n\nMAGNETIC CB MOUNT\n\nA new two-way radio mount that uses magnetic power to hold the transceiver in place has been introduced by Cornell-Dubilier Electronics (CDE). The new mount also provides a quick...\n\nconnect/disconnect system for antenna and power. Called the Easy Mount, the new device uses three powerful permanent magnets to make positive contact, assuring maximum signal transfer with perfect VSWR match. Installation is simple and gives a flush mount appearance. User has choice of dash or transmission hump installation. Contacts are cadmium plated, main frame is molded of ABS filled high impact plastic. Magnet structure is U-channeled permanent ceramic. The mount weighs 1.25 lbs, and comes with a full year warranty.\n\n\"UNDER COVER\" CB ANTENNAS 134\n\nA new line of full-sized, 40 channel, coil-loaded whip antennas that can be flipped down and hidden in the automobile trunk when not in use is being introduced by Channel Master. Base-loaded and center-loaded models are available, mounted on a heavy gauge, two-way 'under-cover' bracket, which allows the user to mount the antenna in a perfectly vertical position, regardless of the slope of the car's rear deck, and also allows the antenna to fold down into the trunk, completely out of sight. Within in the trunk, the bracket keeps the antenna suspended horizontally, out of the way of luggage. The chrome-plated bracket serves as a self-grounding base.\n\nTUNER CLEANER/DEGREASER 135\n\nA new tuner cleaner/degreaser called Big Bath has been introduced by GC Electronics. The new cleaner comes in a 24 oz. aerosol can that re-\n\nFREE EICO CATALOG\n\n358 Ways To Save On Instruments, Citizens Band, Burglar Alarms, Automotive & Hobby Electronics!\n\nThe more you know about electronics, the more you'll appreciate EICO. We have a wide range of products for you to choose from, each designed to provide you with the most pleasure and quality performance for your money. The fact that more than 3 million EICO products are in use attests to their quality and performance.\n\n\"Build-it-Yourself\" and save up to 50% with our famous electronic kits.\n\nFor latest EICO Catalog and name of nearest EICO Distributor, check reader service card or send 50¢ for fast first class mail service.\n\nEICO—283 Malta Street,\nBrooklyn, N.Y. 11207\n\nLeadership in creative electronics since 1945.\n\n...for more details circle 126 on Reader Service Card\n\nLIFE OR DEATH SITUATION\n\nNot all 2-way radios warn about Smokies taking pictures.\n\nProfessional FM two-way radios—the most important ones—are for bringing help fast in life or death emergencies. And if you've had some serious electronics experience you just might fit into this important, expanding field.\n\nMTI is the only home study school that deals exclusively with service and repair of professional two-way radios.\n\nThink you're good enough to become part of it all? Drop us a line to find out.\n\nPlease send me more information.\n\nName ____________________________________________\nAddress __________________________________________\nCode _____________________________________________\n\n☐ I am a former MTI student.\n☐ I am presently in the military.\n☐ I am a veteran.\n\nMTI\nFormerly\nMOTOROLA TRAINING INSTITUTE\nCollege Hill Road\nSummerdale, PA 17093\n(717) 732-3636\n\n...for more details circle 118 on Reader Service Card\n\nFM DEVIATION METER 136\n\nA new FM deviation meter that can double as a signal generator is now available from Bi-Tronics. The unit has been designed for use in repair and maintenance of VHF FM marine and VHF/UHF land mobile transceivers. Instantaneous peak deviation is measured on a graticule scale in the front of a 3 inch cathode ray tube. This permits the wave form to be observed so that identification of distortion and hum can be visibly noted. Accurate modulation measurement is obtained. Each unit, which also functions as a monitor receiver with .0005% accuracy, includes an external uncalibrated attenuator which permits unit to be used as a signal generator. The meter is warranted, part and labor, for 90 days. Sells for less than $1100.\n\nCB INTERFERENCE SUPPRESSOR 137\n\nA T-30F matching transformer with high pass filter for the suppression of interference from CB transceivers has been introduced by the Magnavox CATV division. Designed to block sublow interference, the T-30F prevents signals in the 5-30 MHz range from disturbing 50 to 300 MHz TV reception. Transformer specifications include: high phase balance, low insertion loss, effective filtration and voltage blocking capacitors. The unit has a die cast metal casing and plastic cover, plus heavy-duty twin leads with soldered and crimped lugs.\n\nAUTO-RANGING VOLT OHMMETER 138\n\nA new 3½ digit auto-ranging volt ohmmeter with temperature measuring capability has been introduced by Philips Test & Measuring Instruments. The instrument incorporates an 11 mm LED display with polarity indication. Overloading is indicated by a flashing display and lead changing is eliminated since the same input sockets are used for voltage and resistance measurements. Functions are selected with a rotary switch. Automatic decimal point positioning provides maximum resolution for each measurement. Auto-ranging can be stopped at the last range in use by means of a range hold button. This PM2514 meter also has a low battery indication separate from the numeric display, and has an optional external\n\npower supply for use off the line. Priced at $255.\n\n**QUICK-CHANGE STORE SIGNS**\n\nA new line of low cost, changeable message signs for retail businesses is being introduced by *Berloc Signs*. Constructed of rugged aluminum and guaranteed for 20 years, the new signs are available in assorted styles. The baked enamel finish can include store name and emblem in choice of colors, and each sign comes with 150 unbreakable aluminum letters and numbers. Sizes range from 8 ft by 44 in. to 14 ft. by 7 ft. Signs are shipped fully assembled and ready for immediate use. Price is from $307.\n\n**REFLEX HORN SPEAKER**\n\nA 5½ inch reflex horn speaker for CB radios, for paging and patio use is now available from *RMS Electronics*. Constructed of heavy duty aluminum, the speaker is anodized for indoor and outdoor use. It is rated at 8 ohms, 8 watts, and is for use on cars, trucks, vans, boats and at home. Comes complete with mounting bracket and long hook-up cable. Priced at $12.95.\n\n**AUTO AND CB SECURITY SYSTEM**\n\nA new anti-theft alarm system for cars that is easy and quick to install has been developed by *Harcor International*. The new \"quick connect\" system, Model 3001, is triggered by the current flow that occurs when any light in the auto is turned on—such as when a car door or trunk lid is opened. Upon triggering, an integrated circuit in the unit beeps the car horn for 2½ minutes, then shuts itself off and automatically rearms itself. Solderless connectors and a simple 3-wire hookup allow installation in less than 30 minutes. By connecting a fourth wire, the unit will disable the car's ignition when the alarm switch is activated. A delay circuit allows the car owner from 7 to 10 seconds to disarm the device in case of accidental triggering. Sells at retail for $17.95.\n\n**TV INTERFERENCE FILTERS FOR CB**\n\nThree new interference filters that prevent CB transmissions from bothering TV reception have been introduced by *Avanti Research and Development*. The new filters are designed for interference problems at the transceiver, the TV set or the AC power line. The model AV-800 Low Pass Filter is for use when the transceiver is radiating harmonics of the same frequency assigned to one or more of the local TV channels. The model AV-811 filter is installed on the TV lead-in if the problem is at the TV\n\nreceiver due to so-called \"front end\" overloading—and model AV-820 AC line filter is for interference caused by transmission of the CB signal through the AC power lines.\n\n**SOLDERING STATION**\n\nA new controlled output soldering station has been introduced by *Weller*. The new model, WTCPN, is a transformer-powered unit complete with a low voltage, temperature controlled soldering pencil with heat shield. The unit features a \"closed loop\" method of controlling maximum tip temperature, protecting heat-sensitive components while the ground tip protects voltage and current-sensitive parts. It utilizes an assortment of 17 types of replacement tips, each available in 600°, 700° and 800° F, heavily iron plated with an anti-oxidation coating.\n\n---\n\n**UPCOMING IN THE JANUARY ISSUE OF ET/D:**\n- TV Warranty Servicing: Profit Source Or Necessary Evil?\n- Professional Audio Tests & Measurements\n- Noise Sources In Auto Electronics\n- Annual Subject Reference Index\n\n---\n\n**EDITOR'S MEMO**\n\n*continued from page 1*\n\nresponsibility for the technical performance of the transmitting equipment he installs and/or services, his only real motivation for insuring that it adheres to FCC performance criteria is the possibility of loss of the business of a customer who has been cited (and perhaps fined) by the FCC for equipment performance violations.\n\nHowever, failure of a transmitting system to meet FCC performance criteria can be, and often is, caused by 'normal' degradation resulting from 'normal' use or from abuse or illegal modification or...\n\nmisadjustment by the operator. Therefore, the technician's legal responsibility should be limited to insuring that the equipment meets FCC performance criteria at the time he completes the installation and/or servicing of it and 'returns' it to the owner.\n\nIn my opinion, this 'shared but divided' method of assigning equipment performance responsibility to both the owner and the servicing technician is the most realistic approach to effective enforcement of transmitter performance criteria.\n\n**SERVICE TECHNICIAN LICENSING**\n\n—So long as transmitting equipment must meet specific performance criteria established and enforced by the FCC, with legal responsibility for meeting such criteria assigned to the owner and/or service technician, and so long as there exists the possibility that such performance criteria can be adversely affected by installation and/or servicing, in my opinion, there will continue to exist the need for some method of evaluating and 'certifying' the competency of technicians who wish to undertake the installation and servicing of transmitting equipment.\n\nHowever, I believe that the 'all-encompassing' type of Radiotelephone licenses and related exams presently administered by the FCC are unrealistic, principally because, on the one hand, they require some areas of knowledge which are not relevant to the servicing of particular types or classes of equipment and yet, on the other hand, they fail to adequately evaluate some areas which are relevant.\n\nThe 'basic operator/technician' license with class-of-equipment options, as proposed by the Commission in its Notice of Inquiry, in my opinion, would be much more realistic for everyone concerned—equipment owners, service technicians and the FCC.\n\nJ. W. Phipps\n\n---\n\n**DEFIBRILLATOR**\n\n*continued from page 30*\n\nered energy, which should not be less than 70% of the stored energy found by static testing of the capacitor voltage.\n\nThere are a number of suitable defibrillator testers on the market today, but I do not recommend the use of the simple flashing lamp type of tester, as I feel they give false indications.\n\nThe best way to test a defibrillator is to use a tester with an oscilloscope waveform jack and an oscilloscope equipped with a camera. If you don't have a scope with a camera, it is possible to accomplish much the same thing with a relatively low-cost handheld Polaroid CR9A. Typical waveform photographs taken with a hand-held Polaroid are shown in Figs. 7 and 8. The waveform in Fig. 7 is normal, and that in Fig. 8 shows a defibrillator with an impending HV relay failure. The condition is serious enough to warrant replacement of the relay, but allows time for parts ordering before becoming critical. This machine passed the test using only a defibrillator tester but failed when the expanding scale waveform was viewed on an oscilloscope.\n\n**IN SUMMARY**\n\nTo give you some idea of what service work you're liable to run into when servicing defibrillators, here is an excerpt from the author's repair log on defibrillators for one major East coast hospital. It shows 29 defibrillator failures in an 18 month period. They break down as follows:\n\n- 13 open 'patient cables'\n- 2 bad HV vacuum relays\n- 6 bad LV control relays\n- 8 miscellaneous problems\n\nObviously, from the above log, a defibrillator serviceman should carry with him an ohmmeter to check patient cable continuity, a HV relay, a collection of common small relays, and that bleeder resistor mentioned earlier.\n\nServicing defibrillators can be a relatively easy job—and there is a real need for this service. Most hospital people become a little nervous if their defibrillator equipment is out of service. They will probably be happy to know that a responsive and responsible local servicer is available to handle repairs.\n\nBe aware, however, that few markets are as critical as the medical market. You can ruin all opportunities if you find yourself offering excuses in place of good service. Try offering the old \"awaiting parts\" story to a coronary care unit head nurse and you will find out fast how critical the business really is.\n\n---\n\n**FREE ALARM CATALOG**\n\nHuge selection of burglar & fire systems, supplies. Motion detectors, infrared beams, controls, door switches, bells, sirens, alarm items, 64 pp. packed with technical details.\n\nPhone (602) 263-8831\n\nmountain west alarm\n4215 n. 16th st., phoenix, az. 85016\n\n...for more details circle 120 on Reader Service Card\n\n---\n\n**Money Generator**\n\n**ATC-10**\n\n**GENERAL TELEVISION SERVICER**\n\n- Extra wide range RF/IF attenuator for testing receiver sensitivity.\n- GRAY QUAD pattern for gray scale tracking checks/adjustments.\n- COLOR BARS pattern with 6th bar marked to make your job easier.\n- 3.58 MONITOR pattern for oscillator frequency checks with no need to short the AFPC test point.\n- RED RASTER pattern for checking and adjusting purity at the flip of a switch.\n- All dot patterns have fine pinpoint dots.\n- High level, 75 ohm video output.\n- 2 year factory warranty.\n- 30 day money back guarantee.\n\nAmerican Technology Corporation\n225 Main Street, Dept. 11B, Canon City, Colorado 81212\nCredit card & COD phone orders accepted. Same day shipment (303) 253-8991, ext. 2\n\n...for more details circle 105 on Reader Service Card\n\nDECEMBER 1976, ELECTRONIC TECHNICIAN/DEALER / 47\n\nELECTRONICS/AVIONICS EMPLOYMENT OPPORTUNITIES. Report on jobs now open. Details FREE. Aviation Employment Information Service, Box 240 Y, Northport, New York 11768.\n\nTen Year Old T.V.-C.B. Service and C.B. Sales Company in California Coastside Town, 15 Miles South of San Francisco, With 40,000 Population. Better Than $100,000 Yearly Gross-With Right Management Could Double. Retirement In View-Price $55,000 Cash-No Trucks. Ed. Zinn Jr., 848 Dell Road., Pacifica, CA 94044.\n\nSURPRISE! SURPRISE! Digital Piano Tuning Device tunes ALL musical instruments. Accurately! Perfectly! Inexpensively! Tuner Construction—Piano Tuning Instruction PLAN SET Complete $12.98 Airmailed Postpaid! Moonlighting quickly repays $40 electronics investment!! GREEN BANK SCIENTIFIC, Box 100W, Green Bank, WV 24944.\n\nTV Sales and Service in same location 15 years. Nets over $25,000. Retiring. Including truck, equipment, & inventory 25,000. A. Bolin, 6361 Balsam Lake, San Diego, CA 92119.\n\nTV Shop Owners. Letter & produce your own signs, enlarge emblems. Indoor/outdoor. Tips, tricks & techniques pro use. $5.95 ppd. EPS, Box 8736, Denver, CO 80201.\n\nTIRED OF CUSTOMER ABUSE? EXPAND INTO LUCRATIVE PATENTED MATV. PRELIMINARIES $3.00. BOX 809, BOYNTON BEACH, FLA. 33435.\n\nConstruction Plans\n\nSURPRISE! Free Catalog! WE SELL THE MOST UNUSUAL CONSTRUCTION PLANS USING NUMERICAL READOUTS!! Digital Plans: Capacitance Meter, VOM, Frequency Counter, Oral Thermometer, Automobile Tachometer, Speedometer, Sobriety Tester. ALSO: Ten Band Graphic Equalizer, LED Volume Indicator, Human Pluse Tachometer, TV Video Ping-Pong Game. PLAN SETS are $3.49 each or ALL eleven for only $15.98 Airmailed Postpaid! GREEN BANK SCIENTIFIC, Box 100X, Green Bank, WVa. 24944.\n\nNEGATIVE ION GENERATOR BUILT AT HOME. Dual stage design. Detailed construction plans and schematics. $7.50. Golden Enterprises, Box 1282ET, Glendale, Arizona 85311.\n\nTRANSISTOR TESTER. Convert Transistor Radio Into In-circuit Transistor Tester. Tone Indicates Good Transistor. Plans $2.00. SZA Electronics Systems Inc., 39 Bayberry Lane, Levittown, NY 11756.\n\nsend a message...\n\n...write here.\n\n1. Number of insertions: (circle) 1 2 3 6 12\n2. Start with (month) __________ issue (Copy must be in by 1st of month preceding)\n3. Amount enclosed: $\n\nPAYMENT MUST ACCOMPANY ORDER WE'LL BILL RATED FIRMS NO AGENCY COMMISSION\n\nNAME _______________________________________________________\nCOMPANY _________________________________________________\nSTREET ____________________________________________________\nCITY ___________________________ STATE ______ ZIP ________\n\nMAIL COPY FOR AD(S) TO: ROZ MARKHOUSE, Electronic Technician/Dealer, 757 Third Ave., New York, N.Y. 10017\n\nRATES: 40¢ per word; 50¢ per word Bold Face Type. Add $3.00 if you wish Box Number. Minimum $10.00 charge. Classified Display Rate billed $43.00 per inch, 1 inch minimum.\n\nELECTRONIC TECHNICIAN/DEALER CLASSIFIED\n\nMagnavox Color Troubleshooting Guide. $7.50 ppd. Loaded with actual field breakdowns. Covers T904-T981. Electronic Publishing Service, Box 8736, Denver, CO 80201.\n\nTEST EQUIPMENT: Capacitor Tester, Square Wave Generator, Transistor Tester, Variable Power Supply. Build each for under $5.00. Send $2.00. Electro-Research, P.O. Box 712A, Springfield, Tenn. 37172.\n\nWANTED\n\nWANTED: PICTURE TUBE REBUILDING EQUIPMENT in good working condition. Call or write, Atoll TV, 6425 W. Irving Park, Chicago, IL 60634. (312) 545-6667, between 1PM-8PM.\n\nFor Sale\n\nJAPANESE TRANSISTORS - All Transistors Original Factory Made. Free Catalog. West Pacific Electronics, P.O. Box 3879, Torrence, Ca., 90510.\n\nColor-Bar Generator. 16 Patterns, Pocket Size. CMOS-LSI Chip. One Transistor. Complete Plans $5.00. P.C. Boards, Kits Or Wired Units Also Available. Science Workshop, Box 393-ET, Bethpage, New York 11714.\n\nLINEAR AMPLIFIER for C.B., 2-meter, walkie-talkie. Tiny Solid-State Portable Unit produces 100 Watt PEP From Milliwatts and can be inserted inside existing unit. Build for about $20. Send $5.00 for plans to: J. Martin Peter, P.O. Box 07071, Milwaukee, WI 53207.\n\nREPLACEMENT COLOR YOKES-DEALERS ONLY. Zenith 95-2501-2532-2638-2667-S89633 etc. $14.95. Magnavox 361380-1 $18.95 etc. Sylvania, G.E. etc. $14.95 to $19.95. Request for price list on your letterhead. David Sims Enterprises, Inc., 665 Jericho Turnpike, Huntington Station, N.Y. 11746.\n\nSTOP...\n\nDon't junk that television set. ASE manufactures the world's most complete line of television picture tubes. No other company offers:\n\n- Over 2200 types of television picture tubes.\n- Most types available in every country.\n- Transportation paid in some areas.\n- Tubes for Old or New Models.\n- Complete line of both black & white and color.\n- Full 2-year factory warranty.\n- Lowest prices anywhere.\n- Finest quality.\n\nWrite today for more information.\n\nAllied Sales & Engineering, Inc.\nDept. 41, Pimento, Ind. 47866\nTelephone 812-495-6555\nWe Accept BankAmericard and Master Charge.\n\nLook no further for CB transistors. Delivery from stock. Write or telephone for lowest prices possible. American Microsemiconductor Inc., 145 Main St., Madison, N.J. 07940, (201) 377-9566.\n\nFor Sale: B & K 1077B Television Analyst $250. RCA Cold Test Jig $150. ELECTRONIC TECHNICIAN/DEALER w/schematics Sept. '65 - present $30. John Shoemaker, 8700 Dulwich Court, No. 22, Laurel, MD 20811.\n\nREPAIR TV TUNERS-High earnings, Complete Course Details, 12 Repair Tricks, Many Plans, Two Lessons, all for $2. Refundable. Frank Bocek, Box 3236, Ent., Redding, CA 96001.\n\nPICTURE TUBE MACHINE\n\nWe buy and sell NEW AND USED CRT rebuilding machinery. COMPLETE TRAINING. Buy with CONFIDENCE from the ORIGINAL MFGR. For complete details, send name, address and zip code to:\n\nLAKESIDE INDUSTRIES\n3520 W. Fullerion Ave. Chicago, IL 60647\nPhone 312-342-3399\n\nOLD SAMS, #300 through 700. Will take $500.00 for lot or will trade for NEW B & K Mod. 1077 analyst. Contact: PYRAMID SERVICE CO., P.O. BOX 517, LORDBURG, N. M. 88045; PH 505-542-8186.\n\nTV REPAIR HINTS. Send make and model with symptoms. (State if TV Tech.) $2.00 plus stamp. Charles TV, 2033 McGraw Ave., New York, NY 10462.\n\nTV & RADIO TUBES .36¢ EA!! Send for free color parts catalog. Your order free if not shipped in 24 hours. Cornell Electronics 4215-17 University San Diego California 92105.\n\nAlarm Systems\n\nBURGLAR ALARM DIALING UNIT automatically calls police. Easy to program and easy to install. Immediate delivery $29.95. Free literature. S&S Systems, 5619-E St. John, Kansas City, Mo. 64123 (816) 483-4612.\n\nALARM EQUIPMENT FOR SALE: High Quality Professional Equipment at Low Prices. Industrial, Commercial, Residential and Auto. Write for Free Literature. B. Johnson Alarm Co., 180 Prospect St., East Orange, NJ 07017.\n\nCan anyone do what you do any better?\n\nYou're pretty darn good at your job. But today, we all have to consider how we can do our work a little better. That's how each of us can help keep our jobs here in America. For now and for the future.\n\nAmerica. It only works as well as we do.\n\nThe National Commission on Productivity, Washington, D.C.\n\nDECEMBER 1976, ELECTRONIC TECHNICIAN/DEALER / 49\n\nREADER SERVICE INDEX\n\nADVERTISER'S INDEX\n\n105 American Technology Corp. .47\n106 Antenna, Inc. ...............25\n107 Avanti Research & Devel., Inc. .......50\n108 B & K Div., Dynascan ........41\n109 Chemtronics, Inc. ..........46\n110 Cornell Electronics ..........46\n111 Dana Laboratories, Inc. ......46\n112 Edison Electronics Div. ......21\n113 Eico Electronic Instruments Co. ..................43\n125 Electronic Book Club .......32-35\n114 Fordham Radio Supply Co., Inc. ..............50\n115 Ford Motor Co. ................15\n GC Electronics Co. .............26\n GTE Sylvania, Consumer Renewal ........Cover 3, 3\n126 Hunter Tools ..................43\n116 Jerrold Electronics Corp. .....9\n117 Lampkin Laboratories Inc. ...42\n118 MTI ............................44\n Motorola Semiconductor Prdts., Inc. ..............7\n120 Mountain West Alarm Supply Co. ..................47\n102 PTS Electronics, Inc. ........Cover 2, 1\n121 Pomona Electronics ..........30\n122 RMS Electronics, Inc. ........50\n123 Sencore, Inc. .................4, 5\n103 Triplett Corp. (for information) ....Cover 4\n104 Triplett Corp. (for demonstration) ....Cover 4\n124 Wahl Clipper Corp. ...........45\n\nThis index is furnished for the readers' convenience. However, the publisher cannot guarantee its accuracy due to circumstances beyond our control.\n\nAVANTI SOLVES TV INTERFERENCE\n\nInterference between television and CB radio is an annoying and not uncommon problem. Avanti solves these problems with 3 line filters...\n\nAV 800 TV interference filter (low pass)\ninstalls in CB antenna line and is especially useful for interference on CH2 and 5 of poorly filtered TV receivers.\nimpedance = OHMS\nline loss = negligible\nVSWR = 1:1:1\nattenuation on CH2 (64 MHz) = 80db.\n1000 watt capacity\n3db cutoff frequency = 43 MHz\n\nAV 811 TV interference filter (hi-pass)\ninstalls in TV antenna line and supplements inadequate TV filtering to prevent interference between TV or FM and CB or other high frequency radio services.\nimpedance = 300 OHMS\nline loss = negligible\nVSWR = 1:1:1\ncutoff frequency = 54 MHz\n\nAV 820 A.C. line filter prevents transmission of CB signal through AC power lines. Suitable to contain signal at C.B. transmitter or to prevent outside signal from entering TV through AC line. 1200 watt capacity.\n\nAvanti makes a complete line of high performance mobile and base CB antennas from $11.95 to $373.95\n\nFree 24 page color catalog.\n\nAVANTI\nRESEARCH AND DEVELOPMENT, INC\n340 Stewart Avenue, Addison, IL 60101\n\nCreators of the famous MOONBAKER\n\n...for more details circle 107 on Reader Service Card\n\n## COMPLETE MANUFACTURER'S CIRCUIT DIAGRAMS AND TECHNICAL INFORMATION FOR 5 NEW SETS\n\n| SCHEMATIC NO | GENERAL ELECTRIC VIR Module Employed in some color TV models equipped with YM and YC-2 TV chassis | RCA BW TV Chassis KCS207TU | ZENITH Color TV Chassis 29HD45 |\n|--------------|--------------------------------------------------------------------------------------------------|-----------------------------|--------------------------------|\n| | GENERAL ELECTRIC VIR Module Employed in some color TV models equipped with YM and YC-2 TV chassis | 1670 | 1673 |\n| | Color TV Chassis TS-998 | 1671 | |\n| | QUASAR Color TV Chassis TS-999 | 1672 | |\n\n### COLOR PREFERENCE\n\n- With the VIR SWITCH ON, adjust the COLOR PREFERENCE CONTROL for desired color saturation.\n\n### TINT PREFERENCE\n\n- With the VIR SWITCH ON, adjust the TINT PREFERENCE CONTROL for desired color tints.\n\n### TINT SET UP (R45)\n\n- (NORMALLY FACTORY PRE-SET)\n- With the VIR SWITCH ON and TINT PREFERENCE set to midrange, adjust for desired color tints.\n\n### COLOR SET UP (R82)\n\n- (NORMALLY FACTORY PRE-SET)\n- With the VIR SWITCH ON and COLOR PREFERENCE set to midrange, adjust for desired color saturation.\n\n### DELAY (R7)\n\n- (NORMALLY FACTORY PRE-SET)\n- With the VIR SWITCH ON, set the DELAY ADJUSTMENT control to center position, \"rock\" the control around the center position until proper automatic operation is achieved.\n\n**NOTE:** If set too high chroma level will not track properly with Custom Picture Control.\n\nELECTRONIC TEFAX\nTECHNOLOGIES\nQUASAR\nColor TV Chassis\nTS-950\nDECEMBER • 1976\nCOMPLETE MANUFACTURERS' CIRCUIT DIAGRAMS AND TECHNICAL INFORMATION FOR NEW SETS\n\nCopyright 1976 by Electronic Technician/Dealer • East First Street, Duluth, Minnesota 55802\n\nQUASAR\nColor TV Chassis\nTS-559\n\nELECTRONIC TEKFAX\nTECHNICAL NEWSLETTER\nDECEMBER • 1976\nCOMPLETE MANUFACTURER'S CIRCUIT DIAGRAMS AND TECHNICAL INFORMATION FOR 8 NEW SETS\n\nCOPYRIGHT 1976 BY ELECTRONIC TECHNICIAN/DEALER • 1 EAST FIRST STREET, DULUTH, MINNESOTA 55802\n\nQUASAR\nColor TV Chassis\nTS-859\n\nSIF\n\nSOUND\n\nCHROMA\n\nCOPYRIGHT 1976 BY ELECTRONIC TECHNICIAN (DEALER) * EAST FIRST STREET * DULUTH, MINNESOTA 55802\n\nZenith\nQuinty Chassis\n291C45\n\nComplete Manufacturers' Circuit Diagrams and Technical Information for 5 New Sets\n\nDecember • 1976\n\nCopyright 1976 by Electronic Technician/Dealer • East First Street Duluth Minnesota 55802\n\nZENITH\nCOLOR TV Chassis\n23HC45\n\nMODULES USED | ALTERNATES | DESCRIPTION\n--- | --- | ---\nB-81-22 | BFT-497 | COLOR LEVEL LIMIT\nB-81-23 | B-81-23C | VIDEO OUTPUT\nB-897 | B-897 | AUDIO VERT\nB-171 | B-171 | AUDIO\nB-130 | B-130 | ZOOM\nB-76-20 | B-76-20 | VIDEO IF\nB-100 | B-100 | 150-90C\n\nDEFLECTION KITS, PRECISION BOARD\nMODEL NO. 23HC45\n\nCONVERGENCE ASSEMBLY 23HC45\n\n* FOR WAVEFORMS 43 THROUGH 49 BYPASS TEST POINT \"D\" WITH 1.0 MF CAPACITOR\n\nCOPYRIGHT 1976 BY ELECTRONIC TECHNICIAN DEALER • EASY FIRST STREET • DULUTH, MINNESOTA 55802\n\nELECTRONIC TEKFAK\nTECHNICIAN/DEALER\nB/W TV Chassis\nKC5201TU\n\nCOMPLETE MANUFACTURERS' CIRCUIT DIAGRAMS\nAND TECHNICAL INFORMATION FOR 5 NEW SETS\n\nDECEMBER • 1976\n\nCHASSIS LAYOUT\n\nCOPYRIGHT 1976 BY ELECTRONIC TECHNICIAN/DEALER • EAST FIRST STREET DULUTH MINNESOTA 55802\n\nWhat d'ya mean, you can't fix CBs?\n\nIntroducing the Sylvania ECG™CB10-4 service kit.\n26 semiconductors that can turn CB problems into profits.\n\nUntil now, the toughest problem in handling CB repair jobs was getting the right replacement part.\n\nNow, we've put the solution to 1,047 of these parts problems in one kit that will fit right on your bench.\n\nThe CB10-4 kit has 23 transistors and 3 integrated circuits that are the most frequently needed replacements in transceivers and other CB equipment. And the interchangeability guide that comes with the kit tells you the right ones to use as replacements.\n\nWith the CB10-4 most of your parts needs are right at your fingertips. And you can get the others in the same place you bought the kit—at your Sylvania distributor.\n\nWe're helping you make it.\n\nThe easy-to-read 630 makes learning easy.\n\nThe Model 630 V-O-M is priced at a thrifty $78.\n\nThe rugged, general purpose Triplett Model 630 is the kind of dependable V-O-M that both teachers and students appreciate. And for the same reasons the electronic and electrical maintenance professionals do. Uncompromising accuracy. Sturdy lightweight (only 3 lbs. with batteries). Simplified single switch operation holds errors to a minimum, and diode overload protection for the meter suspension movement reduces the chance of tester damage when mistakes do occur.\n\nWith long, clean scales covering 27 ranges in only four arcs, the Triplett Model 630 is remarkably easy-to-read.\n\nIt’s packed with major features:\n1. Diode overload-protected suspension movement V-O-M; single range switch minimizes error.\n2. 4 Ohmmeter range with 4.4 ohms center scale.\n3. Simplified scale—only 4 arcs for all 27 ranges.\n\nSensitivity is 20,000 Ohms per Volt DC, 5000 Ohms per Volt AC. Accuracy is an excellent 2% on DC, and 3% on AC. Measures resistance to 100 megohms, with 6,000 Volt AC and DC capability. Handles DC microamperes 0-60, and DC milliamperes 0-120, both at 250 mV, and can read DC amperes 0-12.\n\nRugged black molded plastic case with removable black leather carrying strap. All this for just $78. Get the same convenience and operating advantages plus 1½% DC accuracy and mirrored scale with the Triplett Model 630-A, priced at only $90.\n\nSee them for yourself. Just ask a Triplett distributor or sales representative to give you a free demonstration of the tester that fits your needs. You’ll be glad you did. So, do it today. Triplett Corporation, Bluffton, Ohio 45817.\n\nTriplet. The easy readers.\n\n...for more details circle 103 on Reader Service Card\n...for FREE demonstration circle 104 on Reader Service Card"}}},{"rowIdx":204893,"cells":{"text":{"kind":"string","value":"Scaling Up Dynamic Human-Scene Interaction Modeling\n\nNan Jiang\\textsuperscript{1,2}*, Zhiyuan Zhang\\textsuperscript{1,2}*, Hongjie Li\\textsuperscript{1}, Xiaoxuan Ma\\textsuperscript{3}, Zan Wang\\textsuperscript{4}, Yixin Chen\\textsuperscript{2}, Tengyu Liu\\textsuperscript{2}, Yixin Zhu\\textsuperscript{1}\\textsuperscript{✉}, Siyuan Huang\\textsuperscript{2}\\textsuperscript{✉}\n\n\\textsuperscript{1}Institute for AI, Peking University \\quad \\textsuperscript{2}National Key Lab of General AI, BIGAI \\quad \\textsuperscript{3}School of Computer Science, CFCS, Peking University \\quad \\textsuperscript{4}Beijing Institute of Technology \\quad *Equal contributors \\quad \\textsuperscript{✉}firstname.lastname@example.org, email@example.com\n\nhttps://jnnan.github.io/trumans/\n\nFigure 1. Overview of TRUMANS dataset and our Human-Scene Interaction (HSI) framework. We introduce the most extensive motion-captured HSI dataset, featuring diverse HSIs precisely captured in 100 scene configurations. Benefiting from TRUMANS, we propose a novel method for real-time generation of HSIs with arbitrary length, surpassing all baselines and exhibiting superb zero-shot generalizability.\n\nAbstract\n\nConfronting the challenges of data scarcity and advanced motion synthesis in HSI modeling, we introduce the TRUMANS (Tracking Human Actions in Scenes) dataset alongside a novel HSI motion synthesis method. TRUMANS stands as the most comprehensive motion-captured HSI dataset currently available, encompassing over 15 hours of human interactions across 100 indoor scenes. It intricately captures whole-body human motions and part-level object dynamics, focusing on the realism of contact. This dataset is further scaled up by transforming physical environments into exact virtual models and applying extensive augmentations to appearance and motion for both humans and objects while maintaining interaction fidelity. Utilizing TRUMANS, we devise a diffusion-based autoregressive model that efficiently generates Human-Scene Interaction (HSI) sequences of any length, taking into account both scene context and intended actions. In experiments, our approach shows remarkable zero-shot generalizability on a range of 3D scene datasets (e.g., PROX, Replica, ScanNet, ScanNet++), producing motions that closely mimic original motion-captured sequences, as confirmed by quantitative experiments and human studies.\n\n1. Introduction\n\nThe intricate interplay between humans and their environment is a focal point in Human-Scene Interaction (HSI) [12], spanning diverse facets from object-level interaction [2, 25] to scene-level planning and interaction [1, 15, 16, 18]. While\n\nsignificant strides have been made, the field is notably hindered by a scarcity of high-quality datasets. Early datasets like PiGraphs [39] and PROX [16] initiated the exploration but are constrained by scalability and data quality. MoCap datasets [14, 30] prioritize high-quality human motion capture using sophisticated equipment like VICON. However, they often lack in capturing diverse and immersive HSIs. Scalable datasets recorded via RGBD videos offer broader utility but are impeded by lower quality in human pose and object tracking. The advent of synthetic datasets [1, 3, 4, 55] provides cost efficiency and adaptability but fails to encapsulate the full spectrum of realistic HSIs, particularly in capturing dynamic 3D contacts and object tracking.\n\nTo address these challenges, this work first introduces the TRUMANS (Tracking Human Actions in Scenes) dataset. TRUMANS emerges as the most extensive motion-captured HSI dataset, encompassing over 15 hours of diverse human interactions across 100 indoor scenes. It captures whole-body human motions and part-level object dynamics with an emphasis on the realism of contact. This dataset is further enhanced by digitally replicating physical environments into accurate virtual models. Extensive augmentations in appearance and motion are applied to both humans and objects, ensuring high fidelity in interaction.\n\nNext, we devise a computational model tackling the above challenges by taking both scene and action as conditions. Specifically, our model employs an autoregressive conditional diffusion with scene and action embeddings as conditional input, capable of generating motions of arbitrary length. To integrate scene context, we develop an efficient local scene perceiver by querying the global scene occupancy on a localized basis, which demonstrates robust proficiency in 3D-aware collision avoidance while navigating cluttered scenes. To incorporate frame-wise action labels as conditions, we integrate temporal features into action segments, empowering the model to accept instructions anytime while adhering to the given action labels. This dual integration of scene and action conditions enhances the controllability of our method, providing a nuanced interface for synthesizing plausible long-term motions in 3D scenes.\n\nWe conducted a comprehensive cross-evaluation of both the TRUMANS dataset and our motion synthesis method. Comparing TRUMANS with existing ones, we demonstrate that TRUMANS markedly improves the performance of current state-of-the-art approaches. Moreover, our method, evaluated both qualitatively and quantitatively, exceeds existing motion synthesis methods in terms of quality and zero-shot generalizability on unseen 3D scenes, closely approximating the quality of original motion-captured data. Beyond motion synthesis, TRUMANS has been benchmarked for human pose and contact estimation tasks, demonstrating its versatility and establishing it as a valuable asset for a broad range of future research endeavors.\n\nSummarized in Fig. 1, our work significantly advances HSI modeling. Our contributions are threefold: (i) The introduction of TRUMANS, an extensive MoCap HSI dataset capturing a wide array of human behaviors across 100 indoor scenes, noted for its diversity, quality, and scalability. (ii) The development of a diffusion-based autoregressive method for the real-time generation of HSIs, adaptable to any length and conditioned on 3D scenes and action labels. (iii) Through extensive experimentation, we demonstrate the robustness of TRUMANS and our proposed methods, capable of generating motions that rival MoCap quality, outperforming existing baselines, and exhibiting exceptional zero-shot generalizability in novel environments.\n\n2. Related Work\n\nHSI Datasets Capturing human motions in 3D scenes is pivotal, with an emphasis on the quality and scale of human interactions. Early work focused on capturing coarse 3D human motions using 2D keypoints [33] or RGBD videos [39]. To improve quality and granularity, datasets like PROX [16] use scene scans as constraints to estimate SMPL-X parameters [36] from RGBD videos. However, these image-based motion capture methods often result in noisy 3D poses.\n\nRecent efforts have incorporated more sophisticated systems like IMU or optical MoCap (e.g., VICON) [14, 15, 17, 22, 30, 61], providing higher quality capture but limited in scalability. These are typically constrained to static scenes [15, 17, 55] or single objects [2, 22, 61], not fully representing complex real-world HSIs such as navigating cluttered spaces or managing concurrent actions.\n\nSynthetic datasets [1, 4, 55] have attempted to fill this gap. Notable examples like BEDLAM [3] and CIRCLE [1] have been acknowledged for their cost efficiency and adaptability. These datasets integrate human motion data into synthetic scenes but fail to fully capture the range of realistic 3D HSIs, particularly in terms of dynamic object poses within their simulated environments.\n\nAddressing these shortcomings, our work achieves a unique balance of quality and scalability. We replicate synthetic 3D environments in an optical motion capture setting, facilitating both accurate capture of humans and objects in complex HSIs and providing photorealistic renderings. This approach not only enhances the fidelity of the captured interactions but also extends the range of scenarios and environments that can be realistically simulated.\n\nHSI Generation HSI generation involves single-frame human body [27, 60, 62] and temporal motion sequences [1, 17, 21, 26, 32, 35, 52–54, 57], utilizing models like conditional Variational Auto-Encoder (cVAE) [43] and diffusion models [19, 42, 44]. Recent advancements focus on generating arbitrary-length human motions through autoregressive methods [4, 7, 17, 31, 47, 59] and anchor frame generaTable 1. Comparison of TRUMANS with existing HSI datasets. TRUMANS differs by providing a diverse collection of HSIs, encompassing over 15 hours of interaction across 100 indoor scenes, along with photorealistic RGBD renderings in both multi-view and ego-view.\n\n| Datasets | Hours | MoCap | Human Representation | Dynamic Object | No. of Scenes | Contact Annotations | RGBD | Segmentation | Multi-view | Ego-view |\n|--------------|-------|-------|----------------------|----------------|---------------|--------------------|------|--------------|------------|----------|\n| GTA.IM [4] | 9.3 | | skeleton | - | 10 | ✓ | ✓ | ✓ | ✓ | |\n| PRGraphs [39]| 2.0 | | skeleton | - | 30 | ✓ | | | | |\n| PROX [16] | 0.9 | | SMPL-X | - | 12 | ✓ | ✓ | ✓ | | |\n| GRAB [46] | 3.8 | ✓ | SMPL-X | ✓ | - | ✓ | | | | |\n| SAMP [17] | 1.7 | ✓ | SMPL-X | - | - | | | | | |\n| RICH [20] | 0.8 | | SMPL-X | - | 5 | ✓ | ✓ | ✓ | | |\n| BEHAVE [2] | 4.2 | | SMPL | ✓ | - | ✓ | ✓ | ✓ | | |\n| CHAIRS [22] | 17.3 | ✓ | SMPL-X | ✓ | - | ✓ | ✓ | ✓ | | |\n| COUCH [61] | 3.0 | ✓ | SMPL | ✓ | - | ✓ | ✓ | ✓ | | |\n| iReplica [15]| 0.8 | ✓ | SMPL | ✓ | 7 | ✓ | ✓ | ✓ | | |\n| CIRCLE [1] | 10.0 | ✓ | SMPL-X | ✓ | 9 | ✓ | ✓ | ✓ | | |\n| TRUMANS | 15.0 | ✓ | SMPL-X | ✓ | 100 | ✓ | ✓ | ✓ | ✓ | ✓ |\n\n3.2. Scene-aware Motion Capture\n\nAiming to capture realistic and diverse Human-Scene Interaction (HSI) within 3D scenes, our approach emphasizes both data quality and diversity. We initiate this process by replicating 3D scenes and objects sourced from the 3D-FRONT [10] dataset and BlenderKit [6] within the physical environment housing our MoCap devices. To ensure the naturalness of human interactions during motion capture, we meticulously create real-world placeholders that correspond to the affordances of the objects in the synthetic environment. All movable objects are tagged with markers compatible with the VICON system, enabling precise tracking of their poses. Actors undergo training to familiarize themselves with interacting with these placeholders. During the capturing sessions, actors are prompted to perform actions randomly selected from a pre-defined pool, ensuring a variety of interactions.\n\nPost-capture, the human poses are converted into the SMPL-X format [36], employing a vertex-to-vertex optimization technique. This method is instrumental in calculating vertex-to-vertex distances between the human meshes and object meshes, facilitating accurate per-vertex contact annotations. We utilize Blender [5] to render multi-view photorealistic RGBD videos, segmentation masks, and egocentric videos. To further diversify the renderings, we incorporate over 200 digital human models from Character Creator 4 [38], ensuring that objects strategically placed in scene backgrounds enhance the scene’s realism without impeding human movement. For a detailed exposition of our capture and processing pipeline, refer to Appendix B.4.\n\n3.3. MoCap Data Augmentation\n\nOur data augmentation pipeline is designed to adapt human motions to changes in 3D scene objects, ensuring physical plausibility and accuracy in HSI. This process is vital in complex scenarios with concurrent or successive interactions;\n\nsee Fig. 2. The pipeline consists of three main steps for integrating altered human motions into diverse 3D settings.\n\n**Calculate Target Joint** We identify contact points between human joints and object meshes, and locate corresponding points on transformed or replaced objects. This step crucially adjusts the target joint’s position to maintain the original interaction’s contact relationship, ensuring realistic human-object interactions despite changes in object dimensions or positions.\n\n**Refine Trajectory** To smooth out abrupt trajectory changes from the first step or Inverse Kinematic (IK) computations, we apply temporal smoothing to joint offsets, iteratively adjusting weights in adjacent frames. This refinement is critical for maintaining seamless motion, particularly in scenarios with multiple object interactions. Further details and theoretical background are discussed in Appendix B.5.\n\n**Recompute Motion with IK** In the final step, we recompute human motion using the smoothed trajectories with an enhanced CCD-based [24] IK solver. This solver applies clipping and regularizations to bone movements, ensuring natural motion fluidity. Bones further from the root joint have increased rotational limits, reducing jitteriness and enhancing motion realism. For a complete description of these methods, refer to Appendix B.5.\n\n### 4. Method\n\nUtilizing the comprehensive TRUMANS dataset, we develop an autoregressive motion diffusion model. This model generates HSIs that are not only physically plausible in 3D scenes but also highly **controllable** through frame-wise action labels, capable of producing sequences of **arbitrary** length in real-time.\n\n#### 4.1. Problem Formulation and Notations\n\nGiven a 3D scene $S$, a goal location $G$, and action labels $A$, our objective is to synthesize a human motion sequence $\\{\\mathcal{H}_i\\}_{i=1}^L$ of arbitrary length $L$. When interacting with dynamic objects $P$, we also estimate the corresponding object pose sequence $\\{\\mathcal{O}_i\\}_{i=1}^L$.\n\n**Human** Human motion is represented as a sequence of parameterized human meshes $\\{\\mathcal{H}_i\\}$ using the SMPL-X model [36]. The motion is initially generated as body joints locations $\\{X^j\\}_{j=1}^J$, where $X^j \\in \\mathbb{R}^{J \\times 3}$ represents $J = 24$ selected joints. These are fitted into the SMPL-X pose parameters $\\theta$, global orientation $\\phi$, hand poses $h$, and root translation $r$, resulting in the posed human mesh $\\mathcal{H} \\in \\mathbb{R}^{10475 \\times 3}$.\n\n**Conditions** We formalize three types of conditions in our motion synthesis: 3D scene, goal location, and action labels. The 3D scene is represented by a voxel grid $S \\in \\{0, 1\\}^{N_x \\times N_y \\times N_z}$, with 1 indicating reachable locations. Goal locations are 2D positions $G \\in \\mathbb{R}^2$ for navigation, or 3D $\\mathbb{R}^3$ for joint-specific control. Action labels are multi-hot vectors $A \\in \\{0, 1\\}^{L \\times N_A}$, indicating distinct actions.\n\n**Object** When dynamic objects are involved, the object is represented by its point cloud $P$ in canonical coordinates and its global rotation $R$ and translation $T$. The dynamic object sequence $\\{O_i\\}_{i=1}^L$ is then represented by sequences of rotations and translations $\\{R_i, T_i\\}_{i=1}^L$.\n\n#### 4.2. Autoregressive Motion Diffusion\n\nOur model architecture is illustrated in Fig. 3. Our goal is to generate human motions that are not only physically plausible in 3D scenes but also highly controllable by frame-wise action labels, achieving arbitrary length in real time. We employ an autoregressive diffusion strategy where a long motion sequence is progressively generated by *episodes*, each defined as a motion segment of $L_{ep}$ frames. Based on the approach by Shafir et al. [40], successive episodes are generated by extending from the final $k$ frames of the prior episode. For each new episode, the first $k$ frames are set based on the previous episode’s last $k$ frames, with the noise on these transition frames zeroed out using a mask $M_{trans}$. Our model aims to inpaint the remainder of each episode by filling in the unmasked frames.\n\nTo ensure precise control over character navigation and detailed interactions in each episode, we segment the overall goal $G$ into discrete subgoals, represented as $\\{G_i\\}_{i=1}^{N_{ep}}$, where $N_{ep}$ denotes the number of episodes. For navigation, each subgoal $G_i \\in \\mathbb{R}^2$ dictates the desired $xy$-coordinates of\n\nthe character’s pelvis at an episode’s conclusion. Mirroring the masking approach used in $M_{trans}$, we align the pelvis’s $xy$-coordinate in the episode’s final frame to the respective subgoal, simultaneously masking the corresponding diffusion noise. As the $z$-coordinate is unspecified, the model is trained to infer the appropriate pelvis height based on the scene setup, such as making the character sit when the subgoal indicates a chair’s location. This principle also governs fine-grained interactions, like grasping or pushing, where the subgoal $\\mathcal{G}_t \\in \\mathbb{R}^3$ is set to the precise 3D location, aligning the relevant hand joint to $\\mathcal{G}_t$ and masking joint noise accordingly. This specific masking on the subgoals is denoted as $M_{goal}$.\n\nWe devise a conditional diffusion model for generating motions within each episode. This process involves sampling from a Markov noising process $\\{X_t\\}_{t=0}^{T}$. Starting with the original human joint data $X_0$ drawn from the data distribution, Gaussian noise is added to the components of $X_0$ not masked by $M = M_{trans} \\cup M_{goal}$. The unmasked components, represented as $(1 - M) \\odot X_t$, or $\\tilde{X}_t$ (where $\\odot$ is the Hadamard product), undergo a forward noising process\n\n$$q(\\tilde{X}_t | \\tilde{X}_{t-1}) = \\mathcal{N}(\\tilde{X}_t; \\sqrt{\\alpha_t} \\tilde{X}_{t-1}, (1 - \\alpha_t)I),$$\n\nwith $\\alpha_t \\in (0, 1)$ denoting hyper-parameters related to the variance schedule.\n\nMotion data generation within our model employs a reversed diffusion process to gradually denoise $\\tilde{X}_T$. Consistent with established diffusion model training methodologies, noise $\\epsilon_t$ is applied to obtain $\\hat{X}_t$, and a neural network $e_\\theta(\\hat{X}_t, t, S, A)$ is constructed to approximate this noise. The learning objective for $e_\\theta$ follows a simple objective [19]\n\n$$\\mathcal{L} = E_{\\hat{X}_0 \\sim q(\\hat{X}_0|C), t \\sim [1,T]} \\left\\| \\epsilon - e_\\theta(\\hat{X}_t, t, S, A) \\right\\|^2_2.$$ \n\nWe adopt the Transformer model architecture [48], wherein the first token encodes information about the diffusion step, scene, and action, and subsequent tokens represent the noisy joint locations for each frame in the current episode. Throughout the sampling process, the model predicts the noise applied to each joint element. Once this sampling phase concludes, the joint locations are translated into SMPL-X parameters via a lightweight MLP. This translation is further refined through an optimization process, ensuring accurate alignment with the human joint data.\n\nUpon generating the human motion sequence $\\{H_t\\}_{t=0}^{T}$, we optimize the trajectory of the interacting object $\\{O_t\\}_{t=0}^{T}$ to ensure natural Human-Object Interactions (HOIs). To enhance the realism of the interaction, we further fine-tune the object’s pose in each frame to minimize the variance in distance between the object and the interacting hand [11].\n\n### 4.3. Local Scene Perceiver\n\nAs illustrated in Fig. 3(d), the local scene perceiver is essential for embedding the local scene context, serving as a condition for motion generation. This component analyzes the scene using a local occupancy grid centered around the subgoal location for the current episode. Starting with the global occupancy grid $S$ of the scene, where each cell’s boolean value indicates reachability (1 for reachable, 0 otherwise), we focus on the $i$-th episode’s subgoal $\\mathcal{G}_i = (x, y, z)$ or $(x, y)$. A local occupancy grid is constructed around $(x, y)$, extending vertically from 0 to 1.8m. The grid’s orientation aligns with the yaw of the agent’s pelvis at the episode’s start, and cell values are derived by querying the global occupancy grid.\n\nThe voxel grid is encoded using a Vision Transformer (ViT) [9]. We prepare the tokens by dividing the local ocpancy grid into patches along the $xy$-plane, considering the $z$-axis as feature channels. These patches are then fed into the ViT model. The resulting scene embedding from this process is utilized as the condition for the diffusion model.\n\nDiscretizing the scene into a grid format is a necessary trade-off to boost training efficiency and practicality in our HSI method. Although directly generating the local occupancy grid from the scene mesh in real-time is technically feasible, it substantially prolongs training time. For instance, employing the `checksign` function from Kaolin results in a training process that is approximately 300 times slower, rendering it impractical. Despite this simplification, our empirical results demonstrate that the quality of motion generation is not significantly impacted by this approximation.\n\n### 4.4. Frame-wise Action Embedding\n\nOur method distinguishes itself from prior approaches by incorporating frame-wise action labels into the long-term motion synthesis process, rather than generating a complete motion sequence from a singular action description. In our framework, a particular action can span multiple episodes, necessitating the model’s capability to comprehend the evolution and progression of an action over time.\n\nTo enhance our model’s understanding of action progression, we incorporate a progress indicator $A_{ind} \\in \\mathbb{R}^{L_{inds} \\times N_A}$ into the frame-wise action labels, as depicted in Fig. 3(c). This indicator is realized by appending a real number $n \\in [0, 1]$ to the original action labels, representing the action’s advancement from start to finish. As a result, action labels take on values in $0 \\cup [1, 2]$ post-addition. For instance, during a drinking action from frame $i$ to $j$, we modify the $(0, 1)$ label by adding a value that linearly progresses from 0 to 1 across this interval. Thus, at the onset of drinking (frame $i$), the label is augmented to 1, gradually increasing to 2 by frame $j$, the action’s conclusion. This nuanced labeling enables our model to seamlessly handle actions that span multiple episodes, significantly enhancing the realism and fluidity of the synthesized motion sequences.\n\nThe final action embedding is obtained by processing the progress-augmented action label $A \\in \\mathbb{R}^{L_{fps} \\times N_A}$ through a Transformer encoder. Each frame’s action label $A_i \\in \\mathbb{R}^{N_A}$ is treated as an individual token in the Transformer’s input. The feature output from the last token is then passed through an MLP to generate the final action embedding.\n\n## 5. Experiments\n\nThis section presents our evaluation of both TRUMANS and our proposed motion synthesis method, focusing on action-conditioned HSI generation. Additionally, we demonstrate how TRUMANS contributes to advancements in state-of-the-art motion synthesis methods.\n\n### 5.1. Experiment Settings\n\nOur experimental evaluation of HSI generation quality is conducted under two distinct settings: static and dynamic. The static setting assesses synthesized motions in environments without dynamic interactable objects, concentrating on locomotion and interactions with static objects. Conversely, the dynamic setting evaluates motion synthesis involving interactions with dynamic objects. In both scenarios, we compare the performance of methods trained on TRUMANS with those trained on existing datasets [46, 62], offering a thorough insight into both the model’s efficacy and the dataset’s impact.\n\n### 5.2. Baselines and Ablations\n\n**Baselines-static setting** We compare TRUMANS with PROX [62], a dataset featuring human activities in indoor scenes. To ensure a fair comparison, we retain only the locomotion and scene interaction of static objects in TRUMANS, such as sitting and lying down. Baseline methods for this setting include cVAE [52], SceneDiff [21], and GMD [23].\n\n**Baselines-dynamic setting** We compare TRUMANS with GRAB [46], known for capturing full-body grasping actions with human and object pose sequences. Here, the focus is on motions of interaction with dynamic objects, like drinking water and making phone calls, present in both datasets. We compare our method against IMoS [11] and GOAL [47], reproduced using their original implementations.\n\n**Ablations** In our ablative studies, we examine the impact of disabling the action progress indicator $A_{ind}$ in our model. Additionally, to assess the significance of our data augmentation technique, we perform experiments using a non-augmented version of TRUMANS. For reference, our standard experiments employ the augmented TRUMANS, where each object is transformed into two different variations.\n\nOur evaluation encompasses 10 unseen indoor scenes sourced from PROX [16], Replica [45], ScanNet [8], and ScanNet++ [58]. These scenes are adapted to the requirements of different methods, with modifications including conversion to point cloud format, voxelization, or maintaining their original mesh format. To evaluate the diversity of the synthesized motions, each method is tasked with generating five unique variations for each trajectory.\n\nFurthermore, we conduct a qualitative comparison of our method with other recent approaches, such as SAMP [17], DIMOS [64], LAMA [25], and Wang et al. [54], based on the feasibility of reproducing these methods. Detailed findings from this comparison are discussed in Appendix A.4.\n\n### 5.3. Evaluation Metrics\n\nIn the static setting, we employ Contact and Penetration metrics, as recommended by Zhao et al. [64], to evaluate foot slide and object penetration issues in synthesized motions.\n\nThese metrics measure the degree to which the synthesized motions conform to the specified scene. For the *dynamic* setting, we utilize *FID* and *Diversity* metrics, commonly used in language and action-guided motion generation tasks [11, 48]. These metrics measure the quality and diversity of HOI motion generation involving various small objects.\n\nAdditionally, we introduce a novel MoCap-differentiating human study for evaluation. Participants are presented with five sequences, one of which is motion-captured, and are asked to identify the MoCap sequence. The likelihood of correctly identifying the MoCap sequence serves as an indicator of the synthesized motion’s realism. We quantify this aspect through the Success Rate of Discrimination (SucRate-Dis), reflecting the percentage of participants who accurately identify the MoCap sequence.\n\n### 5.4. Results and Analysis\n\nFig. 4 showcases our method’s qualitative strengths. It adeptly manages complex scene configurations, including initiating context-aware motion, avoiding collisions during movement, and generating extended motions, especially in HOI scenarios involving dynamic object interaction.\n\nIn the *static* setting (Tab. 2), our method, trained on TRUMANS, surpasses baselines across most metrics. Notably, disabling data augmentation leads to increased penetration, suggesting the efficacy of augmented data in producing physically plausible motions. Compared to models trained on PROX, ours shows significant improvements, highlighting TRUMANS as a high-quality resource for HSI research.\n\n| Method | Cont.$\\uparrow$ | Pene$_{mean} \\downarrow$ | Pene$_{max} \\downarrow$ | Dis. suc.$\\downarrow$ |\n|-----------------|-----------------|---------------------------|--------------------------|------------------------|\n| Wang et al. [52]| 0.969 | 1.935 | 14.33 | 0.581 |\n| SceneDiff [21] | 0.912 | **1.691** | 17.48 | 0.645 |\n| GMD [23] | 0.931 | 2.867 | 21.30 | 0.871 |\n| Ours | **0.992** | 1.820 | **11.74** | **0.258** |\n| Ours w/o aug. | 0.991 | 2.010 | 15.52 | - |\n\n| Method | Cont.$\\uparrow$ | Pene$_{mean} \\downarrow$ | Pene$_{max} \\downarrow$ | Dis. suc.$\\downarrow$ |\n|-----------------|-----------------|---------------------------|--------------------------|------------------------|\n| Wang et al. [52]| 0.688 | 4.935 | 34.10 | 0.903 |\n| SceneDiff [21] | 0.712 | 3.267 | 27.48 | 0.935 |\n| GMD [23] | 0.702 | 4.867 | 38.30 | 0.968 |\n| Ours | 0.723 | 4.820 | 31.74 | 0.903 |\n\nTab. 3 illustrates results in the *dynamic* setting, where our approach excels in 3D HOI generation. High penetration rates with GRAB-trained methods indicate their limitations in scene-adherent HOI motions, while TRUMANS captures more detailed interactions. The absence of the progress indicator $A_{end}$ leads to method failure, as evidenced by the ablation study.\n\nTable 3. Evaluation of object-level interaction. We compare performances on RICH [20] and GRAB [46]. The definition of “Real” follows the one defined in Tevet et al. [45].\n\n| Method | FID↓ | Diversity→ | Pene_scene ↓ | Dis. suc.↓ |\n|-----------------|------|------------|--------------|------------|\n| Real-TRUMANS | - | 2.734 | - | - |\n| GOAL [47] | 0.512| 2.493 | 34.10 | 0.801 |\n| iMOS [11] | 0.711| 2.667 | 37.48 | 0.774 |\n| Ours | **0.313** | **2.693** | **11.74** | **0.226** |\n| Ours - A_ind | 2.104| 1.318 | **10.62** | 1.000 |\n\n| Real-GRAB [46] | - | 2.155 | - | - |\n| GOAL [47] | 0.429| 2.180 | 44.09 | 0.801 |\n| iMOS [11] | 0.410| 2.114 | 41.50 | 0.774 |\n| Ours | 0.362| 2.150 | 34.41 | 0.916 |\n\nHuman studies further affirm the quality of our method. Only about a quarter of participants could distinguish our synthesized motions from real MoCap data, nearly aligning with the $1/5$ SucRateDis of random guessing. This suggests that our synthesized motions are nearly indistinguishable from high-quality MoCap data. Comparative evaluations with recent methods [17, 25, 54, 64] show our model’s superiority, outperforming the second-best model by over 30% in support rate. For more detailed results, please refer to the Supplementary Video.\n\nReal-time Control Our method can sample an episode of motion (1.6 seconds at 10 FPS) in 0.7 seconds on an A800 GPU. This efficiency enables uninterrupted long-term motion generation with a consistent control signal. For new control signals, to minimize the 0.7-second delay, we implement an incremental sampling strategy: initially, 2 frames are sampled immediately, followed by sampling 4 frames during their execution, increasing exponentially until 16 frames are sampled. This approach ensures a balance between real-time control and smooth motion continuity. Please refer to our Supplementary Video for a visual demonstration.\n\n5.5. Additional Image-based Tasks\n\nTRUMANS, with its photo-realistic renderings and per-vertex 3D contact annotations, is also suited for various image-based tasks. We focus on its application in 3D human mesh estimation and contact estimation.\n\n3D Human Mesh Estimation For reconstructing 3D human body meshes from input images, we utilize the state-of-the-art method [29] as a baseline. We evaluate if including TRUMANS in training enhances performance on the 3DPW dataset [50]. Following Ma et al. [29], we report MPJPE, PA-MPJPE, and MPVE for the estimated poses and meshes.\n\n3D Contact Estimation This task involves predicting per-vertex 3D contact on the SMPL mesh [28] from an input image. We compare TRUMANS against RICH [20] and DAMON [49], both featuring vertex-level 3D contact labels with RGB images. Utilizing BSTRO [20] for RICH and DECO [49] for DAMON, we measure precision, recall, F1 score, and geodesic error following the literature [20, 49].\n\nResults and Analysis Quantitative results in Tab. 4 reveal that integrating TRUMANS with 3DPW significantly improves human mesh estimation. Contact estimation outcomes, presented in Tab. 5, show enhanced performance with TRUMANS, particularly in reducing geodesic error. These results suggest that combining synthetic data from TRUMANS with real-world data substantially benefits image-based tasks. For detailed experimental insights, see Appendix A.5.\n\nTable 4. Performance of Ma et al. [29] trained on 3DPW [50] combined with TRUMANS in different ratios.\n\n| Training Data | MPVE↓ | MPJPE↓ | PA-MPJPE↓ |\n|---------------|-------|--------|-----------|\n| 3DPW [50] | 101.3 | 88.2 | 54.4 |\n| 3DPW+T (2:1) | 88.8 | **77.2** | **46.4** |\n| 3DPW+T (1:1) | **78.5** | 78.5 | **46.4** |\n\nTable 5. Performance of BSTRO [20] and DECO [49] trained on RICH [20] and DAMON [49] combined with TRUMANS, respectively.\n\n| Training Data | Prec↑ | Rec↑ | F1↑ | geo err↓ |\n|---------------|-------|------|-----|----------|\n| RICH [20] | 0.6823| **0.7427** | 0.6823 | 10.27 |\n| R+T (2:1) | 0.7087| 0.7370 | **0.6927** | 9.593 |\n| R+T (1:1) | **0.7137** | 0.7286 | 0.6923 | **9.459** |\n| DAMON [49] | 0.6388| 0.5323 | 0.5115 | 25.06 |\n| D+T (2:1) | 0.6472| **0.5237** | **0.5148** | 21.54 |\n| D+T (1:1) | **0.6701** | 0.4806 | 0.4972 | **18.87** |\n\n6. Conclusion\n\nWe introduce TRUMANS, a large-scale mocap dataset, alongside a novel motion synthesis method, addressing scalability, data quality, and advanced motion synthesis challenges in HSI modeling. As the most comprehensive dataset in its category, TRUMANS encompasses diverse human interactions with dynamic and articulated objects within 100 indoor scenes. Our diffusion-based autoregressive motion synthesis method, leveraging TRUMANS, is capable of real-time generation of HSI sequences of arbitrary length. Experimental results indicate that the motions generated by our method closely mirror the quality of the original MoCap data.\n\nLimitation A notable limitation of our method is its inability to generate human-object interaction behaviors beyond those in the training set. For example, it struggles to create realistic motions for unfamiliar actions like climbing off a table, leading to potentially unrealistic interactions or object intersections.\n\nAcknowledgment The authors would like to thank NVIDIA for their generous support of GPUs and hardware. This work is supported in part by the National Science and Technology Major Project (2022ZD0114900) and the Beijing Nova Program.\n\nReferences\n\n[1] Joao Pedro Araujo, Jiaman Li, Karthik Vetrivel, Rishi Agarwal, Jiajun Wu, Deepak Gopinath, Alexander William Clegg, and Karen Liu. 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We also elaborate on how our sampling strategy enables real-time control over character motion. For additional qualitative insights and extensive zero-shot transfer experiments, we direct readers to the accompanying Supplementary Video.\n\nA.1. Experiment Settings\n\nOur experimental setup for motion synthesis methods includes two distinct settings: static and dynamic. In the static setting, we focus on evaluating the quality of locomotion and scene-level interactions. Each test scene features five predefined pairs of start and end points, given as \\((x, y)\\) coordinates in a z-up world coordinate system. These points, often located on furniture like chairs, test the method’s ability to produce scene-appropriate motions. For complete trajectories, we generate midpoints using a generative A* path planning method, following Wang et al. [54].\n\nThe dynamic setting involves five pairs of object and human starting locations, accompanied by a trajectory leading towards the object. Each method is tasked with creating five unique motion variations that both approach and interact with the object, conforming to a designated action type.\n\nA.2. Implementation Details\n\nOur motion generation model utilizes a DDPM architecture with a linear variance scheduler, conditioned on scene and action embeddings. Following Guo et al. [13], we implement a Transformer encoder as the UNet structure with an embedding dimensionality of 512 for projecting body joint locations into a high-dimensional space. The Transformer consists of 6 layers, 16 heads in the multi-head attention, and uses a 0.1 dropout rate. The intermediate feedforward network’s dimensionality is set to 1024. Both scene and action encoders are Transformer-based with 6 layers and 16 heads, producing 512-dimensional embeddings. These embeddings are added to the first token of the motion generation transformer, which contains timestep information. The Huber loss is used to gauge the accuracy of predicted noise.\n\nFor converting joint locations to SMPL-X parameterized meshes, a pre-trained 4-layer MLP predicts coarse SMPL-X parameters, with a 6D representation for rotation [65]. The MLP inputs three consecutive frames and outputs parameters for the middle frame. Edge cases use duplicated middle frames for input. An optimization process refines body poses using gradient descent on the L2 error between joint locations from the model and predicted SMPL-X parameters, ensuring accurate body pose representation.\n\nTraining with the Adam optimizer (learning rate 1e-4, batch size 512) on four NVIDIA A800 GPUs, our method takes 48 hours to train for 500k steps on TRUMANS.\n\nA.3. Adaption of Baselines\n\nWe adapted baseline methods for a fair comparison in our autoregressive long-term motion generation framework. For Wang et al. [52], two milestone poses are set as the transition and subgoal at the start and end of each episode, with in-between motions generated using their original cVAE model. Methods like Huang et al. [21] and Karunaratankul et al. [23], not initially designed for long-term synthesis, were modified to incorporate \\(M_{goal}\\) and \\(M_{trans}\\) in the sampling stage, maintaining their original sampling strategies. In dynamic experiments involving dynamic objects, we adapted models like GOAL [47] to encompass both reaching and grasping actions, while preserving their original training pipeline.\n\nA.4. Human Study\n\nWe conducted human studies with 31 participants (17 males and 14 females) in a controlled environment, ensuring no communication among them. For each baseline and ablated version of our method, we generated 4 human motions aligned with the respective test settings (dynamic or non-dynamic). These motions were applied to the SMPL-X body mesh and rendered in the same scene from TRUMANS-test for horizontal comparison. Alongside these synthesized motions, one MoCap motion from TRUMANS-test in the same scene was also included, with careful rendering to minimize visual obstructions.\n\nTo qualitatively compare our method with SAMP [17], DIMOS [64], LAMA [25], and Wang et al. [54], we replicated their demonstrations using our model trained on TRUMANS. This involved setting similar subgoals to duplicate the trajectories. Participants were shown side-by-side comparisons of motions synthesized by our method and the baseline methods’ demos and then asked to choose the more natural-looking output. The frequency of our method being preferred is reflected in the Success Rate of Discrimination (SucRateDis) reported in Tab. A1.\n\n| Method | Success Rate of Discrimination (%) |\n|-----------------|-----------------------------------|\n| SAMP [17] | 100 |\n| Wang et al. [54]| 100 |\n| LAMA [25] | 80.6 |\n| DIMOS [64] | 64.5 |\n\nA.5. Image-based Tasks\n\nThis section details additional qualitative and quantitative results for image-based tasks using the rendered images and annotations from TRUMANS.\n\n3D Human Mesh Estimation To assess the impact of integrating TRUMANS into training, we use two additional methods, I2L [34] and SGRE [51], on the 3DPW test set. These methods are trained either solely on 3DPW or on a combination of 3DPW and TRUMANS at varying ratios. As indicated in Tabs. A2 and A3, incorporating our synthetic data with the real training set markedly enhances performance.\n\nTable A2. Performance of I2L [34] in 3D human mesh estimation trained on 3DPW [50] combined with TRUMANS in different ratios.\n\n| Training Data | MPVE↓ | MPIPE↓ | PA-MPIPE↓ |\n|---------------|-------|--------|-----------|\n| 3DPW [50] | 186.9 | 160.4 | 90.2 |\n| 3DPW+T (2:1) | 133.2 | 116.5 | 69.1 |\n| 3DPW+T (1:1) | **126.1** | **110.2** | **66.2** |\n\nTable A3. Performance of SGRE [51] in 3D human mesh estimation trained on 3DPW [50] combined with TRUMANS in different ratios.\n\n| Training Data | MPVE↓ | MPIPE↓ | PA-MPIPE↓ |\n|---------------|-------|--------|-----------|\n| 3DPW [50] | 257.0 | 223.0 | 110.6 |\n| 3DPW+T (2:1) | 240.6 | 207.2 | 113.5 |\n| 3DPW+T (1:1) | **138.0** | **117.5** | **80.3** |\n\n3D Contact Estimation Qualitative results of baseline methods trained with and without TRUMANS are presented in Fig. A1. These results demonstrate that the incorporation of TRUMANS in training enhances the precision of contact prediction.\n\nB. Additional Details of TRUMANS\n\nB.1. Additional Details of Dataset Comparison\n\nIn our dataset comparison presented in Tab. 1, we have categorized similar objects into common types for a more equitable comparison. For SAMP [17], their seven reported objects, including various chairs and a table, are grouped into three types: “sofa,” “chair,” and “table.” BEHAVE [2], with a list of 20 distinct items, is classified into 14 object types, consolidating similar items like chairs and tables. Similarly, iReplica [15]’s report of 9 objects is condensed into 5 classes.\n\nAdditionally, for iReplica, we have combined data from their two datasets, EgoHOI and H-contact, for simplicity. EgoHOI contributes 0.25 hours of HSI data with ego-view and multiview RGBD videos, while H-contact adds 0.5 hours of HSI data featuring per-frame hand-object contact.\n\nB.2. Dataset Splits\n\nTRUMANS is divided into training, validation, and test sets, with scenes 1 to 70 for training, 71 to 80 for validation, and 91 to 100 for testing. This distribution creates a split ratio of approximately 7:1:2 across all data frames for the respective sets.\n\nB.3. Object Types\n\nTRUMANS includes 20 types of objects commonly found in indoor scenes, categorized as either [a] (articulated) or [r] (rigid). The list with descriptions is as follows:\n\n- Articulated chair: [a], including gaming and office chairs.\n- Rigid chair: [r], encompasses chairs with/without armrests and stools.\n- Table: [r], available in round and square shapes.\n- Sofa: [r], varieties like single-seaters and couches.\n- Bed: [r].\n- Book: [a].\n- Pen: [r].\n\n• Phone: [r].\n• Mouse: [r].\n• Keyboard: [r].\n• Handbag: [r].\n• Vase: [r].\n• Cup: [r].\n• Bottle: [r].\n• Laptop: [a].\n• Oven: [a].\n• Drawer: [a].\n• Cabinet: [a].\n• Microwave: [a].\n• Door: [a].\n\nB.4. Capture Pipeline\n\nAligning virtual and real environments The alignment between virtual and real environments is crucial to ensure the plausibility of actions projected into the virtual world. Our process starts with manually selecting scenes and objects from the 3D-FRONT [10] dataset and BlenderKit [6], prioritizing scenes with numerous interactable objects that fit within our motion capture area. Manual alignment is performed to match these virtual scenes with real-world counterparts. For example, a digital sofa may be replicated with a real sofa or chairs arranged to mimic its shape. When digital and physical shapes do not match perfectly, we modify the digital asset, such as scaling objects or editing meshes, or adjust our real-world setups, like placing a mat on a chair to simulate a higher seat.\n\nTo align digital characters with our real actors, we start by exporting a human armature matching the actor’s bone lengths using the VICON Shogun system [41]. Then, in Character Creator 4 [38], we adjust sliders to create digital humans mirroring the actors’ bone lengths. These digital characters are re-imported into Shogun for real-time IK retargeting, ensuring accurate character poses for our digital humans.\n\nObject placeholders Our dataset addresses the limitations of previous datasets related to object visibility and complex HSIs in clustered scenes. We use an optical MoCap system with object placeholders designed for light transmission, enabling accurate capture even in complex HSIs. For example, an actor seated behind a transparent acrylic table allows for precise leg tracking.\n\nReal-time data quality inspection Data recording is monitored in real-time to ensure quality. Inspectors watch the digital world and human avatars on screens during capture, filtering out obvious errors like untracked markers or jittering in IK solving. This real-time inspection aids in maintaining high data quality.\n\nB.5. Motion Augmentation Implementation Details\n\nThis section delves into the specifics of our motion augmentation pipeline, illustrating the need for our refinement processes with examples and establishing theoretical bounds for the smoothness of IK target trajectories.\n\nIn our augmentation process, we first identify contact points between human joints and object meshes in a given motion sequence. For example, if joint $J_1$ is in contact with an object mesh at point $\\mathbf{v}_m$ at time $T_1$, and we subsequently alter the object’s shape or replace it, the new corresponding point becomes $\\mathbf{v}'_m$. To preserve the interaction, the joint’s target location $\\mathbf{l}'$ must be adjusted accordingly to maintain the contact point:\n\n$$\\mathbf{l}'_{T_1} - \\mathbf{v}'_m = \\mathbf{l}_{T_1} - \\mathbf{v}_m,$$\n\nsuch that\n\n$$\\mathbf{l}'_{T_1} = \\mathbf{l}_{T_1} + \\mathbf{v}'_m - \\mathbf{v}_m.$$ \n\nThe offset $\\mathbf{v}_1 = \\mathbf{v}'_m - \\mathbf{v}_m$ represents the change in joint position resulting from the object’s shape variance. To address the abrupt trajectory change, we implement a smoothing process for the pose trajectory. Within a defined proximity window $W$, we apply this offset with a linearly decreasing norm to ensure a smoother transition in the joint’s trajectory:\n\n$$\\mathbf{v}_{1t} = (1 - \\frac{|t - T_1|}{W})\\mathbf{v}_1.$$\n\nThis offset application ensures a seamless blend from the original trajectory to the augmented one. To validate the smoothness of this trajectory, we establish a bound on the difference in bone target positions between consecutive frames. The notation $|\\cdot|$ is used to denote the absolute value for scalars and the 2-norm for vectors, aiding in quantifying these trajectory modifications.\n\n$$|\\mathbf{l}'_{t+1} - \\mathbf{l}'_t| = |\\mathbf{l}_{t+1} + \\mathbf{v}_{t+1} - \\mathbf{l}_t - \\mathbf{v}_t|$$\n\n$$\\leq |\\mathbf{l}_{t+1} - \\mathbf{l}_t| + |\\mathbf{v}_{t+1} - \\mathbf{v}_t|$$\n\n$$\\leq |\\mathbf{l}_{t+1} - \\mathbf{l}_t| + \\frac{|\\mathbf{v}|}{W}.$$ \n\nWhen the smoothing window length $W$ is set appropriately, such as 30 in our implementation, and the norms of the offset vectors are within practical limits (dictated by reasonable object variation scales and stable CCD IK results), the updated IK target trajectories exhibit sufficient smoothness.\n\nHowever, this IK solving approach is limited to simpler scenarios involving interaction with a single object. In more complex situations, typical of our dataset, we encounter additional challenges. For instance, consider an offset $\\mathbf{v}_1$ introduced at time $T_1$ for bone $J_1$ due to object augmentation, with this contact ending at $T_2$. At $T_2$, another bone $J_2$ enters into contact, necessitating a new IK target. Post-IK process, bones without specific targets, including $J_1$, may shift from\n\ntheir original positions. We denote the deviation for bone $J_1$ as $\\mathbf{v}_2$. To mitigate this deviation, we employ a similar offsetting technique by blending $\\mathbf{v}_1$ and $\\mathbf{v}_2$. For each time $t$ within this window of length $W$, the bone is assigned an offset vector that is a weighted mean of these two offsets, calculated using vector norms as weights:\n\n\\[\n\\text{offset} = \\frac{(|\\mathbf{v}_{1t}| |\\mathbf{v}_{1t} + |\\mathbf{v}_{2t}| |\\mathbf{v}_{2t}|)}{|\\mathbf{v}_{1t}| + |\\mathbf{v}_{2t}|}, \\tag{A5}\n\\]\n\nwhere\n\n\\[\n\\mathbf{v}_{1t} = (1 - \\frac{|t-T_1|}{W})\\mathbf{v}_1,\n\\]\n\\[\n\\mathbf{v}_{2t} = (1 - \\frac{|t-T_2|}{W})\\mathbf{v}_2. \\tag{A6}\n\\]\n\nBy integrating these two stages of linear blending of offset vectors, we achieve smooth trajectories for IK targets. As outlined earlier, akin to the approach in Eq. (A4), we analyze the joint target differences between consecutive frames to further substantiate the smoothness of our approach:\n\n\\[\n|l'_{t+1} - l'_t|\n\\]\n\\[\n= |l_{t+1} - l_t|\n\\]\n\\[\n+ \\frac{|\\mathbf{v}_{1,t+1}| |\\mathbf{v}_{1,t+1} + |\\mathbf{v}_{2,t+1}| |\\mathbf{v}_{2,t+1}|}{|\\mathbf{v}_{1,t+1}| + |\\mathbf{v}_{2,t+1}|}\n\\]\n\\[\n- \\frac{|\\mathbf{v}_{1,t}| |\\mathbf{v}_{1,t} + |\\mathbf{v}_{2,t}| |\\mathbf{v}_{2,t}|}{|\\mathbf{v}_{1,t}| + |\\mathbf{v}_{2,t}|} \\tag{A7}\n\\]\n\\[\n\\leq |l_{t+1} - l_t|\n\\]\n\\[\n+ \\left| \\frac{\\mathbf{v}_{1,t+1}}{|\\mathbf{v}_{1,t+1}| + |\\mathbf{v}_{2,t+1}|} - \\frac{\\mathbf{v}_{1,t}}{|\\mathbf{v}_{1,t}| + |\\mathbf{v}_{2,t}|} \\right|\n\\]\n\\[\n+ \\left| \\frac{\\mathbf{v}_{2,t+1}}{|\\mathbf{v}_{1,t+1}| + |\\mathbf{v}_{2,t+1}|} - \\frac{\\mathbf{v}_{2,t}}{|\\mathbf{v}_{2,t}|} \\right|, \\tag{A8}\n\\]\n\nwhere\n\n\\[\n|\\mathbf{v}_{i,t}| = (1 - \\frac{|t-T_i|}{W})|\\mathbf{v}_i|. \\tag{A11}\n\\]\n\nThus we have\n\n\\[\n\\left| \\frac{\\mathbf{v}_{1,t+1}}{|\\mathbf{v}_{1,t+1}| + |\\mathbf{v}_{2,t+1}|} - \\frac{\\mathbf{v}_{1,t}}{|\\mathbf{v}_{1,t}| + |\\mathbf{v}_{2,t}|} \\right|\n\\]\n\\[\n= \\frac{|\\mathbf{v}_{1,t+1}| |\\mathbf{v}_{1,t+1} - \\mathbf{v}_{1,t}|}{(|\\mathbf{v}_{1,t+1}| + |\\mathbf{v}_{2,t+1}|)(|\\mathbf{v}_{1,t}| + |\\mathbf{v}_{2,t}|)}\n\\]\n\\[\n+ \\frac{|\\mathbf{v}_{1,t+1}| |\\mathbf{v}_{2,t}| |\\mathbf{v}_{1,t+1} - \\mathbf{v}_{2,t+1}| |\\mathbf{v}_{1,t}|}{(|\\mathbf{v}_{1,t+1}| + |\\mathbf{v}_{2,t+1}|)(|\\mathbf{v}_{1,t}| + |\\mathbf{v}_{2,t}|)}\n\\]\n\\[\n\\leq \\frac{|\\mathbf{v}_{1,t+1}| |\\mathbf{v}_{1,t+1} - \\mathbf{v}_{1,t}|}{(|\\mathbf{v}_{1,t+1}| + |\\mathbf{v}_{2,t+1}|)(|\\mathbf{v}_{1,t}| + |\\mathbf{v}_{2,t}|)}\n\\]\n\\[\n+ \\frac{|\\mathbf{v}_{1,t+1}| |\\mathbf{v}_{2,t}| |\\mathbf{v}_{1,t+1} - \\mathbf{v}_{2,t+1}| |\\mathbf{v}_{1,t}|}{(|\\mathbf{v}_{1,t+1}| + |\\mathbf{v}_{2,t+1}|)(|\\mathbf{v}_{1,t}| + |\\mathbf{v}_{2,t}|)}\n\\]\n\\[\n+ \\frac{|\\mathbf{v}_{1,t+1}| |\\mathbf{v}_{2,t}| |\\mathbf{v}_{1,t+1} - \\mathbf{v}_{2,t+1}| |\\mathbf{v}_{1,t}|}{(|\\mathbf{v}_{1,t+1}| + |\\mathbf{v}_{2,t+1}|)(|\\mathbf{v}_{1,t}| + |\\mathbf{v}_{2,t}|)}\n\\]\n\\[\n+ \\frac{|\\mathbf{v}_{1,t+1}| |\\mathbf{v}_{2,t}| |\\mathbf{v}_{1,t+1} - \\mathbf{v}_{2,t+1}| |\\mathbf{v}_{1,t}|}{(|\\mathbf{v}_{1,t+1}| + |\\mathbf{v}_{2,t+1}|)(|\\mathbf{v}_{1,t}| + |\\mathbf{v}_{2,t}|)}\n\\]\n\\[\n< \\frac{3|\\mathbf{v}_1| + 3|\\mathbf{v}_2|}{W}. \\tag{A12}\n\\]\n\nWith the scaling of Eqs. (A9) and (A10) now aligned, we substitute these elements to establish a theoretical bound:\n\n\\[\n|l'_{t+1} - l'_t|\n\\]\n\\[\n< |l_{t+1} - l_t| + \\frac{3|\\mathbf{v}_1| + |\\mathbf{v}_2|}{W} + \\frac{|\\mathbf{v}_1| + 3|\\mathbf{v}_2|}{W} \\tag{A13}\n\\]\n\\[\n= |l_{t+1} - l_t| + \\frac{4}{W}(|\\mathbf{v}_1| + |\\mathbf{v}_2|),\n\\]\n\nwhich ensures that our target trajectories are smooth.\n\n**B.6. Annotations**\n\n**Human Motion** The motion data captured from the VICON system, initially in the form of pose sequences of a custom armature, is converted into the SMPL-X format [36] using a vertex-to-vertex optimization method. This ensures accurate and smooth SMPL-X representations; please refer to Fig. A2 for examples. The conversion process involves the following steps:\n\n1. Vertices on the SMPL-X mesh are manually selected and paired with the closest vertices on our custom mesh.\n2. A loss function, defined as the Mean Squared Error (MSE) between paired vertex locations, is minimized using the Adam optimizer to refine SMPL-X parameters until convergence.\n\nFigure A2. Examples of SMPL-X annotations in TRUMANS.\n\n3. Inaccuracies in the SMPL-X mesh are manually corrected by adjusting bone rotations. After aligning the SMPL-X mesh with our custom mesh, we record the mapping for future use.\n\nIn the second phase, we enhance the custom motion data by adding interpolated frames from the T-pose to the start pose. This ensures a smooth transition for each bone in the sequence.\n\nFinally, we optimize the SMPL-X parameters frame by frame, starting from the pose established in the first phase. We first refine the body shape parameters and then adjust the pose parameters, including global translation. The optimization of each frame starts from the pose of the previous frame and continues until convergence. This method relies on minimal mesh changes between frames, supported by our high-quality motion data. A typical MSE value at convergence ranges between 5e-5 and 1e-4, indicating an average point distance of less than 1cm.\n\n**Contact** Following the fitting of SMPL-X meshes, we compute per-vertex contact annotations. The contact for each human mesh vertex is determined based on its proximity and orientation relative to scene or object meshes. A vertex is deemed in contact if it fulfills either of the following conditions: (i) it resides inside an object’s mesh, or (ii) while outside an object’s mesh, it is within a specified threshold distance and the angle between its normal and the vector pointing towards the object is under 60 degrees. The latter criterion is particularly vital for accurate contact annotation, as it prevents misidentification in scenarios like a hand holding a bottle. Penetration statistics, as detailed in Fig. A.3, reveal that in over 95% of the frames, both the mean and median penetration distances remain below 2cm. For examples of contact annotation, please refer to Fig. A.4.\n\n**Objects** In TRUMANS, we include the watertight mesh for all objects and their 6D poses for each frame. For articulated objects, part-level annotations are provided along with the URDF (Unified Robot Description Format) files to represent their kinematic structure.\n\n**Actions** For every sequence within TRUMANS, multi-hot action labels are assigned on a frame-by-frame basis. This approach allows for the representation of multiple concurrent actions in a single frame, with each action identified by a distinct label.\n\n### B.7. Video Rendering\n\nTo enhance video diversity and accurately capture HSI details, we developed an adaptive camera tracking algorithm that maintains footage smoothness and consistency. The camera, set at a constant height of 1.4 meters, moves within a 2-meter radius around the human, horizontally oriented towards the body. The camera’s pose is exclusively determined by its rotation around the z-axis in the human coordinate system.\n\nWe set keyframes at intervals of 30 frames. For each keyframe, 20 camera proposals adhering to the constraints are pre-defined and evenly distributed around the ring. To identify active hand interactions, we calculate the minimum distance between hand joints and dynamic objects. If this distance exceeds 20 centimeters, we default to tracking the right hand. For the identified interacting hand, rays emitted from each camera proposal towards the hand joints help measure visibility. A joint is considered visible to a camera if the intersection point with the scene’s mesh can be projected onto the camera’s imaging plane, and the distance to the joint is less than 10 centimeters. The number of visible joints determines whether a camera effectively captures the interaction. The visibility threshold for different keyframes is dynamically adjusted to ensure at least one camera captures the interaction, except when all joints are invisible.\n\nAfter assessing the interaction capture capability of the 20 cameras at each keyframe, dynamic programming is used to select the optimal keyframe camera pose sequence that minimizes total rotation and maximizes interaction coverage. “Camera pose” here specifically refers to rotation about the z-axis. Camera poses for frames between keyframes are interpolated using cubic spline interpolation of the rotation angles.\n\nFigure A4. Examples of contact annotations in TRUMANS."}}},{"rowIdx":204894,"cells":{"text":{"kind":"string","value":"Ms. Caryn Moir \nVice President – Federal Regulatory \nSBC Telecommunications, Inc. \n1401 I Street, NW, Suite 400 \nWashington, DC 20005\n\nRE: *SBC/Ameritech Merger Order*, CC Docket No. 98-141, ASD File No. 99-49\n\nDear Ms. Moir:\n\nThis letter addresses issues arising from the June 2001 semi-annual review of SBC Communications, Inc.’s (SBC) performance measurements under the *SBC/Ameritech Merger Order*.¹ As discussed below, I approve SBC’s proposed business rules changes with modifications and address an issue regarding Southern New England Telephone, Inc. (SNET) performance standards.\n\n1. **Background**\n\nThe Commission adopted the Carrier-to-Carrier Performance Plan (Performance Plan) in the *SBC/Ameritech Merger Order*.² The Performance Plan requires SBC to report performance measurements data to the Commission each month, and to make payments to the United States Treasury should it fail to meet certain performance standards. The Performance Plan requires SBC and the Common Carrier Bureau (Bureau) to meet semi-annually to discuss additions, deletions, and modifications.³\n\nThe Performance Plan measurements are based on those adopted by the Texas and California commissions. Specifically, for the SBC states except California and Nevada, SBC reports data based on 20 measurements adopted by the Texas Commission.⁴ For California and Nevada, SBC reports data based on 20 measurements adopted by the California Commission.⁵ Both Texas and California have their own on-going reviews to update the measurements, and the Performance Plan establishes a process by which those changes can flow through to the federal Performance Plan counterpart measurements. In particular, when the underlying state commission makes changes, SBC must notify the Bureau\n\n---\n\n¹ Applications of Ameritech Corp., Transferor, and SBC Communications, Inc., Transferee, For Consent to Transfer Control of Corporations Holding Commission Licenses and Lines Pursuant to Sections 214 and 310(d) of the Communications Act and Parts 5, 22, 24, 25, 63, 90, 95, and 101 of the Commission’s Rules, CC Docket 98-141, Memorandum Opinion and Order, 14 FCC Rcd 14712 (1999) (*SBC/Ameritech Merger Order* or *Merger Order*).\n\n² See *Merger Order*, Appendix C, Attachment A.\n\n³ See *Merger Order*, Appendix C, Attachment A at ¶ 4.\n\n⁴ See *Merger Order*, Appendix C, Attachment A at ¶ 4.\n\n⁵ See *Merger Order*, Appendix C, Attachment A at ¶ 3.\n\nimmediately.\\(^6\\) SBC may implement those changes for the anchor state if the Bureau does not object within five days of notification.\\(^7\\) At the next semi-annual review, the Bureau may decide whether the same changes should be made for the other states tied to that state.\\(^8\\) For example, if the Texas Commission adopts changes to its measurements, SBC must notify the Bureau immediately. The Bureau would then have five days to object to the changes; if it does not, SBC may make the changes for the Texas data in the Performance Plan. At the next semi-annual review, the Bureau would decide whether SBC should also make the changes for the remaining Southwestern Bell states, the Ameritech states, and SNET.\n\nPursuant to the *Merger Order*, however, states for which SBC has received section 271 authority are removed from the Performance Plan.\\(^9\\) As a result, Texas data are no longer subject to the Performance Plan, even though Texas-approved changes may affect data for the SBC states that remain subject to the Plan (except California and Nevada).\n\nSBC and the Bureau met on June 27, 2001 to discuss issues related to the most current semi-annual review. At that meeting, SBC proposed to implement performance measurements changes adopted by the Texas Commission (called “version 2.0”) for the Southwestern Bell states subject the Performance Plan at that time, i.e., Arkansas and Missouri. As a follow-up, on November 16, 2001 SBC proposed to implement version 2.0 for the Ameritech states and SNET, but with modifications to account for regional differences.\\(^10\\) SBC also raised an issue related to SNET performance measurements. Finally, SBC proposed a means to true-up erroneous voluntary payments. I address each proposal below except the true-up proposal, which will be the subject of a future letter.\n\n2. **Version 2.0 Business Rules Changes**\n\nAs an initial matter, I note that SBC’s request to implement the version 2.0 changes in Arkansas and Missouri is now moot. On November 16, 2001, the Commission approved SBC’s section 271 application for those states, thereby removing those states from the Performance Plan.\\(^11\\)\n\n---\n\n\\(^6\\) See *Merger Order*, Appendix C, Attachment A at ¶ 4.\n\n\\(^7\\) See *Merger Order*, Appendix C, Attachment A at ¶ 4.\n\n\\(^8\\) See *Merger Order*, Appendix C, Attachment A at ¶ 4.\n\n\\(^9\\) See *Merger Order*, Appendix C at ¶ 24.\n\n\\(^10\\) See Letter from Al Syeles, Executive Director, SBC, to Mark Stone, Attorney, Federal Communications Commission (filed Nov. 27, 2001) (*SBC November 27th Letter*) (including proposed changes to the business rules in redline format). SBC later modified its proposed changes to respond to Bureau staff requests and to correct errors. See Letter from Michelle Thomas, Executive Director, Federal Regulatory, SBC, to Magalie Roman Salas, Secretary, Federal Communications Commission (Dec. 12, 2001) (revising SBC’s November 16, 2001 business rules submission pursuant to Common Carrier Bureau staff requests); Letter from David Cartwright, Director, Federal Regulatory, SBC, to Mark Stone, Attorney, Federal Communications Commission (Dec. 17, 2001) (correcting one error in SBC’s December 12, 2001 business rules filing).\n\n\\(^11\\) See *Merger Order*, Appendix C at ¶ 24; Joint Application by SBC Communications, Inc., Southwestern Bell Telephone Company, and Southwestern Bell Communications Services, Inc. d/b/a Southwestern Bell Long Distance Pursuant to Section 271 of the Telecommunications Act of 1996 To Provide In-Region, InterLATA Services in Arkansas and Missouri, CC Docket No. 01-194, *Memorandum Opinion and Order*, FCC 01-338 (rel. Nov. 16, 2001).\n\nSBC should, however, make the version 2.0 changes in the Ameritech states and SNET as described below. The Bureau has reviewed these changes, the most significant of which are summarized in the Attachment to this letter, and finds that they will improve the Performance Plan. The changes will, *inter alia*, further disaggregate results to account for new services and modify performance standards based on SBC’s past performance.\\(^{12}\\) SBC should make these changes by January 1, 2002.\\(^{13}\\)\n\nSBC provides three reasons to tailor the business rules to Ameritech and SNET: (1) to adapt performance standards and exclusions to Ameritech and SNET states; (2) to change the company name in the business rules from “SWBT” to “Ameritech” or “SNET” as appropriate; and (3) to delete references to systems that exist in the Southwestern Bell states but not Ameritech or SNET, as appropriate.\\(^{14}\\) SBC should make the changes as it proposed on November 16, 2001 and thereafter,\\(^{15}\\) except where SBC has proposed to tailor the business rules’ performance standards or exclusions to Ameritech and SNET.\\(^{16}\\)\n\nI agree that it makes sense to modify the business rules to replace the name “SWBT” with “Ameritech” or “SNET,” as appropriate. I also think it reasonable to modify the business rules to reflect the differing systems in the Ameritech and SNET states. Both of these are ministerial changes to the business rules that will clear up any potential ambiguity, making it easier for SBC to administer the Performance Plan.\n\nSBC’s other proposal, i.e., to adapt performance standards and exclusions to Ameritech and SNET, would, however, involve a substantive change to the Performance Plan. In my view, this proposal is inconsistent with both the text and intent of the *Merger Conditions*. Specifically, the *Merger Conditions* require the Bureau to decide “whether and when [SBC] shall implement such changes *adopted by the Texas state commission* in the remaining [Ameritech states and SNET] . . . .”\\(^{17}\\) The *Merger Conditions* do not say that SBC will tailor the changes to other states; rather the one set of changes must, if approved by the Bureau, be implemented in the other states as the Texas Commission adopted them. I note that the Bureau has in the past rejected the approach proposed by SBC.\\(^{18}\\) While ministerial changes, such as changing company names to “Ameritech” or “SNET” and recognizing regional systems differences, are reasonable, tailoring performance standards and exclusions to each region, or state, would be inconsistent\n\n---\n\n\\(^{12}\\) “Disaggregations” and “performance standards” are sub-sets of the larger group of business rules that SBC proposes to change here. “Business rules” also include exclusions.\n\n\\(^{13}\\) See SBC November 27\\(^{th}\\) Letter at 1 (proposing to implement changes by January 1, 2002).\n\n\\(^{14}\\) See SBC November 27\\(^{th}\\) Letter at 1-4\n\n\\(^{15}\\) See supra n.10.\n\n\\(^{16}\\) For example, SBC proposes to (1) relax installation intervals in the SNET region for performance measurement 8, *Average Installation Interval – DSL* and (2) exclude “customer requested due dates greater than 1 business day” in the SNET region for performance measurement 6a, *Mean Installation Interval – POTS*.\n\n\\(^{17}\\) Merger Order, Appendix C, Attachment A at ¶ 4 (emphasis added).\n\n\\(^{18}\\) See Letter from Carol Mattey, Deputy Chief, Common Carrier Bureau, Federal Communications Commission, to Marian Dyer, Vice President, Federal Regulatory, SBC (May 30, 2000) (expressing concern about SBC’s use of Ameritech-specific performance standards and exclusions).\n\nwith the intent of the *Merger Conditions*.\\(^{19}\\) The Commission adopted the Performance Plan as part of a package of conditions designed to mitigate competitive harms resulting from the SBC/Ameritech merger.\\(^{20}\\) The Commission chose to adopt the performance standards used by the Texas Commission for most of the SBC states, including Ameritech and SNET. Granting SBC’s request would allow it to substantively change the standards the Commission adopted to mitigate SBC’s increased ability and incentive to discriminate.\n\n3. **SNET Issue**\n\nSBC asks the Bureau to relax two performance standards for measurement 8, *Average Installation Interval – DSL*.\\(^{21}\\) In particular, SBC asks the Bureau to extend installation intervals for non-conditioned loops from 5 days to 9 days and conditioned loops from 10 days to 15 days.\\(^{22}\\) SBC argues that the more generous standards are appropriate because they reflect the tariffed intervals in Connecticut. I disagree.\n\nThis request is simply a manifestation of SBC’s proposal to tailor the Texas-based performance standards to SNET, which is addressed above. For the same reasons discussed in section 2 above, I disagree. Moreover, I address SBC’s additional arguments, made in recent weeks, to support its performance measurement 8 proposal specifically.\\(^{23}\\)\n\nFirst, SBC cites paragraph 482 of the *Merger Order*, in which the Commission rejected a commenter’s criticism that the Performance Plan “does not require parity across measurements between different states.”\\(^{24}\\) SBC argues that “parity” here applies to performance standards, and that the Commission must have meant that it was not requiring uniform performance standards across the SBC states. Further review of the comment, however, reveals that the Commission was rejecting an argument related to the staggered requirement of reporting performance data and payments, not performance standards.\\(^{25}\\) This passage is therefore inapposite.\n\nSecond, SBC cites paragraph 483 of the *Merger Order*, which grants SBC additional time to “implement the payment obligations” at SNET.\\(^{26}\\) SBC argues that the phrase “implement the payment obligations” is\n\n---\n\n\\(^{19}\\) See SBC November 27\\(^{th}\\) Letter at 1-4\n\n\\(^{20}\\) See, e.g., Merger Order, 14 FCC Rcd at 14887, ¶ 421.\n\n\\(^{21}\\) See Letter from Al Syles, Executive Director, Federal Regulatory, SBC, to Mark Stone, Attorney, Federal Communications Commission at 2 (Aug. 2, 2001) (SBC August 2\\(^{nd}\\) Letter).\n\n\\(^{22}\\) See id.\n\n\\(^{23}\\) SBC laid out its position in an electronic mail from Al Syeles, Executive Director, Federal Regulatory, SBC, to Anthony Dale, Attorney, Federal Communications Commission, on November 16, 2001.\n\n\\(^{24}\\) See Merger Order, 14 FCC Rcd at 14910, ¶ 482.\n\n\\(^{25}\\) Specifically, the commenter complained that the Performance Plan’s reporting and payment requirements should not be staggered across SBC regions, but instead begin at the same time across all the states. See Comments of Indiana Utilities Regulatory Commission in CC Docket No. 98-141 (filed July 16, 1999) at 5. The commenter did not address performance standards.\n\n\\(^{26}\\) See Merger Order, 14 FCC Rcd at 14911, ¶ 483.\n\nCommission recognition that SNET could use Connecticut-specific performance standards. In light of the Commission’s policy goals in adopting uniform standards, however, the more natural reading of the phrase is that SNET would require more time to bring its performance into line with the Texas standards, especially in light of SBC’s then-recent acquisition of SNET.\\textsuperscript{27} The grace period thus reinforces the conclusion that the Commission intended that Texas standards apply to SNET. If the Commission had intended SNET to simply abide by the Connecticut standards (as they appear in the tariffs or elsewhere), a grace period presumably would not have been necessary.\n\nThird, SBC cites paragraph 31 of the \\textit{Merger Conditions}, which describes the business rules for local service requests.\\textsuperscript{28} Paragraph 31 states that these business rules may vary depending on state regulatory requirements and product differences. SBC has, however, confused two different types of business rules. The business rules for local service requests are entirely different than business rules for performance measurements data gathering and reporting. Indeed, the business rules for completing and submitting local service requests to SBC’s ILECs has no effect on the performance data.\n\nFinally, at the beginning of the adopted Performance Plan, the Commission enumerated the five instances in which the Performance Plan business rules deviate from those adopted in Texas.\\textsuperscript{29} If the Commission intended to tailor the performance standards to individual states other than Texas, this would have been the natural place to do so, but it did not. For these reasons, I decline to adopt SBC’s proposal.\n\nIf SBC disagrees with any of this letter’s guidance, it may file an application for review with the Commission pursuant to section 1.115 of the Commission’s rules.\\textsuperscript{30}\n\nPlease do not hesitate to contact me if I can be of further assistance. You may also contact Mark Stone in the Common Carrier Bureau directly at (202) 418-0816 for further information on this matter.\n\nSincerely,\n\nCarol E. Mattey\nDeputy Chief, Common Carrier Bureau\n\nCC: Al Syeles, SBC\n David Cartwright, SBC\n\n\\textsuperscript{27} See id.\n\n\\textsuperscript{28} See Merger Order, Appendix C at ¶ 31.\n\n\\textsuperscript{29} See Merger Order, Appendix C, Attachment A at ¶ 3. CLECs submit local service requests (or “LSRs”) to SBC to order local services such as unbundled network elements.\n\n\\textsuperscript{30} 47 C.F.R. § 1.115.\n\nAttachment\n\nSummary of SBC Proposed Changes\n\n• Performance Measurement 1 (Percent Firm Order Confirmations (FOCs) Returned on Time for LSR Requests)\n\n – Standard for all electronically submitted orders is 95% within 60 minutes.\n\n – Critical-z no longer applies.\n\n• Performance Measurement 1.1 (Percent Firm Order Confirmations (FOCs) for xDSL-capable Loops and Line Sharing Returned Within “x” Hours)\n\n – Added measurement.\n\n• Performance Measurement 4(d) (Percent Mechanized Completion Notifications Returned Within One Day of Work Completion)\n\n – Critical-z no longer applies.\n\n• Performance Measurement 5(c) (Percent Installation Reports (Trouble Reports) Within “x” Calendar Days, Where “x” is 10 Calendar Days for 8db Loops and 30 Calendar Days for all other UNEs)\n\n – Change standard for 8db loops from 30 calendar days to 10 calendar days.\n\n• Performance Measurement 6(c).1 (Percent Installations Completed within the Customer Requested Due Date for LNP With Loop)\n\n – Added measurement.\n\n• Performance Measurement 7(a) (Average Delay Days for SWBT Caused Missed Due Dates – POTS)\n\n – Deleted exclusion for SBC-delayed orders as a result of lack of facilities."}}},{"rowIdx":204895,"cells":{"text":{"kind":"string","value":"Monona Audit\n\n- **12-26**\n- **26-38**\n- **38-44.5**\n- **44.5-50.5**\n- **50.5-69**\n\nOverall Location: Four intersections along Monona Drive near Monona Grove high school.\n\nStats Overview\n\n**Intersection 1: Monona Drive/Dean Ave**\n\n- Time: 2:45-3:10pm (25 minutes)\n- Average Audit Score: 60 (61 - Chelsea, 59 - Breana)\n- Pedestrian Count: 1 Bicycle Count: 1\n\n**Intersection 2: Monona Drive/Lofty**\n\n- Time: 3:10-3:30pm (20 minutes)\n- Average Audit Score: 49 (50 - Chelsea, 48 - Breana)\n- Pedestrian Count: High (School ending) Bicycle Count: 0\n\n**Intersection 3: Monona Drive/Coldspring**\n\n- Time: 3:30-3:50pm (20 minutes)\n- Average Audit Score 41.5 (41 - Chelsea, 42 - Breana)\n- Pedestrian Count: High (School ending) Bicycle Count: 5\n\n**Intersection 4: Monona Drive/Winnequah**\n\n- Time: 3:50-4:10pm (20 minutes)\n- Average Audit Score: 47 (48 - Chelsea, 46 - Breana)\n- Pedestrian Count: High (School ending) Bicycle Count: 0\n\nSummary of Audit Sections\n\nIntersection 1: Monona Drive/Dean Ave\n\nLand use environment (15.5) - The walkscore of the intersection is 54. Single-family residential is the main housing option in this area, with some apartment buildings and apartment units available above businesses. There is a golf course south of this intersection with mature trees along the sidewalk, and a mixed variety of business destinations.\n\nTransportation environment (7) – There is no alternative transportation provided in this section. Traffic volume is approximately 17,700 vehicles per day along Monona Drive. The roadway cross section consists of two travel lanes in either direction, with paved on-road bicycle accommodations along the shoulders. The posted speed limit is 30 mph with no special speeds posted. Access to this intersection is easy from all directions except the east, where Dean curves into a residential area.\n\nWalking environment (15) – There are sidewalks, lighting, crosswalks, and pedestrian signals at the stoplight in this area contributing to a positive walking environment. The sidewalks appeared fairly new and were in good condition, complete with colored painted to make them easily visible. However, the sidewalks seem to be a bit narrow, but for the lack of pedestrian traffic in this area the width seems sufficient. In the southeast quadrant of the intersection (along the golf course), what appeared to be an old bicycle trail was in use in place of a concrete sidewalk. Though bicycle accommodations were still provided on-road, it is likely that pedestrians do not have exclusive use over this trail. The timing of the crossing signal provided adequate time to cross and also included a 15-second countdown.\n\nBicycling environment (11) – There are bicycle lanes along Monona Drive in both directions, and the volumes along Dean are likely low enough as to not require separate facilities. The pavement was in good condition, though the bicycle lane felt narrow and had no buffer to vehicular traffic. There were also no accommodations provided for turning movements, making it difficult to turn left off of Monona Drive.\n\nFacilities and aesthetics (12) – There is a variety of buildings in this area. Though there are no public service amenities provided, there is a gas station which can provide bathrooms. Though there are some trees along the golf course, however, they were not near enough to the trail to provide shade. No benches were provided along this corridor. This intersection included decorative brick street signage.\n\nIntersection 2: Monona Drive/Lofty (Crossing in front of Monona Grove High School)\n\nLand use environment (12) - The walkscore of the intersection is 54. Single-family residential is the main housing option in this area, with some apartment units available above businesses. There is a football field behind the school that can be used as open park space when school functions are not using it. This intersection can be accessed for drivers along Monona Drive, but the school essentially acts as a road block to access from the east.\n\nTransportation environment (6) - There is no alternative transportation provided in this section. Traffic volume is approximately 12,900 vehicles per day along Monona Drive. The roadway cross section consists of two travel lanes in either direction, with paved on-road bicycle accommodations along the shoulders. The posted speed limit is 30 mph with a special speed of 20 mph when school is in session.\n\nWalking environment (11) – There are sidewalks, lighting, and crosswalks in this area contributing to a positive walking environment. However, the pedestrian crossing was not located at a roadway intersection and did not have a pedestrian crossing ahead sign. This seemed to function fine at the end of the day when there were many students around, but it may be more dangerous to a single pedestrian at non-peak hours. A pedestrian refuge was provided in the median of the crossing. The sidewalks appeared fairly new and were in good condition.\n\nBicycling environment (12) – There are bicycle lanes along Monona Drive in both directions. The pavement was in good condition, though the bicycle lane felt narrow and had no buffer to vehicular traffic. There were also no accommodations provided for turning movements, making it difficult for students to do anything besides exit travelling north along Monona Drive, which is likely the least needed movement. To travel other directions, student would need to use Coldspring.\n\nFacilities and aesthetics (14.5) – There is some recreational equipment visible, though it is on school property. There were also no service amenities provided outside of the school. There was one bench provided along the sidewalk, but no shade trees.\n\nIntersection 3: Monona Drive/Coldspring\n\nLand use environment (8) - The walkscore of the intersection is 60. Single-family residential is the only housing option in this area. There is a public tennis court in the northeast quadrant of the intersection, and Monona Grove High School facilities in the southeast. This intersection is fairly easily accessed from all directions, with Lake Monona the largest physical barrier.\n\nTransportation environment (8) - There is no alternative transportation provided in this section. Traffic volume is approximately 12,900 vehicles per day along Monona Drive. The roadway cross section consists of two travel lanes in either direction, with paved on-road bicycle accommodations along the shoulders. The posted speed limit is 30 mph with a 20 mph special speed limit ending just north of the intersection while school is in session.\n\nWalking environment (10.5) – There are sidewalks, lighting, and crosswalks in this area contributing to a positive walking environment. Sidewalks are present along Monona Drive and the east portion of Coldspring, but they do not continue along the west portion of Coldspring after it crosses Monona Drive. The sidewalks are painted to make them easily visible. This intersection has a crossing signal that talks/beeps as well as just the visual sign to cross, and was the only signal along to corridor to have this auditory feature.\n\nBicycling environment (7) – There are bicycle lanes along Monona Drive in both directions, and the volumes along the western portion of Coldspring are likely low enough as to not require separate facilities. However, the east side of Coldspring is where bicyclists would leave from the school and accommodations should be considered. The pavement was in good condition, though the bicycle lane\n\nfelt narrow and had no buffer to vehicular traffic. There were also no accommodations provided for turning movements, making it difficult to turn left off of Monona Drive. Multiple bikers were observed using the sidewalk and crosswalks instead of the bike lanes. The one biker using the bike lane looked quite uncomfortable among the large vehicles surrounding her. Out of the bikers observed, none turned onto Monona Drive, all crossed west across Coldspring, potentially to avoid busy Monona Drive.\n\n**Facilities and aesthetics (13)** – There is a variety of buildings in this area. Though there are no public service amenities or comfort features provided. Though there are some trees visible, but they were not near enough to the sidewalk to provide shade. No benches were provided along this corridor. This intersection included decorative brick street signage.\n\n**Intersection 4: Monona Drive/Winnequah**\n\n*Land use environment (7)* - The walkscore of the intersection is 53. Single-family residential is the main housing option in this area. There is some green space in this area along Lake Monona; however, the space is not developed beyond grass and trees. A mixed variety of business destinations exists in the area.\n\n*Transportation environment (8)* - There is no alternative transportation provided in this section. Traffic volume is approximately 1,600. The roadway cross section consists of two travel lanes in either direction, with paved on-road bicycle accommodations along the shoulders. The posted speed limit is 30 mph with no special speeds posted. Access to this intersection is a bit limited- Lake Monona provides a barrier, and the eastern edge is has limited access as it appears to be dominated by residential developments.\n\n*Walking environment (9)* – There are sidewalks and crosswalks at this intersection, however, only along 3 of the cross-sections. The sidewalks appeared fairly new and were in good condition. However, the sidewalks seem to be a bit narrow, but for the lack of pedestrian traffic in this area the width seems sufficient. Additionally, the sidewalk on the west end on Winnequah stops just beyond the corner. The curve from the Madison end on Monona drive made it difficult for pedestrians to determine if the street was clear and safe to cross.\n\n*Bicycling environment (9)* – There are bicycle lanes along Monona Drive in both directions, and the volumes along Winnequah are likely low enough as to not require separate facilities. The pavement was in good condition, though the bicycle lane felt narrow and had no buffer to vehicular traffic. There were also no accommodations provided for turning movements, making it difficult to turn left off of Monona Drive.\n\n*Facilities and aesthetics (11)* – There is a variety of buildings in this area- single family homes dominated the area, with less than 5 businesses nearby. Though there are no public service amenities provided. Though there are some trees along the lake, however, they were not near enough to the trail to provide shade. One bench was provided along this corridor. This intersection included decorative brick street signage.\n\n**Observations and Suggestions for Improvement**\n\n**Intersection 1: Monona Drive/Dean Ave**\n\nThe main concern at this intersection regards the bicycle accommodations. The on-road facilities were quite narrow, and turning movements would be very dangerous without any provided accommodations.\n\n**Intersection 2: Monona Drive/Lofty (Crossing in front of Monona Grove High School)**\n\nThis intersection was very busy as school let out. The lack of advanced warning about the pedestrian crossing is very dangerous, as it is not easy to notice. (I couldn’t find it while it was being pointed out to me). Recommendations to improve this crossing include using a color to delineate the crosswalk and make it more noticeable, adding an advanced warning sign, adding flashers at the crosswalk sign, and/or utilizing a beacon to stop traffic when pedestrians are present.\n\nIt is currently difficult for bicyclists to leave the school and travel south along Monona Drive, unless they walk their bicycle across the road. Improving bicycle turning movements at this location is not likely to be cost-effective nor desirable, as so many pedestrians are present. However, the bicycle lanes are very narrow, as they are along the entirety of this corridor and widening them should be considered.\n\n**Intersection 3: Monona Drive/Coldspring**\n\nThe main concern in this area is the lack of bicycle accommodations along Coldspring, north of the school. Cyclists leaving the school must stop in traffic, surrounded by vehicles, then try to rush across the intersection with vehicles following behind them. This is a very stressful and dangerous environment for bicycles, and it is nearly impossible for them to make a left turn in this environment.\n\n**Intersection 4: Monona Drive/Winnequah**\n\nThe most prominent needed improvement for this intersection would be improving visibility for pedestrians as they cross Monona Drive. Although this area does not seem like a main node of pedestrian traffic, bikers would also benefit from improved visibility as this route is popular for those biking around Lake Monona. It appears that visibility at this intersection is also an issue for drivers- we witnessed a near accident as a car was leaving the furniture stop. It seems common that cars heading down Monona drive from Madison speed through this area, and only slow speeds as they approach the high school.\n\nBIKE/PED MONONA AUDIT SUMMARY\n\nBY CAMERON BRAATZ AND MATTHEW SORENSEN (TEAM 2)\n\nImage 1 - Screenshot of Monona Street Audit Map, source Audit Dropbox\n\nINTERSECTION 1: WINNEQUAH AND WATERMANS\n\nImage 2 - Screenshot of Intersection 1, source Audit Street Map\n\nLand Use Environment\n\nThe target intersection for this walkability and bikability audit was the three way intersection of Watermans way which intersects with Winnequah Road, adjacent to Schluter and Watermans Parks. The audit was performed on foot, from the parking lot area of Schluter Park. The audit was performed on March 10th from 3:08 PM to 3:25 PM. For land use environment, it was given 16 out of 24 possible points. Walkscore was 35 out of 100. The residential variety was minimal but had duplexes and single family homes and was awarded two points. There were quite a bit of public and private destinations, there were restaurants, bait shops, and a mechanic garage. Just as the last category, there were quite a few recreational facilities where there were two parks, athletic fields, a beach, play equipment, and a pier. There were a lot of natural features, two parks, a beach, and a lake all with a variety of trees. Ease of access was very good with the only impeding factor being Lake Monona to the north.\n\nTransportation Environment\n\nTransportation environment had 11 of 16 possible points. There were no alternative transportation modes visible, and the speed limit was marked at 25 mph for both normal and school hours. There were less than 1000 cars recorded, in the audit time 18 cars, zero bikers, and 5 walkers were recorded. Similar to ease of access, there were quite a bit of routes to the main intersection.\n\nWalking Environment\n\nThe area was given 3 of 16 total points for walking environment. There were a little bit of features to make walking easier, but they were limited only to streets that were easy to cross/walk in and one cross walk. The sidewalk condition was not applicable as there were none. There were no buffers between car and pedestrian traffic, however it should be noted that intersection were still easy to navigate (awarded 2 points). Key walking issues included no sidewalks and no street lights.\n\nBicycling Environment\n\nThe bicycling environment was given 7 of 16 total points. This area was marked as a main bike route yet had little to no features to make biking easier, limited only to marked signs along the road. However, the road conditions were in good condition, intersections were easy to navigate while biking, and accommodations had been made to make wheeled access easier both on the street and to and from the parks and businesses. Key biking issues included no designated bike lane, not even sparrow were painted despite this corridor being part of the Lake Monona Bike Loop (a frequently used bike loop).\n\nFacilities and Aesthetics\n\nThis area was given 19 of 28 points for facilities and aesthetics. Schluter Park offers plenty of play equipment and service amenities, the park is also scheduled for a total renovation of both its facilities, equipment, and park areas. Attractive features are limited to private residences; new park facilities might offer more aesthetic appeal. However, the businesses and existing roadways are generally bland and offer little variety. The parks have quite a bit of trees and seating opportunities that add to this area’s comfortability. The physical environment had little to no debris, and no visible graffiti.\n\nand crime making a relatively safe and attractive environment. As reflected by the traffic counts, there weren't many visible users of this space, given the audit was performed on a weekday afternoon. These factors added up to a total of 56 points out of the 100 available for total audit score.\n\n**Intersection 2: Midmoor and Dean**\n\n*Image 3 - Screenshot of Intersection 2, source Audit Street Map*\n\n**Land Use Environment**\n\nThe area of this particular walkability audit focused around the intersection of Dean Avenue and Midmoor Road. The audit report was collected by foot on Thursday March 10 between the hours of 3:38 PM to 3:46 PM. During the duration of the audit; 35 cars, two bikers, and three walkers were recorded. The walkability app rated this area with a 35 out of 100 possible points. There were no residential variety, and no public or private destinations aside from private homes. There were no recreational facilities within the target area. The street had street trees, yet no natural features such as lakes, fields, or woods. The last four categories deemed zero of the available 16 points. The neighborhood had good ease of access. Dean Avenue serves as a secondary road pathway connecting Monona Drive to the western portions of the city and sees higher traffic counts as a result.\n\n**Transportation Environment**\n\nFor the land use environment, this neighborhood was awarded three of the available 24. The transportation environment was relatively more developed, and was awarded 12 of the 16 available points. Alternative transportation modes in the space were limited to a Monona Transit bus stop. The posted speed limit was 25 miles per hour which is most desirable; the special speed limit during school hours was also 25 miles per hour. Traffic volume was recorded to be less than 1000 vehicles. The\n\northogonal grid pattern creates an environment that provides several options to arrive to the site. In this category points were only deducted due to lack of alternative transportation variety and routes of access favoring vehicular traffic.\n\n**Walking Environment**\n\nThe walking environment was rated at eight of 16 possible points. Three of four points were awarded for ease of walking, given there were sidewalks street trees and a two way stop intersection. The slow speed limit also made for an easy intersection to cross. The sidewalks were in a decent shape, they neither stood out to me as great shape nor bad shape. As previously stated, the intersections were easy to navigate. The buffers between vehicle and pedestrians were fairly undeveloped. The sidewalks along Dean Avenue had terraces with street trees; however there was no street parking and buffers along Midmoor were non-existent. Major walking issues were limited to the lack of sidewalk along Midmoor, related to this issue was the lack of designated crosswalks spanning across Midmoor.\n\n**Bicycling Environment**\n\nThis area features designated bike routes along both roadways, yet was only deemed to have seven out of 16 points. There were few features that made the area easier to bike. Options to improve this would be the development of bike lanes, bike racks, or infrastructure to make biking safer. The road surface is in good condition and intersections would be easy to navigate, just as was the case with the walking environment. Curb cuts were directional along Dean Avenue, and could be improved when/if sidewalks were introduced along Midmoor Road. Access for wheeled devices was fairly good and was awarded two points. To improve upon this area, steps should be taken to create a dedicated space for bike users seeing as this is a cross roads of two marked bike routes. Even the addition of sharrows would be an improvement on the current status.\n\n**Facilities and Aesthetics**\n\nFacilities and aesthetics were given eight of 28 points. There were no recreational equipment or service amenities such as recreational equipment, bathrooms, water fountains, etc. Attractive spatial features including architecture, vegetation, variety, and usage was limited to private homes, street trees, and limited street traffic. There were little comfort features other than the street trees. The street traffic was frequent and produced a quiet yet noticeable amount of noise pollution. There were no signs of graffiti, crime, and debris which made the area seem attractive and safe. There was light traffic volume which from walkers, bikers, and cars. The rating for the section of the audit is low and proves to be difficult to improve. The area is dominated by private residences which makes development of public facilities nearly impossible.\n\nTo caption an image, right click on the image > scroll down to “image caption” > select “Image” as the label > type “— what image is, as in ‘screenshot of Word quick styles; source: where did you get this from, as in ‘Microsoft Word’” > OK > highlight text > click on “Image caption” option in the quick style menu, as highlighted in screenshot 1.\n\n- Bullets\n - Points\n - Note: no periods at ends of sentences, please\n\nHyperlink\n\nUSE THIS STYLE CALLED “CALL OUT” WHEN YOU WANT TO HIGHLIGHT A SENTENCE THAT SUMMARIZES WHAT YOU ARE TRYING TO SAY.\n\n--(callout citation)\n\nfadsflsdkjflasdkjf\n\nOverall Location: The two locations with large Team 3 Circles were the two sections audited.\n\nStats Overview\n\nIntersection 1: Greenway/Midmoor\n\nTime: 2:19-2:55 pm (36 minutes)\n\nAverage Audit Score 45.5 (41- Kaycie, 50-Phannisa)\n\n*Scores included a score of zero for having no posted speed limit. The traffic volume was also calculated by multiplying the count of cars by 24 hours to get a daily count.\n\nCars counted: 71 People walking: 37 Bicyclists: 7\n\nIntersection 2: Greenway/McKenna/Maywood\n\nTime: 2:56-3:40 pm (44 minutes)\n\nAverage Audit Score 50.5 (49- Kaycie, 52-Phannisa)\n\n*Scores included a score of zero for having no posted speed limit. The traffic volume was also calculated by multiplying the count of cars by 24 hours to get a daily count.\n\nCars counted: 92 People walking: 22 Bicyclists: 4\n\nSummary of Audit Sections\n\nIntersection 1: Greenway/Midmoor\n\nLand use environment - The walkscore of the intersection is 31. Single-family residential is the only housing option in this area. There is a school with an athletic field with some natural features such as a grass field. The ease of access of the intersection is good, no barrier.\n\nTransportation environment - There is no alternative transportation mode, general speed limit, and special speed limit. Traffic volume is approximately 2,840 cars per day with 2 routes to get to the intersection. The volume was calculated with the 71 cars counted in 36 minutes=number of cars per hour, times 24 hours.\n\nWalking environment - The bad thing is there is no sidewalk and buffer between pedestrians and traffic. The good thing is the intersection is easy to navigate, no obstruction and the road is wide.\n\nBicycling environment - It is quite easy to ride through the intersection, the road condition is good and wide enough, no visual obstructions. However, accommodations for wheeled devices are poor, there is no curb cuts or wheelchair access.\n\nFacilities and aesthetics - The physical environment is quite safe and attractive. There are some sports equipment available in the school, shaded trees and benches along the road. There are a lot of people, especially children. Unfortunately, air and noise pollution is visible.\n\nIntersection 2: Greenway/McKenna/Maywood\n\nLand use environment - The walkscore of the intersection is 31. Single-family residential is the only housing option in this area. There is a school with a large grass field with complete sports equipment. The ease of access of the intersection is good, no barrier.\n\nTransportation environment - There is no alternative transportation mode, and general speed limit. There is one special speed limit for the school, 15 mph. Traffic volume is approximately 3,010 cars per day with 3 routes to get to the intersection. The volume was calculated with the 92 cars counted in 44 minutes=number of cars per hour, times 24 hours.\n\nWalking environment - Sidewalks are only available in front of the school with a curb cut. There is no sidewalk and buffer between pedestrians and traffic on the other road. However, the intersection is easy to navigate, no obstruction and the road is wide.\n\nBicycling environment - It is quite easy to ride through the intersection, the road condition is good and wide enough, no visual obstructions. However, accommodations for wheeled devices are limited, there is only one curb cut in front of the school.\n\nFacilities and aesthetics - The physical environment is very safe and attractive, with very little air and noise pollution. There are a lot of sports and playground equipment available in the school’s field, shaded trees and benches along the road. There are some people along the road, approximately 30 people per hour.\n\nObservations and Suggestions for Improvement\n\nIntersection 1: Greenway/Midmoor\n\nSome kids walked and run on the wrong side of the road during our observation period which is quite dangerous. Thus, sidewalk and curb cuts should be installed on one side of the road for safety of students, people who walk with a baby cart, and wheelchairs. At least, separated lanes may be assigned along the road.\n\nIntersection 2: Greenway/McKenna/Maywood\n\nThis intersection was busier than the first, with most traffic down McKenna. I’m sure that traffic for families bringing their kids to the two schools down either side of Greenway can be dangerous, along with all the foot traffic that is present. I think that the crosswalk is a definite need, so it is good that there is a crosswalk in that location. This being said, Foot and Bike traffic coming up Maywood and heading down Greenway will have a tough time crossing because of the strange intersection. It is not clear if bikes and pedestrians should cross McKenna before the little island, or after the little island. There should be lines painted to assist the pedestrians and cyclists where to go. This would also let the automobile drivers know where to expect pedestrians.\n\nThere was, on the west side of Maywood going onto Greenway, a separate “pedestrian” painted barrier. However, it was not obvious that this was more than just a suggestion to cars, and it did not feel safe at all when standing in it as cars whizzed by. If the whole area was painted differently, and there were more of these areas, perhaps even wide enough for a bike lane, it would feel like a safer intersection.\n\nMcKenna seems like a prime candidate for a sidewalk, but at the very least, pedestrian/bike lanes are needed on both sides. Because of the heavy foot traffic and the two schools in the area, it makes sense to prioritize pedestrians when it comes to a busier road.\n\nOverall Location: The four intersections with “Team 4” circles\n\nStats Overview\n\nIntersection 1: Winnequah/Baskerville/Tecumseh\n\nTime: 3:06 pm – 3:25 pm\n\nAverage Audit Score: 41\n\nPeople walking: 5 People biking: 2 People running: 2\n\n**Intersection 2: Winnequah/Healy**\n\nTime: 3:25 pm – 3:49 pm\n\nAverage Audit Score: **45**\n\nPeople walking: 4 People biking: 0 People running: 1 People fishing: 1\n\n**Intersection 3: Winnequah/Dellwood**\n\nTime: 3:50 pm – 4:05 pm\n\nAverage Audit Score: **33**\n\nPeople walking: 7 People biking: 7 People running: 3\n\n**Intersection 4: Winnequah/Woodbridge/Cove**\n\nTime: 4:06 pm – 4:21 pm\n\nAverage Audit Score: **46**\n\nPeople walking: 4 People biking: 4 People running: 1\n\n**Summary of Audit Sections**\n\n**Intersection 1: Winnequah/Baskerville/Tecumseh**\n\n*Land use environment* – 10/24 (42%) – High scores were achieved in natural features and ease of access; medium score in recreation facilities; low scores in land use mix, diversity of residential options, and Walkscore (12).\n\n*Transportation environment* – 5.5/16 (34%) – High score achieved in traffic volume; low scores in alternative transportation, speed limit (none posted), and routes to intersection. Traffic volume found at DOT website.\n\n*Walking environment* – 2/16 (13%) – Low scores throughout section. Comments include no sidewalks and no buffer between pedestrians and cars.\n\n*Bicycling environment* – 4.5/16 (28%) – Low scores throughout section. Comments include no bike lanes even though Winnequah is main road.\n\n*Facilities and aesthetics* – 19/28 (68%) – High scores in safe and attractive environment and pollution; medium scores in all other sections (rec. equipment, service amenities, comfort features, people visible).\n\n**Intersection 2: Winnequah/Healy**\n\n*Land use environment* – 10.5/24 (44%) – High scores in natural features and ease of access; medium score in rec. facilities; low scores in Walkscore (12), residential options, and land use.\n\nTransportation environment – 5.5/16 (34%) - High score achieved in traffic volume; medium score in routes to intersection; low scores in alternative transportation and speed limit (none posted). Traffic volume found at DOT website.\n\nWalking environment – 6/16 (38%) – Medium scores across the section, except for buffers between pedestrians and traffic, which had a low score. Comments included that there was only one sidewalk on one side of one street at the intersection and that there was very little buffer even where there was a sidewalk.\n\nBicycling environment – 3/16 (19%) – Low scores across the sections, except a medium score in easy to navigate intersections. Comments included notes on the poor condition of the pavement on the hill and the danger of that for biking at high speeds; there was a fair amount of traffic, some at high speeds; and that people walked in the street.\n\nFacilities and aesthetics – 20/28 (71%) – High scores for pollution, safe and attractive environment, and rec. equipment; medium scores for all other sections (service amenities, attractive features, comfort features, people visible).\n\nIntersection 3: Winnequah/Dellwood\n\nLand use environment – 9.5/24 (40%) – High scores in recreational facilities and ease of access; medium score in natural features; low scores in Walkscore (17), residential options, and land use.\n\nTransportation environment – 7.5/16 (47%) - High score achieved in traffic volume and speed limit; low scores in alternative transportation and routes to intersection. Traffic volume found at DOT website.\n\nWalking environment – 0.5/16 (3%) – Low scores across sections. Comments noted the poor visibility of the curved road on a hill that crowns at this intersection; nothing to slow cars up or down hill; people walking and biking in street; dangerous.\n\nBicycling environment – 2.5/16 (16%) – Low scores across the sections, except a medium score in condition of pavement. Comments noted poor pavement on one side of hill, and very nice pavement on the other.\n\nFacilities and aesthetics – 13/28 (46%) – High scores for pollution and safe and attractive environment; medium scores for attractive features and people visible; low scores for rec. equipment, service amenities, and comfort features.\n\nIntersection 4: Winnequah/Woodbridge/Cove\n\nLand use environment – 10.5/24 (44%) – High scores in recreational facilities and ease of access; medium score in natural features; low scores in Walkscore (19), residential options, and land use.\n\nTransportation environment – 7.5/16 (47%) - High score achieved in traffic volume and speed limit; low scores in alternative transportation and routes to intersection. Traffic volume found at DOT website.\n\nWalking environment – 2/16 (13%) – Low scores across section except medium score in ease of navigation. Comments noted hill and no sidewalks.\n\nBicycling environment – 5.5/16 (34%) – High score in pavement condition; medium score in ease of navigation; low scores in feature that make the intersection easy to bike and accommodations for wheeled devices. Comments noted low visibility on hill and bike lanes visible, but that end at the bottom of the hill.\n\nFacilities and aesthetics – 20.5/28 (73%) – High scores for pollution, safe and attractive environment, rec. equipment, and comfort feature; medium scores for all other sections (attractive features, service amenities, people visible).\n\nObservations and Suggestions for Improvement\n\n*We offer a general summary because these four intersections occur along a continuous section of roadway and have pretty similar scoring and amenities (or lack thereof).\n\nThe most striking issue along this stretch of road is the lack of sidewalks. Combined with the fact that this is a main local thoroughfare, that there is no posted speed limit along part of it, a wide-angled corner (that drivers don’t have to slow down for), a curve along a hill, and no traffic-calming features, it creates a dangerous walking and biking environment. Although we could see some pedestrian and bike-friendly features at the far end of this segment (a crosswalk and some bike lanes that ended abruptly), this segment still scored strikingly low on walking and biking environment. We could suggest more signage, and design features (plantings, medians, bike lanes) to slow traffic and offer some kind of feeling of safety for pedestrians. Ideally, there should be sidewalks separated from the road with grassy terraces and street trees.\n\nTwo specific areas of improvement are Intersection 1 (post speed limits, calm traffic around corner) and Intersection 3 (provide somewhere for people to walk off of road because poor visibility over hill makes it dangerous to be in the road, calm traffic going up and down hill, extend bike lanes, repair pavement).\n\nOverall, this area has a lot of natural and recreational amenities and is quite beautiful. If it were more walkable, perhaps more people would use these amenities.\n\nStatistics\n\nIntersection 1: Nichols/Maywood\nTime: 3:20pm – 3:35pm\nAverage Audit Score: 44\nWalkscore: 27\n\nIntersection 2: Nichols/Schluter\nTime: 2:49pm – 3:14pm\nAverage Audit Score: 58.5\nWalkscore: 22\n\nIntersection 3: Nichols/Healy\nTime: 3:38pm-3:58pm\nAverage Audit Score: 69\nWalkscore: 20\n\nIntersection 4: Nichols/Winnequah\nTime: 4:00 pm – 4:20 pm\nAverage Audit Score: 54\nWalkscore: 14\nPedestrians: 5 Bicyclists: 4\n\nSummary of Audit Sections\n\n**Intersection 1: Nichols/Maywood**\n\n*Land use environment* – 4/24 (17%) – Low scores throughout the section including the WalkScore (27).\n\n*Transportation environment* – 12/16 (75%) – High scores achieved in posted speed limit, traffic volume and routes to intersection; medium score in alternative transportation. Traffic volume found at DOT website.\n\n*Walking environment* – 8/16 (50%) – High scores achieved in the condition of the sidewalks/trails and easy to navigate; medium scores for easy place to walk and buffers between pedestrians and traffic. Comments include that there were sidewalks solely on Nichols and the sidewalk ramps were not necessarily handicapped friendly.\n\n*Bicycling environment* – 8/16 (50%) – High score achieved for intersections easy to navigate and surfaces in good condition; medium score for features that make the place easy to bike; low score for accommodations for all wheeled devices. Comment includes no bicycle lanes on Nichols nor Maywood, especially when bicycle activity is prevalent during the end of the school day.\n\n*Facilities and aesthetics* – 12/28 (43%) – High score for the physical environment safe and comfortable and people visible; medium scores for attractive features, comfort features and air/noise pollution visibility; low scores for recreational features and service amenities visible.\n\n**Intersection 2: Nichols/Schluter**\n\n*Land use environment* – 10.5/24 (44%) – High scores in natural features and ease of access; medium score in rec. facilities; low scores in Walkscore (12), residential options, and land use.\n\n*Transportation environment* – 5.5/16 (34%) - High score achieved in traffic volume; medium score in routes to intersection; low scores in alternative transportation and speed limit (none posted). Traffic volume found at DOT website.\n\n*Walking environment* – 6/16 (38%) – Medium scores across the section, except for buffers between pedestrians and traffic, which had a low score. Comments included that there was only one sidewalk on one side of one street at the intersection and that there was very little buffer even where there was a sidewalk.\n\n*Bicycling environment* – 3/16 (19%) – Low scores across the sections, except a medium score in easy to navigate intersections. Comments included notes on the poor condition of the pavement on the hill and the danger of that for biking at high speeds; there was a fair amount of traffic, some at high speeds; and that people walked in the street.\n\n*Facilities and aesthetics* – 20/28 (71%) – High scores for pollution, safe and attractive environment, and rec. equipment; medium scores for all other sections (service amenities, attractive features, comfort features, people visible).\n\n**Intersection 3: Nichols/Healy**\n\n*Land use environment* – 9.5/24 (40%) – High scores in recreational facilities and ease of access; medium score in natural features; low scores in Walkscore (17), residential options, and land use.\n\n*Transportation environment* – 7.5/16 (47%) - High score achieved in traffic volume and speed limit; low scores in alternative transportation and routes to intersection. Traffic volume found at DOT website.\n\n*Walking environment* – 0.5/16 (3%) – Low scores across sections. Comments noted the poor visibility of the curved road on a hill that crowns at this intersection; nothing to slow cars up or down hill; people walking and biking in street; dangerous.\n\n*Bicycling environment* – 2.5/16 (16%) – Low scores across the sections, except a medium score in condition of pavement. Comments noted poor pavement on side of hill, and very nice pavement on the other.\n\nFacilities and aesthetics – 13/28 (46%) – High scores for pollution and safe and attractive environment; medium scores for attractive features and people visible; low scores for rec. equipment, service amenities, and comfort features.\n\nIntersection 4: Nichols/Winnequah\n\nLand use environment – 10.5/24 (44%) – High scores achieved in variety of natural features and ease of access from all directions; medium score in destinations (e.g. public/private, recreational facilities) and WalkScore (31); low score in residential options. Comment includes one is able to see the Monona Library from the intersection, but is closer in proximity to intersections 2 and 3.\n\nTransportation environment – 11/16 (69%) - High scores achieved in traffic volume and speed limit; medium scores in alternative transportation and routes to intersection. Traffic volume found at DOT website.\n\nWalking environment – 7/16 (44%) – High score achieved in easy to navigate; medium scores achieved in easy place to walk, the sidewalk/trails condition and buffers between pedestrians and traffic. Comments include no sidewalks on Winnequah, sidewalks are not necessarily handicapped-friendly and pedestrians feel comfortable on Winnequah despite sharing the road with vehicles and bicycles.\n\nBicycling environment – 8/16 (50%) – High scores achieved in intersections easy to navigate and features making the area an easy place for bicycling; medium score in surface condition; low score in accommodations for wheeled devices. Comments include uneven surfaces especially when the area is a part of a recreational bicycle trail.\n\nFacilities and aesthetics – 17.5/28 (63%) – High scores achieved for visibility for recreational facilities, fort features, air/noise pollution and people; medium scores for attractive and comfort features visible; low score for service amenities visible.\n\nObservations and Recommendations\n\nThe observation that was most concern was the lack of pedestrian and bicycle facilities at different intersections. There were sidewalks throughout on Nichols, but there were no sidewalks on Maywood nor Winnequah. There were no sidewalks on Schluter on the northside of the intersection. The places that had sidewalks had ramps that were narrow and oriented towards the middle of the intersection, which would pose a challenge for handicapped persons. The current design would require handicapped persons to maneuver out of the crosswalk to avoid the curb before re-entering the painted area. Widening the sidewalk ramps would allow handicapped users to remain in the crosswalk. The walking distances were overall reasonable with the exception of at Nichols/Schluter where the distances were significantly longer than the rest. There were only unprotected bicycle lanes between Nichols/Schluter and Nichols/Winnequah.\n\nThe feedback from people in the area varied depending on the intersection in the area. People at the Nichols/Winnequah intersection told us they are comfortable sharing the road with other modes of transportation and that vehicles were cognizant of bicyclists and pedestrians in the area. Meanwhile one woman at the intersection of Nichols/Schluter told us she is concerned with the long distance crossing at the intersection and no signage to make walking a safer and more comfortable environment. The variance suggests the willingness of the community to adapt to the environment, which can be good or bad depending on the situation.\n\nA Focus on Nichols/Schluter\n\nThis intersection is adjacent to the Monona City Hall, the Library, and the Community Center site, and thus has the ability to feel like a destination gateway and have a sort of downtown feel. However, the streets are not walkable due to lack of other daily destinations. The largest impediments to comfortable walking are the crossing distances on all four sides. Crossing on any side is a 90 foot distance, which takes long enough that cars driving uphill to the intersection may not see a pedestrian soon enough to stop.\n\nLeaving the intersection, there are sidewalks on 5 of the 8 sides, and they are on the important sides, which are both sides of Nichols and the Library side of Schluter. One gap that needs help is connecting the sidewalk adjacent to the City Hall parking lot. Right now, people have to walk out in the street to enter the parking lot and get to the front door.\n\nThe bike environment is very safe. Low traffic speeds, bike lane on Nichols, and wide lanes make for plenty of space for bicyclists and few conflicts at intersections. There are however, impediments to wheeled pedestrian vehicles, including lack of sidewalks, long crossings, and curb cuts that face the diagonal corner rather than directly across the street perpendicularly.\n\nOverall Location: Team 6 audited the four intersections along Monona Drive at Acacia, Owen, Frost Woods, and Femrite. Due to similarities across the four locations, we treat them as one corridor.\n\nAll four walk audits were conducted the afternoon of Thursday, March 10, 2016, between 4:00PM and 5:35PM.\n\n1. **Acacia & Monona Drive**\n - Time: 4:00PM – 4:20PM\n - Auditor A score: 49\n - Auditor B score: 40\n\n Comments: Lack of bicycle facilities other than bicycle lanes. Lack of bicycle parking and signage, as well as pedestrian benches. Sound volume of Monona drive is a recurring problem for pedestrians. Lack of traffic light at Acacia or Owen, creating a long gap between lights at Nichols and Owen on Monona.\n\n2. **Owen & Monona Drive**\n - Time: 4:20PM – 4:50PM\n - Auditor A score: 57\n - Auditor B score: 44\n\n Comments: Very little noticeable service amenities. Lack of noticeable pedestrian and bicycle traffic. Good walking infrastructure on Monona (sidewalks, crosswalks, traffic lights), but not on Owen (sidewalk only on north side of Owen).\n\n3. **Frost Woods & Monona Drive**\n - Time: 4:50PM – 5:10PM\n - Auditor A score: 44\n - Auditor B score: 44\n\n Comments: Uncomfortable distance between crosswalks. Benches and trash bins are provided. Sidewalk only on one side of Frost Woods. No bike lanes on Frost Woods, but street is wide enough to support them.\n\n4. Femrite & Monona Drive\n Time: 5:10PM – 5:35PM\n Auditor A score: 50\n Auditor B score: 38\n\nComments: Sidewalks and bicycle lanes in good physical condition. Lack of recreational equipment. Lack of bike racks.\n\nSummary\n\n*Land use environment* - The walkscores at Acacia (63), Owen (61), Frost Woods (67), and Femrite (73) are moderate to high, possibly reflecting the mix of shops and services that line Monona Drive. Ease of access is mostly good, though lack of connectivity with Woodland Park may be a barrier to the east of Monona Drive. Monona Drive itself may at times be an east-west barrier due to high traffic volume and speed. Housing options include single family housing and apartment complexes, particularly senior living centers.\n\n*Transportation environment* - Our walk audit of four intersections along Monona Drive indicated a newly-constructed auto, bicycle, and pedestrian traffic corridor. Though bike and walking infrastructure exists, automotive traffic seems a priority. No alternative transportation modes were observed. The posted speed limit is 30 miles per hour, though this was well exceeded by actual traffic, and no special speed limit is posted. Traffic volume along Monona Drive ranges from 18,600 to 20,800, but is significantly reduced on a side street such as Frost Woods at 2,800.\n\nWalking environment - Where pedestrian infrastructure exists (Monona Drive, certain sections of Owen, Frost Woods, and Femrite), it is very well maintained and appears new. There are sidewalks on either side of Monona Drive with crosswalks regularly spaced at and between intersections. Intersections have clear lines of sight and bright signals. However, major pedestrian challenges arose from several factors. The high traffic volume along Monona Drive creates challenges to pedestrians on adjoining sidewalks. Though there are crosswalks between intersections, these crosswalks lack signals or warning lights, making them feel unsafe when faced with the high speed and volume of traffic. The actual distance between comfortable, safe crosswalks, then, is significantly longer than it would appear. For example, though there was a crosswalk at Acacia and Monona, the auditors felt safer taking a long detour up to the crosswalk with a signal at Monona and Nichols. Where sidewalks existed, there were good buffers of green space between the sidewalk and the street.\n\nBicycling environment - Similar to walking infrastructure, bike infrastructure is well maintained but concentrated on Monona Drive. There are no dedicated bike lanes on side streets, even though the wide streets and slow, sparse traffic make these streets particularly amenable to bikers. The opposite is true on Monona Drive, where there are clear bike lanes, but heavy, high-speed traffic makes biking feel perilous. Intersections were easy to navigate for those continuing straight or making right turns on Monona Drive, but there is some ambiguity and perceived danger in making a left turn, which requires a cyclist to cross two lanes of traffic. Additionally, there was a severe lack of bike racks all along this stretch of Monona Drive.\n\nFacilities and aesthetics - An overall lack of pedestrian facilities (water fountains, trash bins, benches, visual interest, parks, recreational equipment) created an environment that could be described as barren and inhospitable to pedestrian traffic. All along Monona Drive, businesses are set back from the street by parking lots, enhancing this barren, pedestrian-unfriendly feeling. For the time of day, there seemed to be less bicycle and pedestrian traffic than was reasonable to expect. This is most likely due to the above negative conditions.\n\nRecommendations\n\nIn order to create an environment more hospitable to bicyclists and pedestrians, we recommend exploring several options, including lowering of the speed limit along Monona Drive, installation of speed bumps/humps, and potentially reducing the traffic lanes by one lane on either side. By converting the outer lanes into parking lanes, a buffer would be created to protect the bicycle lane, as well as the sidewalk. Adding street parking would additionally allow conversion of storefront parking lots into more pedestrian-hospitable places, or at least allow businesses and property owners to maximize use of their land. We’d also recommend installation of more pedestrian and bike facilities including water fountains, trash bins, benches, visual interest, parks, bike racks and recreational equipment. Signals or lighted warning signs could be placed at mid-block crosswalks, though the reduced speed and volume of traffic that would come with eliminating a lane on either side of Monona may obviate the need for such measures. Finally, sidewalks and bike lanes should be added to side streets, particularly Frost Woods, to encourage pedestrian flow from the surrounding neighborhoods to businesses on Monona Drive.\n\nCity of Monona\n\nWalkability and Bikeability Audit\n\nTeam 7: Karly Christensen & Elizabeth Doyle\n\nStats Overview\n\nIntersection 1: Anthony/Cardinal\n\nTime: 4:46-5:00 pm (14 minutes)\n\nAverage Audit Score 32\n\nIntersection 2: Winnequah/Midmoor\n\nTime: 5:16-5:33 pm (17 minutes)\n\nAverage Audit Score 39 (40- Karly, 38- Elizabeth)\n\nIntersection 3: Bridge/Frost Woods\n\nTime: 5:28-5:45 pm (17 minutes)\n\nAverage Audit Score 34\n\nIntersection 4: Bridge between Ford and Graham\n\nTime: 5:49-5:59 pm (10 minutes)\n\nAverage Audit Score 61\n\nIntersection 5: Bridge/Winnequah\n\nTime: 6:01-6:14 pm (13 minutes)\n\nAverage Audit Score 46\n\nIntersection 6: Bridge/Metropolitan\n\nTime: 10:00-10:58 pm (58 minutes)\n\n*Darkness was approaching so per Brad we completed a virtual audit utilizing Google Street View – Sep 2011\n\nAverage Audit Score 38\n\nSummary of Audit Sections\n\nIntersection 1: Anthony/Cardinal\n\nLand use environment - There are single-family residences, as well as multiple apartment complexes. There is no open space or parks visible on this street. You can hear children playing, but you can’t see them. There are no businesses on this street. It’s just a through street; however, there are no barriers for the drivers.\n\nTransportation environment - There are no bus stops or bike lanes on this street. There is no speed limit posted on this street. This street was given a walk score of 60. The traffic volume was not posted. There were two stop signs located on this street. The road was in decent condition, and there were no huge cracks of potholes.\n\nWalking environment - There were no sidewalks on this street. The road is wide, which allows pedestrians to walk with ease. There were few streetlights for the length of the road. There was nothing obstructing the pedestrian’s vision, or the driver’s vision other than a few cars parked on the street.\n\nBicycling environment - The road is wide, so there is plenty of room for a biker. There are no bike lanes painted on the road, nor any barriers separating a lane for bikers. The curbs do not accommodate wheelchairs.\n\nFacilities and aesthetics - There are no facilities for the public to use on this street: no restrooms, benches, garbage cans or commercial businesses. There are trees and bushes near the road for aesthetics, but nothing man-made and these are all on private land.\n\nIntersection 2: Winnequah/Midmoor\n\nLand use environment – 42 is the walk score for this area. The only visible housing options are single-family homes. Trees and shrubs are the only natural features in the immediate area of the intersection although the intersection is in the vicinity of Lake Monona. There is a small grassy median with signage on it in the middle of the intersection but this does not appear to impede visibility.\n\nTransportation environment – There are no alternative modes of transportation available in this area. The posted speed limit is 25 mph. The amount of traffic observed at the time of the audit was minimal. The intersection can be accessed through three routes. According to WisDot, the daily traffic volume is 740 vehicles.\n\nWalking environment – There are no sidewalks in the area or buffers between pedestrians and traffic aside from on street parking. However, the streets are wide enough to accommodate multi-modal users and the intersection includes stop signs to slow the flow of traffic.\n\nBicycling environment – Although we did not physically bike in the area, the street appeared to be wide enough and without obstructions so bicycling does not appear to be hindered. There are no structural accommodations for wheeled devices. A sign indicating a bike path in close proximity was visible from the intersection.\n\nFacilities and aesthetics – Aside from the close proximity to Lake Monona and the neighborhood vegetation, there are few features of interest in the area. There are no recreational or service amenities and no comfort features aside from trees. There is a little bit of noise pollution from traffic that travels in the area, mainly from adjacent roads and not this particular intersection. The physical environment was safe and attractive. Families were observed walking on the streets and playing in the yards in the area.\n\nIntersection 3: Bridge/Frost Woods\n\nLand use environment - There are strictly single-family residences, no apartments we could see. There were no parks visible or open areas for gathering. There are trees and shrubs near to the road that slightly impede the visibility.\n\nTransportation environment - There is one bus stop and two stop signs on this road and intersections. The roads are wide, and visibility for the vehicles is mostly clear. There are no obstructions on the roads that we could see. The vehicle count is 2800 in this section of road.\n\nWalking environment - There are no sidewalks on this street. The road is wide, which allows pedestrians to walk without getting to close to the street. There were streetlights on this road, which allow a pedestrian to walk at night. We could not see anything that would obstruct the view of a pedestrian or a vehicles view of a pedestrian except for a few trees.\n\nBicycling environment - There are no painted bike lanes in this section of road. The road is wide enough to be shared with bicycles and vehicles. The curbs don’t accommodate wheel chairs.\n\nFacilities and aesthetics - There were no parks in the section and no public facilities. There was plenty of vegetation for aesthetics.\n\nIntersection 4: Bridge between Ford and Graham\n\nLand use environment - There were only single-family homes from what we could see: no apartments or duplexes. There was one park that included a playground and an open field with picnic tables. The park also included half of a basketball court.\n\nTransportation environment - The roads are wide enough for cars to comfortably go both ways. There is a curve in the road as you approach Ford Street, this curve obstructs the view from vehicles and pedestrians traveling from Ford Street to Graham Drive. The curbs are not wheelchair accessible. The posted speed limit is 15 MPH, and there is no special speed limit. This is more traffic in this stretch compared to others in the area of road with a vehicle count of 4200.\n\nWalking environment – There are no sidewalks on this stretch of road. The curve in the street obstructs the view of the drivers and the pedestrians walking creating a potentially dangerous situation. There are streetlights to improve visibility at night. Although the speed limit is only 15 MPH; however, cars speed past much faster, which adds to the potentially dangerous situation for pedestrians.\n\nBicycling environment – There are no bike lanes painted on this stretch of road. The roads are wide enough to accommodate bikes, but the traffic moves fast, and the curve in the road creates an obstruction for the view.\n\nFacilities and aesthetics – This stretch of road includes a park with a playground, picnic tables, and garbage bins. There is vegetation on the private properties in the area that adds to the aesthetics of the road.\n\nIntersection 5: Bridge/Winnequah\n\nLand use environment – There are single-family homes along this road. The road leads to a bridge where the private residents end. There is a view of the Yahara River from this stretch of road. The walk score is 43. There is a small gas plant or electric plant surrounded by vegetation on the corner of Winnequah Road.\n\nTransportation environment - This is a busier section of road with the vehicle count of 4100. This section has an island in the intersection of Winnequah Road and Bridge Road with a sidewalk in the middle of the island. The island has a stop sign and arrows painted on the street for the vehicles. There is also a stop sign when you’re approaching the bridge before you pass Winnequah Road.\n\nWalking environment – There’s a sidewalk from Winnequah Road leading to the bridge and a sidewalk on the opposite side of the street beginning at the bridge. There are road signs signaling drivers that pedestrians are crossing, as well as painted white cross walks on the street and intersection. The island in the intersection has a sidewalk on it for crossing pedestrians. There are streetlights in the intersection to improve visibility at night.\n\nBicycling environment – Winnequah Road has a bike path painted on the road, but it ends at the intersection. The roads are wide, but this is a more popular intersection with denser traffic. We saw three bikers, and, from what we observed, they stayed on the sidewalks.\n\nFacilities and aesthetics – There multitude of diverse vegetation surrounding the intersection. There are no facilities available for public use. There is a fenced off electric or gas site on the corner, but it is surrounded by trees.\n\nIntersection 6: Metropolitan/Bridge\n\nLand use environment – 35 is the walkscore for this area. The only visible housing option is an apartment complex. Trees and diverse and interesting shrubbery are some of the natural features near this intersection. A marina located off of the Yahara River is visible off the pedestrian and bicycle path located in the vicinity. There is commercial development, mainly private businesses that appear not to generate traffic aside from motor vehicles, located on the opposite side of the street along Bridge Road and Metropolitan Lane.\n\nTransportation environment - There are no alternative modes of transportation available in this area. The posted speed limit is 25 mph. The amount of traffic was unobservable due to virtual audit. The intersection can be accessed through two routes. According to WisDot, the daily traffic volume is 10,400 vehicles.\n\nWalking environment – Sidewalks and buffers including terraces, a presumable bike lane, and on street parking coupled with wide roads add to the walkability of this area. The intersection is relatively easy to cross; however, the traffic volume may still warrant additional features to slow traffic and prioritize pedestrian safety beyond the existing stop signs. There were no observable obstructions to visibility virtually.\n\nBicycling environment - Although we did not physically bike in the area, the street appeared to be wide enough and without obstructions so bicycling does not appear to be hindered. There are structural accommodations for wheeled devices in the form of curb cuts in each section of the intersection except for the south west portion but there is no sidewalk in that area requiring a connection. There is what appears to be a simple bike lane painted on the same side as the path.\n\nFacilities and aesthetics – The visibility of the Yahara River and adjoining marina as well as the path are the most attractive features in this area. The building in the area are rather industrial looking. The only comfort features in the area are trees. The high reported volume of traffic is the main source of noise pollution and a barrier to safety. Aside from this, the area appears to be safe. Actual resident usage was unobservable virtually.\n\nObservations and Suggestions for Improvement\n\n**Intersection 1: Anthony/Cardinal**\n\nThe roads are wide enough to create bike lane on this stretch of road. There are apartments on this stretch, as well as families with young children so including a sidewalk would be beneficial. At the ends of the street, painting a line from the stop sign would increase the visibility of the stop sign.\n\n**Intersection 2: Winnequah/Midmoor**\n\nThe addition of sidewalks and painted crosswalks would encourage increased pedestrian utilization of the area. The addition more attractive features could produce the same results. A creative and minimally cost and labor intensive option would be something like the flower stem stop sign post like the one pictured below from St. Paul, Minnesota.\n\nIntersection 3: Bridge/Frost Woods\n\nAdding sidewalks to the street would be beneficial because there is a fair amount of traffic in this area. Additionally, including a painted bike lane would be beneficial, because this would increase awareness of bikers on the road for the vehicle traffic. There are young families in this area, so including a child at play sign might help to increase the safety of the residents.\n\nIntersection 4: Bridge between Ford and Graham\n\nThis section should have a sidewalk, because of the reduced visibility created by the curve in the road and to accommodate individuals trying to go to the park. There should also be bike lanes for the curve as well. Additionally, to increase safety they could add a sign reminding drivers to slow down as they approach the curve. This road had a broken glass bottle and some other trash.\n\nIntersection 5: Bridge/Winnequah\n\nThis section began to include bike lanes and sidewalks. The stop signs and crosswalks helped to control the flow of traffic. The bikers that we observed used the sidewalks instead of the roads. Expansion of existing facilities may address this issue.\n\nIntersection 6: Metropolitan/Bridge\n\nThe inclusion of bicycle and pedestrian infrastructure set this intersection apart for others observed in this area. This system can be improved by being continuous and including painted crosswalks with other safety features to slow down traffic. However, this needs to be evaluated in the context that this will result in a loss of interesting and visually appealing vegetation. The value of formalizing and extending the apparent bike line would encourage more bicyclists, who are already said to frequent this area although only one was observed after 6pm on the evening of Thursday, March 10th.\n\nIntersection 1: W. Broadway and WPS Drive\n\nTime: 4:30pm – 4:40pm\n\nAudit Score: 26 (26 – Dave, 26 – Sydney)\n\n*Score included a score of zero for having no posted speed limit.\n\nLand use environment: This intersection had a combination of business and residential uses. On the south side of the street, WPS has a large office space with ample car parking for its employees. On the north side of the street there are many apartment/condo buildings. It is important to note that there is no direct car access (or sidewalk) to these units from this intersection. The WalkScore for this intersection is 40. Total score = 5\n\nTransportation environment: There was no posted speed limit in sight, and this intersection has a traffic volume of 14,900 (WisDOT). There were bus stops on both sides of Broadway near the intersection. Since this was only a three-way intersection, there was a grassy barrier between Broadway and the residential neighborhood to the north, preventing automobile access. Total score = 3\n\nWalking environment: There was some striping and pedestrian islands to make this an easier place to walk, and the sidewalks were in “good” condition. However, the intersections were not necessarily easy to navigate. As a pedestrian, you can only cross Broadway on the west side of the intersection. If you try to cross on the east side, you run the risk of being hit because priority is given to cars turning left and there is no crosswalk striping or handicap accessible pedestrian island on the ground. There was buffer between the sidewalk and the street along with a striped bike lane, but given the high traffic and speed and lack of trees on the terrace, it still was an uninviting walking environment. Total score = 7\n\nBicycling environment: There was a marked bike lane on the south side of the street and on the north side there was a shoulder that could be a bike lane but it was not marked/labeled as such. The roads were also in ‘good condition” and there were curb cuts on the sidewalk crossing WPS and the west side of Broadway. The main issue was that the bike lane was not protected on a street as busy and intense as Broadway. Total score = 6\n\nFacilities and aesthetics: This was not an attractive intersection for pedestrians or cyclists. There was no recreational equipment visible, no service amenities visible, a little pedestrian and bicycle traffic, no shade or benches, noise pollution from both Broadway and the Beltline, plenty of debris, and only some people visible. Total score = 5\n\nObservations and Suggestions for Improvement:\n\nProvide pedestrian access to the north side neighborhood, so they do not have to cross on the grass or snow in the winter. This also will give cyclists from the neighborhood easier access to Broadway. The areas should have some benches and trees to make it a more inviting space. This way it will still prevent car traffic in the neighborhood, but will be more accessible for alternative modes of transport. Additionally, there should be a crosswalk on the east side of the intersection to protect pedestrians. Finally, we suggest installing a protected bike lane or reducing the speed limit to keep cyclists safe on an extremely busy street. If this is not feasible, more signage designating the bike lane as such will be sufficient.\n\nIntersection 2: W. Broadway and Frazier Ave\n\nTime: 3:35pm – 3:50pm\n\nAudit Score: 35 (35 – Dave, 35 – Sydney)\n\nLand use environment: The WalkScore of this intersection is 46. We found the land use environment to be quite decent. There were a variety of residential options nearby, including apartments and single-family homes. There was a range of public/private destinations: retail stores, a gas station, restaurants, a public park and homes. There was a tennis court on the north side of the intersection located within a park space. There were some trees and grassy areas. The ease of access was very good from all directions. Total score = 16\n\nTransportation environment: The general speed limit was 40 mph on Broadway and a speed limit of 25 mph on Frazier. This section of Broadway had a high traffic volume of 23,100 (WisDOT). Total score = 5\n\nWalking environment: There were sidewalks in this area but they were in very poor condition. The intersections were not easy to navigate because of the right slip lane on Frazier to the north of Broadway. There are three lanes on north Frazier and two pedestrian islands, making it a journey for walkers just to cross the one street. The sidewalk ends almost immediately on the northwest side of Broadway. We noted the key walking issues to be: the lack of striping in the crosswalk area, a very skinny pedestrian island in the middle of busy Broadway, the lack of walk signal buttons for pedestrians crossing the streets, and the slip lane giving drivers the advantage when turning right on to Broadway off of Frazier. Total score = 5.\n\nBicycling environment: This was not a bicycle friendly intersection. There is a designated bike lane on the south side of Broadway, but the striping is fading away. The roads are in terrible condition, making it a very bumpy ride. On the south side of the street there is a shoulder that could be used as a bike lane, but it is not marked. The curb cut pedestrian island on the west side of the intersection is extremely small, making it uncomfortable for someone in a wheel chair to cross the street. Also because of the three lanes on Frazier to the north, it can be difficult for a cyclist to navigate. Total score = 2\n\nFacilities and aesthetics: There were many facilities at this intersection given its location next to the mall, gas station, neighborhood and park. However, it was not necessarily comfortable or attractive. The big box stores and cracked roads were not inviting to pedestrians or cyclists. We did not see any pedestrians and saw only 2 cyclists during our audit. There were no shade trees or benches in sight. Also because it is close to the Beltline, there was a lot of noise and air pollution. Total score = 7.\n\nObservations and Suggestions for Improvement:\n\nIn the open green space on the northwest corner, we suggest creating a community garden. There adjacent residential properties could take advantage of this inviting neighborhood feature. Most importantly, the road needs to be repaved to better accommodate cyclists and wheel chairs. This would also include a restriping of the bike lane and better signage distinguishing it from the shoulder or car lane. We also suggest installing walk signal buttons at all corners of the intersection.\n\n**Intersection 3: South Towne Dr and Royal Ave.**\n\nTime: 3:55pm – 4:10pm\n\nAudit Score: 17 (17– Dave, 17 – Sydney)\n\n*Score included a score of zero for having no posted speed limit.\n\n**Land use environment:** The WalkScore for this location is 46. There are no residential options, but quite a few stores and commercial buildings. There is no place to recreate and no natural features. It is close to the Beltline, which makes it accessible by car. However, the driver needs to make a U-turn or go around the round-about in order to turn onto Royal because there is no way to make a left turn when traveling south on South Towne Drive. Total score = 4\n\n**Transportation environment:** There was no posted speed limit and the traffic volume is 20,600 (WisDOT). There are bus stops on both sides of South Towne. The intersection is car oriented and favors northbound travelers. There are bus stops on both sides of South Towne. The main issue is that the bus stop on the east side is on South Towne and not on Royal. Therefore, shoppers at Wal-Mart and Goodwill have an additional walk to the store when they exit the bus and there is no place to park their shopping carts near the bus stop. Total score = 4\n\n**Walking environment:** There was an “attempt” to create a friendlier walking environment by installing a red brick crosswalk across Royal, however in reality this seems to be more for aesthetic purposes than pedestrian safety. The sidewalks are in good condition, and there are large curb cut pedestrian islands across both Royal and South Towne. We had the opportunity to talk to a Wal-Mart shopper waiting for the bus on the east side of South Towne. She told us that many times she has seen cars almost hit pedestrians crossing Royal because there is no stop sign or signal for cars to slow down before turning right. This situation causes her to walk on the south side of Royal Avenue (with no sidewalk) despite there being a sidewalk (but no buffer) on the north side of the street. She wants to be “out of peoples [drivers] way”. The key walking issue is that the bus stop is not near the Wal-Mart entrance, forcing transit riders to make the unsafe trek. Total score = 3\n\n**Bicycling environment:** While there are ample curb cuts to assist with wheelchair access, and the roads are in decent condition, this is not a place a cyclist would want to bike. It is\n\nnot an easy place to navigate because of the high automobile traffic volume. There are no designated bike lanes or bike parking. Total score = 2\n\n**Facilities and aesthetics:** There was no recreational equipment, a little bit of service amenities (gas station), no attractive features (unless you count the red brick?), no comfort features (no bench at the popular bus stop or any shade whatsoever), quite a bit of noise and air pollution from both South Towne and the Beltline, and a very unsafe and ugly physical environment. There was a lot of trash all over the intersection. Notably, there were many empty alcohol bottles. There were some people visible, but they were all bus travelers. None of the pedestrians walked entirely to their destination. Total score = 4.\n\n**Observations and Suggestions for Improvement:**\n\nOur main suggestion is having the bus pull into Royal and have the stop be in front of Wal-Mart instead of on South Towne. This way shoppers can get to the bus more easily and won't have to abandon their shopping cart at the bus stop on South Towne. It will prevent them from getting hit by a car on the walk from the bus stop to the store. If not possible, there needs to be a bench and some shade at the bus stop. These passengers have heavy shopping bags and do not need the burden of standing any longer than they have to, especially in the summer heat/sun. The quasi slip lane onto Royal from South Town should be changed to a more 90-degree turn, forcing drivers to slow down and consider pedestrians. There also should be a trashcan by the bus stop to prevent further litter collection.\n\n**Intersection 5: Royal Ave (near Wal-Mart):**\n\nTime: 4:15pm – 4:25pm\n\nAudit Score: 12 (12– Dave, 12 – Sydney)\n\n*Score included a score of zero for having no posted speed limit.\n\n**Land use environment:** The WalkScore for this location was 38. There were no residential options, only Wal-Mart and a Speedway for destinations, no recreational facilities (though this did not prevent many empty beer and liquor bottles scattered across the grass), no natural features, and was poorly accessible (only from Royal). Total score = 1\n\n**Transportation environment:** There were no alternative transportation modes, no posted speed limit and there was only one route to get to the main intersection. WisDOT did not list a traffic volume for this location. Total score = 0\n\n**Walking environment:** There was another attempt at a red brick crosswalk over Royal leading to the Wal-Mart, but this also seemed to be more aesthetically oriented versus safety oriented. The sidewalks were in fair condition and it was a fairly easy place to navigate. There was a poor buffer between pedestrians and traffic. It was adjacent to one\n\ngiant parking lot and the different colors of pavement (red brick) were confusing. Cars are given the priority and pedestrians seem to be only an afterthought. Total score = 3\n\n*Bicycling environment*: While the roads are in good condition and it is fairly easy to access, this is not an inviting place to bike. This is partly because Royal does not really lead anywhere besides Wal-Mart. There was no bicycle infrastructure whatsoever. Total score = 3\n\n*Facilities and aesthetics*: There was no recreational equipment, attractive features nor comfort features. There were some service amenities given the proximity to the gas station. The area was covered with litter, mainly alcohol bottles. There was quite a bit of noise pollution because it borders the Beltline. Some people were visible, all Wal-Mart shoppers making their way back to the bus stops on South Towne. Total score = 5\n\n**Observations and Suggestions for Improvement:**\n\nMonona should put trash and recycling bins around this area to limit the litter build up. The roads could also be restriped. There should be more trees and comfort features along the road. The priority should be on Wal-Mart shoppers walking to and from the bus stops on South Towne. There should be sidewalks on both sides of Royal with a tree-lined buffer from the street.\n\nMONONA, WI STREET AUDIT\n\nTEAM 9 THERESA MACFARLANE & ABBY JACKSON\n\nIMAGE 1 INTERSECTION OF MONONA DR AT E BROADWAY; SOURCE: BRAD BRUUN\n\nTABLE OF CONTENTS\n\nMonona Dr at E. Broadway .................................................................................................................. 2\nRoselawn at Broadway .......................................................................................................................... 5\nBroadway at Falcon .............................................................................................................................. 7\nBroadway at Copps Dr. .......................................................................................................................... 9\nBroadway at River Place ....................................................................................................................... 11\n\nMONONA DR AT E. BROADWAY\n\n3:25PM - 3:45PM 3/10/16\n\nIMAGE 2 AERIAL IMAGE OF MONONA DR. & E BROADWAY; SOURCE: GOOGLE MAPS\n\nOVERALL SCORE\n\n57 www.walkscore.com, 34 our score\n\n2 bikers, 3 pedestrians\n\nSUMMARY\n\nLand Use Environment and Facilities & Amenities\n\nThere is no residential in this area. It is only a mix of privately owned commercial properties. There are no recreational facilities or public facilities. The stone signs on the corners are attractive and give a sense of place. The buildings have some interesting variety in their architecture. There is a nearby wooded cemetery that could be considered a natural feature. This is an intersection of two very major streets, so there is heavy traffic with air and\n\nnoise pollution. The physical environment seems fairly safe, but again it is along two busy streets so it may be relative on a person-to-person basis on how safe they feel. This intersection has a large barrier of the Beltline Highway to the south.\n\n**Transportation Environment**\n\nThere are no alternative transportation modes at this intersection. The posted speed limit is fairly low at 30 - 40mph. There are no special speed limits and traffic volume according to WisDOT is 12100. There are not multiple ways to get to this intersection and there is a large barrier of the Beltline Highway to the south.\n\n**Walking environment**\n\nSomewhat good for walking – no traffic calming features, but the major intersection has obvious crosswalks and crossing signals. Crosswalk on the south side of Broadway, going east/west, has some potholes in the road and the opening in the island seems too narrow to be ADA accessible. Sidewalks on all sides are in fairly good condition. There is a large drop-off on the south side of Broadway from the sidewalk to the terrace.\n\n**Bicycling Environment**\n\nThe bike lane is too narrow to really be safe and it's not painted on all sides of the street. There are no specific street signals or signs for bikers. The bike lane on the south east side of Broadway has potholes. The bike lane disappears when approaching the Beltline without a detour for the bikers to go. We saw one bike rider on the street and one rider on the sidewalk. There are no bike racks available at the commercial properties.\n\n**RECOMMENDATIONS**\n\n• Add bike share and bike racks at local businesses to create destinations\n• Turn open green space into actual parks and place benches and water fountains for public use\n• Patch sidewalk and road potholes\n• Make sure center island is ADA compatible\n• Add bike lane signage along Broadway and widen bike lane\n\nROSELAWN AT BROADWAY\n\n3:50PM - 4:05PM 3/10/16\n\nIMAGE 3 AERIAL IMAGE OF BROADWAY AT ROSELAWN; SOURCE: GOOGLE MAPS\n\nOVERALL SCORE\n\n61 www.walkscore.com Our Score: 34\n\nSUMMARY\n\nLand Use Environment and Facilities & Amenities\n\nThere is a mix of residential including apartments/condos and single family homes. There are some shops and restaurants. This area is wooded and has a cemetery which provides some natural area. There is some recreation in the form of a tennis court on the south east side of the intersection. There is\n\nnot easy access to this intersection from other directions. This area has lots of trees. There is some air and noise pollution due to the busy Broadway street. There is some broken glass and beer bottles along this route.\n\n**Transportation Environment**\n\nThere is no alternative transportation available. Roselawn does not have a speed limit posted, and Broadway has a posted speed limit of 40mph. WisDOT traffic volume is 19300.\n\n**Walking environment**\n\nPoor walking ability due to no sidewalk on the north or south side. The sidewalks that do exist are in very good condition. Intersection is wide for how narrow the street is, and it is hard to navigate with no north/south crosswalk. It is hard to see traffic coming from the east.\n\n**Bicycling Environment**\n\nThe bike lane is small and there is no signage. It is hard to see traffic coming from the east at this intersection. For wheeled devices the east/west intersection does have ramps. North/south is too far away to cross easily, and has no crosswalk.\n\n**RECOMMENDATIONS**\n\n- Widen bike lane on Broadway and place bike lane signage along road\n- Create north/south crosswalks at the intersection\n- Highlight tennis court with signage visible on Broadway to attract users\n\nBROADWAY AT FALCON\n\n4:07PM - 4:18PM 3/10/16\n\nIMAGE 4 AERIAL IMAGE OF BROADWAY AT FALCON CIRCLE; SOURCE: GOOGLE MAPS\n\nOVERALL SCORE\n\n51 www.walkscore.com Our Score: 42\n\nSUMMARY\n\n*Land Use Environment and Facilities & Amenities*\n\nThere is a mix of residential including apartments/condos, single family homes, and duplexes. There are some shops and restaurants. The boat launch provides recreation access. This area is wooded and is close to the lake. There are some side streets that allow access, but mostly the areas is\n\nblocked to the north by the residential neighborhood. This street has a lot of noise from the Beltline highway to the south.\n\n**Transportation Environment**\n\nThere is no alternative transportation available. Falcon Cir has a posted speed limit of 25mph and Broadway has a posted speed limit of 40mph. WisDOT traffic volume is 12900.\n\n**Walking environment**\n\nPoor walking ability due to no sidewalk on the north side. The sidewalks that do exist are in excellent condition. Intersection is hard to navigate with no north/south crosswalk. The terrace along this area provides a buffer but it is small.\n\n**Bicycling Environment**\n\nThe bike lane is small and there is no signage. It is hard to see traffic coming from the east at this intersection.\n\n**RECOMMENDATIONS**\n\n- Widen bike lane on Broadway and place bike lane signage along road\n- Create north/south crosswalks at the intersection\n- Provide more signage to highlight public boat launch\n\nComment [BB2]: There is a sidewalk present at these locations.\n\nBROADWAY AT COPPS DR.\n\n4:39PM - 4:47PM 3/10/16\n\nIMAGE 5 AERIAL IMAGE OF BROADWAY AT COPPS DR.; SOURCE: GOOGLE MAPS\n\nOVERALL CORE\n\n39 www.walkscore.com Our Score: 20\n\nSUMMARY\n\n*Land Use Environment and Facilities & Amenities*\n\nThere is no residential in this area. It is only a mix of privately owned commercial properties. There are no recreational facilities or public facilities. There is a wetland and prairie. There is poor access to this area due to the wetland and Beltline to the south.\n\nTransportation Environment\n\nThe only alternative transportation is the nearby park and ride lot at the intersection of Stoughton Road and Broadway. The speed limit is not posted. There are no special speed limits. Traffic volume according to WisDOT is 12100. There are not multiple ways to get to this intersection and there is a large barrier of the Beltline Highway to the south.\n\nWalking environment\n\nPoor walking ability due to no sidewalk on the south or east. The sidewalks that do exist are in excellent condition. Intersections are hard to navigate and there is no north/south crosswalk. The terrace along this area provides a buffer but it is small.\n\nBicycling Environment\n\nThere is no bike lane on most directions. There is one center bike lane on the northeast side of Broadway, but this disappears at the intersection. Besides the painted lane there is no signage or signals for bikes. The limited sidewalks do not allow easy biking on them.\n\nRECOMMENDATIONS\n\n- Continue center bike lane further along Broadway and place bike lane signage along road\n- Create north/south crosswalks at the intersection\n- Turn large green space around parking lots into public use with benches and water fountains\n\nBROADWAY AT RIVER PLACE\n\n3PM – 3:25PM\n\nIMAGE 6 AERIAL IMAGE OF BROADWAY AT RIVER PLACE; SOURCE: GOOGLE MAPS\n\nOVERALL SCORE\n\n61 – Walkscore.com; 46 – our score\n\nSUMMARY\n\nLand use & environment, facilities & aesthetics\n\nQuite a variety of residential options, including apartments, single family homes, duplexes and a hotel. There is a hotel, restaurants and a public boat launch in this area. The lake and the park add to the natural features in the area, but the view of the beltline distracts from the landscape and adds air and noise pollution. Street trees and wayfinding are attractive features. The area lacked streetlights for pedestrians on the sidewalk.\n\nTransportation Environment\n\nThere was no posted speed limit on River Place and no access to alternative transportation. There were no special speed limits and not multiple ways to get to the intersection. The traffic volume from WISDOT was 19,300.\n\nWalking Environment\n\nThere was no N/S crosswalk and only one E/W cross walk. Sidewalks were in excellent condition. Because of the lack of crosswalks, N/S was bad to navigate. Lighting exists for road only, not sidewalk.\n\n*Bicycling Environment*\n\nThe bikelane shared space with the road shoulder. The road is in good condition. Left turns from River heading West is difficult and dangerous because of high speeds, no crossing signal, and there are lots of U-turns at this intersection. There is no N/S access for wheeled devices, which does not accommodate ADA regulations. There is a pot hole in the bikelane on the Southeastern side of the intersection on Broadway.\n\n**RECOMMENDATIONS**\n\n- Put in N/S crosswalks\n- Widening the bike lanes\n- Provide lighting for pedestrians\n- Provide more signage for boat launch along Broadway\n- Keep the restroom facilities open to public"}}},{"rowIdx":204896,"cells":{"text":{"kind":"string","value":"Rice cultivar RU1401105\n\nDebra A. Wisdom \n*University of Arkansas, Fayetteville*\n\nKaren A. K. Moldenhauer \n*University of Arkansas, Fayetteville*\n\nXueyan Sha \n*University of Arkansas, Fayetteville*\n\nJames Gibbons \n*University of Arkansas, Fayetteville*\n\nFollow this and additional works at: [https://scholarworks.uark.edu/pat](https://scholarworks.uark.edu/pat)\n\n**Citation**\nWisdom, D. A., Moldenhauer, K. A., Sha, X., & Gibbons, J. (2020). Rice cultivar RU1401105. *Patents Granted*. Retrieved from [https://scholarworks.uark.edu/pat/392](https://scholarworks.uark.edu/pat/392)\n\nA rice cultivar designated RU1401105 is disclosed. The invention relates to the seeds of rice cultivar RU1401105, to the plants of rice cultivar RU1401105, to plant parts office cultivar RU1401105, and to methods for producing a rice plant produced by crossing rice cultivar RU1401105 with itself or with another rice variety. This invention also relates to rice cultivars, or breeding cultivars, and plant parts derived from rice cultivar RU1401105, to methods for producing other rice cultivars, lines or plant parts derived from rice cultivar RU1401105, and to the rice plants, varieties, and their parts derived from use of those methods. The invention farther relates to hybrid rice seeds, plants, and plant parts produced by crossing rice cultivar RU1401105 with another rice cultivar.\n\n22 Claims, No Drawings\n\nRICE CULTIVAR RU1401105\n\nBACKGROUND OF THE INVENTION\n\nThe present invention relates to a new and distinctive rice cultivar, designated RU1401105.\n\nRice is an ancient agricultural crop and is today one of the principal food crops of the world. There are two cultivated species of rice: *Oryza sativa* L., the Asian rice, and *O. glaberrima* Steud., the African rice. *O. sativa* L. constitutes virtually all of the world's cultivated rice and is the species grown in the United States. Three major rice producing regions exist in the United States: the Mississippi Delta (Arkansas; Mississippi, northeast Louisiana, southeast Missouri), the Gulf Coast (southwest Louisiana, southeast Texas), and the Central Valleys of California.\n\nRice is a semi-aquatic crop that benefits from flooded soil conditions during part or all of the growing season. In the United States, rice is grown on flooded soils to optimize grain yields. Heavy clay soils or silt loam soils with hard pan layers about 30 cm below the surface are typical rice-producing soils because they minimize water losses from soil percolation. Rice production in the United States can be broadly categorized as either dry-seeded or water-seeded. In the dry-seeded system, rice is sown into a well-prepared seed bed with a grain drill or by broadcasting the seed and incorporating it with a disk or harrow. Moisture for seed germination is from irrigation or rainfall. Another method of planting by the dry-seeded system is to broadcast the seed by airplane into a flooded field, then promptly drain the water from the field. For the dry-seeded system, when the plants have reached sufficient size (four- to five-leaf stage), a shallow permanent flood of water 5 cm to 16 cm deep is applied to the field for the remainder of the crop season.\n\nIn the water-seeded system, rice seed is soaked for 12 to 36 hours to initiate germination, and the seed is broadcast by airplane into a flooded field. The seedlings emerge through a shallow flood, or the water may be drained from the field for a short period of time to enhance seedling establishment. A shallow flood is maintained until the rice approaches maturity. For both the dry-seeded and water-seeded production systems, the fields are drained when the crop is mature, and the rice is harvested 2 to 3 weeks later with large combines. In rice breeding programs, breeders try to employ the production systems predominant in their respective region. Thus, a drill-seeded breeding nursery is used by breeders in a region where rice is drill-seeded and a water-seeded nursery is used in regions where water-seeding is important.\n\nRice in the United States is classified into three primary market types by grain size, shape, and chemical composition of the endosperm: long-grain, medium-grain and short-grain. Typical U.S. long-grain cultivars cook dry and fluffy when steamed or boiled, whereas medium and short-grain cultivars cook moist and sticky. Long-grain cultivars have been traditionally grown in the southern states and generally receive higher market prices.\n\nRice, *Oryza sativa* L., is an important and valuable field crop. Thus, a continuing goal of plant breeders is to develop stable, high yielding rice cultivars that are agronomically sound. The reasons for this goal are obviously to maximize the amount of grain produced on the land used and to supply food for both animals and humans. To accomplish this goal, the rice breeder must select and develop rice plants that have the traits that result in superior cultivars.\n\nSUMMARY OF THE INVENTION\n\nThe following embodiments and aspects thereof are described in conjunction with systems, tools and methods which are meant to be exemplary and illustrative, not limiting in scope. In various embodiments, one or more of the above described problems have been reduced or eliminated, while other embodiments are directed to other improvements.\n\nAccording to the invention, there is provided a novel rice cultivar designated RU1401105. This invention thus relates to the seeds of rice cultivar RU1401105, to the plants of rice RU1401105, and to methods for producing a rice plant produced by crossing rice RU1401105 with itself or another rice line.\n\nThus, any such methods using rice variety RU1401105 are part of this invention: selfing, backcrosses, hybrid production, crosses to populations, and the like. All plants produced using rice variety RU1401105 as a parent are within the scope of this invention. Advantageously, the rice variety could be used in crosses with other, different, rice plants to produce first generation (F1) rice hybrid seeds and plants with superior characteristics.\n\nIn another aspect, the present invention provides for single gene converted plants of RU1401105. The single transferred gene may preferably be a dominant or recessive allele. Preferably, the single transferred gene will confer such traits as herbicide resistance, insect resistance, resistance for bacterial, fungal, or viral disease, male fertility, male sterility, enhanced nutritional quality, and industrial usage. The single gene may be a naturally occurring rice gene or a transgene introduced through genetic engineering techniques.\n\nIn another aspect, the present invention provides regenerable cells for use in tissue culture of rice plant RU1401105. The tissue culture will preferably be capable of regenerating plants having the physiological and morphological characteristics of the foregoing rice plant, and of regenerating plants having substantially the same genotype as the foregoing rice plant. Preferably, the regenerable cells in such tissue cultures will be embryos, protoplasts, meristematic cells, callus, pollen, leaves, anthers, pistils, root tips, flowers, seeds, panicles, or stems. Still further, the present invention provides rice plants regenerated from the tissue cultures of the invention.\n\nIn addition to the exemplary aspects and embodiments described above, further aspects and embodiments will become apparent by study of the following description and examples.\n\nDefinitions\n\nIn the description and tables which follow, a number of terms are used. In order to provide a clear and consistent understanding of the specification and claims, including the scope to be given such terms, the following definitions are provided:\n\nAbiotic stress. As used herein, abiotic stress relates to all non-living chemical and physical factors in the environment. Examples of abiotic stress include, but are not limited to, drought, flooding, salinity, temperature, and climate change.\n\nAlkali Spreading Value. Indicator of gelatinization temperature and an index that measures the extent of disintegration of milled rice kernel in contact with dilute alkali solution. Standard long grains have 3 to 5 Alkali Spreading Value (intermediate gelatinization temperature).\n\nAllele. Allele is any of one or more alternative forms of a gene, all of which relate to one trait or characteristic. In a diploid cell or organism, the two alleles of a given gene occupy corresponding loci on a pair of homologous chromosomes.\n\nAlter. The utilization of up-regulation, down-regulation, or gene silencing.\n\nApparent Amylose content. Amylose content is one of the most important grain characteristics to describe cooking behavior in each grain class, or type including long, medium or short grain. The apparent amylose content is provided as g/kg herein and refers to the amount of starch in the endosperm of milled rice that is amylose. Amylose values will vary depending on the growth environment of the rice.\n\nBackcrossing. Backcrossing is a process in which a breeder repeatedly crosses hybrid progeny back to one of the parents, for example, a first generation hybrid F1 with one of the parental genotypes of the F1 hybrid.\n\nBreeding. The genetic manipulation of living organisms.\n\nCell. Cell as used herein includes a plant cell, whether isolated, in tissue culture or incorporated in a plant or plant part.\n\nDays to 50% heading. Average number of days from emergence to the day when 50% of all panicles are exerted at least partially through the leaf sheath. A measure of maturity.\n\nEmbryo. The embryo is the small plant contained within a mature seed.\n\nEssentially all of the physiological and morphological characteristics. A plant having essentially all the physiological and morphological characteristics means a plant having the physiological and morphological characteristics of the cultivar, except for the characteristics derived from the converted gene.\n\nF #. The “F” symbol denotes the filial generation, and the # is the generation number, such as F1, F2, F3, etc.\n\nGene. As used herein, “gene” refers to a unit of inheritance corresponding to DNA or RNA that code for a type of protein or for an RNA chain that has a function in the organism.\n\nGenotype. Refers to the genetic constitution of a cell or organism.\n\nKernel Length (L). Length of a rice grain is measured as millimeters.\n\nKernel Width (W). Width of a rice grain is measured as millimeters.\n\nGrain Yield. Grain yield is measured in pounds per acre and at 12.0% moisture. Grain yield of rice is determined by the number of panicles per unit area, the number of fertile florets per panicle, and grain weight per floret.\n\nHaploid. A cell or organism having one set of the two sets of chromosomes in a diploid.\n\nHarvest Moisture. The percent of moisture of the grain when harvested.\n\nHead rice. Kernels of milled rice with greater than ¾ of a kernel unbroken.\n\nLength/Width (L/W) Ratio. This ratio is determined by dividing the average length (L) by the average width (W).\n\nLodging Resistance (also called Straw Strength). Lodging is measured as a subjective rating and is percentage of the plant stems leaning or fallen completely to the ground before harvest. Visual scoring where 0%-all plants standing to 100%-all plant in plot are laying flat on the soil surface. Lodged plants are difficult to harvest and reduce yield and grain quality.\n\nMilling yield. Milling yield is the total amount of milled rice (whole and broken kernels) recovered after removal of hulls, bran, and germ by milling and head-rice yield, the total amount of whole kernels recovered after milling. Values are expressed as weight percentage of the original paddy or rough rice sample that was milled. For example, a milling yield of 65/70 is a sample of 100 grams of rough rice that produced 65 grams of head rice and 70 grams of total milled rice.\n\nPedigree. Refers to the lineage or genealogical descent of a plant.\n\nPlant. As used herein, the term “plant” includes reference to an immature or mature whole plant, including a plant from which seed, grain, or anthers have been removed. Seed or embryo that will produce the plant is also considered to be the plant.\n\nPlant Height. Plant height in centimeters is taken from soil surface to the tip of the extended panicle at harvest.\n\nPlant parts. As used herein, the term “plant parts” (or a rice plant, or a part thereof) includes but is not limited to protoplasts, leaves, stems, roots, root tips, anthers, pistils, seed, grain, embryo, pollen, ovules, cotyledon, hypocotyl, pod, flower, shoot, tissue, petiole, cells, meristematic cells, and the like.\n\nProgeny. As used herein, includes an F1 rice plant produced from the cross of two rice plants where at least one plant includes rice cultivar LaKast and progeny further includes, but is not limited to, subsequent F2, F3, F4, F5, F6, F7, F8, F9, and F10 generational crosses with the recurrent parental line.\n\nRegeneration. Regeneration refers to the development of a plant from tissue culture.\n\nSingle Gene Converted (Conversion). Single gene converted (conversion) plant refers to plants which are developed by a plant breeding technique called backcrossing wherein essentially all of the desired morphological and physiological characteristics of a variety are recovered in addition to the single gene transferred into the variety via the backcrossing technique or via genetic engineering.\n\nDETAILED DESCRIPTION OF THE INVENTION\n\nRice cultivar RU1401105 originated from the cross of Jazzman/PI 597046, number 20090392 made in Stuttgart, Ark., in 2009 using a combination of hybridization, modified pedigree, and bulk breeding methods. Jazzman is a high yielding, conventional height, Jasmine-type aromatic, long grain rice with very good milling and excellent grain quality developed at Crowley, La. and described by Sha et al. (*J Plant Regist.*, 5:304-308 (2011)). PI 597046 is a plant introduction donated in 1994 by R. Zeiger of IRRI. The experimental designation for early evaluation of RU1401105 was STG12L-30-145, starting with a bulk of F5 seed from the 2012 panicle row L-30-145. RU1401105 was tested in the Arkansas Rice Performance Trials (ARPT) and the Cooperative Uniform Regional Rice Nursery (URRN) from 2014 to 2017 as entry RU1401105.\n\nRice cultivar RU1401105 (*Oryza sativa* L.), is a high yielding Jasmine-type aromatic, mid-season, long-grain rice cultivar with a similar maturity to rice cultivar ‘Wells’, and three days earlier than Roy J. Plants of RU1401105 have erect culms, green erect leaves, and glabrous lemma, palea, and leaf blades. The lemma and palea are straw colored with red apiculi, many of which fade to straw at maturity.\n\nKernels of RU1401105 are similar in weight and size to Wells. Individual milled kernel weights (in g ms/1,000 seeds) of RU1401105, RU1501102, Mermentau, RU1401105, Taggart, and Wells averaged 21.7, 23.3, 20.0, 20.7, 22.7, and 21.9, respectively, in the Arkansas Rice Performance Trials (ARPT) from 2014 to 2016.\n\nRice cultivar RU1401105 has a plant height of approximately 100 cm, which is similar to ‘Jazzman-2’ and about 1\n\ninch shorter than Wells. RU1401105 has an excellent straw strength, an indicator of lodging resistance, which is comparable to that of ‘Roy J’, ‘Taggart’, and Wells (based on 2016 ARPT data), and a lodging resistance better than that of Wells.\n\nIn most cases, RU1401105, like Jazzman-2 and Taggart, is moderately susceptible to common rice blast (*Pyricularia grisea* (Cooke) Sacc., races IB-1, JB-33, JB-49, IC-17, IE-1 and IE-1K) using the standard disease ratings of R= resistant, MR=moderately resistant, MS=moderately susceptible, S=susceptible and VS=very susceptible to disease. RU1401105 is rated moderately susceptible to sheath blight (*Rhizoctonia solani* Kuhn) which compares favorably with Jazzman-2 (S), Della-2 (S), RU1401105 (MS), and Wells (S). Under high nitrogen fertilization, RU1401105 is susceptible to false smut (*Ustilaginoidea virens* (Cooke) Takah.). RU1401105 is rated moderately resistant for bacterial panicle blight (*Burkholderia glumae*), as compared to Jazzman-2 (VS), Della-2 (MS), RU1401105 (S), and Taggart (MS). Reactions to straighthead, narrow brown leaf spot, stem rot, black sheath rot, and sheath spot are unknown at this time.\n\nRough rice grain yields of RU1401105 have been consistently exceptional in the Arkansas Rice Performance Trials (ARPT). In 19 ARPT yield trials conducted from 2014 to 2017, the average yields of RU1401105, RU1501102, ‘Mermentau’, Roy J, Taggart and Wells were 8221, 7616, 8322, 9028, 9230, and 8726 kg ha\\(^{-1}\\) (120 kg g\\(^{-1}\\) (12%) harvest moisture), respectively. In Cooperative Uniform Regional Rice Nursery (URRN) trials conducted in Arkansas, Louisiana, and Mississippi from 2014 to 2017, RU1401105 had an average grain yield of 9230 kg ha\\(^{-1}\\), which compared favorably with those of RU151102, Jazzman-2, and Della-2 at 8020, 7688, and 8827 kg ha\\(^{-1}\\), respectively.\n\nMilling yields (mg g\\(^{-1}\\) whole kernel:mg g\\(^{-1}\\) total milled rice at 120 mg g\\(^{-1}\\) harvest moisture) from ARPT trials conducted from 2014 to 2016, averaged 670:710, 650:690, 680:720, 650:700, 660:710, and 650:710 for RU1401105, RU1501102, Jazzman-2, Roy J, Taggart, and Wells, respectively. Milling yields from URRN trials in Arkansas conducted from 2014 to 2016 averaged 660:710, 630:680, 620:680, and 630:710 for RU1401105, Jazzman-2, ‘Della-2’, and Wells, respectively.\n\nThe endosperm office cultivar RU1401105 is nonglutinous, aromatic, and covered by a light brown pericarp. Rice quality parameters indicate that RU1401105 has Jasmine-type rice cooking quality characteristics as described by Webb et al. 1985, such that RU1401105 cooks like Jazzman-2. Rice cultivar RU1401105 has an average apparent starch amylase content of 16.65 g kg\\(^{-1}\\) and a low gelatinization temperature (63.66° C.), as indicated by an average alkali (17 g kg\\(^{-1}\\) KOH) spreading reaction of 6 to 7.\n\nRice cultivar RU1401105 has shown uniformity and stability as described in the following variety description information. It has been self-pollinated a sufficient number of generations with careful attention to uniformity of plant type. The variety has been increased with continued observation for uniformity. The foundation seed field of RU1401105 was rogued several times throughout the season. The variants that may be found in the release include any combination of the following: taller, shorter, earlier, later, glabrous or pubescent plants, non-aromatic, as well as intermediate or very-long slender grains. Other atypical plants may still be encountered in the variety. The total variants and/or off-types numbered less than 1 per 5,000 plants.\n\nRice cultivar RU1401105 has the following morphologic and other characteristics (based primarily on data collected in Stuttgart, Ark.).\n\n**TABLE 1**\n\n| Variety Description Information |\n|---------------------------------|\n| **Plant:** |\n| Grain type: Long |\n| Days to maturity (50% heading): 86 |\n| Plant height: 100 cm |\n| Plant color (at booting): Green |\n| Culm: |\n| Angle (degrees from perpendicular after flowering): Erect (less than 30° C) |\n| Flag leaf (after heading): |\n| Pubescence: Glabrous |\n| Leaf angle (after heading): |\n| Erect |\n| Blade color (at heading): |\n| Green |\n| Panicle: |\n| Length: 24.0 cm |\n| Type: Compact |\n| Exertion (near maturity): |\n| Moderately well |\n| Axis: Droopy |\n| Shattering (at maturity): |\n| Low (1%-5%) |\n| Grain (spikelet): |\n| Awns (after full heading): |\n| Absent |\n| Apiculus color (at full heading): Red |\n| Apiculus color (at maturity): Straw |\n| Stigma color: Purple |\n| Lemma and palea color (at maturity): Straw |\n| Lemma and palea pubescence: Glabrous |\n| Grain: Seedey |\n| Seed coat color: Light brown |\n| Endosperm type: Nonglutinous |\n| Scent: Scented |\n| Shape class (length/width ratio): |\n| Paddy: Long (3.4:1 and more) |\n| Brown: Long (3.4:1 and more) |\n| Milled: Long (3.0:1 and more) |\n| Size: 21.7 g/1000 seeds milled rice |\n| Starch amylose content: 16.65 g kg\\(^{-1}\\) |\n| Alkali spreading value: 6 to 7 (17 g kg\\(^{-1}\\) KOH Solution) |\n| Gelatinization temperature type: Low (63.66° C.) |\n| Disease resistance: |\n| Rice blast (*Pyricularia grisea* (Cooke) Sacc.): Moderately susceptible |\n| Sheath blight (*Rhizoctonia solani* Kuhn): Moderately susceptible |\n| False smut (*Ustilaginoidea virens* (Cooke) Takah.): Susceptible |\n| Bacterial panicle blight (*Burkholderia glumae*): Moderately resistant |\n\nTransgenes or matings between plants may be useful to add specific traits to the plant and seeds provided herein. The traits may be selected for via known means for selective breeding or via available molecular biology techniques for creation and selection of transgenic plants. Transgenes conferring at least one trait selected from the group consisting of: herbicide resistance; insect resistance; resistance to bacterial, fungal, or viral disease; modified fatty acid metabolism; modified carbohydrate metabolism; and male sterility may be introduced into the plants, cells and seeds provided herein. Genes may be introduced that confer resistance to a herbicide selected from the group consisting of glyphosate, sulfonylurea, imidazolinone, dicamba, glufosinate, phenoxypyroprionic acid, L-phosphinotricin, cyclohexone, cyclohexanedione, triazine, 2,4-Dichlorophenoxyacetic acid, hydroxyphenyl-pyruvate dioxygenase (HPPD) inhibitors and benzonitrile.\n\nAs used herein, the term plant includes plant cells, plant protoplasts, plant cell tissue cultures from which rice plants can be regenerated, plant calli, plant clumps and plant cells that are intact in plants or parts of plants, such as embryos, pollen, ovules, flowers, glumes, panicles, leaves, stems, roots, root tips, anthers, pistils, and the like.\n\nTransformation Techniques:\n\nWith the advent of molecular biological techniques that have allowed the isolation and characterization of genes that encode specific protein products, scientists in the field of plant biology developed a strong interest in engineering the genome of plants to contain and express foreign genes, or additional, or modified versions of native, or endogenous, genes (perhaps driven by different promoters) in order to alter the traits of a plant in a specific manner. Such foreign additional and/or modified genes are referred to herein collectively as \"transgenes\". Several methods for producing transgenic plants have been developed, and the present invention, in particular embodiments, also relates to transformed versions of the claimed cultivar.\n\nCulture for expressing desired structural genes and cultured cells are known in the art. Also as known in the art, rice is transformable and regenerable such that whole plants containing and expressing desired genes under regulatory control may be obtained. General descriptions of plant expression vectors and reporter genes and transformation protocols can be found in Gruber, et al., \"Vectors for Plant Transformation\", in *Methods in Plant Molecular Biology & Biotechnology* in Glich, et al., (Eds. pp. 89-119, CRC Press, 1993). Moreover GUS expression vectors and GUS gene cassettes are available from Clone Tech Laboratories, Inc., Palo Alto, Calif. while luciferase expression vectors and luciferase gene cassettes are available from Promega Corp. (Madison, Wis.). General methods of culturing plant tissues are provided for example by Maki, et al., \"Procedures for Introducing Foreign DNA into Plants\" in *Methods in Plant Molecular Biology & Biotechnology*, Glich, et al., (Eds. pp. 67-88 CRC Press, 1993); and by Phillips, et al., \"Cell-Tissue Culture and In-Vitro Manipulation\" in *Corn & Corn Improvement, 3rd Edition*; Sprague, et al., (Eds. pp. 345-387 American Society of Agronomy Inc., 1988). Methods of introducing expression vectors into plant tissue include the direct infection or co-cultivation of plant cells with *Agrobacterium tumefaciens*, described for example by Horsch et al., *Science*, 227:1229 (1985). Descriptions of *Agrobacterium* vector systems and methods for *Agrobacterium*-mediated gene transfer are provided by Gruber, et al., supra.\n\nUseful methods include but are not limited to expression vectors introduced into plant tissues using a direct gene transfer method such as microprojectile-mediated delivery, DNA injection, electroporation and the like. More preferably expression vectors are introduced into plant tissues using a microprojectile media delivery system with a biostatic device or using *Agrobacterium*-mediated transformation. Transformant plants obtained with the protoplasm of the invention are intended to be within the scope of this invention.\n\nPlant transformation involves the construction of an expression vector which will function in plant cells. Such a vector comprises DNA comprising a gene under control of or operatively linked to a regulatory element (for example, a promoter). The expression vector may contain one or more such operably linked gene/regulatory element combinations. The vector(s) may be in the form of a plasmid, and can be used alone or in combination with other plasmids, to provide transformed rice plants, using transformation methods as described below to incorporate transgenes into the genetic material of the rice plant(s).\n\nExpression Vectors for Transformation: Marker Genes\n\nExpression vectors include at least one genetic marker, operably linked to a regulatory element (a promoter, for example) that allows transformed cells containing the marker to be either recovered by negative selection, i.e., inhibiting growth of cells that do not contain the selectable marker gene, or by positive selection, i.e., screening for the product encoded by the genetic marker. Many commonly used selectable marker genes for plant transformation are well known in the transformation arts, and include, for example, genes that code for enzymes that metabolically detoxify a selective chemical agent which may be an antibiotic or an herbicide, or genes that encode an altered target which is insensitive to the inhibitor. A few positive selection methods are also known in the art.\n\nOne commonly used selectable marker gene for plant transformation is the neomycin phosphotransferase II (nptII) gene, isolated from transposon Tn5, which when placed under the control of plant regulatory signals confers resistance to kanamycin. Fraley, et al., *Proc. Natl. Acad. Sci. USA.*, 80:4803 (1983). Another commonly used selectable marker gene is the hygromycin phosphotransferase gene which confers resistance to the antibiotic hygromycin. Vanden Elzen, et al., *Plant Mol. Biol.*, 5:299 (1985).\n\nAdditional selectable marker genes of bacterial origin that confer resistance to antibiotics include gentamycin acetyl transferase, streptomycin phosphotransferase, and aminoglycoside-3'-adenyl transferase, the bleomycin resistance determinant. Hayford, et al., *Plant Physiol.*, 86:1216 (1988); Jones, et al., *Mol. Gen. Genet.*, 210:86 (1987); Swab, et al., *Plant Mol. Biol.*, 14:197 (1990); Hille, et al., *Plant Mol. Biol.*, 7:171 (1986). Other selectable marker genes confer resistance to herbicides such as glyphosate, glufosinate or bromoxynil. Comai, et al., *Nature*, 317:741-744 (1985); Gordon-Kamm, et al., *Plant Cell*, 2:603-618 (1990); and Stalker, et al., *Science*, 242:419-423 (1988).\n\nSelectable marker genes for plant transformation not of bacterial origin include, for example, mouse dihydrofolate reductase, plant 5-enolpyruvylshikimate-3-phosphate synthase, and plant acetolactate synthase. Eichholtz, et al., *Somatic Cell Mol. Genet.*, 13:67 (1987); Shah, et al., *Science*, 233:478 (1986); Charest, et al., *Plant Cell Rep.*, 8:643 (1990).\n\nAnother class of marker genes for plant transformation requires screening of presumptively transformed plant cells rather than direct genetic selection of transformed cells for resistance to a toxic substance such as an antibiotic. These genes are particularly useful to quantify or visualize the spatial pattern of expression of a gene in specific tissues and\n\nare frequently referred to as reporter genes because they can be fused to a gene or gene regulatory sequence for the investigation of gene expression. Commonly used genes for screening presumptively transformed cells include β-glucuronidase (GUS, β-galactosidase, luciferase and chloramphenicol acetyltransferase. Jefferson, R. A., *Plant Mol. Biol.* Rep., 5:387 (1987); Teeri, et al., *EMBO J.*, 8:343 (1989); Koncz, et al., *Proc. Natl. Acad. Sci. U.S.A.*, 84:131 (1987); DeBlock, et al., *EMBO J.*, 3:1681 (1984). Another approach to the identification of relatively rare transformation events has been use of a gene that encodes a dominant constitutive regulator of the *Zea mays* anthocyanin pigmentation pathway. Ludwig, et al., *Science*, 247:449 (1990).\n\nIn vivo methods for visualizing GUS activity that do not require destruction of plant tissue are available. Molecular Probes Publication 2908, IMAGENE GREEN, pp. 1-4 (1993) and Naleway, et al., *J. Cell Biol.*, 115:151a (1991). However, these in vivo methods for visualizing GUS activity have not proven useful for recovery of transformed cells because of low sensitivity, high fluorescent backgrounds and limitations associated with the use of luciferase genes as selectable markers.\n\nMore recently, a gene encoding Green Fluorescent Protein (GFP) has been utilized as a marker for gene expression in prokaryotic and eukaryotic cells. Chalfie, et al., *Science*, 263:802 (1994). GFP and mutants of GFP may be used as screenable markers.\n\n**Expression Vectors for Transformation: Promoters**\n\nGenes included in expression vectors must be driven by nucleotide sequence comprising a regulatory element, for example, a promoter. Several types of promoters are now well known in the transformation arts, as are other regulatory elements that can be used alone or in combination with promoters.\n\nAs used herein, “promoter” includes reference to a region of DNA upstream from the start of transcription and involved in recognition and binding of RNA polymerase and other proteins to initiate transcription. A “plant promoter” is a promoter capable of initiating transcription in plant cells. Examples of promoters under developmental control include promoters that preferentially initiate transcription in certain tissues, such as leaves, roots, seeds, fibers, xylem vessels, tracheids, or sclerenchyma. Such promoters are referred to as “tissue-preferred.” Promoters which initiate transcription only in certain tissue are referred to as “tissue-specific.” A “cell type” specific promoter primarily drives expression in certain cell types in one or more organs, for example, vascular cells in roots or leaves. An “inducible” promoter is a promoter which is under environmental control. Examples of environmental conditions that may effect transcription by inducible promoters include anaerobic conditions or the presence of light. Tissue-specific, tissue-preferred, cell type specific, and inducible promoters constitute the class of “non-constitutive” promoters. A “constitutive” promoter is a promoter which is active under most environmental conditions.\n\nA. **Inducible Promoters**—An inducible promoter is operably linked to a gene for expression in rice. Optionally, the inducible promoter is operably linked to a nucleotide sequence encoding a signal sequence which is operably linked to a gene for expression in rice. With an inducible promoter the rate of transcription increases in response to an inducing agent.\n\nAny inducible promoter can be used in the instant invention. See, Ward, et al., *Plant Mol. Biol.*, 22:361-366 (1993). Exemplary inducible promoters include, but are not limited to, that from the ACEI system which responds to copper (Melt, et al., *PNAS*, 90:4567-4571 (1993)); Tn7 gene from maize which responds to benzenesulfonamide herbicide safeners (Hershey, et al., *Mol. Gen. Genetics*, 227:229-237 (1991) and Gatz, et al., *Mol. Gen. Genetics*, 243:32-38 (1994)) or Tet repressor from Tn10 (Gatz, et al., *Mol. Gen. Genetics*, 227:229-237 (1991)). A particularly preferred inducible promoter is a promoter that responds to an inducing agent to which plants do not normally respond. An exemplary inducible promoter is the inducible promoter from a steroid hormone gene, the transcriptional activity of which is induced by a glucocorticosteroid hormone (Schena, et al., *Proc. Natl. Acad. Sci. U.S.A.*, 88:0424 (1991)).\n\nB. **Constitutive Promoters**—A constitutive promoter is operably linked to a gene for expression in rice or the constitutive promoter is operably linked to a nucleotide sequence encoding a signal sequence which is operably linked to a gene for expression in rice.\n\nMany different constitutive promoters can be utilized in the instant invention. Exemplary constitutive promoters include, but are not limited to, the promoters from plant viruses such as the 3SS promoter from CaMV (Odell, et al., *Nature*, 313:810-812 (1985)) and the promoters from such genes as rice actin (McElroy, et al., *Plant Cell*, 2:163-171 (1990)); ubiquitin (Christensen, et al., *Plant Mol. Biol.*, 12:619-632 (1989) and Christensen, et al., *Plant Mol. Biol.* 18:675-689 (1992)); pEMU (Last, et al., *Theor. Appl. Genet.*, 81:581-588 (1991)); MAS (Velten, et al., EMBO J., 3:2723-2730 (1984)); and maize H3 histone (Lepetit, et al., *Mol. Gen. Genetics*, 231:276-285 (1992) and Atanassova, et al., *Plant Journal* 2 (3): 291-300 (1992)).\n\nThe ALS promoter, XbaI/Neo1 fragment 5' to the *Brassica napus* ALS3 structural gene (or a nucleotide sequence similarity to said XbaI/Neo1 fragment), represents a particularly useful constitutive promoter. See, PCT Appl. No. WO 96/30530.\n\nC. **Tissue-specific or Tissue-preferred Promoters**—A tissue-specific promoter is operably linked to a gene for expression in rice. Optionally, the tissue-specific promoter is operably linked to a nucleotide sequence encoding a signal sequence which is operably linked to a gene for expression in rice. Plants transformed with a gene of interest operably linked to a tissue-specific promoter produce the protein product of the transgene exclusively, or preferentially, in a specific tissue.\n\nAny tissue-specific or tissue-preferred promoter can be utilized in the instant invention. Exemplary tissue-specific or tissue-preferred promoters include, but are not limited to, a root-preferred promoter, such as that from the phaseolin gene (Murai, et al., *Science*, 23:476-482 (1983) and Sengupta-Gopalanan, et al., *Proc. Natl. Acad. Sci. USA*, 82:3320-3324 (1985)); a leaf-specific and light-induced promoter such as that from cab or rubisco (Simpson, et al., *EMBO J.*, 4(11):2723-2729 (1985) and Timko, et al., *Nature*, 318:579-582 (1985)); an anther-specific promoter such as that from LAT52 (Twell, et al., *Mol. Gen. Genetics*, 217:240-245 (1989)); a pollen-specific promoter such as that from Zml3 (Guerrero, et al., *Mol. Gen. Genetics*, 244:161-168 (1993)) or a microspore-preferred promoter such as that from apg (Twell, et al., *Sex Plant Reprod.*, 6:217-224 (1993)).\n\n**Signal Sequences for Targeting Proteins to Sub-Cellular Compartments**\n\nTransport of protein produced by transgenes to a subcellular compartment such as the chloroplast, vacuole, peroxisome, glyoxysome, cell wall, or mitochondrion, or for secretion into the apoplast, is accomplished by means of operably linking the nucleotide sequence encoding a signal sequence to the 5' and/or 3' region of a gene encoding the\n\nprotein of interest. Targeting sequences at the 5' and/or 3' end of the structural gene may determine, during protein synthesis and processing, where the encoded protein is ultimately compartmentalized.\n\nThe presence of a signal sequence directs a polypeptide to either an intracellular organelle or subcellular compartment or for secretion to the apoplast. Many signal sequences are known in the art. See, for example, Becker, et al., *Plant Mol. Biol.*, 20:49 (1992); Close, P. S., Master's Thesis, Iowa State University (1993); Knox, C., et al., *Plant Mol. Biol.*, 9:3-17 (1987); Lerner, et al., *Plant Physia*, 91:124-129 (1989); Fontes, et al., *Plant Cell*, 3:483-496 (1991); Matsuoka, et al., *Proc. Natl. Acad. Sci.*, 88:834 (1991); Gould, et al., *J. Cell. Biol.*, 108:1657 (1989); Creissen, et al., *Plant J.*, 2:129 (1991); Kalderon, et al., *Cell*, 39:499-509 (1984); Steifel, et al., *Plant Cell*, 2:785-793 (1990).\n\nForeign Protein Genes and Agronomic Genes\n\nWith transgenic plants according to the present invention, a foreign protein can be produced in commercial quantities. Thus, techniques for the selection and propagation of transformed plants, which are well understood in the art, yield a plurality of transgenic plants which are harvested in a conventional manner, and a foreign protein then can be extracted from a tissue of interest or from total biomass. Protein extraction from plant biomass can be accomplished by known methods which are discussed, for example, by Heney and Orr, *Anal. Biochem.*, 114:92-6 (1981).\n\nAccording to a preferred embodiment, the transgenic plant provided for commercial production of foreign protein is rice. In another preferred embodiment, the biomass of interest is seed. For the relatively small number of transgenic plants that show higher levels of expression, a genetic map can be generated, primarily via conventional RFLP, PCR, and SSR analysis, which identifies the approximate chromosomal location of the integrated DNA molecule. For exemplary methodologies in this regard, see *Methods in Plant Molecular Biology and Biotechnology*, Glick and Thompson Eds., CRC Press, Inc., Boca Raton, pp. 269-284 (1993). Map information concerning chromosomal location is useful for proprietary protection of a subject transgenic plant. If unauthorized propagation is undertaken and crosses made with other germplasm, the map of the integration region can be compared to similar maps for suspect plants, to determine if the latter have a common parentage with the subject plant. Map comparisons would involve hybridizations, RFLP, PCR, SSR, and sequencing, all of which are conventional techniques.\n\nLikewise, by means of the present invention, agronomic genes can be expressed in transformed plants. More particularly, plants can be genetically engineered to express various phenotypes of agronomic interest. Exemplary genes implicated in this regard include, but are not limited to, those categorized below:\n\nI. Genes that Confer Resistance to Pests or Disease and that Encode:\n\nA. Plant disease resistance genes. Plant defenses are often activated by specific interaction between the product of a disease resistance gene (R) in the plant and the product of a corresponding avirulence (Avr) gene in the pathogen. A plant cultivar can be transformed with cloned resistance gene to engineer plants that are resistant to specific pathogen strains. See, for example, Jones, et al., *Science*, 266:789 (1994) (cloning of the tomato Cf-9 gene for resistance to *Cladosporium fulvum*); Martin, et al., *Science*, 262:1432 (1993) (tomato Pto gene for resistance to *Pseudomonas syringae* pv. tomato encodes a protein kinase); Mindrinos, et al., *Cell*, 78:1089 (1994) (*Arabidopsis* RSP2 gene for resistance to *Pseudomonas syringae*); McDowell & Woffenden, *Trends Biotechnol.*, 21(4): 178-83 (2003); and Toyoda, et al., *Transgenic Res.*, 11 (6):567-82 (2002).\n\nB. A *Bacillus thuringiensis* protein, a derivative thereof or a synthetic polypeptide modeled thereon. See, for example, Geiser, et al., *Gene*, 48:109 (1986), who disclose the cloning and nucleotide sequence of a Bt δ-endotoxin gene. Moreover, DNA molecules encoding δ-endotoxin genes can be purchased from American Type Culture Collection, Manasas, Va., for example, under ATCC Accession Nos. 40098, 67136, 31995, and 31998.\n\nC. A lectin. See, for example, the disclosure by Van Damme, et al., *Plant Molec. Biol.*, 24:25 (1994), who disclose the nucleotide sequences of several *Clivia* miniata-mannose-binding lectin genes.\n\nD. A vitamin-binding protein such as avidin. See, PCT Appl. No. US 93/06487. The application teaches the use of avidin and avidin homologues as larvicides against insect pests.\n\nE. An enzyme inhibitor, for example, a protease or proteinase inhibitor or an amylase inhibitor. See, for example, Abe, et al., *J. Biol. Chem.*, 262:16793 (1987) (nucleotide sequence of rice cysteine proteinase inhibitor); Huub, et al., *Plant Molec. Biol.*, 21:985 (1993) (nucleotide sequence of cDNA encoding tobacco proteinase inhibitor I); Sumitani, et al., *Biosci. Biotech. Biochem.*, 57:1243 (1993) (nucleotide sequence of *Streptomyces nitrsporeus* α-amylase inhibitor).\n\nF. An insect-specific hormone or pheromone such as an ecdysteroid and juvenile hormone, a variant thereof, a mimic based thereon, or an antagonist or agonist thereof. See, for example, the disclosure by Hammock, et al., *Nature*, 344:458 (1990), of baculovirus expression of cloned juvenile hormone esterase, an inactivator of juvenile hormone.\n\nG. An insect-specific peptide or neurotoptide which, upon expression, disrupts the physiology of the affected pest. For example, see the disclosures of Regan, *J. Biol. Chem.*, 269:9 (1994) (expression cloning yields DNA coding for insect diuretic hormone receptor), and Pratt, et al., *Biochem. Biophys. Res. Comm.*, 163:1243 (1989) (an allostatin is identified in *Diploptera punctata*). See also, U.S. Pat. No. 5,266,317 to Tomalski, et al., who disclose genes encoding insect-specific, paralytic neurotoxins.\n\nH. An insect-specific venom produced in nature by a snake, a wasp, etc. For example, see Pang, et al., *Gene*, 116:165 (1992), for disclosure of heterologous expression in plants of a gene coding for a scorpion insectotoxic peptide.\n\nI. An enzyme responsible for a hyper-accumulation of a monoterpen, a sesquiterpene, a steroid, a hydroxamic acid, a phenylpropanoid derivative or another non-protein molecule with insecticidal activity.\n\nJ. An enzyme involved in the modification, including the post-translational modification, of a biologically active molecule; for example, a glycolytic enzyme, a proteolytic enzyme, a lipolytic enzyme, a nuclease, a cyclase, a transaminase, an esterase, a hydrolase, a phosphatase, a kinase, a phosphorylase, a polymerase, an elastase, a chitinase, and a glucanase, whether natural or synthetic. See, PCT Publication No. WO 93/02197 in the name of Scott, et al., which discloses the nucleotide sequence of a callase gene. DNA molecules which contain chitinase-encoding sequences can be obtained, for example, from the ATCC under Accession Nos. 39637 and 67152. See also, Kramer, et al., *Insect Biochem. Molec. Biol.*, 23:691 (1993), who teach the nucleotide sequence of a cDNA encoding tobacco hornworm chitinase, and Kawalleck, et al., *Plant Molec.*\n\nwho provide the nucleotide sequence of the parsley ubi4-2 polyubiquitin gene.\n\nK. A molecule that stimulates signal transduction. For example, see the disclosure by Bottela, et al., *Plant Molec. Biol.*, 24:757 (1994), of nucleotide sequences for mung bean calmodulin cDNA clones, and Griess, et al., *Plant Physiol.*, 104:1467 (1994), who provide the nucleotide sequence of a maize calmodulin cDNA clone.\n\nL. A hydrophobic moment peptide. See, PCT Publication No. WO 95/16776 (disclosure of peptide derivatives of Tachypleisin which inhibit fungal plant pathogens) and PCT Publication No. WO 95/18855 (teaches synthetic antimicrobial peptides that confer disease resistance), the respective contents of which are hereby incorporated by reference.\n\nM. A membrane permease, a channel former or a channel blocker. For example, see the disclosure of Jaynes, et al., *Plant Sci.*, 89:43 (1993), of heterologous expression of a cecropin-β, lytic peptide analog to render transgenic tobacco plants resistant to *Pseudomonas solanacearum*.\n\nN. A viral-invasive protein or a complex toxin derived therefrom. For example, the accumulation of viral coat proteins in transformed plant cells imparts resistance to viral infection and/or disease development effected by the virus from which the coat protein gene is derived, as well as by related viruses. See, Beachy, et al., *Ann. Rev. Phytopathol.*, 28:451 (1990). Coat protein-mediated resistance has been conferred upon transformed plants against alfalfa mosaic virus, cucumber mosaic virus, tobacco streak virus, potato virus X, potato virus Y, tobacco etch virus, tobacco rattle virus, and tobacco mosaic virus. Id.\n\nO. An insect-specific antibody or an immunotoxin derived therefrom. Thus, an antibody targeted to a critical metabolic function in the insect gut would inactivate an affected enzyme, killing the insect. Cf. Taylor, et al., Abstract #197, Seventh International Symposium on Molecular Plant-Microbe Interactions (Edinburgh, Scotland (1994)) (enzymatic inactivation in transgenic tobacco via production of single-chain antibody fragments).\n\nP. A virus-specific antibody. See, for example, Tavladoraki, et al., *Nature*, 366:469 (1993), who show that transgenic plants expressing recombinant antibody genes are protected from virus attack.\n\nQ. A developmental-arrestive protein produced in nature by a pathogen or a parasite. Thus, fungal endo-α-1,4-D-polygalacturonases facilitate fungal colonization and plant nutrient release by solubilizing plant cell wall homo-α-1,4-D-galacturonase. See, Lamb, et al., *Bio/Technology*, 10:1436 (1992). The cloning and characterization of a gene which encodes a bean endopolygalacturonase-inhibiting protein is described by Tourbart, et al., *Plant J.*, 2:367 (1992).\n\nR. A developmental-arrestive protein produced in nature by a plant. For example, Logemann, et al., *Bio/Technology*, 10:305 (1992), have shown that transgenic plants expressing the barley ribosome-inactivating gene have an increased resistance to fungal disease.\n\nS. Genes involved in the Systemic Acquired Resistance (SAR) Response and/or the pathogenesis-related genes. Briggs, S., *Current Biology*, 5(2) (1995); Pieterse & Van Loon, *Curr. Opin. Plant Bio.*, 7(4):456-64 (2004) and Somssich, *Cell*, 113(7):815-6 (2003).\n\nT. Antifungal genes. See, Cornelissen and Melchers, *Plant Physiol.*, 101:709-712 (1993); Parjis, et al., *Planta*, 183:258-264 (1991) and Bushnell, et al., *Can. J. of Plant Path.*, 20(2):137-149 (1998). See also, U.S. Pat. No. 6,875,907.\n\nU. Detoxification genes, such as for fumonisin, beauvericin, moniliformin, and zearalenone, and their structurally related derivatives. For example, see U.S. Pat. No. 5,792,931.\n\nV. Cystatin and cysteine proteinase inhibitors. See U.S. Pat. No. 7,205,453.\n\nW. Defensin genes. See PCT Publication No. WO 03/000863 and U.S. Pat. No. 6,911,577.\n\n2. Genes that Confer Resistance to an Herbicide, for Example:\n\nA. An herbicide that inhibits the growing point or meristem, such as an imidazolinone or a sulfonylurea. Exemplary genes in this category code for mutant ALS and AHAS enzyme as described, for example, by Lee, et al., *EMBO J.*, 7:1241 (1988) and Mild, et al., *Theor. Appl. Genet.*, 80:449 (1990), respectively.\n\nB. Glyphosate (resistance conferred by mutant 5-enolpyruvlshikimate-3-phosphate synthase (EPSP) and aroA genes, respectively) and other phosphono compounds such as glufosinate (phosphinothricin acetyl transferase (PAT) and *Streptomyces hygroscopicus* PAT, bar, genes), and pyridinxylo or phenoxy propionic acids and cyclohexones (ACCase inhibitor-encoding genes). See, for example, U.S. Pat. No. 4,940,835 to Shah, et al., which discloses the nucleotide sequence of a form of EPSP which can confer glyphosate resistance. A DNA molecule encoding a mutant aroA gene can be obtained under ATCC Accession No. 39256, and the nucleotide sequence of the mutant gene is disclosed in U.S. Pat. No. 4,769,061 to Comai. European Pat. Appl. No. 0 333 033 to Kumada, et al. and U.S. Pat. No. 4,975,374 to Goodman, et al., disclose nucleotide sequences of glutamine synthetase genes which confer resistance to herbicides such as L-phosphinothricin. The nucleotide sequence of a PAT gene is provided in European Pat. Appl. No. 0 242 246 to Leemans, et al. DeGreef, et al., *Bio/Technology*, 7:61 (1989), describe the production of transgenic plants that express chimeric bar genes coding for PAT activity. Exemplary of genes conferring resistance to phenoxy propionic acids and cyclohexones, such as sethoxydim and haloxyfop are the Acc1-S1, Acc1-S2, and Acc1-S3 genes described by Marshall, et al., *Theor. Appl. Genet.*, 83:435 (1992).\n\nC. An herbicide that inhibits photosynthesis, such as a triazine (psbA and gs+ genes) or a benzotriazole (nitrilase gene). Przibilla, et al., *Plant Cell*, 3:169 (1991), describe the transformation of *Chlamydomonas* with plasmids encoding mutant psbA genes. Nucleotide sequences for nitrilase genes are disclosed in U.S. Pat. No. 4,810,648 to Stalker, and DNA molecules containing these genes are available under ATCC Accession Nos. 53435, 67441, and 67442. Cloning and expression of DNA coding for a glutathione S-transferase is described by Hayes, et al., *Biochem. J.*, 285:173 (1992).\n\n3. Genes that Confer or Contribute to a Value-Added Trait, Such as:\n\nA. Modified fatty acid metabolism, for example, by transforming a plant with an antisense gene of stearoyl-ACP desaturase to increase stearic acid content of the plant. See, Knultzon, et al., *Proc. Natl. Acad. Sci. U.S.A.*, 89:2624 (1992).\n\nB. Decreased phytate content. 1) Introduction of a phytase-encoding gene would enhance breakdown of phytate, adding more free phosphate to the transformed plant. For example, see, Van Hartingsveldt, et al., *Gene*, 127:87 (1993), for a disclosure of the nucleotide sequence of an *Aspergillus niger* phytase gene; 2) A gene could be introduced that reduced phytate content. In maize, this, for example, could be accomplished by cloning and then reinIntroducing DNA associated with the single allele which is responsible for maize mutants characterized by low levels of phytic acid. See, Raboy, et al., *Maydica*, 35:383 (1990).\n\nC. Modified carbohydrate composition effected, for example, by transforming plants with a gene coding for an enzyme that alters the branching pattern of starch. See, Shiroza, et al., *J. Bacteol.*, 170:810 (1988) (nucleotide sequence of *Streptococcus* mutants fructosyltransferase gene); Steinmetz, et al., *Mol. Gen. Genet.*, 20:220 (1985) (nucleotide sequence of *Bacillus subtilis* levansucrase gene); Pen, et al., *Bio/Technology*, 10:292 (1992) (production of transgenic plants that express *Bacillus licheniformis* α-amylase); Elliot, et al., *Plant Molec. Biol.*, 21:515 (1993) (nucleotide sequences of tomato invertase genes); Sogaard, et al., *J. Biol. Chem.*, 268:22480 (1993) (site-directed mutagenesis of barley α-amylase gene); and Fisher, et al., *Plant Physiol.*, 102:1045 (1993) (maize endospellin starch branching enzyme II).\n\n4. Genes that Control Male Sterility:\n\nThere are several available methods of conferring genetic male sterility available, such as multiple mutant genes at separate locations within the genome that confer male sterility, as disclosed in U.S. Pat. Nos. 4,654,465 and 4,727,219 to Brar, et al., and chromosomal translocations as described by Patterson in U.S. Pat. Nos. 3,861,709 and 3,710,511. In addition to these methods, Albertsen, et al., U.S. Pat. No. 5,432,068, describes a system of nuclear male sterility which includes: identifying a gene which is critical to male fertility; silencing this native gene which is critical to male fertility; removing the native promoter from the essential male fertility gene and replacing it with an inducible promoter; inserting this genetically engineered gene back into the plant; and thus creating a plant that is male sterile because the inducible promoter is not \"on\" resulting in the male fertility gene not being transcribed. Fertility is restored by inducing, or turning \"on,\" the promoter, which in turn allows the gene that confers male fertility to be transcribed.\n\nA. A tapetum-specific gene, RTS, a rice anther-specific gene is required for male fertility and its promoter sequence directs tissue-specific gene expression in different plant species. Luo, Hong, et al., *Plant Molecular Biology*, 62(3): 397-408(12) (2006). Introduction of a deacetylase gene under the control of a tapetum-specific promoter and with the application of the chemical N—Ac-PPT. See PCT Publication No. WO 01/29237.\n\nB. Introduction of various stamen-specific promoters. Rice anther-specific promoters which are of particular utility in the production of transgenic male-sterile monocots and plants for restoring their fertility. See, U.S. Pat. No. 5,639,948. See also, PCT Publication Nos. WO 92/13956 and WO 92/13957.\n\nC. Introduction of the bamase and the barstar genes. See, Paul, et al., *Plant Mol. Biol.*, 19:611-622 (1992).\n\nFor additional examples of nuclear male and female sterility systems and genes, see also, U.S. Pat. Nos. 5,859,341, 6,297,426, 5,478,369, 5,824,524, 5,850,014, and 6,265,640. See also, Hanson, Maureen R., et al., “Interactions of Mitochondrial and Nuclear Genes That Affect Male Gametophyte Development,” *Plant Cell*, 16:S154-S169 (2004), all of which are hereby incorporated by reference\n\n5. Genes that Create a Site for Site Specific DNA Integration:\n\nThis includes the introduction of FRT sites that may be used in the FLP/FRT system and/or Lox sites that may be used in the Cre/Loxp system. For example, see, Lyznik, et al., Site-Specific Recombination for Genetic Engineering in Plants, *Plant Cell Rep.*, 21:925-932 (2003) and PCT Publication No. WO 99/25821, which are hereby incorporated by reference. Other systems that may be used include the Gin recombinase of phage Mu (Maeser, et al. (1991); Vicki Chandler, The Maize Handbook, ch. 118, Springer-Verlag (1994), the Pin recombinase of *E. coli* (Enomoto, et al. (1983)), and the R/RS system of the pSR1 plasmid (Araki, et al. (1992)).\n\n6. Genes that Affect Abiotic Stress Resistance:\n\nGenes that affect abiotic stress resistance (including, but not limited to, flowering, panicle/glume and seed development, enhancement of nitrogen utilization efficiency, altered nitrogen responsiveness, drought resistance or tolerance, cold resistance or tolerance, and salt resistance or tolerance) and increased yield under stress. For example, see: Xiong, Lizhong, et al., “Disease Resistance and Abiotic Stress Tolerance in Rice Are Inversely Modulated by an Abscisic Acid-Inducible Mitogen-Activated Protein Kinase,” *The Plant Cell*. 15:745-759 (2003), where OsMAPK5 can positively regulate drought, salt, and cold tolerance and negatively modulate PR gene expression and broad-spectrum disease resistance in rice; Chen, Fang, et. al., “The Rice 14-3-3 Gene Family and its Involvement in Responses to Biotic and Abiotic Stress,” *DNA Research*, 13(2):53-63 (2006), where at least four rice GF14 genes, GF14b, GF14c, GF14e, and Gf14f, were differentially regulated by salinity, drought, wounding, and abscisic acid; PCT Publication No. WO 00/73475 where water use efficiency is altered through alteration of malate; U.S. Pat. Nos. 5,892,009, 5,965,705, 5,929,305, 5,891,859, 6,417,428, 6,664,446, 6,717,034, and 6,801,104, and PCT Publication Nos. WO 2000/060089, WO 2001/026459, WO 2001/035725, WO 2001/034726, WO 2001/035727, WO 2001/036444, WO 2001/036597, WO 2001/036598, WO 2002/015675, WO 2002/017430, WO 2002/077185, WO 2002/079403, WO 2003/013227, WO 2003/013228, WO 2003/014327, WO 2004/031349, WO 2004/076638, WO 98/09521, and WO 99/38977 describing genes, including CBF genes and transcription factors effective in mitigating the negative effects of freezing, high salinity, and drought on plants, as well as conferring other positive effects on plant phenotype; U.S. Publication No. 2004/0148654 and PCT Publication No. WO 01/36596 where abscisic acid is altered in plants resulting in improved plant phenotype such as increased yield and/or increased tolerance to abiotic stress; PCT Publication Nos. WO 2000/006341 and WO 04/090143, U.S. Publication No. 2004/0237147, and U.S. Pat. No. 6,992,237, where cytokinin expression is modified resulting in plants with increased stress tolerance, such as drought tolerance and/or increased yield. Also see, PCT Publication Nos. WO 02/02776, WO 2003/052063, WO 01/46898, JP 2002281975, and U.S. Pat. Nos. 6,084,153, 6,177,275, and 6,107,547 (enhancement of nitrogen utilization and altered nitrogen responsiveness). For ethylene alteration, see, U.S. Publication Nos. 2004/0128719 and 2003/0166197 and PCT Publication No. WO 2000/32761. For plant transcription factors or transcriptional regulators of abiotic stress, see, e.g., U.S. Publication Nos. 2004/0098764 and 2004/0078852.\n\nOther genes and transcription factors that affect plant growth and agronomic traits such as yield, flowering, plant growth, and/or plant structure, can be introduced or introgressed into plants, see, e.g., PCT Publication Nos. WO 97/49811 (LHY), WO 98/56918 (ESD4), WO 97/10339, WO 96/14414 (CON), WO 96/38560, WO 01/21822 (VRN1), WO 00/44918 (VRN2), WO 99/49064 (GIL), WO 00/46358 (FRL), WO 97/29123, WO 99/09174 (D8 and Rht), and U.S. Pat. No. 6,573,430 (TFL), U.S. Pat. No. 6,713,663 (FT), U.S. Pat. Nos. 6,794,560, 6,307,126 (GAI), and PCT Publication Nos. WO 2004/076638 and WO 2004/031349 (transcription factors).\n\nMethods for Rice Transformation\n\nNumerous methods for plant transformation have been developed, including biological and physical plant transformation protocols. See, for example, Miki, et al., “Procedures for Introducing Foreign DNA into Plants,” in *Methods in Plant Molecular Biology and Biotechnology*, Glick and Thompson Eds., CRC Press, Inc., Boca Raton, pp. 67-88 (1993). In addition, expression vectors and in vitro culture methods for plant cell or tissue transformation and regeneration of plants are available. See, for example, Gruber, et al., “Vectors for Plant Transformation,” in *Methods in Plant Molecular Biology and Biotechnology*, Glick and Thompson Eds., CRC Press, Inc., Boca Raton, pp. 89-119 (1993).\n\nA. *Agrobacterium*-mediated Transformation—One method for introducing an expression vector into plants is based on the natural transformation system of *Agrobacterium*. See, for example, Horsch, et al., *Science*, 227:1229 (1985). *A. tumefaciens* and *A. rhizogenes* are plant pathogenic soil bacteria which genetically transform plant cells. The Ti and Ri plasmids of *A. tumefaciens* and *A. rhizogenes*, respectively, carry genes responsible for genetic transformation of the plant. See, for example, Kado, C. I., *Crit. Rev. Plant Sci.*, 10:1 (1991). Descriptions of *Agrobacterium* vector systems and methods for *Agrobacterium*-mediated gene transfer are provided by Gruber, et al., supra, Mild, et al., supra, and Moloney, et al., *Plant Cell Reports*, 8:238 (1989). See also, U.S. Pat. No. 5,591,616, issued Jan. 7, 1997.\n\nB. Direct Gene Transfer—Despite the fact the host range for *Agrobacterium*-mediated transformation is broad, some major cereal crop species and gymnosperms have generally been recalcitrant to this mode of gene transfer, even though some success has recently been achieved in rice and corn. Hiei, et al., *The Plant Journal*, 6:271-282 (1994) and U.S. Pat. No. 5,591,616, issued Jan. 7, 1997. Several methods of plant transformation, collectively referred to as direct gene transfer, have been developed as an alternative to *Agrobacterium*-mediated transformation.\n\nA generally applicable method of plant transformation is microprojectile-mediated transformation wherein DNA is carried on the surface of microprojectiles measuring 1 to 4 μm. The expression vector is introduced into plant tissues with a biolistic device that accelerates the microprojectiles to speeds of 300 to 600 m/s which is sufficient to penetrate plant cell walls and membranes. Sanford, et al., *Part. Sci. Technol.*, 5:27 (1987); Sanford, *J. C.*, *Trends Biotech.*, 6:299 (1988); Klein, et al., *Bio/Technology*, 6:559-563 (1988); Sanford, *J. C.*, *Physiol Plant*, 7:206 (1990); Klein, et al., *Biotechnology*, 10:268 (1992). In corn, several target tissues can be bombarded with DNA-coated microprojectiles in order to produce transgenic plants, including, for example, callus (Type I or Type II), immature embryos, and meristematic tissue.\n\nAnother method for physical delivery of DNA to plants is sonication of target cells. Zhang, et al., *Bio/Technology*, 9:996 (1991). Additionally, liposome and spheroplast fusion have been used to introduce expression vectors into plants. Deshayes, et al., *EMBO J.*, 4:2731 (1985); Christou, et al., *Proc Natl. Acad. Sci. USA.*, 84:3962 (1987). Direct uptake of DNA into protoplasts using CaCl₂ precipitation, polyvinyl alcohol or poly-L-ornithine has also been reported. Hain, et al., *Mol. Gen. Genet.*, 199:161 (1985) and Draper, et al., *Plant Cell Physiol.*, 23:451 (1982). Electroporation of protoplasts and whole cells and tissues have also been described. Donn, et al., In Abstracts of VIIth International Congress on Plant Cell and Tissue Culture IAPTC, A2-38, p. 53 (1990); D’Halluin, et al., *Plant Cell*, 4:1495-1505 (1992); and Spencer, et al., *Plant Mol. Biol.*, 24:51-61 (1994).\n\nFollowing transformation of rice target tissues, expression of the above-described selectable marker genes allows for preferential selection of transformed cells, tissues, and/or plants using regeneration and selection methods now well known in the art.\n\nThe foregoing methods for transformation would typically be used for producing a transgenic cultivar. The transgenic cultivar could then be crossed, with another (non-transformed or transformed) cultivar, in order to produce a new transgenic cultivar. Alternatively, a genetic trait which has been engineered into a particular rice cultivar using the foregoing transformation techniques could be moved into another cultivar using traditional backcrossing techniques that are well known in the plant breeding arts. For example, a backcrossing approach could be used to move an engineered trait from a public, non-elite cultivar into an elite cultivar, or from a cultivar containing a foreign gene in its genome into a cultivar which does not contain that gene. As used herein, “crossing” can refer to a simple X by Y cross, or the process of backcrossing, depending on the context.\n\n**Gene Conversion**\n\nWhen the term “rice plant” is used in the context of the present invention, this also includes any gene conversions of that cultivar. The teen gene converted plant as used herein refers to those rice plants which are developed by a plant breeding technique called backcrossing wherein essentially all of the desired morphological and physiological characteristics of a cultivar are recovered in addition to the one or more genes transferred into the cultivar via the backcrossing technique. Backcrossing methods can be used with the present invention to improve or introduce a characteristic into the cultivar. The term backcrossing as used herein refers to the repeated crossing of a hybrid progeny back to one of the parental rice plants, the recurrent parent, for that cultivar, i.e., backcrossing 1, 2, 3, 4, 5, 6, 7, 8, 9, or more times to the recurrent parent. The parental rice plant which contributes the gene for the desired characteristic is termed the nonrecurrent or donor parent. This terminology refers to the fact that the nonrecurrent parent is used one time in the backcross protocol and therefore does not recur. The parental rice plant to which the gene or genes from the nonrecurrent parent are transferred is known as the recurrent parent as it is used for several rounds in the backcrossing protocol (Poehlman & Sleper (1994); Fehr (1987)). In a typical backcross protocol, the original cultivar of interest (recurrent parent) is crossed to a second cultivar (nonrecurrent parent) that carries the single gene or genes of interest to be transferred. The resulting progeny from this cross are then crossed again to the recurrent parent and the process is repeated until a rice plant is obtained wherein essentially all of the desired morphological and physiological characteristics of the recurrent parent are recovered in the converted plant, in addition to one or more transferred genes from the nonrecurrent parent as determined at the 5% significance level when grown in the same environmental conditions.\n\nThe selection of a suitable recurrent parent is an important step for a successful backcrossing procedure. The goal of a backcross protocol is to alter or substitute a single trait or characteristic in the original cultivar. To accomplish this, one or more genes of the recurrent cultivar is modified or substituted with the desired gene or genes from the nonrecurrent parent, while retaining essentially all of the rest of the desired genetic, and therefore the desired physiological and morphological, constitution of the original cultivar. The\n\nchoice of the particular nonrecurrent parent will depend on the purpose of the backcross; one of the major purposes is to add some commercially desirable, agronomically important trait to the plant. The exact backcrossing protocol will depend on the characteristic or trait being altered to determine an appropriate testing protocol. Although backcrossing methods are simplified when the characteristic being transferred is a dominant allele, a recessive allele may also be transferred. In this instance it may be necessary to introduce a test of the progeny to determine if the desired characteristic has been successfully transferred.\n\nMany single gene traits have been identified that are not regularly selected for in the development of a new cultivar but that can be improved by backcrossing techniques. Single gene traits may or may not be transgenic. Examples of these traits include but are not limited to, male sterility, waxy starch, herbicide resistance, resistance for bacterial, fungal, or viral disease, insect resistance, male fertility, enhanced nutritional quality, industrial usage, yield stability and yield enhancement. These genes are generally inherited through the nucleus. Some known exceptions to this are the genes for male sterility, some of which are inherited cytoplasmically, but still act as single gene traits. Several of these single gene traits are described in U.S. Pat. Nos. 5,777,196, 5,948,957, and 5,969,212, the disclosures of which are specifically hereby incorporated by reference.\n\nTissue Culture\n\nFurther reproduction of the variety can occur by tissue culture and regeneration. Tissue culture of various tissues of rice and regeneration of plants therefrom is well known and widely published. For example, reference may be had to Komatsuda, T., et al., *Crop Sci.*, 31:333-337 (1991); Stephens, P. A., et al., *Theor. Appl. Genet.*, 82:633-635 (1991); Komatsuda, T., et al., *Plant Cell, Tissue and Organ Culture*, 28:103-113 (1992); Dhir, S., et al., *Plant Cell Reports*, 11:285-289 (1992); Pandey, P., et al., *Japan J. Breed.*, 42:1-5 (1992); and Shetty, K., et al., *Plant Science*, 81:245-251 (1992); as well as U.S. Pat. No. 5,024,944, issued Jun. 18, 1991 to Collins, et al., and U.S. Pat. No. 5,008,200, issued Apr. 16, 1991 to Ranch, et al. Thus, another aspect of this invention is to provide cells which upon growth and differentiation produce rice plants having the physiological and morphological characteristics of rice variety RU1401105.\n\nAs used herein, the term “tissue culture” indicates a composition comprising isolated cells of the same or a different type or a collection of such cells organized into parts of a plant. Exemplary types of tissue cultures are protoplasts, calli, plant clumps, and plant cells that can generate tissue culture that are intact in plants or parts of plants, such as embryos, pollen, flowers, seeds, pods, leaves, stems, roots, root tips, anthers, and the like. Means for preparing and maintaining plant tissue culture are well known in the art. By way of example, a tissue culture comprising organs has been used to produce regenerated plants. U.S. Pat. Nos. 5,959,185; 5,973,234, and 5,977,445 describe certain techniques, the disclosures of which are incorporated herein by reference.\n\nAs used herein, the term “plant” includes plant cells, plant protoplasts, plant cells of tissue culture from which rice plants can be regenerated, plant calli, plant clumps, and plant cells that are intact in plants or parts of plants, such as pollen, flowers, embryos, ovules, seeds, pods, leaves, stems, pistils, anthers, and the like. Thus, another aspect of this invention is to provide for cells which upon growth and differentiation produce a cultivar having essentially all of the physiological and morphological characteristics of RU1401105.\n\nThe present invention contemplates a rice plant regenerated from a tissue culture of a variety (e.g., RU1401105) or hybrid plant of the present invention. As is well known in the art, tissue culture of rice can be used for the in vitro regeneration of a rice plant. Tissue culture of various tissues of rice and regeneration of plants therefrom is well known and widely published. For example, reference may be had to Chu, Q. R., et al., “Use of bridging parents with high anther culturability to improve plant regeneration and breeding value in rice,” *Rice Biotechnology Quarterly*, 38:25-26 (1999); Chu, Q. R., et al., “A novel plant regeneration medium for rice anther culture of Southern U.S. crosses,” *Rice Biotechnology Quarterly*, 35:15-16 (1998); Chu, Q. R., et al., “A novel basal medium for embryogenic callus induction of Southern US crosses,” *Rice Biotechnology Quarterly*, 32:19-20 (1997); and Oono, K., “Broadening the Genetic Variability By Tissue Culture Methods,” *Jap. J. Breed.*, 33 (S appl. 2), 306-307, illus. 1983. Thus, another aspect of this invention is to provide cells which upon growth and differentiation produce rice plants having the physiological and morphological characteristics of variety RU1401105.\n\nDuncan, et al., *Planta*, 165:322-332 (1985), reflects that 97% of the plants cultured that produced callus were capable of plant regeneration. Subsequent experiments with both cultivars and hybrids produced 91% regenerable callus that produced plants. In a further study in 1988, Songstad, et al., *Plant Cell Reports*, 7:262-265 (1988), reports several media additions that enhance regenerability of callus of two cultivars. Other published reports also indicated that “non-traditional” tissues are capable of producing somatic embryogenesis and plant regeneration. K. P. Rao, et al., *Maize Genetics Cooperation Newsletter*, 60:64-65 (1986), refers to somatic embryogenesis from glume callus cultures and B. V. Conger, et al., *Plant Cell Reports*, 6:345-347 (1987), indicates somatic embryogenesis from the tissue cultures of corn leaf segments. Thus, it is clear from the literature that the state of the art is such that these methods of obtaining plants are routinely used and have a very high rate of success.\n\nThe utility of rice cultivar RU1401105 also extends to crosses with other species. Commonly, suitable species will be of the family Graminaceae, and especially of the genera *Zea, Tripsacum*, Croix, Schlerachne, Polytoca, Chionachne, and Trilobachne, of the tribe Maydeae.\n\nAdditional Breeding Methods\n\nAlthough specific breeding objectives vary somewhat in the different regions, increasing yield is a primary objective in all programs. Grain yield of rice is determined by the number of panicles per unit area, the number of fertile florets per panicle, and grain weight per floret. Increases in any or all of these yield components may provide a mechanism to obtain higher yields. Heritable variation exists for all of these components, and breeders may directly or indirectly select for increases in any of them.\n\nThere are numerous steps in the development of any novel, desirable plant germplasm. Plant breeding begins with the analysis and definition of problems and weaknesses of the current germplasm, the establishment of program goals, and the definition of specific breeding objectives. The next step is selection of germplasm that possess the traits to meet the program goals. The goal is to combine in a single variety an improved combination of desirable traits from the parental germplasm. These important traits may include higher seed yield, resistance to diseases and insects, better stems and roots, tolerance to low temperatures, and better agronomic characteristics or grain quality.\n\nChoice of breeding or selection methods depends on the mode of plant reproduction, the heritability of the trait(s) being improved, and the type of cultivar used commercially (e.g., F₁ hybrid cultivar, pureline cultivar, etc.). For highly heritable traits, a choice of superior individual plants evaluated at a single location will be effective, whereas for traits\n\nwith low heritability, selection should be based on mean values obtained from replicated evaluations of families of related plants. Popular selection methods commonly include pedigree selection, modified pedigree selection, mass selection, and recurrent selection, or a combination of these methods.\n\nThe complexity of inheritance influences choice of the breeding method. Backcross breeding is used to transfer one or a few favorable genes for a highly heritable trait into a desirable cultivar. This approach has been used extensively for breeding disease-resistant cultivars. Various recurrent selection techniques are used to improve quantitatively inherited traits controlled by numerous genes. The use of recurrent selection in self-pollinating crops depends on the ease of pollination, the frequency of successful hybrids from each pollination, and the number of hybrid offspring from each successful cross.\n\nEach breeding program should include a periodic, objective evaluation of the efficiency of the breeding procedure. Evaluation criteria vary depending on the goal and objectives, but should include gain from selection per year based on comparisons to an appropriate standard, overall value of the advanced breeding lines, and number of successful cultivars produced per unit of input (e.g., per year, per dollar expended, etc.).\n\nPromising advanced breeding lines are thoroughly tested and compared to appropriate standards in environments representative of the commercial target area(s) for three or more years. The best lines are candidates for new commercial cultivars; those still deficient in a few traits may be used as parents to produce new populations for further selection.\n\nThese processes, which lead to the final step of marketing and distribution, usually take from 8 to 12 years from the time the first cross is made and may rely on the development of improved breeding lines as precursors. Therefore, development of new cultivars is a time-consuming process that requires precise forward planning, efficient use of resources, and a minimum of changes in direction.\n\nA most difficult task is the identification of individuals that are genetically superior, because for most traits the true genotypic value is masked by other confounding plant traits or environmental factors. One method of identifying a superior plant is to observe its performance relative to other experimental plants and to a widely grown standard cultivar. If a single observation is inconclusive, replicated observations provide a better estimate of its genetic worth.\n\nThe goal of rice plant breeding is to develop new, unique and superior rice cultivars and hybrids. The breeder initially selects and crosses two or more parental lines, followed by self-pollination and selection, producing many new genetic combinations. The breeder can theoretically generate billions of different genetic combinations via crossing, selling, and mutations. The breeder has no direct control at the cellular level. Therefore, two breeders will never develop the same line, or even very similar lines, having the same rice traits.\n\nEach year, the plant breeder selects the germplasm to advance to the next generation. This germplasm is grown under unique and different geographical, climatic and soil conditions, and further selections are then made, during and at the end of the growing season. The cultivars which are developed are unpredictable. This unpredictability is because the breeder's selection occurs in unique environments, with no control at the DNA level (using conventional breeding procedures), and with millions of different possible genetic combinations being generated. A breeder of ordinary skill in the art cannot predict the final resulting lines he develops, except possibly in a very gross and general fashion. The same breeder cannot produce the same cultivar twice by using the exact same original parents and the same selection techniques. This unpredictability results in the expenditure of large amounts of research monies to develop superior new rice cultivars.\n\nThe development of new rice cultivars requires the development and selection of rice varieties, the crossing of these varieties and selection of superior crosses. The F₁ seed is produced by manual crosses between selected male-fertile parents or by using male sterility systems. These F₁s are selected for certain single gene traits such as semi-dwarf plant type, pubescence, awns, and apiculus color which indicate that the seed is truly a hybrid. Additional data on parental lines, as well as the phenotype of the F₁, influence the breeder's decision whether to continue with the specific cross.\n\nPedigree breeding and recurrent selection breeding methods are used to develop cultivars from breeding populations. Breeding programs combine desirable traits from two or more cultivars or various broad-based sources into breeding pools from which cultivars are developed by selfing and selection of desired phenotypes. The new cultivars are evaluated to determine which have commercial potential.\n\nPedigree breeding is used commonly for the improvement of self-pollinating crops. Two parents which possess favorable, complementary traits are crossed to produce an F₁. An F₂ population is produced by selfing one or several F₁'s. Selection of the best individuals may begin in the F₂ population; then, beginning in the F₃, the best individuals in the best families are selected. Replicated testing of families can begin in the F₄ generation to improve the effectiveness of selection for traits with low heritability. At an advanced stage of inbreeding (i.e., F₆ and F₇), the best lines or mixtures of phenotypically similar lines are tested for potential release as new cultivars.\n\nMass and recurrent selections can be used to improve populations of either self- or cross-pollinating crops. A genetically variable population of heterozygous individuals is either identified or created by intercrossing several different parents. The best plants are selected based on individual superiority, outstanding progeny, or excellent combining ability. The selected plants are intercrossed to produce a new population in which further cycles of selection are continued.\n\nBackcross breeding has been used to transfer genes for a simply inherited, highly heritable trait into a desirable homozygous cultivar or inbred line which is the recurrent parent. The source of the trait to be transferred is called the donor parent. The resulting plant is expected to have the attributes of the recurrent parent (e.g., cultivar) and the desirable trait transferred from the donor parent. After the initial cross, individuals possessing the phenotype of the donor parent are selected and repeatedly crossed (backcrossed) to the recurrent parent. The resulting plant is expected to have the attributes of the recurrent parent (e.g., cultivar) and the desirable trait transferred from the donor parent.\n\nThe single-seed descent procedure in the strict sense refers to planting a segregating population, harvesting a sample of one seed per plant, and using the one seed sample to plant the next generation. When the population has been advanced from the F₂ to the desired level of inbreeding, the plants from which lines are derived will each trace to different F₂ individuals. The number of plants in a population declines each generation due to failure of some seeds to germinate or some plants to produce at least one seed. As a result, not all of the F₂ plants originally sampled in the population will be represented by a progeny when generation advance is completed.\n\nIn a multiple-seed procedure, rice breeders commonly harvest one or more seeds from each plant in a population\n\nand thresh them together to form a bulk. Part of the bulk is used to plant the next generation and part is put in reserve. The procedure has been referred to as modified single-seed descent or the pod-bulk technique.\n\nThe multiple-seed procedure has been used to save labor at harvest. It is considerably faster to thresh panicles with a machine than to remove one seed from each by hand for the single-seed procedure. The multiple-seed procedure also makes it possible to plant the same number of seeds of a population each generation of inbreeding. Enough seeds are harvested to make up for those plants that did not germinate or produce seed.\n\nDescriptions of other breeding methods that are commonly used for different traits and crops can be found in one of several reference books (e.g., Allard, 1960; Simmonds, 1979; Sneep, et. al, 1979; Fehr, 1987).\n\nProper testing should detect any major faults and establish the level of superiority or improvement over current cultivars. In addition to showing superior performance, there must be a demand for a new cultivar that is compatible with industry standards or which creates a new market. The introduction of a new cultivar will incur additional costs to the seed producer, the grower, processor and consumer; for special advertising and marketing, altered seed and commercial production practices, and new product utilization. The testing preceding release of a new cultivar should take into consideration research and development costs as well as technical superiority of the final cultivar. For seed-propagated cultivars, it must be feasible to produce seed easily and economically.\n\nThis invention also is directed to methods for producing a rice plant by crossing a first parent rice plant with a second parent rice plant wherein the first or second parent rice plant is a rice plant of the variety RU1401105. Further, both first and second parent rice plants can come from the rice variety RU1401105. Thus, any such methods using the rice variety RU1401105 are part of this invention: selling, backcrosses, hybrid production, crosses to populations, and the like. All plants produced using rice variety RU1401105 as a parent are within the scope of this invention, including those developed from varieties derived from rice variety RU1401105. Advantageously, the rice variety could be used in crosses with other, different, rice plants to produce the first generation (F₁) rice hybrid seeds and plants with superior characteristics. The variety of the invention can also be used for transformation where exogenous genes are introduced and expressed by the variety of the invention. Genetic variants created either through traditional breeding methods using variety RU1401105 or through transformation of RU1401105 by any of a number of protocols known to those of skill in the art are intended to be within the scope of this invention.\n\nThe following describes breeding methods that may be used with cultivar RU1401105 in the development of further rice plants. One such embodiment is a method for developing a RU1401105 progeny rice plant in a rice plant breeding program comprising: obtaining the rice plant, or a part thereof, of cultivar RU1401105 utilizing said plant or plant part as a source of breeding material and selecting a RU1401105 progeny plant with molecular markers in common with RU1401105 and/or with morphological and/or physiological characteristics selected from the characteristics listed in Tables 2 or 3. Breeding steps that may be used in the rice plant breeding program include pedigree breeding, back crossing, mutation breeding, and recurrent selection. In conjunction with these steps, techniques such as RFLP-enhanced selection, genetic marker enhanced selection (for example SSR markers) and the making of double haploids may be utilized.\n\nAnother method involves producing a population of cultivar RU1401105 progeny rice plants, comprising crossing cultivar RU1401105 with another rice plant, thereby producing a population of rice plants, which, on average, derive 50% of their alleles from cultivar RU1401105. A plant of this population may be selected and repeatedly selfed or sibbed with a rice cultivar resulting from these successive filial generations. One embodiment of this invention is the rice cultivar produced by this method and that has obtained at least 50% of its alleles from cultivar RU1401105.\n\nOne of ordinary skill in the art of plant breeding would know how to evaluate the traits of two plant varieties to determine if there is no significant difference between the two traits expressed by those varieties. For example, see, Fehr and Walt, Principles of Cultivar Development, pp. 261–286 (1987). Thus the invention includes rice cultivar RU1401105 progeny rice plants comprising a combination of at least two RU1401105 traits selected from the group consisting of those listed in the Tables herein, or the RU1401105 combination of traits listed in the Summary of the Invention, so that said progeny rice plant is not significantly different for said traits than rice cultivar RU1401105 as determined at the 5% significance level when grown in the same environment. Using techniques described herein, molecular markers may be used to identify said progeny plant as a RU1401105 progeny plant. Mean trait values may be used to determine whether trait differences are significant, and preferably the traits are measured on plants grown under the same environmental conditions. Once such a variety is developed its value is substantial since it is important to advance the germplasm base as a whole in order to maintain or improve traits such as yield, disease resistance, pest resistance, and plant performance in extreme environmental conditions.\n\nProgeny of rice cultivar RU1401105 may also be characterized through their filial relationship with rice cultivar RU1401105, as for example, being within a certain number of breeding crosses office cultivar RU1401105. A breeding cross is a cross made to introduce new genetics into the progeny, and is distinguished from a cross, such as a self or a sib cross, made to select among existing genetic alleles. The lower the number of breeding crosses in the pedigree, the closer the relationship between rice cultivar RU1401105 and its progeny. For example, progeny produced by the methods described herein may be within 1, 2, 3, 4, or 5 breeding crosses of rice cultivar RU1401105.\n\nPedigree Breeding\n\nThe seed of rice cultivar RU1401105, the plant produced from the cultivar seed, the hybrid rice plant produced from the crossing of the cultivar, hybrid seed, and various parts of the hybrid rice plant and transgenic versions of the foregoing, can be utilized for human food, livestock feed, and as a raw material in industry.\n\nIn Table 2, agronomic characteristics are shown for rice cultivar RU1401105 and for eight other rice cultivars. These data are the result of the Arkansas Rice Performance Trials (ARPT) conducted in 2014. (Stuttgart, Rice Research and Extension Center (RREC); Colt, Pine Tree Branch Experiment Station (PTES); Clay Co.; and Desha Co.). Column one shows the variety, column two shows the yield in bushels per acre, column three shows the plant height in inches, column four shows the maturity in days to 50% heading, column five shows the kernel weight in milligrams and column six shows the milling percent head rice (or whole kernel rice) as compared to the percent of total milled rice. Milling data collected from RREC, PTES, Clay Co., and Desha Co. test plots.\n\n### TABLE 2\n\n| VARIETY | YIELD (BU/AC) | HEIGHT (IN.) | MATURITY (50% HD) | KERNEL WT (mg)* | MILLING HR:TOT* |\n|-------------|---------------|--------------|-------------------|-----------------|-----------------|\n| RU1401105 | 173 | 39.5 | 87 | 21.5 | 69:72 |\n| RU1501102 | 141 | 37.6 | 89 | 23.1 | 66:70 |\n| Jazzman-2 | 171 | 39.1 | 87 | 21.3 | 68:71 |\n| CL Jazzman | 164 | 39.5 | 88 | 22.2 | 67:71 |\n| Antonio | 172 | 36.5 | 86 | 19.8 | 69:72 |\n| Mementau | 176 | 37.4 | 86 | 19.5 | 68:71 |\n| Roy J | 186 | 41.3 | 90 | 21.0 | 66:71 |\n| Taggart | 206 | 43.1 | 89 | 22.1 | 67:71 |\n| Wells | 181 | 41.7 | 88 | 21.3 | 68:72 |\n\nIn Table 3, agronomic characteristics are shown for rice cultivar RU1401105 and for six other rice cultivars. These data are the result of the Arkansas Rice Performance Trials (ARPT) conducted in 2015. (Stuttgart, Rice Research and Extension Center (RREC); Keiser, Northeast Research and Extension Center (NEREC); Colt, Pine Tree Branch Experiment Station (PTES); Clay Co.; and Desha Co.). Column one shows the variety, column two shows the yield in bushels per acre, column three shows the plant height in inches, column four shows the maturity in days to 50% heading, column five shows the kernel weight in milligrams and column six shows the milling percent head rice (or whole kernel rice) as compared to the percent of total milled rice. Milling data collected from RREC, NEREC, PTES, NES, and Clay Co. test plots.\n\n### TABLE 3\n\n| VARIETY | YIELD (BU/AC) | HEIGHT (IN.) | MATURITY (50% HD) | KERNEL WT (mg)* | MILLING HR:TOT* |\n|-------------|---------------|--------------|-------------------|-----------------|-----------------|\n| RU1401105 | 142 | 37.3 | 78 | 22.0 | 69:72 |\n| RU1501102 | 138 | 35.8 | 79 | 24.1 | 65:70 |\n| Antonio | 141 | 36.5 | 75 | 20.5 | 68:71 |\n| Mementau | 161 | 37.0 | 76 | 20.5 | 67:70 |\n| Roy J | 169 | 39.1 | 81 | 20.6 | 65:71 |\n| Taggart | 167 | 41.4 | 82 | 22.9 | 66:72 |\n| Wells | 161 | 38.7 | 78 | 21.8 | 67:72 |\n\nIn Table 4, agronomic characteristics are shown for rice cultivar RU1401105 and for five other rice cultivars. These data are the result of the Arkansas Rice Performance Trials (ARPT) conducted in 2016. (Stuttgart, Rice Research and Extension Center (RREC); Keiser, Northeast Research and Extension Center (NEREC); Colt, Pine Tree Branch Experiment Station (PTES); Newport, (NES); and Clay Co.). Column one shows the variety, column two shows the yield in bushels per acre, column three shows the plant height in inches, column four shows the maturity in days to 50% heading, column five shows the kernel weight in milligrams and column six shows the milling percent head rice (or whole kernel rice) as compared to the percent of total milled rice. Milling data collected from RREC, NEREC, PTES, NES, and Clay Co. test plots.\n\n### TABLE 4\n\n| VARIETY | YIELD (BU/AC) | HEIGHT (IN.) | MATURITY (50% HD) | KERNEL WT (mg)* | MILLING HR:TOT* |\n|-------------|---------------|--------------|-------------------|-----------------|-----------------|\n| RU1401105 | 162 | 41.6 | 84 | 21.6 | 65:69 |\n| RU1501102 | 147 | 38.8 | 86 | 22.6 | 63:68 |\n| Mementau | 159 | 40.3 | 85 | 20.0 | 64:68 |\n| Roy J | 167 | 43.6 | 90 | 20.5 | 63:69 |\n| Taggart | 179 | 45.4 | 88 | 23.1 | 65:70 |\n| Wells | 171 | 42.7 | 85 | 22.5 | 62:69 |\n\nIn Table 5, agronomic characteristics are shown for rice cultivar RU1401105 and for four other rice cultivars. These data are the result of the Arkansas Rice Performance Trials (ARPT) conducted in 2017. (Stuttgart, Rice Research and Extension Center (RREC); Keiser, Northeast Research and Extension Center (NEREC); Colt, Pine Tree Branch Experiment Station (PTES); Clay Co.; and Desha Co.). Column one shows the variety, column two shows the yield in bushels per acre, column three shows the plant height in inches, and column four shows the maturity in days to 50% heading. Kernel weight and milling data not available as of November, 2017.\n\n| VARIETY | YIELD (BU/AC) | HEIGHT (IN.) | MATURITY (50% HD) | KERNEL WT (mg)* | MILLING HR:TOT* |\n|-----------|---------------|--------------|-------------------|-----------------|-----------------|\n| RU1401105 | 176 | 42.1 | 92 | | |\n| RU1501102 | 177 | 41.3 | 91 | | |\n| Roy J | 196 | 42.1 | 94 | | |\n| Taggart | 183 | 46.0 | 94 | | |\n| Wells | 182 | 42.5 | 91 | | |\n\nIn Table 6, agronomic characteristics are shown for rice cultivar RU1401105 and for eight other rice cultivars. These data are the mean of the Arkansas Rice Performance Trials (ARPT) conducted in 2014-2017. (Stuttgart, Rice Research and Extension Center (RREC); Keiser, Northeast Research and Extension Center (NEREC); Colt, Pine Tree Branch Experiment Station (PTES); Newport, (NES); Clay Co.; and Desha Co.). Column one shows the variety, column two shows the average yield in bushels per acre, column three shows the average plant height in inches, column four shows the average maturity in days to 50% heading, column five shows the average kernel weight in milligrams and column six shows the average milling percent head rice (or whole kernel rice) as compared to the percent of total milled rice. Milling data collected from RREC in 2014, 2015, 2016; NEREC in 2015, 2016; NES in 2016; PTES in 2014, 2015, 2016; Clay County in 2014, 2015, 2016; and Desha County in 2014, 2015. Note: Jazzman-2 and CL Jazzman data presented from one year only (2014). Antonio data presented from two years (2014 and 2015). Mermentau and RU1501102 data presented from three years (2014, 2015, and 2016).\n\n| VARIETY | YIELD (BU/AC) | HEIGHT (IN.) | MATURITY (50% HD) | KERNEL WT (MG)* | MILLING HR:TOT* |\n|-----------|---------------|--------------|-------------------|-----------------|-----------------|\n| RU1401105 | 163 | 39.8 | 86 | 21.7 | 67:71 |\n| RU1501102#| 151 | 38.1 | 87 | 23.3 | 65:69 |\n| Jazzman-2#| 171 | 39.2 | 87 | 21.3 | 68:72 |\n| CL Jazzman#| 164 | 39.4 | 88 | 22.2 | 67:71 |\n| Antonio# | 155 | 36.5 | 81 | 20.0 | 69:71 |\n| Mermentau#| 165 | 38.3 | 83 | 20.0 | 67:70 |\n| Roy J | 179 | 41.6 | 89 | 20.7 | 65:70 |\n| Taggart | 183 | 43.8 | 88 | 22.7 | 66:71 |\n| Wells | 173 | 41.5 | 86 | 21.7 | 65:71 |\n\nIn Table 7, agronomic characteristics are shown for rice cultivar RU1401105 and for eight other rice cultivars. The data are the result of trials at the Arkansas Rice Performance Trials (ARPT) from 2014 by location, including Stuttgart, Rice Research and Extension Center (RREC); Colt, Pine Tree Branch Experiment Station (PTES); Clay Co. (CL CO); and Desha Co. (DE CO). Column one shows the variety, columns two to five give the average grain yield for each of 4 different locations for each variety in bushels per acre, column six shows the average grain yield for the 4 locations, columns seven to ten show the average head rice (%) to total rice (%) ratio for each of 4 different locations and column eleven shows the average head rice (%) to total rice (%) ratio for the 4 locations.\n\n| VARIETY | RREC | PTES | CL CO | DE CO | AVG | RREC | PTES | CL CO | DE CO | AVG |\n|-------------|------|------|-------|-------|-----|------|------|-------|-------|-----|\n| RU1401105 | 178 | 177 | 171 | 167 | 173 | 70:73| 69:71| 68:72 | 69:71 | 69:72|\n| RU1501102 | 138 | 142 | 153 | 128 | 141 | 67:70| 66:74| 67:71 | 65:68 | 66:70|\n| Jazzman-2 | 159 | 179 | 168 | 177 | 171 | 69:72| 66:71| 66:72 | 69:71 | 68:71|\n| CLJazzman | 160 | 167 | 153 | 174 | 164 | 68:71| 65:70| 66:70 | 69:71 | 67:71|\n| Antonio | 152 | 169 | 174 | 195 | 176 | 70:71| 69:72| 68:71 | 71:72 | 69:72|\n| Mermentau | 158 | 177 | 179 | 190 | 181 | 70:72| 68:71| 67:71 | 69:71 | 68:71|\n| Roy J | 178 | 197 | 208 | 160 | 172 | 67:72| 66:71| 65:72 | 65:68 | 66:71|\n| Taggart | 168 | 189 | 213 | 177 | 169 | 68:71| 66:72| 65:72 | 68:69 | 67:71|\n| Wells | 171 | 181 | 196 | 177 | 186 | 67:72| 62:72| 61:72 | 69:72 | 65:72|\n\nIn Table 8, starch-related properties are shown for rice cultivar RU1401105 and for eight other rice cultivars. The data are the result of trials at the Arkansas Rice Performance Trials (ARPT) from 2014 by location, including Stuttgart, Rice Research and Extension Center (RREC); Colt, Pine Tree Branch Experiment Station (PTES); Clay Co. (CL CO); and Desha Co. (DE CO). Column one shows the variety, columns two to five give the average apparent starch amylose content for each of 4 different locations for each variety in g kg\\(^{-1}\\), column six shows the average apparent starch amylose content for the 4 locations, columns seven to ten show the average gelatinization temperature for each of 4 different locations in degrees Celsius and column eleven shows the average gelatinization temperature for the 4 locations.\n\n| VARIETY | RREC | PTES | CL CO | DE CO | AVG | RREC | PTES | CL CO | DE CO | AVG |\n|-------------|------|------|-------|-------|-----|------|------|-------|-------|-----|\n| RU1401105 | 17.27| 14.86| 15.59 | 14.46 | 15.77| 62.28| 63.94| 63.10 | 62.71 | 63.62|\n| RU1501102 | 19.28| 16.36| 17.35 | 16.91 | 17.87| 63.14| 63.67| 62.39 | 63.84 | 63.22|\n| Jazzman-2 | 16.91| 14.59| 15.83 | 15.09 | 15.61| 61.72| 64.55| 64.60 | 66.09 | 64.24|\n| CLJazzman | 17.44| 14.27| 15.88 | 14.35 | 15.48| 62.21| 64.91| 63.77 | 62.47 | 63.34|\n| Antonio | 21.62| 20.70| 21.43 | 21.75 | 21.32| 70.64| 70.74| 71.30 | 70.21 | 70.79|\n| Mermentau | 22.83| 21.94| 22.34 | 22.40 | 23.38| 70.14| 69.90| 69.12 | 67.44 | 69.15|\n| Roy J | 23.28| 22.81| 22.85 | 22.48 | 22.86| 69.80| 69.68| 67.90 | 70.69 | 69.52|\n| Taggart | 21.61| 22.29| 24.11 | 22.30 | 22.58| 69.00| 68.73| 68.04 | 69.42 | 68.80|\n| Wells | 21.52| 18.65| 21.79 | 21.64 | 20.90| 69.48| 66.81| 69.70 | 70.07 | 69.01|\n\nIn Table 9, agronomic characteristics are shown for rice cultivar RU1401105 and for six other rice cultivars. The data are the result of trials at the Arkansas Rice Performance Trials (ARPT) from 2015 by location, including Stuttgart, Rice Research and Extension Center (RREC); Keiser, Northeast Research and Extension Center (NEREC); Colt, Pine Tree Branch Experiment Station (PTES); Clay Co. (CL CO); and Desha Co. (DE CO). Column one shows the variety, columns two to six show the average head rice (%) to total rice (%) ratio for each of 5 different locations for\n\neach variety and column seven shows the average head rice (%) to total rice (%) ratio for the 5 locations.\n\n**TABLE 10**\n\n| VARIETY | RREC | NEREC | PTES | CLAY CO | DESHA CO | AVG |\n|-------------|------|-------|------|---------|----------|-------|\n| RU1401105 | 71:73| 68:71 | 65:71| 70:72 | No Data | 69:72 |\n| RU1501102 | 67:70| 65:69 | 60:70| 68:71 | 66:70 | 65:70 |\n| Antonio | No Data | 67:70 | No Data | 69:72 | 65:72 | 68:71 |\n| Mermentau | 66:70| 67:70 | 65:69 | 69:72 | 66:70 | 67:70 |\n| Roy J | 65:70| 66:70 | 65:70 | 67:71 | 62:71 | 65:71 |\n| Taggart | 66:72| 67:70 | 64:72 | 68:72 | 67:72 | 66:72 |\n| Wells | 68:72| 69:72 | 59:72 | 69:73 | 65:70 | 67:72 |\n\nIn Table 11, starch-related properties are shown for rice cultivar RU1401105 and for six other rice cultivars. The data are the result of trials at the Arkansas Rice Performance Trials (ARPT) from 2015 by location, including Stuttgart, Rice Research and Extension Center (RREC); Keiser, Northeast Research and Extension Center (NEREC); Colt, Pine Tree Branch Experiment Station (PTES); Clay Co. (CL CO); and Desha Co. (DE CO). Column one shows the variety, columns two to six show the average apparent starch amylose content for each of 5 different locations for each variety in g kg\\(^{-1}\\), and column seven shows the average apparent starch amylose content for the 5 locations.\n\n**TABLE 11**\n\n| VARIETY | RREC | NEREC | PTES | CLAY CO | DESHA CO | AVG |\n|-------------|------|-------|------|---------|----------|-------|\n| RU1401105 | 15.93| 17.08 | 19.44| 17.67 | No Data | 17.48 |\n| RU1501102 | 18.96| 18.38 | 22.02| 19.77 | 19.58 | 19.74 |\n| Antonio | No Data | 22.13 | No Data | 24.24 | 21.59 | 23.05 |\n| Mermentau | 23.36| 22.82 | 24.80| 23.13 | 18.62 | 22.46 |\n| Roy J | 21.72| 22.30 | 25.10| 22.88 | 23.00 | 23.00 |\n| Taggart | 23.15| 21.49 | 24.37| 23.15 | 21.87 | 22.81 |\n| Wells | 21.28| 21.73 | 23.18| 22.63 | 22.81 | 22.28 |\n\nIn Table 12, starch-related properties are shown for rice cultivar RU1401105 and for six other rice cultivars. The data are the result of trials at the Arkansas Rice Performance Trials (ARPT) from 2015 by location, including Stuttgart, Rice Research and Extension Center (RREC); Keiser, Northeast Research and Extension Center (NEREC); Colt, Pine Tree Branch Experiment Station (PTES); Clay Co. (CL CO); and Desha Co. (DE CO). Column one shows the variety, columns two to six show the average gelatinization temperature for each of 5 different locations for each variety in degrees Celsius and column seven shows the average gelatinization temperature for the 5 locations.\n\n**TABLE 12**\n\n| VARIETY | RREC | NEREC | PTES | CLAY CO | DESHA CO | AVG |\n|-------------|------|-------|------|---------|----------|-------|\n| RU1401105 | 63.97| 62.31 | 61.52| 62.70 | No Data | 62.58 |\n| RU1501102 | 62.54| 63.11 | 61.48| 60.52 | 61.97 | 61.92 |\n| Antonio | No Data | 69.89 | No Data | 69.10 | 69.54 | 69.41 |\n| Mermentau | 67.29| 67.15 | 68.41| 69.00 | 67.50 | 68.39 |\n| Roy J | 69.44| 68.74 | 67.12| 68.38 | 68.95 | 68.53 |\n| Taggart | 70.05| 68.41 | 66.41| 67.22 | 67.49 | 67.92 |\n| Wells | 69.86| 67.79 | 66.35| 68.96 | 70.13 | 68.55 |\n\nIn Table 13, agronomic characteristics are shown for rice cultivar RU1401105 and for five other rice cultivars. The data are the result of trials at the Arkansas Rice Performance Trials (ARPT) from 2016 by location, including Stuttgart, Rice Research and Extension Center (RREC); Keiser, Northeast Research and Extension Center (NEREC); Colt, Pine Tree Branch Experiment Station (PTES); Newport, (NES); and Clay Co. (CL CO). Column one shows the variety, columns two to six give the average grain yield for each of 5 different locations for each variety in bushels per acre, column seven shows the average grain yield for the 5 locations.\n\n**TABLE 13**\n\n| VARIETY | RREC | NEREC | PTES | NES | CLAY CO | DESHA CO | AVG |\n|-------------|------|-------|------|-----|---------|----------|-------|\n| RU1401105 | 169 | 173 | 156 | 138 | 177 | | 162 |\n| RU1501102 | 144 | 148 | 138 | 124 | 181 | | 147 |\n| Mermentau | 169 | 181 | 148 | 125 | 173 | | 159 |\n| Roy J | 159 | 187 | 164 | 135 | 191 | | 167 |\n| Taggart | 186 | 197 | 170 | 147 | 193 | | 179 |\n| Wells | 170 | 189 | 152 | 150 | 194 | | 171 |\n\nIn Table 14, agronomic characteristics are shown for rice cultivar RU1401105 and for five other rice cultivars. The data are the result of trials at the Arkansas Rice Performance Trials (ARPT) from 2016 by location, including Stuttgart, Rice Research and Extension Center (RREC); Keiser, Northeast Research and Extension Center (NEREC); Colt, Pine Tree Branch Experiment Station (PTES); Newport, (NES); and Clay Co. (CL CO). Column one shows the variety, columns two to six show the average head rice (%) to total rice (%) ratio for each of 5 different locations for each variety and column seven shows the average head rice (%) to total rice (%) ratio for the 5 locations.\n\n**TABLE 14**\n\n| VARIETY | RREC | NEREC | PTES | NES | CLAY CO | DESHA CO | AVG |\n|-------------|------|-------|------|-----|---------|----------|-------|\n| RU1401105 | 69:69| 66:70 | 62:67| 62:70 | 64:69 | | 65:69 |\n| RU1501102 | 66:68| 62:67 | 57:64| 64:69 | 65:70 | | 63:68 |\n| Mermentau | 64:68| 65:68 | 61:66| No Data | 65:68 | | 64:68 |\n| Roy J | 66:69| 64:69 | 58:66| No Data | 64:70 | | 63:69 |\n| Taggart | 66:71| 66:71 | 61:69| No Data | 65:69 | | 65:70 |\n| Wells | 66:67| 65:70 | 57:67| No Data | 62:70 | | 62:69 |\n\nIn Table 15, starch-related properties are shown for rice cultivar RU1401105 and for five other rice cultivars. The data are the result of trials at the Arkansas Rice Performance Trials (ARPT) from 2016 by location, including Stuttgart, Rice Research and Extension Center (RREC); Keiser, Northeast Research and Extension Center (NEREC); Colt, Pine Tree Branch Experiment Station (PTES); Newport, (NES); and Clay Co. (CL CO). Column one shows the variety, columns two to six show the average apparent starch\n\namylose content for each of 5 different locations for each variety in g kg$^{-1}$ and column seven shows the average apparent starch amylose content for the 5 locations.\n\n**TABLE 15**\n\n| VARIETY | RREC | NEREC | PTES | NES | CLAY CO | AVG |\n|-------------|--------|--------|--------|--------|---------|-------|\n| RU1401105 | 18.50 | 17.33 | 15.38 | 15.31 | 16.94 | 16.69 |\n| RU1501102 | 17.34 | 17.68 | 16.18 | 16.65 | 18.67 | 17.30 |\n| Mermentau | 21.51 | 23.19 | 21.13 | No Data| 22.8 | 22.16 |\n| Roy J | 20.88 | 23.00 | 20.96 | No Data| 23.58 | 22.11 |\n| Taggart | 21.63 | 24.17 | 21.47 | No Data| 22.79 | 22.52 |\n| Wells | 20.96 | 21.19 | 21.54 | No Data| 22.62 | 21.58 |\n\nIn Table 16, starch-related properties are shown for rice cultivar RU1401105 and for five other rice cultivars. The data are the result of trials at the Arkansas Rice Performance Trials (ARPT) from 2016 by location, including Stuttgart, Rice Research and Extension Center (RREC); Keiser, Northeast Research and Extension Center (NEREC); Colt, Pine Tree Branch Experiment Station (PTES); Newport, (NES); and Clay Co. (CL CO). Column one shows the variety, columns two to six show the average gelatinization temperature for each of 5 different locations for each variety in degrees Celsius and column seven shows the average gelatinization temperature for the 5 locations.\n\n**TABLE 16**\n\n| VARIETY | RREC | NEREC | PTES | NES | CLAY CO | AVG |\n|-------------|--------|--------|--------|--------|---------|-------|\n| RU1401105 | 67.63 | 63.39 | 64.47 | 64.08 | 64.29 | 64.77 |\n| RU1501102 | 67.09 | 63.89 | 64.89 | 64.59 | 64.85 | 65.06 |\n| Mermentau | 73.07 | 72.97 | 72.07 | No Data| 72.14 | 72.56 |\n| Roy J | 72.29 | 71.93 | 71.80 | No Data| 71.55 | 71.89 |\n| Taggart | 72.14 | 70.94 | 71.17 | No Data| 71.85 | 71.53 |\n| Wells | 73.76 | 71.43 | 71.46 | No Data| 72.12 | 72.19 |\n\nIn Table 17, agronomic characteristics are shown for rice cultivar RU1401105 and for four other rice cultivars. The data are the result of trials at the Arkansas Rice Performance Trials (ARPT) from 2017 by location, including Stuttgart, Rice Research and Extension Center (RREC); Keiser, Northeast Research and Extension Center (NEREC); Colt, Pine Tree Branch Experiment Station (PTES); Clay Co. (CL CO); and Desha Co. (DE CO). Column one shows the variety, columns two to six give the average grain yield for each of 5 different locations for each variety in bushels per acre, column seven shows the average grain yield for the 5 locations.\n\n**TABLE 17**\n\n| VARIETY | RREC | NEREC | PTES | CLAY CO | DESHA CO | AVG |\n|-------------|--------|--------|--------|---------|----------|-------|\n| RU1401105 | 162 | 168 | 169 | 197 | 185 | 176 |\n| RU1501102 | 158 | 173 | 179 | 193 | 182 | 177 |\n| Roy J | 197 | 186 | 184 | 209 | 205 | 196 |\n| Taggart | 182 | 184 | 177 | 190 | 184 | 183 |\n| Wells | 166 | 191 | 164 | 191 | 196 | 182 |\n\nIn Table 18, agronomic characteristics are shown for rice cultivar RU1401105 and for eight other rice cultivars. The data are the mean of the Arkansas Rice Performance Trials (ARPT) conducted in 2014-2017 by location, including Stuttgart, Rice Research and Extension Center (RREC); Keiser, Northeast Research and Extension Center (NEREC); Colt, Pine Tree Branch Experiment Station (PTES); Newport, (NES); Clay Co. (CL CO); and Desha Co. (DE CO). Column one shows the variety, columns two to seven give the average grain yield for each of 6 different locations for each variety in bushels per acre, column eight shows the average grain yield for the 6 locations. Note: Grain Yield data collected from RREC in 2014, 2015, 2016, 2017; NEREC in 2015, 2016, 2017; PTES in 2014, 2015, 2016, 2017; NES in 2016; Clay County in 2014, 2015, 2016, 2017; and Desha County in 2014, 2015, 2017.\n\n**TABLE 18**\n\n| VARIETY | RREC | NEREC | PTES | NES | Clay Co. | Desha Co. | AVG |\n|-------------|--------|--------|--------|--------|----------|-----------|-------|\n| RU1401105 | 157 | 174 | 162 | 138 | 171 | 158 | 163 |\n| RU1501102 | 141 | 158 | 150 | 124 | 168 | 145 | 151 |\n| Jazzman-2 | 159 | No Data| 179 | No Data| 168 | 177 | 171 |\n| CL Jazzman | 160 | No Data| 167 | No Data| 153 | 174 | 164 |\n| Antonio | 135 | 166 | 146 | No Data| 168 | 167 | 155 |\n| Mermentau | 155 | 184 | 155 | 125 | 175 | 179 | 165 |\n| Roy J | 170 | 189 | 171 | 134 | 198 | 177 | 179 |\n| Taggart | 170 | 192 | 174 | 147 | 195 | 173 | 183 |\n| Wells | 160 | 187 | 166 | 150 | 190 | 174 | 173 |\n\nIn Table 19, agronomic characteristics are shown for rice cultivar RU1401105 and for eight other rice cultivars. The data are the mean of the Arkansas Rice Performance Trials (ARPT) conducted in 2014-2016 by location, including Stuttgart, Rice Research and Extension Center (RREC); Keiser, Northeast Research and Extension Center (NEREC); Colt, Newport, (NES); Pine Tree Branch Experiment Station (PTES); Clay Co. (CL CO); and Desha Co. (DE CO). Column one shows the variety, columns two to seven give the average head rice (%) to total rice (%) ratio for each of 6 different locations for each variety and column eight shows the average head rice (%) to total rice (%) ratio for the 6 locations. Milling data was collected from RREC in 2014, 2015, 2016; NEREC in 2015, 2016; NES in 2016; PTES in 2014, 2015, 2016; Clay County in 2014, 2015, 2016; and Desha County in 2014, 2015.\n\n**TABLE 19**\n\n| VARIETY | RREC | NEREC | NES | PTES | Clay Co. | Desha Co. | AVG |\n|-------------|--------|--------|--------|--------|----------|-----------|-------|\n| RU1401105 | 70:72 | 67:71 | 62:70 | 65:70 | 67:71 | 69:71 | 67:71 |\n| RU1501102 | 67:69 | 64:68 | 64:69 | 61:69 | 67:71 | 66:69 | 65:69 |\n| Jazzman-2 | 69:72 | No Data| No Data| 66:71 | 66:72 | 69:71 | 68:72 |\n| CL Jazzman | 68:71 | No Data| No Data| 65:70 | 66:70 | 69:71 | 67:71 |\n| Antonio | 70:71 | 67:70 | No Data| 69:72 | 69:72 | 68:72 | 69:71 |\n| Mermentau | 67:70 | 66:69 | No Data| 65:69 | 67:70 | 68:71 | 67:70 |\n| Roy J | 66:70 | 65:70 | No Data| 63:69 | 65:71 | 64:70 | 65:70 |\n| Taggart | 67:71 | 67:71 | No Data| 64:71 | 66:71 | 68:71 | 66:71 |\n| Wells | 67:70 | 67:71 | No Data| 59:70 | 64:72 | 67:71 | 65:71 |\n\nIn Table 20, agronomic characteristics are shown for rice cultivar RU1401105 and for four other rice cultivars. The data are the result of trials at the Cooperative Uniform Regional Rice Nursery (URRN) conducted in 2014. Column one shows the variety, column two shows the grain yield in bushels per acre, column three shows the height in inches,\n\ncolumn four shows the maturity in number of days from emergence to 50% heading, and column five gives the milling percent head rice (or whole kernel rice) as compared to the percent of total milled rice.\n\n**TABLE 20**\n\n| VARIETY | YIELD (BU/AC) | HEIGHT (IN.) | MATURITY (50% HD) | MILLING HR/TOT |\n|-----------|---------------|--------------|-------------------|----------------|\n| RU1401105 | 213 | 39.4 | 87 | 70:72 |\n| Jazzman-2 | 175 | 37.0 | 83 | 69:72 |\n| Della-2 | 175 | 40.2 | 87 | 68:71 |\n| Mermentau | 221 | 37.8 | 87 | 70:73 |\n| Wells | 251 | 41.3 | 85 | 69:74 |\n\nIn Table 21, agronomic characteristics are shown for rice cultivar RU1401105 and for five other rice cultivars. The data are the result of trials at the Cooperative Uniform Regional Rice Nursery (URRN) conducted in 2015. Column one shows the variety, column two shows the grain yield in bushels per acre, column three shows the height in inches, column four shows the maturity in number of days from emergence to 50% heading, and column five gives the milling percent head rice (or whole kernel rice) as compared to the percent of total milled rice.\n\n**TABLE 21**\n\n| VARIETY | YIELD (BU/AC) | HEIGHT (IN.) | MATURITY (50% HD) | MILLING HR/TOT |\n|-----------|---------------|--------------|-------------------|----------------|\n| RU1401105 | 174 | 43.3 | 97 | 67:70 |\n| RU1501102 | 152 | 40.9 | 100 | 64:69 |\n| Jazzman-2 | 149 | 35.0 | 96 | 66:69 |\n| Della-2 | 172 | 43.3 | 100 | 65:68 |\n| Mermentau | 202 | 41.3 | 98 | 67:71 |\n| Wells | 189 | 44.9 | 100 | 65:70 |\n\nIn Table 22, agronomic characteristics are shown for rice cultivar RU1401105 and for five other rice cultivars. The data are the result of trials at the Cooperative Uniform Regional Rice Nursery (URRN) conducted in 2016. Column one shows the variety, column two shows the grain yield in bushels per acre, column three shows the height in inches, column four shows the maturity in number of days from emergence to 50% heading, and column five gives the milling percent head rice (or whole kernel rice) as compared to the percent of total milled rice.\n\n**TABLE 22**\n\n| VARIETY | YIELD (BU/AC) | HEIGHT (IN.) | MATURITY (50% HD) | MILLING HR/TOT |\n|-----------|---------------|--------------|-------------------|----------------|\n| RU1401105 | 139 | 42.5 | 88 | 61:69 |\n| RU1501102 | 106 | 40.6 | 87 | 55:65 |\n| Jazzman-2 | 115 | 39.0 | 86 | 55:63 |\n| Della-2 | 137 | 44.5 | 89 | 57:64 |\n| Mermentau | 125 | 42.1 | 87 | 56:67 |\n| Wells | 162 | 47.2 | 87 | 60:70 |\n\nIn Table 23, agronomic characteristics are shown for rice cultivar RU1401105 and for five other rice cultivars. The data are the result of trials at the Cooperative Uniform Regional Rice Nursery (URRN) conducted in 2017. Column one shows the variety, column two shows the grain yield in bushels per acre, column three shows the height in inches, column four shows the maturity in number of days from emergence to 50% heading, and column five gives the milling percent head rice (or whole kernel rice) as compared to the percent of total milled rice.\n\n**TABLE 23**\n\n| VARIETY | YIELD (BU/AC) | HEIGHT (IN.) | MATURITY (50% HD) | MILLING HR/TOT |\n|-----------|---------------|--------------|-------------------|----------------|\n| RU1401105 | 162 | 41.3 | 86 | 66:71 |\n| RU1501102 | 172 | 41.3 | 85 | 65:69 |\n| Jazzman-2 | 137 | 33.9 | 82 | 62:67 |\n| Della-2 | 165 | 41.3 | 86 | 58:67 |\n| Mermentau | 197 | 38.1 | 81 | 61:71 |\n| Wells | 209 | 42.9 | 81 | 59:71 |\n\nIn Table 24, agronomic characteristics are shown for rice cultivar RU1401105 and for five other rice cultivars. The data are the mean from the Cooperative Uniform Regional Rice Nursery (URRN) trials conducted in 2014-2017. Column one shows the variety, column two shows the grain yield in bushels per acre, column three shows the height in inches, column four shows the maturity in number of days from emergence to 50% heading, and column five gives the milling percent head rice (or whole kernel rice) as compared to the percent of total milled rice.\n\n**TABLE 24**\n\n| VARIETY | YIELD (BU/AC) | HEIGHT (IN.) | MATURITY (50% HD) | MILLING HR/TOT |\n|-----------|---------------|--------------|-------------------|----------------|\n| RU1401105 | 172 | 41.6 | 90 | 66:71 |\n| RU1501102 | 143 | 40.9 | 91 | 61:68 |\n| Jazzman-2 | 144 | 36.2 | 87 | 63:68 |\n| Della-2 | 162 | 42.3 | 91 | 62:68 |\n| Mermentau | 186 | 39.8 | 88 | 64:71 |\n| Wells | 203 | 44.1 | 88 | 63:71 |\n\nIn Table 25, agronomic characteristics are shown for rice cultivar RU1401105 and for four other rice cultivars. The data are the result of trials at the Cooperative Uniform Regional Rice Nursery (URRN) from 2014 for five locations, including Stuttgart, Ark.; Crowley, La.; Malden, Mo.; Stoneville, Miss.; and Beaumont, Tex. Column one shows the variety, columns two to six show the grain yield in bushels per acre for each of 5 different locations for each variety, column seven shows the average grain yield for the 5 locations, columns eight to twelve give the average head rice (%) to total rice (%) ratio for each of 5 different locations for each variety, and column thirteen shows the average head rice (%) to total rice (%) ratio for the 5 locations.\n\n### TABLE 25\n\n| VARIETY | GRAIN YIELD (BU/AC) | HEAD RICE(%):TOTAL RICE(%) |\n|-------------|---------------------|----------------------------|\n| | AR | LA | MO | MS | TX | AVG | AR | LA | MO | MS | TX | AVG |\n| RU1401105 | 213 | 205 | 174 | 220 | 173 | 197 | 70:72| 65:72| 67:72| 65:70| 62:71| 66:71|\n| Jazzman-2 | 175 | 180 | 197 | 191 | 153 | 179 | 69:72| 72:72| 68:72| 64:70| 64:72| 68:72|\n| Della-2 | 175 | 248 | 229 | 189 | 173 | 203 | 68:71| 66:72| 63:71| 62:68| 65:72| 65:71|\n| Mermentau | 221 | 234 | 210 | 185 | 191 | 208 | 70:73| 68:74| 55:69| 61:71| 65:72| |\n| Wells | 251 | 209 | 204 | 193 | 208 | 213 | 69:74| 62:72| 64:74| 50:69| 64:73| 62:72|\n\nIn Table 26, agronomic characteristics are shown for rice cultivar RU1401105 and for five other rice cultivars. The data are the result of trials at the Cooperative Uniform Regional Rice Nursery (URRN) from 2015 for five locations, including Stuttgart, Ark.; Crowley, La.; Malden, Mo.; Stoneville, Miss.; and Beaumont, Tex. Column one shows the variety, columns two to six show the grain yield in bushels per acre for each of 5 different locations for each variety, column seven shows the average grain yield for the 5 locations, columns eight to twelve give the average head rice (%) to total rice (%) ratio for each of 5 different locations for each variety, and column thirteen shows the average head rice (%) to total rice (%) ratio for the 5 locations.\n\n### TABLE 26\n\n| VARIETY | GRAIN YIELD (BU/AC) | HEAD RICE(%):TOTAL RICE(%) |\n|-------------|---------------------|----------------------------|\n| | AR | LA | MO | MS | TX | AVG | AR | LA | MO | MS | TX | AVG |\n| RU1401105 | 174 | 183 | 210 | 178 | 98 | 167 | 67:70| 67:74| 62:69| 66:71| | |\n| RU1501102 | 152 | 162 | 181 | 167 | 144 | 161 | 64:69| 60:73| 61:71| 55:68| 60:70| |\n| Jazzman-2 | 149 | 157 | 196 | 173 | 113 | 157 | 66:69| 70:74| 65:71| 65:73| 67:72| |\n| Della-2 | 172 | 164 | 212 | 174 | 130 | 170 | 65:68| 65:73| 59:70| 61:68| 62:70| |\n| Mermentau | 202 | 210 | 214 | 200 | 146 | 194 | 67:71| 65:71| 63:72| 63:71| 65:71| |\n| Wells | 189 | 175 | 217 | 192 | 144 | 183 | 65:70| 56:73| 62:73| 60:71| 61:72| |\n\nIn Table 27, agronomic characteristics are shown for rice cultivar RU1401105 and for five other rice cultivars. The data are the result of trials at the Cooperative Uniform Regional Rice Nursery (URRN) from 2016 for five locations, including Stuttgart, Ark.; Crowley, La.; Malden, Mo.; Stoneville, Miss.; and Beaumont, Tex. Column one shows the variety, columns two to six show the grain yield in bushels per acre for each of 5 different locations for each variety, column seven shows the average grain yield for the 5 locations, columns eight to twelve give the average head rice (%) to total rice (%) ratio for each of 5 different locations for each variety, and column thirteen shows the average head rice (%) to total rice (%) ratio for the 5 locations.\n\n### TABLE 27\n\n| VARIETY | GRAIN YIELD (BU/AC) | HEAD RICE(%):TOTAL RICE(%) |\n|-------------|---------------------|----------------------------|\n| | AR | LA | MO | MS | TX | AVG | AR | LA | MO | MS | TX | AVG |\n| RU1401105 | 139 | 180 | 162 | 187 | 113 | 156 | 61:69| 68:73| 65:73| 66:70| 63:70| 64:71|\n| RU1501102 | 106 | 140 | 129 | 179 | 129 | 137 | 55:65| 60:70| 61:71| 60:69| 53:64| 58:68|\n| Jazzman-2 | 115 | 155 | No Data | 165 | 102 | 135 | 55:63| 65:72| No Data | 67:71| 61:70| 62:69|\n| Della-2 | 137 | 185 | No Data | 175 | 120 | 154 | 57:64| 64:70| No Data | 65:69| 58:68| 61:68|\n| Mermentau | 125 | 200 | No Data | 199 | 165 | 172 | 56:67| 63:71| No Data | 66:71| 61:71| 61:70|\n| Wells | 162 | 192 | 175 | 211 | 176 | 183 | 60:70| 62:72| 60:74| 61:71| 48:70| 58:71|\n\nIn Table 28, agronomic characteristics are shown for rice cultivar RU1401105 and for five other rice cultivars. The data are the result of trials at the Cooperative Uniform Regional Rice Nursery (URRN) from 2017 for five locations, including Stuttgart, Ark.; Crowley, La.; Malden, Mo.; Stoneville, Miss.; and Beaumont, Tex. Column one shows the variety, columns two to six show the grain yield in bushels per acre for each of 5 different locations for each variety, column seven shows the average grain yield for the 5 locations, columns eight to twelve give the average head rice (%) to total rice (%) ratio for each of 5 different locations for each variety, and column thirteen shows the average head rice (%) to total rice (%) ratio for the 5 locations.\n\n| VARIETY | AR | LA | MO | MS | TX | AVG | AR | LA | MO | MS | TX | AVG |\n|-----------|----|----|----|----|----|-----|----|----|----|----|----|-----|\n| RU1401105 | 162| 141| 220| 174| 66:71| 66:72| 68:73| 67:72|\n| RU151102 | 172| 134| 219| 175| 65:69| 68:74| 69:73| 67:72|\n| Jazzman-2 | 137| 118| 159| 138| 62:67| 67:73| 66:72| 65:71|\n| Delta-2 | 165| 142| 175| 161| 58:67| 55:67| 62:71| 58:68|\n| Mermentau | 197| 132| 217| 182| 61:71| 59:75| 66:71| 62:72|\n| Wells | 209| 151| 237| 199| 59:71| 57:72| 62:73| 59:72|\n\nIn Table 29, agronomic characteristics are shown for rice cultivar RU1401105 and for five other rice cultivars. The data are the mean from the Cooperative Uniform Regional Rice Nursery (URRN) trials conducted in 2014–2017 for five locations, including Stuttgart, Ark.; Crowley, La.; Malden, Mo.; Stoneville, Miss.; and Beaumont, Tex. Column one shows the variety, columns two to six show the grain yield in bushels per acre for each of 5 different locations for each variety, column seven shows the average grain yield for the 5 locations, columns eight to twelve give the average head rice (%) to total rice (%) ratio for each of 5 different locations for each variety, and column thirteen shows the average head rice (%) to total rice (%) ratio for the 5 locations.\n\n| VARIETY | AR | LA | MO | MS | TX | AVG | AR | LA | MO | MS | TX | AVG |\n|-----------|----|----|----|----|----|-----|----|----|----|----|----|-----|\n| RU1401105 | 172| 177| 201| 183| 66:71| 67:73| 66:71| 66:72|\n| RU151102 | 143| 145| 188| 159| 61:68| 63:72| 63:71| 62:70|\n| Jazzman-2 | 144| 153| 172| 156| 63:68| 69:73| 66:71| 66:71|\n| Delta-2 | 162| 185| 178| 175| 62:68| 63:71| 62:70| 62:70|\n| Mermentau | 186| 194| 200| 193| 64:71| 64:73| 63:71| 64:72|\n| Wells | 203| 182| 208| 198| 63:71| 59:72| 59:72| 60:72|\n\nIn Table 30, kernel characteristics are shown for rice cultivar RU1401105 and for two other rice cultivars. The data are averages of the Arkansas Rice Performance Trials (ARPT) conducted in 2014-2016. Column one shows the variety, column two shows the mean kernel length in millimeters, column three shows the mean kernel width in millimeters, column four shows the mean kernel thickness in millimeters, column five shows the mean kernel length to width ratio, and column six shows the mean kernel weight in milligrams.\n\n### TABLE 30\n\n| Variety | Length (mm) | Width (mm) | Thickness (mm) | L/W Ratio | Kernel Weight (mg) |\n|-------------|-------------|------------|----------------|-----------|--------------------|\n| RU1401105 | 7.31 | 2.16 | 1.75 | 3.39 | 21.7 |\n| RU1501102 | 7.42 | 2.22 | 1.80 | 3.35 | 23.3 |\n| Wells | 7.28 | 2.18 | 1.76 | 3.37 | 21.9 |\n\nIn Table 31, reactions to diseases are shown for rice cultivar RU1401105 and for seven other rice cultivars. Reactions were determined based on historical and recent observations from test plots and grower fields across Arkansas and other rice states in southern USA. In general, these ratings represent expected cultivar reactions to disease under conditions that most favor severe disease development. Plant reactions were rated using the standard disease ratings of R=Resistant; MR=Moderately Resistant; MS=Moderately Susceptible; S=Susceptible; VS=Very Susceptible in the Table below. Cells with no values indicate that there is no definitive Arkansas disease rating information available at this time.\n\n### TABLE 31\n\n| Cultivar | Sheath Blight | Blast | Straighthead | Bacterial Panicle Blight | Narrow Brown Leaf Spot | Stem Rot | Kernel Smut | False Smut |\n|-------------|---------------|-------|--------------|--------------------------|------------------------|----------|-------------|------------|\n| RU1401105 | MS | MS | — | MR | — | — | — | S |\n| RU1501102 | MS | MS | — | MR | — | — | — | MR |\n| Della-2 | S | R | — | MS | S | — | — | — |\n| Jazzman-2 | S | MS | — | VS | S | — | S | S |\n| LaKast | MS | S | MS | MS | MS | S | S | S |\n| Roy J | MS | S | S | S | R | S | VS | S |\n| Taggart | MS | MS | R | MS | MS | S | S | S |\n| Wells | S | S | S | S | S | VS | S | S |\n\nThe use of the terms “a” and “an” and “the” and similar referents in the context of describing the invention (especially in the context of the following claims) are to be construed to cover both the singular and the plural, unless otherwise indicated herein or clearly contradicted by context. The terms “comprising,” “having,” “including,” and “containing” are to be construed as open-ended terms (i.e., meaning “including, but not limited to,”) unless otherwise noted. Recitation of ranges of values herein are merely intended to serve as a shorthand method of referring individually to each separate value falling within the range, unless otherwise indicated herein, and each separate value is incorporated into the specification as if it were individually recited herein. For example, if the range 10–15 is disclosed, then 11, 12, 13, and 14 are also disclosed. All methods described herein can be performed in any suitable order unless otherwise indicated herein or otherwise clearly contradicted by context. The use of any and all examples, or exemplary language (e.g., “such as”) provided herein, is intended merely to better illuminate the invention and does not pose a limitation on the scope of the invention unless otherwise claimed. No language in the specification should be construed as indicating any non-claimed element as essential to the practice of the invention.\n\nNo admission is made that any reference, including any non-patent or patent documents cited in this specification, constitutes prior art. In particular, it will be understood that, unless otherwise stated, reference to any document herein does not constitute an admission that any of these documents forms part of the common general knowledge in the art in the United States or in any other country. Any discussion of the references states what their authors assert, and the applicant reserves the right to challenge the accuracy and pertinence of any of the documents cited herein. All references cited herein are fully incorporated by reference, unless explicitly indicated otherwise. The present disclosure shall control in the event there are any disparities between any definitions and/or description found in the cited references.\n\n**Deposit Information**\n\nA deposit of the Board of Trustees of the University Of Arkansas proprietary rice cultivar RU1401105 disclosed above and recited in the appended claims has been made with the American Type Culture Collection (ATCC), 10801 University Boulevard, Manassas, Va. 20110. The date of deposit was Jun. 25, 2019. The deposit of 2,500 seeds was taken from the same deposit maintained by the Board of Trustees of the University Of Arkansas since prior to the filing date of this application. All restrictions will be irrevocably removed upon granting of a patent, and the deposit is intended to meet all of the requirements of 37 C.F.R. §§ 1.801–1.809. The ATCC Accession Number is PTA-126031. The deposit will be maintained in the depository for a period of thirty years, or five years after the last request, or for the enforceable life of the patent, whichever is longer, and will be replaced as necessary during that period.\n\nWhile a number of exemplary aspects and embodiments have been discussed above, those of skill in the art will recognize certain modifications, permutations, additions and sub-combinations thereof. It is therefore intended that the following appended claims and claims hereafter introduced are interpreted to include all such modifications, permutations, additions and sub-combinations as are within their true spirit and scope.\n\nWhat is claimed is:\n\n1. A rice seed of the variety ‘RU1401105,’ a representative sample of seed of said variety having been deposited under ATCC Accession No. PTA-126031.\n2. A rice plant, or a part thereof, produced by growing the seed of claim 1.\n3. A method for producing rice plants, said method comprising planting a plurality of rice seeds as recited in claim 1 under conditions favorable for the growth of rice plants.\n4. The method of claim 3, additionally comprising the step of producing rice seed from the resulting rice plants.\n5. A rice seed produced by the method of claim 4.\n6. Pollen or an ovule of the plant of claim 2.\n7. A rice plant, or a part thereof having all of the physiological and morphological characteristics of the rice plant of claim 2.\n8. A tissue culture of regenerable cells or protoplasts produced from the rice plant of claim 2.\n\n9. The tissue culture of claim 8, wherein said cells or protoplasts are produced from a tissue selected from the group consisting of embryos, meristematic cells, pollen, leaves, anthers, roots, root tips, pistils, anthers, cotyledon, hypocotyl, panicles, flowers, seeds, and stems.\n\n10. A rice plant regenerated from the tissue culture of claim 8, said rice plant having all of the morphological and physiological characteristics of ‘RU1401105’.\n\n11. A method for producing rice seed, said method comprising crossing a first parent rice plant with a second parent rice plant, and harvesting the resulting F₁ hybrid rice seed, wherein the first parent rice plant or the second parent rice plant is the rice plant of claim 2.\n\n12. A rice seed produced by the method of claim 11.\n\n13. The rice seed of claim 12, wherein the rice plants grown from said rice seed will express the characteristics of ‘RU1401105.’\n\n14. The method of claim 11, wherein one of said rice plants is transgenic and the other is a rice plant of cultivar ‘RU1401105’.\n\n15. The method of claim 11, additionally comprising the step of planting a plurality of the rice seed under conditions favorable for the growth of rice plants.\n\n16. The method of claim 15, additionally comprising the step of producing rice seed from the resulting rice plants; wherein, if the resulting rice seed is grown, then at least some rice plants grown from the resulting rice seed will express the characteristics of ‘RU1401105.’\n\n17. A method comprising transforming the rice plant of claim 2 with a transgene, wherein the transgene confers at least one trait selected from the group consisting of: herbicide resistance; insect resistance; resistance to bacterial, fungal, or viral disease; modified fatty acid metabolism; modified carbohydrate metabolism; and male sterility.\n\n18. A rice plant or part thereof, or rice seed, produced by the method of claim 17.\n\n19. An herbicide resistant rice plant produced by the method of claim 17, wherein the gene confers resistance to a herbicide selected from the group consisting of glyphosate, sulfonylurea, imidazolinone, dicamba, glufosinate, phenoxy propionic acid, L-phosphinothricin, cyclohexone, cyclohexanedione, triazine, 2,4-Dichlorophenoxyacetic acid, hydroxypyhenyl-pyruvate dioxygenase (HPPD) inhibitors and benzonitrile.\n\n20. A method of introducing a desired trait into rice cultivar ‘RU1401105,’ said method comprising the steps of:\n(a) crossing plants as recited in claim 2 with plants of another rice line expressing the desired trait, to produce progeny plants;\n(b) selecting progeny plants that express the desired trait, to produce selected progeny plants;\n(c) crossing the selected progeny plants with plants from the ‘RU1401105’ parental line to produce new progeny plants;\n(d) selecting new progeny plants that express both the desired trait and some or all of the physiological and morphological characteristics of rice cultivar ‘RU1401105,’ to produce new selected progeny plants; and\n(e) repeating steps (c) and (d) three or more times in succession, to produce selected higher generation backcross progeny plants that express both the desired trait and all of the physiological and morphological characteristics of rice cultivar ‘RU1401105,’ when grown in the same environmental conditions.\n\n21. The method of claim 20, additionally comprising the step of planting a plurality of rice seed produced by selected higher generation backcross progeny plants under conditions favorable for the growth of rice plants and optionally comprising the step of producing rice seed from the resulting rice plants.\n\n22. The rice seed resulting from the method of claim 21, wherein, if the resulting rice seed is grown, then the rice plants grown from the resulting rice seed express the desired trait."}}},{"rowIdx":204897,"cells":{"text":{"kind":"string","value":"Heart Failure with Preserved Ejection Fraction: The New Devil in the Pandemic\n\nInternal Medicine Grand Rounds\nUT Southwestern Medical Center\n\nFarhana Kazi, M.D.\nAssistant Professor of Medicine\nDivision of Cardiology\n\n[March 11, 2011]\n\nIntroduction and Scope of the Problem\n\nUntil the last two decades, the possibility that large numbers of patients with heart failure (HF) might have a normal ejection fraction was not considered. As numerous studies have now demonstrated, heart failure with a normal ejection fraction (HFPEF) is very common, why it was not previously recognized is unclear. It may be that HFPEF was always common but that the cardiology community failed to recognize it. It is also possible that the prevalence of HFPEF has increased over time, leading to more widespread recognition.\n\nHeart failure is classically considered a syndrome that occurs in the setting of a reduced ejection fraction (systolic dysfunction) and cardiac dilation. Heart failure with preserved ejection fraction (HFPEF), also known as “diastolic heart failure”, is a patho-physiologically distinct syndrome from HF with systolic dysfunction. This syndrome is difficult to study, and much debate continues about its etiology, diagnosis, and treatment. This review will describe some of the controversies that remain in our understanding of this highly prevalent and morbid disorder. I want to emphasize that our understanding of this syndrome is incomplete and will continue to evolve as the field advances.\n\nEpidemiology\n\nCurrently there are about 6 million Americans with HF, and approximately 550,000 new cases per year.\\(^1\\) The growing numbers of HF have been described as an “epidemic.”\\(^2\\) Recent data suggest that as many as 50% of patients admitted for HF have normal EF, usually defined as an EF greater than 40-50%.\n\nThirteen epidemiological studies have defined the prevalence of HFPEF in various HF populations and have documented a prevalence of 50 to 55 percent. Importantly, the prevalence of HFPEF among patients with HF varies dramatically with age and gender.\\(^3,5\\) The prevalence of HF increases with age (fig 1-A) and is similar in men and women (fig 1-B). The prevalence of HF with a depressed EF increases with age but is more common in men than in women at any age (fig 1-D), whereas the prevalence of HFPEF increases even more dramatically with age (more than HF with a reduced EF) and is much more common in women than in men at any age (fig 1-C). More data are needed concerning variation in the prevalence of HFPEF in different regional and ethnic groups.\n\nFigure 1\n\nThe most recent data on the epidemiology of HFPEF come from the ADHERE registry.\\(^3\\) In the ADHERE registry, more than 100,000 hospitalizations for HF were analyzed in the United States. Patients with HFPEF were more likely to be women, older, and hypertensive when compared to HF with systolic dysfunction. They were also less likely to have had a prior myocardial infarction (Table 1). The average age range of patients with HFPEF is about 73-79 years old, and 61-76% are women.\\(^4\\) As mentioned, many patients with HFPEF (> 90% in some studies) have a history of hypertension (HTN). In other studies from Ontario, Canada (the EFFECT dataset)\\(^5\\) and Olmstead County,\\(^6\\) similar demographic results were reported. It is important to note that the prevalence of HFPEF is increasing (Figure 2), while the prevalence of HF with systolic dysfunction appears to be constant.\n\n**Table 1: Demographic Data from the ADHERE registry of HFPEF\\(^3\\)**\n\n| Characteristic | Preserved EF (n=26,322) | Reduced EF (n=25,865) | P value |\n|-------------------------|-------------------------|-----------------------|---------|\n| Age (yrs) | 73.9 | 69.8 | < 0.0001|\n| Women (%) | 62 | 40 | < 0.0001|\n| African American (%) | 17 | 22 | < 0.0001|\n| Hypertension (%) | 77 | 69 | < 0.0001|\n| CAD (%) | 50 | 59 | < 0.0001|\n| Diabetes (%) | 45 | 40 | < 0.0001|\n| Renal Insufficiency (%) | 26 | 26 | 0.98 |\n\nFigure 2: Trends in the prevalence of HFPEF. A) Increase in percentage of patients with HFPEF during the time of the study. B) Number of admission for HFPEF increased during the study, while admissions for HF with reduced EF did not change.\\(^6\\)\n\n**Diagnosis**\n\nIt should be noted that HFPEF and HF with systolic dysfunction are clinically indistinguishable. The history, physical, ECG, and chest X-ray are not usually helpful in differentiating HFPEF and systolic dysfunction.\\(^7\\) It is not until a symptomatic patient is imaged that it is possible to accurately define the EF (figure 3).\n\n**Figure 3**\n\nThus, a variety of illnesses can present with the appearance of HFPEF, because diagnosis is made by excluding a reduced EF (i.e. not by ruling in disease). Table 2 lists some of these diseases.\n\nBrain natriuretic peptide (BNP) levels are also not helpful in determining LV function, although BNP levels typically are slightly less in HFPEF (Figure 2).9-11\n\nAlthough HFPEF is probably related to a wide variety of problems (i.e. aging, hypertension, diabetes, etc.), the syndrome is usually explained on the basis of a single abnormality: abnormal stiffness and relaxation of the LV, typically related to concentric hypertrophy. This may or may not be true. To explore this dilemma it is important to first describe the diagnostic criteria for HFPEF with regard to relaxation and stiffness.\n\nSeveral criteria's have been suggested to standardize the diagnosis of HFPEF. Framingham criteria (Table 3) and Boston criteria have been developed to assist with the clinical diagnosis of general HF.\\textsuperscript{12, 13} These criteria rely on symptoms (orthopnea, dyspnea at rest or with exertion, paroxysmal nocturnal dyspnea) and other clinical criteria (jugular venous distension, rales, S3, hepatojugular reflux, edema, pleural effusion, tachycardia, etc.). The Framingham and Boston criteria are mainly used in HF with systolic dysfunction. For HFPEF, there exist several criteria that build on these scales. The first is the European criteria (Table 4), which is based on \"signs and symptoms of HF\" (Framingham and Boston), abnormal LV relaxation from echocardiography or catheterization, and normal LV function (defined as EF > 45% and LVEDV < 102 ml/m2).\\textsuperscript{14} The Vasan and Levy criteria also state that there should be reliable evidence of HF, normal EF (>50% within 72 hours of HF event), and LV diastolic dysfunction (DD).\\textsuperscript{15} The development of the Zile criteria hypothesized that diastolic dysfunction was not necessary to diagnose HFPEF.\\textsuperscript{16} In this study, 63/63 patients had evidence of DD. The conclusion was that DD was not necessary to diagnose HFPEF if the patient had evidence of LV hypertrophy. In short, there exists no generally accepted single definition for HFPEF, particularly with regard to EF cutoff and timing of imaging.\n\nTables 3 and 4: The Framingham Criteria for HF and The European Criteria for HFPEF\n\n| Framingham Criteria for Heart Failure |\n|--------------------------------------|\n| **Major Criteria** |\n| PND or Orthopnea |\n| Neck vein distension |\n| Rales |\n| Cardiomegaly |\n| Acute pulmonary edema |\n| S3 gallop |\n| Increased venous pressure > 16cm of water |\n| Circulation time >25s |\n| Hepatojugular reflux |\n| **Minor Criteria** |\n| Ankle edema |\n| Night cough |\n| DOE |\n| Hepatomegaly |\n| Pleural effusion |\n| Vital capacity decrease by 1/3 |\n| Tachycardia |\n| **Major or Minor Criteria** |\n| Weight loss >4.5 kg in 5 days in response to treatment |\n\n| European Criteria for HFPEF |\n|--------------------------------------|\n| 1. Signs and symptoms of CHF: DOE, pulmonary edema, rales, peak VO2 < 25 mL/kg/min |\n| 2. Normal or mildly reduced LV function with normal chamber size (EF>45%) |\n| 3. Abnormal LV relaxation, filling, diastolic stiffness |\n\nfunction is influenced by volume status, which together with LV geometry determines preload, and of the arterial system, which together with LV geometry affects afterload. Although abnormal diastolic function has long been hypothesized to be the primary factor responsible for hemodynamic perturbations and symptoms in HFPEF, only recently have studies proved this hypothesis by studying diastolic function in patients with HFPEF and relevant control populations (see later). Because LV structure and function are altered by age, gender, and cardiovascular disease in the absence of HF, it is important to understand how LV structure and function differ between persons with HFPEF and elderly persons with cardiovascular disease but no HF. Whereas abnormal diastolic function plays a key role in HFPEF, other mechanisms also contribute to the pathophysiologic process in many patients.\n\nLet us now define diastolic dysfunction, a key point in understanding much of the data in HFPEF. Diastole is conventionally described by four phases: isovolumic relaxation, rapid filling, diastasis, and atrial systole (late diastolic filling) as seen in Figure 3\n\nFigure 3\n\n\n\nA\n\n\n\nB\n\nNon-invasive evaluation of diastolic function continues to play a critical role in furthering our understanding of diastole, improving the diagnosis of diastolic dysfunction, evaluating left ventricular filling pressures, and providing important prognostic information for patients with heart failure. Echocardiography, cardiovascular magnetic resonance, and nuclear cardiology each provide important tools for evaluating diastolic performance.\n\nDiastolic dysfunction, as assessed by Doppler echocardiogram, continues to be utilized widely. In normal sinus rhythm, diastolic flow from the left atrium to the LV has two components: 1) the E wave – early diastolic filling, and 2) the A wave – late filling /atrial contraction (Figure 4).\n\n**Figure 4:** Mitral inflow patterns assessed by echocardiography\n\nAlterations in the waveforms of these velocities provide insight into diastolic properties of the LV. However, these measurements are known to be highly dependent on loading conditions and may be reflective of the increased LV filling pressures seen in HFPEF.\n\nData from the Cardiovascular Health Study (CHS) showed that E/A ratios were higher in patients with HFPEF compared to those with HTN without HF.\\textsuperscript{18} It is argued, however, that Doppler measures of filling dynamics do not adequately measure the intrinsic diastolic chamber properties of the ventricle, which are typically and most accurately assessed by pressure volume analysis.\\textsuperscript{19} Data demonstrate that Doppler grades of DD do correlate with increased LA pressure but not with abnormalities on pressure volume analysis.\\textsuperscript{19} Doppler studies by echocardiogram probably reflect integrative characteristics and lack true specificity in HFPEF (Figure 5).\n\n\\begin{figure}[h]\n\\centering\n\\includegraphics[width=\\textwidth]{diastolic_function.png}\n\\caption{Echocardiographic Doppler grades of diastolic function based on mitral inflow patterns.\\textsuperscript{19} There is no shift in the end-diastolic pressure volume relationship (bottom right), indicating that changes in Doppler filling patterns can be independent of alterations in the intrinsic passive diastolic properties of the left ventricle.}\n\\end{figure}\n\nOther echocardiographic and catheterization data can be obtained to measure the active relaxation component of diastole. One is the echocardiographic determination of tau ($\\tau$). Tau is determined by fitting a monoexponential curve to the isovolumic period of the ventricular pressure curve. Essentially, tau is the time it takes for LV pressure to drop by two thirds. Tau prolongation occurs when isovolumic relaxation is slowed. Another assessment of relaxation can be obtained via cardiac catheterization by measuring the peak instantaneous rate of LV pressure decline, but this requires a high fidelity micromanometer. However, no index of relaxation is specific for the intrinsic properties of the LV unless loading is held constant. This is a difficult problem, but can be done by altering afterload either mechanically or pharmacologically. The preload must also be taken into account, making these assessments difficult and complicated.\n\nEvaluation of diastolic function can also be performed by CMRI. Mitral valve inflow velocities, early deceleration time, and pulmonary vein flow velocities are diastolic parameters that can be measured by phase-contrast CMRI. Cardiac magnetic resonance imaging steady-state gradient echo can evaluate functional dimensions for time-volume curves; and myocardial tagging can assess ventricular diastolic “untwisting,” which may be important for improved pathophysiologic understanding. Studies have compared echocardiography and CMRI for diagnosing diastolic dysfunction in small patient groups with similar results. Cardiac magnetic resonance imaging can now provide clinically relevant data regarding the underlying cause of diastolic dysfunction and offers promise to gain mechanistic insights for therapeutic strategy development and clinical trial planning.\n\nPressure volume analysis however, remains the best way to measure the diastolic properties (stiffness) of the LV, but these invasive studies are not trivial and are only accurately performed in a small number of centers. The main debate in this area is whether an abnormality truly exists in the end diastolic pressure volume relationship (EDPVR). In systolic dysfunction, compared to the normal heart, the end systolic pressure volume relationship (ESPVR) is displaced downward and to the right. This signifies the depressed contractility of this disease state. However, in HFPEF some investigators believe that the primary abnormality of the condition is an upward and leftward shift of the end diastolic pressure volume relationship (EDPVR) (Figure 6).\n\n\n\nThe EDPVR is largely determined by passive factors (i.e. myocardial mass, extracellular matrix, and chamber geometry) of the LV. Stiffness is typically defined by the slope of the EDVPR at a given volume (dP/dV), and compliance is the mathematical reciprocal of stiffness. Stiffness increases in relationship to the filling pressure, so it is certainly not linear (Figure 7). This is important because stiffness and capacitance change over a range of filling pressures, again making assessment of DD difficult and complex. When the EDPVR is abnormal, it suggests that higher filling pressures are necessary to fill the LV.\n\n\n\n**Figure 7:** LV stiffness increases with pressure and is nonlinear\n\nWith regard to the importance of the EDPVR, one school of thought believes that significant abnormalities in relaxation and stiffness exist in HFPEF. Their argument is based on an important study of 47 patients with HFPEF who were carefully assessed by cardiac catheterization and echocardiogram. These results showed that tau was prolonged, the EDPVR was shifted upward and leftward, and the LV passive-stiffness constant was increased.\\(^{22}\\) This study used highly complex calculations of passive diastolic stiffness using end diastolic pressure and volume, pre-A diastolic pressure and volume, and volume at minimal diastolic pressure. These values were used to generate a corrected LV diastolic pressure and a corrected passive-stiffness constant. The data demonstrate a significant increase in the passive stiffness of LV in HFPEF (Figure 8). The authors go on to postulate that exercise intolerance in HFPEF (another major source of controversy) is explained by 1) diastolic dysfunction that leads to increased LV filling pressures during activity, and 2) a stiff, non-compliant LV that cannot fully utilize the Frank-Starling mechanism.\n\n\n\n**Figure 8:** Diastolic pressure-volume relation in patients with HFPEF and controls\\(^{22}\\)\n\nThere are those who believe differently regarding DD. The other school of thought believes that significant abnormalities in relaxation and stiffness do not exist in HFPEF. They argue that HFPEF is not due to a single underlying pathophysiological mechanism. They argue that studies of HFPEF need to be done on a population of people that is representative – older women and not young men, such as in the previous study. They point to data showing that tau is similarly increased in many types of myocardial hypertrophy and is not known to be correlated with induction of symptomatic HF.\\textsuperscript{23} Most outstandingly, this school also points to data showing that in some patients with HFPEF there is actually a downward and rightward shift of the EDPVR, suggesting that the findings of abnormal stiffness and relaxation may not apply to most patients and may apparently be abnormal only because of inability to correct for preload.\n\nWhen correcting for preload, Kawaguchi et al showed that volumes of patients with HFPEF may be shifted either upward or downward, that tau was within the normal range, and that these patients dramatically increased preload during exercise with little change in EDPVR and with marked prolongation of the time constant of relaxation (τ).\\textsuperscript{24} Figure 9 shows that EDPVR from patients with HFPEF can be shifted to the left or right.\n\n\n\nThe interpretation of this data is that the abnormalities of stiffness and relaxation may be the result, rather than the cause, of elevated filling pressures. This can possibly be explained by increased ventriculo-vascular stiffness, as measured by effective arterial elastance ($E_A$) and end systolic elastance ($E_{ES}$) (see below). Thus, this group of investigators argues that diastolic dysfunction may not be the universal underlying mechanism for HFPEF. Let us now go further into the debate and examine what can explain these discrepancies.\n\n**The Question of Etiology: Why some patients and not others?**\n\nIn other words, why do some patients with echocardiographic features of DD have HF and others do not? It is possible that the array of contributing factors (see Table 2), which are heterogeneous in nature, do not lead to one disease called HFPEF. Thus, the controversy in this area of HFPEF study proceeds from the previous debate on the existence of DD and involves whether or not patients with HFPEF have specific features that distinguish them as a group.\n\nAn important study from Baltimore compared patients of similar age, gender, and race for different CV characteristics. One group had HFPEF and a second group had asymptomatic LV hypertrophy (termed hypertensive LVH group – HLVH). The control group consisted of normotensive subjects without LVH. The study was designed to assess what characteristics are special in those with HFPEF and what perhaps leads HFPEF subjects to develop symptoms. The study showed that the two groups had significant overlap in DD grades (Figure 10).\n\nSubjects with HFPEF had more LV hypertrophy, higher left atrial volumes, lower atrial emptying fractions, and more frequent coronary artery disease. There was no single vascular or conventional LV diastolic or systolic feature that was predictive of HFPEF. The product of LV mass index (LVMI) and left atrial volumes (LAV\\textsubscript{MAX}) showed the best discrimination by ROC analysis (Figure 11) compared to a number of other measures.\n\nFigure 10: Comparison of diastolic dysfunction grades between HFPEF, hypertensive LVH (HLVH), and controls\n\nFigure 11: ROC analysis for prediction of HFPEF\n\nThe authors speculate that LA abnormalities may be related to exposure to chronically elevated pressures, higher filling pressures during exercise, or the presence of CAD, diabetes, renal dysfunction, or obesity. These diseases could lead to neurohormonal activation, fluid retention, or other direct effects causing atrial damage. Importantly, in this study there was no significant difference between patients with HFPEF and HLVH with regard to LV volume (EDV). However, there is much controversy regarding whether patients with HFPEF have increased or decreased LV volumes. Let us explore this issue further and revisit the two schools of thought.\n\nThe school of pro-DD and \"abnormal EDPVR\" claims that patients with HFPEF have small hearts.\\textsuperscript{27} They rely on the premise that hypertrophy is at the core of the process and the result is LV volume reduction, cellular hypertrophy, and increased fibrosis (Figure 12). This theory is borne from animal\\textsuperscript{28} and human data.\n\n\n\nThey also argue that 2-D echo measurement of volume has been validated and that contractility in HFPEF is normal or increased. Obviously, the measurement of volume is quite important in these studies because careful assessment requires plotting an accurate pressure volume curve.\n\nThe other school – those who believe that DD does not explain the syndrome – support the hypothesis that LV volumes can be increased in HFPEF. To support this hypothesis, a study was performed using 3-D echo to measure LV volume and mass.\\textsuperscript{29} Non-invasive techniques were used to measure LV diastolic properties. The study population included 99 normotensive controls, 35 patients with HFPEF with hypertension, and 11 patients with nonhypertensive HFPEF. The results suggested that patients with HFPEF without a history of hypertension have LV volumes similar to controls. However, this group did have an elevated EDP and an upward shifted EDPVR. In contrast, the group with HFPEF and a history of hypertension had increased LV volumes and rightward-shifted EDPVR, thus potentially implicating increased blood volume in this group (Table 5 and Figure 13).\n\n| Parameter | Controls | Nonhypertensive HFPEF | Hypertensive HFPEF |\n|----------------------------|----------|-----------------------|--------------------|\n| End Diastolic Volume (EDV) | 95 ± 21 | 98 ± 25 | 118 ± 29 * |\n| End Systolic Volume (ESV) | 40 ± 10 | 49 ± 14 | 54 ± 14 * |\n\nTable 5: LV volumes in subgroups of patients with HFPEF\\textsuperscript{8}\n* P < 0.05 vs. controls and nonhypertensive HFPEF\n\nFigure 13: Group averaged PV point and estimated EDPVR for nonhypertensive HFPEF (left), controls (middle), and hypertensive HFPEF (right)\\textsuperscript{8}\n\nIndeed, some studies further suggest that there may be increased blood volume in HFPEF,\\textsuperscript{29} possibly leading from subtle abnormalities in systolic function that results in neurohormonal activation and salt and water retention. To further bolster the argument for increased volumes, the group points to data from the CHS showing that the average\n\nLV diastolic dimension and stroke volume was increased in the HFPEF group compared to healthy and hypertensive controls.\\textsuperscript{18}\n\nThese investigators further demonstrated that subjects with hypertension and HFPEF have higher end systolic elastance ($E_{ES}$) and arterial elastance ($E_A$) compared to nonhypertensive HFPEF patients.\\textsuperscript{29} End systolic elastance is a complicated calculation involving stroke volume, blood pressure, and duration of isovolumic contraction and ejection. Each is determined by echocardiography. Arterial elastance is a lumped index of vascular hemodynamic load related mostly to total peripheral resistance and heart rate. $E_{ES}$ and $E_A$ are known to increase with aging and are increased more in elderly women than men.\\textsuperscript{30} The subjects with the highest measured end systolic elastance were generally short, non-obese, elderly women with longstanding HTN. Volumes were significantly lower in the hypertensive HFPEF group compared to the nonhypertensive HFPEF group. This adds further weight to their argument that HFPEF is a heterogeneous disorder with clinically distinguishable subgroups. Importantly, they criticize the assessment of volume by using only 2-D echo and state that accurate assessment of volume requires 3-dimensional imaging.\n\nTo summarize, one school believes that DD is the primary cause of HFPEF, with abnormalities of LV wall thickening and small volumes. The other school believes that the problem is heterogeneous (HFPEF patients have both small and large volumes) with important effects related to extracardiac abnormalities (i.e. abnormal ventriculo-vascular coupling\\textsuperscript{31}).\n\n**Prognosis in HFPEF**\n\nData from the ADHERE registry suggest that the in-hospital mortality for systolic dysfunction is slightly higher than HFPEF (3.9% vs. 2.8%; p=0.005).\\textsuperscript{3} When adjusting for the mortality difference by gender, race, and eight other mortality risk factors, the difference was still significant. In the EFFECT study, the unadjusted and adjusted mortality rates at 30 days and 1 year were not significantly different between the two groups. Also, the rates of readmission did not differ. From the Olmstead county study, HFPEF had slightly higher 5 year survival (65% vs. 68%; p=0.03), but evaluation of the outcomes over time showed improvement with systolic dysfunction but not with HFPEF. Thus, it appears that the mortality is not dramatically different for HFPEF when evaluating these data \\textit{in toto} (Figure 13).\n\n\n\n**Figure 13:** Prognosis in HFPEF and HF with Reduced EF\\textsuperscript{6}\n\nThere are few detailed data on the mode of death in HFPEF. It is known, for instance, that in NYHA class II patients with systolic dysfunction 64% of deaths are due to sudden death and only 12% from pump failure.\\textsuperscript{32,33} However, in NYHA class IV patients with systolic dysfunction, the numbers are reversed. 56% of deaths are from pump failure and 33% die from sudden death. These data are lacking in HFPEF. Most data presented in recent studies are derived from searches of death databases and not from careful adjudication of actual cause of death. One existing hypothesis is that patients with HFPEF have a low incidence of pump failure, and cause of death is related to the comorbidities that frequently afflict this population: coronary artery disease (CAD), renal dysfunction, stroke, and diabetes (Figure 14).\n\n\\begin{figure}[h]\n\\centering\n\\includegraphics[width=\\textwidth]{image.png}\n\\caption{(From Curtis JP, Sokol SI, Wang Y, et al: The association of left ventricular ejection fraction, mortality, and cause of death in stable outpatients with heart failure. J Am Coll Cardiol 42:736, 2003.)}\n\\end{figure}\n\n**Treatment**\n\nIn general, the management of HFPEF has two objectives. The first is to treat the presenting syndrome of HF—relieve resting or exercise-associated venous congestion and eliminate precipitating factors. The second is to reverse the factors responsible for diastolic dysfunction or other perturbations that lead to HFPEF. Both nonpharmacologic and pharmacologic strategies may be used to achieve these objectives. Present treatment strategies for HFPEF are largely based on assumptions of\n\nits pathophysiologic mechanisms and on extrapolations from proven strategies used in HF with a reduced EF.\n\nIn systolic HF, several pharmacological therapies are known to improve morbidity and/or mortality (ACE-inhibitors, beta-blockers, aldosterone antagonists, diuretics, digoxin, and combination isosorbide/hydralazine). These data are derived from well-designed clinical trials going back 20-30 years. For HFPEF, there is a major paucity of clinical trial data. There exist no proven therapies for this morbid, mortal, and highly prevalent disease. Also, guidelines are greatly lacking. These deficiencies are mostly because of our lack of clear targets for intervention and uncertainty in the etiology. Some guidelines\\textsuperscript{34} and many anecdotal recommendations rely on the following:\n\n1) Volume management/filling pressure reduction with diuretics\n2) Fluid and salt restriction\n3) Aggressive management of hypertension\n4) Prevention of myocardial ischemia; revascularization when reasonable\n5) Maintenance of sinus rhythm; avoidance of tachycardia\n\nAgain, data from the ADHERE database show that practice patterns of medication prescription differ significantly between those with systolic dysfunction and HFPEF (Table 6). However, these practice patterns are based on virtually no proven trial data. Let us review the previous trial data in HFPEF.\n\n| Medication | HFPEF | Systolic HF | P value |\n|------------------|-------|-------------|---------|\n| Diuretic | 79.5 | 83.7 | <0.0001 |\n| ACE Inhibitor | 47.7 | 61.5 | <0.0001 |\n| ARB | 13.2 | 11.0 | <0.0001 |\n| ACE or ARB | 58.9 | 71.3 | <0.0001 |\n| Beta-blocker | 52.2 | 62.6 | <0.0001 |\n| Digoxin | 21.1 | 44.1 | <0.0001 |\n| Spironolactone | 10.6 | 24.7 | <0.0001 |\n\nTable 6: Medication use in HFPEF and Systolic HF\\textsuperscript{3}\n\n**Completed Trials**\n\nThe Digitalis Investigation Group (DIG) trial included a small subgroup of patients with HFPEF. In the HFPEF group, digoxin did not alter the primary endpoint of HF hospitalization or cardiovascular mortality but did reduce HF hospitalizations.\\textsuperscript{[56]} Unfortunately, total cardiovascular hospitalizations were not reduced because of an increased rate of admissions for unstable angina, which completely negated the beneficial effect of reduced HF hospitalizations.\n\nThe CHARM-Preserved Trial (Candesartan in Heart Failure – Assessment of Reduction in Mortality and Morbidity) compared 3023 HFPEF patients who were randomized to either placebo or Candesartan (the angiotensin receptor blocker). The patients were followed for 36.6 months, and the combined endpoint was CV death and HF hospitalization. The trial did not show a statistically significant difference between the two groups ($p=0.12$), but fewer patients on candesartan were hospitalized (230 vs. 279, $p=0.017$) (Figure 14).\n\n\n\n**Figure 14:**\nCV Death or HF hospitalization in CHARM-Preserved\n\nThe I-PRESERVE trial tested the angiotensin receptor blocker irbesartan in 4128 patients who were at least 60 years of age and had New York Heart Association Class II-IV HF and an EF of at least 45%. The demographics of the study population is different from CHARM with more women (60% vs. 40%), higher hypertensive HF (63% vs. 23%), and less CAD (25% vs. 56%). The study population is also older than CHARM (72 years vs. 67 years). The primary composite outcome was death from any cause or hospitalization for a cardiovascular cause (HF, myocardial infarction, unstable angina, arrhythmia, or stroke). Secondary outcomes included death from HF or hospitalization for HF, death from any cause and from cardiovascular causes, and quality of life. Irbesartan had no effect on any of the pre-specified outcome measures (Figure 15).\n\n\n\n**Figure 15:** Death form any cause and hospitalization for HF.\n\nThe PEP-CHF Trial (Perindopril for Elderly Persons with Chronic Heart Failure) was designed to study the effects of an ACE-inhibitor in an elderly population (age > 70) with HFPEF.\\textsuperscript{37} 850 patients were randomized to either perindopril or placebo. The primary endpoint was all-cause mortality and HF hospitalization in 1 year. The primary endpoint at 1 year was significantly different between the groups ($p=0.055$, but this was mainly driven by reduction of hospitalization in the ACE-inhibitor group. During the entire follow up (2.1 years) no endpoint was statistically significant.\n\nThe SENIORS Trial (The Study Effects of Nebivolol Intervention on Outcomes and Rehospitalizations in Seniors with Heart Failure) tested this novel, selective beta-1 adrenoreceptor blocker with additional vasodilator properties in 2128 patients with HF and age greater than 70.\\textsuperscript{36} Patients did not specifically have HFPEF, but some patients (20%) had an EF > 45%. Nebivolol significantly reduced death or hospitalization ($p=0.039$) in the study, but in a subgroup analysis of the patients with EF>35% there was no significant difference in benefit.\n\nThe Hong Kong diastolic heart failure study\\textsuperscript{58} randomized 150 patients with HFnIEF (EF > 45%) to diuretics alone, diuretics plus irbesartan, or diuretics plus ramipril. Quality of life assessment, 6-minute walk test, and Doppler echocardiography were performed at baseline and at 12, 24, and 52 weeks. The quality of life score and 6-minute walk test increased similarly, and hospitalizations were similar in all three groups. Modest improvements in Doppler systolic and diastolic indices and NT-proBNP levels were seen only in the irbesartan and ramipril groups.\n\n**Ongoing Trials**\n\nThe TOPCAT trial (Treatment of Preserved Cardiac Function in Heart Failure with an Aldosterone Antagonist) is also ongoing at this time. The study design is similar to I-PRESERVE, except the intervention is spironolactone (15mg/day titrated to 45mg/day) vs. placebo. The expected completion date is early 2011.\n\nA number of other ongoing clinical trials in HFPEF are testing novel treatment strategies, including (but not limited to) endothelin antagonists, sildenafil (RELAX trial), atrial pacing (RESET trial), and baroreflex control devices (Rheos diastolic heart failure trial). (See \\url{www.clinicaltrials.gov}).\n\nTable 7: Clinical Trials in HFPEF\n\n| Trial | Study Drug | N | Entry Criteria | Primary Endpoint |\n|--------------------------------------------|------------------|-----|----------------------------------------------------|-------------------------------------------------------|\n| Completed Studies | | | | |\n| CHARM-Preserved | candesartan | 3023| EF>40%, NYHA II-IV | CV death, HF hospitalization |\n| SENIORS | nebivolol | 2128| Age>70, EF<35%, HF hospitalization with 6 mo | Mortality, CV hospitalization |\n| PEP-HF | perindopril | 850 | Age>70, HF diagnosis | Mortality, HF hospitalization |\n| I-PRESERVE | irbesartan | 4128| EF>45%, Age>60, NYHA II-IV | Mortality, HF hospitalization |\n| The Hong Kong Diastolic Heart Failure Study| Diuretics | 150 | EF > 45% | Quality of life assessment, 6-minute walk test, and Doppler echocardiography |\n| | Diuretics+Ramipril| | | |\n| | Diuretics+Irbesartan| | | |\n| Ongoing Studies | | | | |\n| TOPCAT | spironolactone | ≈ 4000| EF>45%, Age>50, clinical HF | Mortality, HF hospitalization |\n\n**Future Directions**\n\nWhat else lies in future for the treatment of HFPEF? What new targets might become important? We must first examine some of the molecular and cellular mechanisms of HFPEF. Novel therapeutic agents may permit new opportunities to effect myocardial relaxation and stiffness. Two novel therapies will be discussed: 1) Istaroxime (PST2744), and 2) Alagebrium (ALT-711).\n\nIn the heart, contraction ceases and tension is released when Ca$^{2+}$ dissociates from troponin C and is sequestered into the sarcoplasmic reticulum (via the sarcoplasmic reticulum Ca-ATPase 2a – SERCA 2a) and cytosol (via the sodium/calcium exchanger – NCX) (Figure 15). Thus, ATP is required for detachment of the actin-myosin cross-bridges.\n\nSERCA 2a expression and activity decline in HF, and gene transfer studies involving SERCA 2a and phospholamban (reducing inhibition of SERCA 2a) improve the rate of LV relaxation.\\textsuperscript{40,41} Efforts are ongoing to target this system in the human heart. A novel agent that is currently in phase II trials may be promising. Istaroxime (PST2744) is an agent that inhibits sodium/potassium ATPase activity and stimulates SERCA 2a.\\textsuperscript{42} This action prevents Ca\\textsuperscript{2+} accumulation and promotes myocardial relaxation (lusitropism). Istaroxime is unrelated to cardiac glycosides but does have inotropic qualities. Also, unlike other positive inotropic agents, it does not seem to have proarrhythmic effects. The mechanism by which this agent does not promote arrhythmias is unclear, although electrophysiologic studies in a guinea pig model suggest that it suppresses inward calcium transients related to the genesis of delayed afterdepolarizations.\\textsuperscript{43,44} In HORIZON-HF trial 120 patients with EF < 35% with acute heart failure decompensation were randomized to a continuous 6-hour infusion of 1 of 3 doses of istaroxime or placebo. At end of infusion istaroxime patients had a lower PCWP, increase in SBP and decreased diastolic stiffness.\n\nWith regard to myocardial stiffness, it may be possible to intervene at the level of the collagen network that surrounds myocytes and capillaries. An extensive array of endomysial, perimysial, and epimysial fibers form a matrix around muscle bundles and lie adjacent to the epicardium and endocardium (Figure 16).\n\nFigure 16: The extracellular matrix of the heart. A) Normal heart with epimysial component removed, emphasizing the myofibers and their perimysial covering. B) Fibrous matrix of the heart.\\textsuperscript{45}\n\nThese fibers are important in diastolic tension and ventricular compliance.\\textsuperscript{46} Some data in animal models suggest that collagenase perfusion and breakdown of perimysial fibers promotes a rightward shift in the EDPVR.\\textsuperscript{47} Other studies have used plasmin, oxidized glutathione, and hydroxyproline with similar results.\\textsuperscript{48,49} However, there remains a significant debate on whether stiffness and collagen content are related in humans. For example, some believe that it is the quality, not the quantity, of collagen deposition in the heart that is most related to stiffness. This may be related to the type of cross-linking in the cardiac extracellular matrix.\n\nIn a dog model of DD using 48 hours of tachycardia pacing and administration of angiotensin II, there were poor correlations between collagen synthesis and LV stiffness.\\textsuperscript{50} However, matrix metalloproteinase (MMP) activation was significant. These data suggest that the extracellular matrix in HF is under complex control, and there are perhaps effects of MMPs on other components of the matrix that lead to edema, altered cross-linking, irregular myocyte arrangement, and increased diastolic stiffness. Again, it may be that qualitative changes are most important in diastolic stiffness.\n\nAnother component of this extracellular system involves advanced glycation endproducts (AGE). With age, HTN, and diabetes, AGE accumulate on proteins such as collagen and elastin to promote increased vascular and cardiac stiffness. In a volume-overload model that did not alter total collagen composition, cross-links between AGE and collagen correlated with stiffening of the LV.\\textsuperscript{51} Importantly, a novel cross-link breaker was fed to aged dogs. This agent was shown to increase ventricular compliance, giving possible credence for tests in humans with HFPEF to reduce cardiac stiffness. In this study, LV diastolic stiffness improved by 40% after treatment for one month.\\textsuperscript{52}\n\nIndeed, this drug (ALT-711 or Alagebrium) has now been tested in humans. One multicenter trial in older patients and increased arterial stiffness (pulse pressure > 60 mmHg), ALT-711 significantly lowered pulse pressure and improved total arterial compliance.\\textsuperscript{53} In a study of 23 patients with HFPEF, ALT-711 was given over 16 weeks, and multiple CV measures were performed before and after treatment.\\textsuperscript{54} New\n\nYork Heart Association class improved, but maximal exercise tolerance did not. There were improvements in L.V mass and aortic stiffness during the study, and early diastolic mitral annular velocity increased (p=0.045).\n\nCurrently there are two trials evaluating ALT-711 in HFPEF. The BENEFICIAL study is a double-blind, placebo controlled, randomized trial evaluating the primary outcome of aerobic capacity (Peak VO2) during exercise testing. 100 patients will receive placebo or study drug for 9 months. The DIAMOND study will test ALT-711 in elderly patients with HFPEF for 16 weeks. This pilot study will assess improvement in aortic distensibility, exercise tolerance, and quality of life. Thus, it is not yet known whether this agent will prove effective in HFPEF, but early data is promising.\n\nIn summary, molecular and cellular targets are emerging that may be important in the treatment of the acutely ill or chronically debilitated patient with HFPEF. In addition, other agents may be developed to attack other aspects of this complicated pathophysiological process (i.e. myocyte hypertrophy via Rho-kinase or phophodiesterase 5 inhibition).\n\n**Current Therapeutic Recommendations**\n\nCurrent recommendations for treatment of patients with HFPEF are as outlined above.\\(^{[2,3]}\\) In addition, it is important to treat other contributing comorbidities and risk factors aggressively, such as diabetes, hyperlipidemia, renal dysfunction, and renal vascular disease. One retrospective study has shown that statin use, but not the use of beta blockers, ACE inhibitors, or calcium channel blockers, is associated with improved survival in patients with HFPEF.\\(^{58}\\) Until more clinical trials are performed in patients with HFPEF, the empiric nature of therapeutic recommendations and their uncertain benefit must be recognized.\n\n**Conclusions**\n\n1) HFPEF is difficult to define and characterize\n\n2) Accurate assessment of diastole requires nontrivial, invasive measurements\n\n3) Much debate continues on the interpretation of clinical, hemodynamic, and structural abnormalities\n\n4) No effective treatments exist\n\n5) Novel therapeutic targets are emerging\n\n6) Much work is yet to be done, and this is certainly an area where creative thinking is wanted\n\nReferences\n\n1. Hunt SA. 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The Effect of Alagebrium Chloride (ALT-711), a Novel Glucose Cross-Link Breaker, in the Treatment of Elderly\n\nPatients With Diastolic Heart Failure. *Journal of Cardiac Failure*. 2005;11(3):191-195.\n\n55. Ceia F, Fonseca C, Mota T, et al: Prevalence of chronic heart failure in Southwestern Europe: The EPICA study. Eur J Heart Fail 4:531, 2002.\n\n56. Ahmed A, Rich MW, Fleg JL, et al: Effects of digoxin on morbidity and mortality in diastolic heart failure: The ancillary digitalis investigation group trial. Circulation 2006; 114:397.\n\n57. Massie BM, Carson PE, McMurray JJ, et al: Irbesartan in patients with heart failure and preserved ejection fraction. *N Engl J Med* 2008; 359:2456.\n\n58. Yip GW, Wang M, Wang T, et al: The Hong Kong diastolic heart failure study: A randomised controlled trial of diuretics, irbesartan and ramipril on quality of life, exercise capacity, left ventricular global and regional function in heart failure with a normal ejection fraction. *Heart* 2008; 94:573.\n\n59. Fukuta H, Sane DC, Brucks S, et al: Statin therapy may be associated with lower mortality in patients with diastolic heart failure: A preliminary report. *Circ Heart Fail* 2005; 112:357.\n\n60. Michael Salerno. Multimodality Imaging of Diastolic function. J Nuc Cardiol 2010; 17:316-27.\n\n61. Daniel Daneshvar et al. Diastolic Dysfunction: Improved understanding using emerging techniques. Am Heart J 2010; 160: 394-404."}}},{"rowIdx":204898,"cells":{"text":{"kind":"string","value":"Ōgushi, Atsushi (2005) *The disintegration of the Communist Party of the Soviet Union.*\n\nPhD thesis\n\nhttp://theses.gla.ac.uk/4406/\n\nCopyright and moral rights for this thesis are retained by the author\n\nA copy can be downloaded for personal non-commercial research or study, without prior permission or charge\n\nThis thesis cannot be reproduced or quoted extensively from without first obtaining permission in writing from the Author\n\nThe content must not be changed in any way or sold commercially in any format or medium without the formal permission of the Author\n\nWhen referring to this work, full bibliographic details including the author, title, awarding institution and date of the thesis must be given\n\nThe Disintegration of the Communist Party of the Soviet Union\n\nBy\n\nAtsushi OGUSHI\n\nA Dissertation submitted for the degree of PhD in Politics\n\nFaculty of Social Science, Department of Politics\n\nUniversity of Glasgow\n\nJanuary 2005\n\nBEST COPY AVAILABLE\n\nText cut off in original thesis\n\nABSTRACT\n\nThis dissertation analyses the process of the disintegration of the Communist Party of the Soviet Union (CPSU), which is central to the Soviet collapse. The disintegration process also provides a good opportunity to test existing theories of political regime change. In terms of source use, this dissertation makes extensive use of the party archives that became available after the Soviet collapse. This makes possible a very detailed analysis of work of the party apparat.\n\nThe importance of the subject and a review of existing theories that offers some hypotheses are discussed in the first chapter. In the second chapter, the reason why the party reform was necessary is considered through analysing the situation within the party before the perestroika period. The analysis makes clear that the CPSU faced a dilemma between monolithic unity and monopolistic control before the perestroika period, which made party reforms necessary. The third chapter deals with party-state relations under Gorbachev’s reform in detail. This chapter discusses the fact that, as a result of the reorganisation of the party apparat that was intended to stop the party’s interfering in the state body, the party lost its traditional administrative functions. This, however, led to a ‘power vacuum’ because no other alternative power centre was established quickly, and complicated further reform attempts. Moreover, the party failed to find a new function as a ‘political party’, as considered in detail in the fourth chapter. Despite attempts at competitive party elections and the emergence of party platforms, Gorbachev failed to transform the CPSU into a ‘parliamentary’ rather than a ‘vanguard party’. Therefore, the CPSU lost its raison d’être, which accelerated a mass exodus of members. The rapid decline in party membership caused a financial crisis, which is considered in the fifth chapter. The financial crisis and the soviets’ demands for the nationalisation of party property forced the CPSU to engage in commercial activity. Nonetheless, commercial activity unintentionally caused the fragmentation or dispersal of party property. On the other hand, the ‘power vacuum’ expanded so much that some emergency measures seemed necessary to some top state leaders. The August attempted coup\n\nis discussed in the sixth chapter in the context of party-military relations. When Russian president Yeltsin suspended its activity, the CPSU had lost its *raison d'être* and its property had been fragmented or dispersed. Thus, the CPSU had no choice but to accept the reality that it was ‘dead’ *de facto*. The final chapter gives an overview of this pattern of developments, and compares it with the experiences of other communist parties’ reforms in East Europe. The theoretical implications are also considered in the final chapter, which argues that existing theories of political regime change are not sufficient and that a further effort of conceptualisation based on the realities considered in the thesis is necessary.\n\n## Contents\n\nAbstract i \nContents iii \nList of Tables v \nList of Figures vi \nList of Abbreviations vii \nNote on Transliteration viii \nAcknowledgement ix \n\n### Chapter 1 On the Research Subject and Some Theoretical Considerations 1\nI. Introduction 1 \nII. What the Soviet System Was 2 \nIII. Why the Soviet System Collapsed 7 \nIV. How the Soviet System Collapsed 15 \nV. Previous Studies of the CPSU and Features of This Research 17 \nVI. Structure of This Dissertation 21 \n\n### Chapter 2 The Phase of Crisis: The General Problem in the USSR 24\nI. Introduction 24 \nII. The Tension between Monolithic Unity and Monopolistic Control 24 \nIII. The Soviet Case 26 \nIV. Conclusion 39 \n\n### Chapter 3 Streamlining the Party Apparat: Party-State Relations 43\nI. Introduction 43 \nII. Reasons for the Reform of Party-State Relations 45 \nIII. The First Reorganisation of the Party Apparat 47 \nIV. Further Reform of Party-State Relations 66 \nV. The Disorganisation of Party Organs in the State 92 \nVI. Conclusion 94 \n\n### Chapter 4 Failure of Making a ‘Political Party’: Party Elections and Party Unity 114\nI. Introduction 114 \nII. Mechanisms to Maintain Party Unity 114 \nIII. Reasons for the Competitive Election of Party Secretaries 116 \nIV. Competitive Election of Party Secretaries before the 19th Party Conference 119 \nV. The 19th Party Conference and Competitive Elections 122 \nVI. Implementation up to the 28th Party Congress 125 \nVII. Emerging Fractions and Controversy over Party Renewal 137 \nVIII. The 28th Party Congress and Competitive Elections 139 \nIX. After the 28th Party Congress 160 \nX. Conclusion 165 \n\n### Chapter 5 Financial Crisis and Commercial Activities 172\nI. Introduction 172 \nII. The Process of Budget Formation 173 \nIII An Overview of the Budget of the CPSU in its Final Years 175 \nIV. The Reasons for Financial Crisis 179 \nV. Reconstruction of the Budget I 183 \nVI. Reconstruction of the Budget II 187 \nVII. The Consequences of the Commercial Activity 193\n\nVIII. Conclusion 196\n\nChapter 6 Party-Military Relations and the August Attempted Coup 209\nI. Introduction 209\nII. Party-Military Relations before Perestroika 210\nIII. Reform of Party-Military Relations at the Early Stage of Perestroika 213\nIV. Reform of Party-Military Relations at the Late Stage of Perestroika 218\nV. Increasing Praetorianism 231\nVI. The August Attempted Coup 234\nVII. The End of the CPSU 238\nVIII. Conclusion 239\n\nChapter 7 Generalisation and Conclusion 241\nI. Introduction 241\nII. Summarising Our Argument 241\nIII. Comparison with Other Communist Cases 243\nIV. Some Theoretical Implications 250\nV. Conclusion 259\n\nAppendix On the Nomenklatura System and Nomenklatura as a Social Class 262\n\nBibliography 270\n\nList of Tables\n\nTable 1-1: Typology of approaches 23\nTable 1-2: Typology of the Studies on the CPSU 23\nTable 3-1: The Prospected Number of the CC Departments’ Staff 98\nTable 3-2: The First Reorganisation of the CC Apparat in 1989 99\nTable 3-3: Posts and Salary of the Party Apparat 105\nTable 3-4: Examination, by the CC Secretariat, of the Basic Issues Submitted by the CC Departments 110\nTable 3-5: Some Data of the CC Commissions (January 1989-June 1990) 111\nTable 3-6: the Members of the Politburo in July 1990 112\nTable 3-7: Activity of the CC Commissions October 90-June 91 113\nTable 4-1: The Social Composition of the Delegates to the 27th Party Congress, 19th Party Conference, Founding Congress of Russian CP, and 28th Party Congress 168\nTable 4-2: Results of the Report-and-Election Campaign (1988-1990) 170\nTable 4-3: The Results of Delegate Elections of Party Leaders 171\nTable 5-1: Budget Plan of the CPSU in 1990 (presented at the 28th party congress) 199\nTable 5-2: On the implementation of the CPSU budget over the first half year of 1990 200\nTable 5-3: On the implementation of the 1990 CPSU budget 201\nTable 5-4: Budget Plan of Communist Party of Union republics in 1991 203\nTable 5-5: Budget Plan of the CPSU in 1991 204\nTable 5-6: Changes of Party Members 206\nTable 5-7: Change of the Rate of the Membership Dues 207\nTable 5-8: Numbers of Primary Party Organisations 208\n\nList of Figures\n\nFigure 2-1: Vertical Structure and Supervisory Functions in the CPSU 41\n\nFigure 2-2: Career Patterns at Raion Level from the 1980s to the Last Period of the CPSU 42\n\nFigure 3-1: The Organisation of the CC CPSU in 1989 96\n\nFigure 3-2: The Organisation of the CC CPSU in October 1990-1991 97\n\nFigure 5-1: The Flow of Money in the CPSU 198\n\nFigure 7-1: Overview 261\n\nList of Abbreviations\n\nCC: Central Committee\n\nCCC: Central Control Commission\n\nCP: Communist Party\n\nCPSU: Communist Party of the Soviet Union\n\nGKChP: State Committee of Emergency Situations\n\nKGB: Committee of State Security\n\nMPA: Main Political Administration\n\nMVD: Ministry of Internal Affairs\n\nPPO: Primary Party Organisation\n\nRSFSR: Russian Soviet Federal Socialist Republic\n\nNote on Transliteration\n\nAs to the Russian language, the author basically uses a version of the scheme employed by the journal *Europe-Asia Studies*. However, in some cases when they are established in English (e.g. Yeltsin rather than El’tsin) the standard usages are used.\n\nAs to Japanese transliteration, the author uses the widely accepted Hepburn system.\n\nAcknowledgements\n\nMy special gratitude is dedicated to, first of all, Professor Stephen White, my supervisor. Without his encouragement, academic advice, and other help, I would not have written this dissertation.\n\nThis dissertation’s archive work in Moscow was conducted with a financial help of the British Association for Slavonic and East European Studies, Department of Politics (University of Glasgow), and the School of Slavonic, Central and East European Studies (Glasgow University).\n\nBefore coming to Glasgow, I studied under various teachers. Firstly, when I was an undergraduate student, Professor Hisakazu Usui (Dokkyo University at that time, Chuo University at present) offered me the most important thing: the intellectual motivation for studying politics. In a Master’s course, I studied under Professor Shigeki Hakamada (Aoyama Gakuin University). What he told me was the necessity to understand, first of all, reality before jumping up to theoretical issues. Though I am still afraid that this dissertation may not satisfy him, I hope that my research is getting closer to what he meant. When I was a Master’s student, I attended a lecture by Professor Takayuki Ito (Waseda University). His broad linguistic and theoretical knowledge fascinated me. My primary knowledge of theories of comparative politics is indebted to him. When I became a PhD student at Hiroshima University, Professor Kenji Iwata supervised me. From him and Professor Toshihiko Ueno (Sophia University) I learned the importance of a precise and detailed analysis.\n\nFinally I would like to thank my parents, Yoshihisa and Mitsuko. They allowed me to study at postgraduate level in a foreign university. Probably they are happier with my finishing the course than I.\n\nThe remaining faults, of course, remain my own.\n\nChapter 1 On the Research Subject and Some Theoretical Considerations\n\nI. Introduction\n\nThe USSR, which was the first socialist state, one pole of the cold war, and the last empire in the modern world, collapsed in 1991. There is no doubt that it is a challenging subject for all social scientists, including historians, to investigate what the Soviet system was, why and how it collapsed. Many analyses have already been advanced around this subject. The purpose of this dissertation is also to contribute to an understanding of the collapse of the USSR.\n\nThe research object here is the Communist Party of the Soviet Union (CPSU), which had presided over the state and society in the Soviet Union. Unquestionably, the CPSU was a key in understanding what was the Soviet system. It is clear that the CPSU as the only legal party had monopolistic control over both the state and society. On the one hand, for the state, the fact that it was the only party meant that it was the ultimate organisation to make decisions, to monitor the implementation by the state, and to intervene in state functions. On the other hand, for society, the CPSU was the only route to legitimately express their interests. However, these interests were easily distorted since within the party a unity of interests was assumed and any fractions were not permitted because of the monolithic unity over which the CPSU presided.\n\nAlthough it was supposed to be the strongest organisation in the Soviet Union, the CPSU, in the event, collapsed quickly. In August 1991, after the attempted coup, Boris Yeltsin, the president of Russian Republic at that time, declared a prohibition on the activity of the CPSU, and it did not resist vigorously. The problem is why it did not. It is natural to speculate that the CPSU was in a disintegrating process well before the attempted coup. After the disintegration of the CPSU, the collapse of the USSR followed in December 1991. It seems that these two processes unfolded side by side. Thus, the analysis of the disintegration of the CPSU can enormously contribute to understanding the collapse of the USSR. In addition, if the extraordinary or exceptional situation reveals the essence of the matter as Carl Schmitt\n\nonce argued, Gorbachev’s *perestroika* period may be the ideal case for understanding the essence of the Soviet system.\\(^1\\)\n\nThe CPSU was a huge organisation. The number of members reached nearly 20 million at its peak. It encompassed almost all elites in the country: political, economic, social elites, intellectuals, sports men and so forth. In general, such a huge organisation necessitates an administrative core. In the CPSU, the core was the party apparat, which is the main research object of this dissertation. Through investigating the work of the party apparat and other related issues in the final years of the CPSU, this dissertation tries to contribute to understanding the Soviet collapse.\n\n**II. What the Soviet System Was**\n\n1. **Basic Characteristics of the Soviet Political System**\n\n The Soviet political system or a communist regime in general, the collapse of which is the subject of this dissertation, had prominent characteristics in comparison with other regimes. It is frequently assumed that the party’s function was the key in this regime, since the communist party was the only or hegemonic party in communist countries. The communist regime had two characteristics: the monolithic unity of the communist party and the monopolistic control over the state and society. Firstly, the communist party was committed to its own monolithic unity. Based on Marxist and Leninist doctrine, which was the only legitimate ideology, the party was supposed to be the vanguard organisation to lead the countries to communism. It seems that the party’s activities were a kind of art of war to change the countries. Just as no one in the military doubts the aim of war during war itself, no party member questioned the aim of the party’s activities. Thus, any fraction within the party was strictly forbidden since it could cause a division in the ‘war’ the party was conducting.\\(^2\\) Secondly, the communist party had monopolistic control over both the state and society.\\(^3\\) Although the congruence of the communist party\n\n---\n\n\\(^1\\) Karu Shumitto, *Seijiteki na Mono no Gainen* (Tokyo: Miraisha, 1970). This is a translation of Carl Schmitt, *Der Begriff des Politischen*.\n\n\\(^2\\) On this analogy to war, see Takayuki Ito, ‘Porando ni Okeru Nomenkuratura Ronso: Ichigenteki Shihin no Tasogare (Jo) [Controversy over Nomenklatura in Poland: The Twilight of Monopolistic Control (I)]’, *Kyousanshugi to Kokusaiseiji* [Communism and International Politics], Vol. 6, No. 4 (1982) pp. 58-59.\n\n\\(^3\\) Shiokawa firstly advocated the view that a communist regime consists of triangle of the party, the state, and society instead of traditional view of bilateral relation between the state and society. In his view, the communist party is not a part of society. See Nobuaki Shiokawa, *Shuen no Naka no Sorenshi* [Soviet\n\nand the state was frequently assumed in communist countries, it was not always precise. Rather, the relation between the party and the state is the consistent problem. There was the functional division of labour between the party and the state: on the one hand, the main role of the party was decision-making, mass mobilisation, monitoring and direction; the state, on the other hand, played the role of implementation. As this functional division of labour shows, the communist party had a superior position to the state. Moreover, the party often interfered with this division and substituted (or duplicated) the functions of the state. In addition, in communist countries, it would be natural that we assume a distinction between the party and society. The party as the mobilising organisation confronted society. There was no room for independent associations to play a political role, even if they informally existed. Society was always the object of the party’s control and the party had its sections even in the workplace. The party was, therefore, composed of a huge hierarchy from the all-union level (Central Committee) to the work places, schools and others (Primary Party Organisations: PPOs) in the case of the Soviet Union. The parties in other communist countries had a similar hierarchy. In addition, soviets or equivalent organisations of other communist countries could be regarded as an instrument to control society. Candidates in soviet elections were controlled by the party. Moreover, it is well-known that the mobilisation of the party in soviet elections was extensive (99% turnout). It is clear from the discussion above that one of the prominent characteristics in the communist regime was the strict prohibition of other independent organisations. Of course, control could not perfectly be implemented. There was always room not to be controlled. The Catholic Church in Poland was a well-known example. Even the soviets in the Soviet Union functioned as a route to express the interests of society, though they were weak. Nonetheless, severe control was prominent in comparison with other regimes. Although according to Przeworski every dictatorship cannot and does not permit counter-hegemony,\\(^4\\) the strictness of the prohibition in the communist regime was so different from the authoritarian regime that the communist regime could be regarded as a distinct type.\n\n\\(^3\\)History in Perspective] (Tokyo: Asahi Shinbunsha, 1993), pp. 23-56; Nobuaki Shiokawa, Genzonshita Shakaishugi [Socialism that Really Existed] (Tokyo: Keisoshobo, 1999), pp. 144-149.\n\n\\(^4\\) Adam Przeworski, Democracy and the Market: Political and Economic Reforms in Eastern Europe and Latin America (New York: Cambridge University Press, 1991), p. 54.\n\nIt was the *nomenklatura* system that sustained this monolithic unity and monopolistic control over the state and society.\\(^5\\) The *nomenklatura* system was a personnel system of the communist regime. This system basically consisted of two lists. One list was of important jobs. Another was the list of persons who were appropriate for the jobs. The Secretariat of the Central Committee in the communist party controlled these lists of the highest echelon of the party, the state and society. One reason that the first (or general) secretary of the communist party became the top person in communist countries was this system. At lower echelons, the relevant party organisations managed these lists. According to Ito, the *nomenklatura* can be analysed from three perspectives.\\(^6\\) The first is the method to recruit elites (the *nomenklatura* as a recruitment mechanism). Due to this system, higher-level organisations had the right to appoint appropriate persons to lower organisations within the party. Even outside of the party, the communist party had the right to ‘approve’ persons to organisations of the state and society. This means that the party could recruit the appropriate elites from society. This leads to the second perspective. This system was also a mechanism to maintain the hierarchy of the party and to control the state and society (the *nomenklatura* as a ruling mechanism). The party could control other organisations through its personnel allocation. This system had Janus-like two functions for the regime. Firstly, it had the positive side of effectively mobilising scarce intellectual resources. Due to this system, the party could appoint qualified persons to important realms, for example industry or the military. Secondly, however, this system entailed patronage. For lower organisations, this system meant that their promotion depended on the level above them. Thus, the lower-level officials had to eagerly demonstrate their loyalty. Moreover, patrons had an incentive to pick loyal clients regardless of their ability. When this patronage system stabilised, the people to be appointed to the *nomenklatura* list became close to a kind of ‘new class’. This is the third perspective, that is, the *nomenklatura* as a class. While the first and second perspectives connect with each other, the third perspective is a little different.\\(^7\\) The following discussion of this dissertation primarily will concentrate on the first and second perspectives.\n\n\\(^5\\) The established work on *nomenklatura* system of the Soviet Union is presented by Harasymiw. See Bohdan Harasymiw, ‘Nomenklatura: The Soviet Communist Party’s Leadership Recruitment System’, *Canadian Journal of Political Science*, Vol. 2, No. 4 (December 1969).\n\n\\(^6\\) Ito, ‘Porando ni’, pp. 56-65; Takayuki Ito, ‘Controversy over Nomenklatura in Poland: Twilight of a Monopolistic Instrument for Social Control’, *Acta Slavica Iaponica*, Vol. 1 (1983), pp. 58-62.\n\n\\(^7\\) Shiokawa, *Shuen*, pp. 51-52. Hill and Löwenhardt distinguish the *nomenklatura* as a mechanism from the *nomenklatura* as the ‘ruling class’. It seems that the first and second perspectives of Ito overlap the\n\nIt seems that the manner of budget formation helped to sustain the monolithic unity of the communist party.\\(^8\\) The budget of the party was formed as follows. Firstly, primary party organisations collected membership dues from each member. Secondly, these dues were totally transferred to a regional (oblast' in the Soviet Union) party organisation. Thirdly, the regional party organisation distributed them to lower (city and district) party organisations. Thus, though it may be possible to argue that regional party organisations were more autonomous in terms of finance, the lower party organisations did not have financial independence, which could contribute to sustain the party hierarchy.\n\nThe next question is to review how scholars conceptualise such a system.\n\n2. Conceptualisation of the Soviet System\n\n(a) Totalitarianism\n\nThe ‘orthodox’ conceptualisation has been totalitarianism. Although a popular image of the Soviet system may be that of Orwell's *1984*, a standard academic formulation of the totalitarian regime was advanced by Friedrich and Brzezinski. According to them, Nazi Germany and the Soviet Union shared following six characteristics of totalitarianism: 1. An elaborate ideology, 2. A single mass party typically led by one man, the ‘dictator’, 3. A system of terror, 4. A near-complete monopoly of control of all means of effective mass communication, 5. A near-complete of monopoly of the effective use of all weapons of armed combat, 6. A central control and direction of the entire economy.\\(^9\\) Here the party clearly possesses the central position in the system. The dictator leads the party that is dedicated to the ideology and controls mass communication, armed combat, and economy. Although some proponents of totalitarian regime stressed more the role of a dictator, even such an argument did not deny the central role of the party as one of the pillars of totalitarianism.\\(^{10}\\) Totalitarianism is, according to the proponents, a modern, dynamic, bureaucratically controlled new type of personal dictatorship.\n\n\\(^8\\) The author’s knowledge on this issue is limited to the Soviet case. For more detail on the party finance, see Chapter 5.\n\n\\(^9\\) Carl J. Friedrich and Zbigniew K. Brzezinski, *Totalitarian Dictatorship and Autocracy*, 2\\(^{nd}\\) ed. (Cambridge, MA: Harvard University Press, 1965).\n\n\\(^{10}\\) Leonard Schapiro, *Totalitarianism* (London: Macmillan Press, 1972).\n\n(b) Modified Totalitarianism\n\nAfter Stalin’s death, some questioned totalitarianism. Particularly, the role of Khrushchev did not seem as crucial as that of Stalin. Juan Linz’s standard reference on political regimes does not emphasise the role of dictator. Instead, he indicates three characteristics: 1. A monistic centre of power, 2. An exclusive, autonomous, and elaborate ideology, 3. Active mobilisation through a single party. While he argues that his concept of the totalitarian regime can be applied only to the Stalin era, later changes are considered as a development toward a ‘post-totalitarian regime’, which is a sub-category of an authoritarian regime.\\(^{11}\\)\n\nNonetheless, some main features of the system did not seem to change. Many thought the core of the system lay in bureaucracy. Especially the party bureaucracy (the party apparat) developed a huge hierarchical network throughout almost all spheres of the society. Rigby characterised the system as a ‘mono-organisational society’. Post-Stalinist development was, according to him, ‘mono-organisational society without the personal dictatorship’.\\(^{12}\\) Thus, ‘mono-organisational society’ itself was intact even after Stalin’s death. In this conceptualisation, the place of the party is crucial. The party is the core of power in ‘mono-organisational society’. Jan Pakulauski’s ‘partocracy’ shares the same characterisation of the Soviet-type political system.\\(^{13}\\)\n\n(c) Qualified Pluralism\n\nDuring the Brezhnev period, such a totalitarian formulation, including modified one, of the system was challenged. Besides the rough identification of the Nazi and the Soviet Union, main criticisms were\n\n\\(^{11}\\) Juan Linz, ‘Totalitarian and Authoritarian Regimes’, in Fred I. Greenstein and Nelson W. Polsby eds., *Handbook of Political Science, Vol. 3: Macropolitical Theory* (Reading, Mass.: Addison-Wesley, 1975). Later the ‘post-totalitarian regime’ became an independent category rather than sub-category. See Juan J. Linz and Alfred Stepan, *Problems of Democratic Transition and Consolidation: Southern Europe, South America, and Post-Communist Europe* (Baltimore: The Johns Hopkins University Press, 1996).\n\n\\(^{12}\\) T. H. Rigby, ‘Stalinism and the Mono-organisational Society’, in T. H. Rigby, *The Changing Soviet System: Mono-organisational Socialism from its Origins to Gorbachev’s Restructuring* (Aldershot: Edward Elgar, 1990): pp. 82-112 (Chap. 4). The phrase ‘mono-organisational society without the personal dictatorship’ is in p. 107. See also T. H. Rigby, ‘Reconceptualising the Soviet System’, in Stephen White, Alex Pravda, and Zvi Gitelman eds., *Developments in Soviet and Post-Soviet Politics* (London: Macmillan Press, 1992).\n\n\\(^{13}\\) Jan Pakulski, ‘Bureaucracy and the Soviet System’, *Studies in Comparative Communism*, Vol. 19, No. 1 (Spring 1986).\n\ndirected to the hierarchal control image of totalitarianism and ideological presumption. Some argued that some groups other than the party (for example, the KGB, the military, a trade union, the Council of Ministers and so on) formed some kind of ‘interest groups’. Thus, they argued, party control could not be overestimated. Jerry Hough emphasised that conflicts among specialists (for example, industry, agriculture, education and so forth), between centre and regions, and among regions were everyday matters even within the party apparat. The full-time party workers were not always ideological fanatics. Thus, Hough tried to replace totalitarianism by his ‘institutional pluralism’.¹⁴ The party was, according to these criticisms, not necessarily the centre of power, or the party itself was fragmented by conflicting interests of society.\n\nIt seems clear that the place of the party in the system was a crucial element for these conceptualisations. To research the CPSU disintegration, therefore, will provide a good test for them. The strength and weakness of these conceptualisations will be discussed in the final chapter after the detailed analysis.\n\nIII. Why the Soviet System Collapsed: Theories of Political Change and the Soviet Collapse\n\n1. International Explanations\n\nDespite being the core of power, the CPSU has not been treated properly in research on the Soviet collapse. Some argue that United States’ victory over the USSR in the cold war is a main reason. This can be called the ‘international explanation’, since it considers that regime change came from outside.¹⁵ There are two variations within this argument. The first one is the military explanation: this school emphasized the priority of the United States to the USSR in the arms race.¹⁶ The USSR, they maintained, could not find a way to overcome SDI. With the end of the USSR, the United States was left as the only power to preserve the world order. Although it appears easy to understand, this argument does not look so\n\n¹⁴ Jerry F. Hough, *The Soviet Union and Social Science Theory* (Cambridge, MA: Harvard University Press, 1977); Jerry F. Hough and Merle Fainsod, *How the Soviet Union Is Governed* (Cambridge, MA: Harvard University Press, 1979).\n\n¹⁵ While the ‘international explanation’ is advanced mainly by researchers on international politics in the context of the end of the cold war rather than collapse of the Soviet Union, the most elaborate study is presented by Brown. See Archie Brown, ‘Transnational Influences in the Transition from Communism’, *Post-Soviet Affairs*, Vol. 16, No. 2 (2000).\n\nconvincing. Firstly, the loss of the arms race cannot necessarily produce a domestic change of regime. Secondly, this ignores the autonomy of Soviet diplomacy. Gorbachev’s ‘new thinking’ diplomacy appeared successful in the late 1980s. In the early stages of the ending of the cold war (around 1987-1990), military explanation was rarely advanced. It is after the Gulf War and the collapse of the Soviet Union that this explanation gathered support.\\(^{17}\\) It seems that this is an example of hindsight since we now know the United States is the only remaining superpower.\n\nThe second international explanation regards the power of ideas as the main factor in the victory of the United States.\\(^{18}\\) According to this, the form of democracy and the market economy that is typically embodied in the United States became more attractive for the Soviet people than socialism, which caused ideological decay and led to the dissolution of the USSR. It seems that this has some explanatory power. It appeared that the groups who advocated democracy and the market economy had won in the struggle with conservatives thanks to their popular support. Nonetheless, this explanation has certain weaknesses. Firstly, this argument cannot directly explain how such ideas as democracy and the market economy influenced the Soviet people. Secondly, as discussed in later chapters, there is some doubt whether what happened in the Soviet Union was the victory of democrats. Thirdly, the ‘international explanations’ are very difficult to confirm by empirical evidence. Though to integrate international politics with domestic politics is certainly an attractive research agenda, it seems that we have not had yet been shown a satisfactory research design. Finally, it seems that these ‘international explanations’, both the military and the ideational one, overestimate international influence on Soviet domestic politics, though it is certainly an important aspect. A regime change of this kind can be explained only through domestic politics except in the case of occupation by a foreign country.\n\n2. Transitology and Civil Society Theory\n\n\\(^{16}\\) Although this explanation is accepted mainly by American politicians and commentators, as a scholar’s paper, see Richard Pipes, ‘Misinterpreting the Cold War: The Hard-Liners Had It Right’, *Foreign Affairs*, Vol. 74, No. 1 (January/February 1995).\n\n\\(^{17}\\) Kiichi Fujiwara, ‘Reisen no owarikata [How the Cold War Ended]’, in Tokyou Daigaku Shakaikagaku Kenkyujo ed., *20seiki Shisutemu [The Twentieth Century Global System]*, Vol. 6 (Tokyo: University of Tokyo Press, 1998).\n\n\\(^{18}\\) For example, Takuya Sasaki, ‘Amerika to Reisen [the United States and the Cold War]’, in Chihiro Hosoya and Naoki Maruyama eds., *Posuto Reisenkino Kokusaiseiji [International Politics in the Post-Cold War Era]* (Tokyo: Yushindo, 1993).\n\nNow it is necessary to turn our attention to domestic politics. Works on political change concentrating on domestic politics can be categorised by two axes (see Table 1-1). The first axis distinguishes actor-centred and structural approaches. The second axis distinguishes change from ‘above’ and from ‘below’. Although this typology may be arbitrary, it seems to be useful to explain previous approaches. Some scholars took an ‘actor-centred approach’ to discuss politics in the perestroika period. Their focus is major political figures and their interaction rather than the CPSU as an organisation: figures such as Gorbachev, Ligachev, Yakovlev, Ryzhkov, Yeltsin and others. Some of these works are well-organised biographies. One successful study considers Gorbachev as the central factor in *perestroika*.\\(^{19}\\)\n\nThis actor-centred approach is theoretically influenced by ‘transitology’, which generalised the democratic transition in Southern Europe and Latin America (to which Eastern Europe was added later) and emphasized the role of the strategic choices of political elites in regime change.\\(^{20}\\) Civil society theory can also be regarded as a school within the actor-centred approach, since this emphasizes the strategy of civil\n\n---\n\n\\(^{19}\\) Archie Brown, *The Gorbachev Factor* (Oxford: Oxford University Press, 1996).\n\n\\(^{20}\\) Major works on transitology are following. Dankwart A. Rustow, ‘Transitions to Democracy’, *Comparative Politics*, Vol. 2, No. 3 (April 1970); Guillermo O’Donnell and Philippe C. Schmitter, *Transitions from Authoritarian Rule: Tentative Conclusions about Uncertain Democracies* (Baltimore: The Johns Hopkins University Press, 1986); Adam Przeworski, ‘Some Problems in the Study of the Transition to Democracy’, in Guillermo O’Donnell, Philippe C. Schmitter, and Laurence Whitehead, eds., *Transitions from Authoritarian Rule: Comparative Perspectives* (Baltimore: The Johns Hopkins University Press, 1986); Adam Przeworski, ‘Democracy as a contingent outcome of conflicts’, in John Elster and Rune Slagstad eds., *Constitutionalism and Democracy* (Cambridge: Cambridge University Press 1988); Przeworski, *Democracy and the Market*; Samuel P. Huntington, *The Third Wave: Democratization in the Late Twentieth Century* (Norman: University of Oklahoma Press, 1991); Juan J. Linz, ‘Transitions to Democracy’, *The Washington Quarterly*, Vol. 13, No. 3 (Summer 1990); Juan J. Linz and Alfred Stepan, *Problems of Democratic Transition and Consolidation*; Terry Lynn Karl and Philippe C. Schmitter, ‘Modes of Transition in Latin America, Southern and Eastern Europe’, *International Social Science Journal*, Vol. 43, No. 128 (1991).\n\nOn the application of transitology to post-communist countries, see Russell Bova, ‘Political Dynamics of the Post-Communist Transitions: A Comparative Perspective’, *World Politics*, Vol. 44, No. 1 (October 1991); Grzegorz Ekiert, ‘Democratization Processes in East Central Europe: A Theoretical Reconsideration’, in Geoffrey Prudham ed., *Transition to Democracy: Comparative Perspective from Southern Europe, Latin America and Eastern Europe* (Brookfield: Dartmouth, 1995); Tsuyoshi Hasegawa, ‘The Connection Between Political and Economic Reform in Communist Regimes’, in Gilbert Rozman with Seizaburo Sato and Gerald Segal eds., *Dismantling Communism: Common Causes and Regional Variations* (Washington/ Baltimore: Woodrow Wilson Center Press/ Johns Hopkins University Press, 1992); Takayuki Ito, ‘Minshuka to Koshokodo: Rosha Toou Shokoku no Seijihendo ni Sokushite [Democratisation and Negotiation Behaviour: Based on the political changes in Russia and East European countries]’, in Hiroshi Kimura ed., *Kokusaikoshogaku* (Tokyo: Keisoshobo, 1998); Michael McFaul, ‘Lessons from Russia’s Protracted Transition from Communist Rule’, *Political Science Quarterly*, Vol. 114, No. 1 (1999); Michael McFaul, *Russia’s Unfinished Revolution: Political Change from Gorbachev to Putin* (Ithaca: Cornell University Press, 2001). Although McFaul’s works include some critical statements and qualifications of transitology, we can find some influence of it in his works.\n\nsociety elites rather than structural constraints.\\textsuperscript{21} However, the civil society approach is an actor-centred approach ‘from below’ while transitology is an approach ‘from above’. In spite of controversies over the validity of transitology in Eastern Europe, it is not necessary to abandon the attempt at comparison itself and transitology provides useful conceptual tools in analysing political change: for instance, the distinction between liberalisation and democratisation, between civil society and political society, pacts, and others.\\textsuperscript{22} Moreover, it is important to find that opening of political change begins with cracks in an authoritarian regime rather the rise of civil society. In any case, let us confirm that these actor-centred approaches emphasise the strategic choice.\n\n3. Modernisation Theory\n\nOn the other hand, structural approaches emphasise the structural constraint. The classical structural approach is modernisation theory.\\textsuperscript{23} According to this theory, modernisation, especially economic development, urbanisation and education, produces the conditions for democratisation as following: while economic development and urbanisation leads to the emergence of a middle class, the spread of general education infuses the idea of democracy to this class. The enlightened middle class seeks democracy. Some emphasised more internal dynamics of political institution under modernisation. For\n\n\\textsuperscript{21} On civil society theory, see Akira Kawahara, \\textit{Chutooumo Minshukano Kozo [Structure of Democratisation in Central Eastern Europe]}, (Tokyo: Yushindo, 1993). Fish uses the word ‘movement society’ instead of civil society since civil society in the Soviet Union was premature. M. Steven Fish, \\textit{Democracy from Scratch: Opposition and Regime in the New Russian Revolution} (Princeton: Princeton University Press, 1995).\n\n\\textsuperscript{22} Controversies over transitology have occurred both the US and Japan. On controversies in the United States, see Philippe C. Schmitter with Terry Lynn Karl, “The Conceptual Travels of Transitologists and Consolidologists: How Far to the East Should They Attempt to Go?” \\textit{Slavic Review}, Vol. 53, No. 1 (Spring 1994); Valerie Bunce, “Should Transitologist Be Grounded?” \\textit{Slavic Review}, Vol. 54, No. 1 (Spring 1995); Terry Lynn Karl and Philippe C. Schmitter, “From an Iron Curtain to a Paper Curtain: Grounding Transitologists or Students of Postcommunist?” \\textit{Slavic Review}, Vol. 54, No. 4 (Winter 1995); Valerie Bunce, “Paper Curtains and Paper Tigers”, \\textit{Slavic Review}, Vol. 54, No. 4 (Winter 1995). In Japan, see Nobuaki Shiokawa, “‘Taiseitenkan’ no mokuteki ha “Seiouka” ka? [Is the Aim of “Regime Change” “Westernisation”?]” in \\textit{Surabu Yurashio no Hendo: Juteryouikikenkyu Houkokushu [Proceedings of a Conference: the Changes in the Slavic-Eurasian World]} (Sapporo: Hokkaido University, 1998); Takayuki Ito, “Shiokawa hokoku wo chushitosuru comento [Comments on Shiokawa’s Paper]”, in \\textit{Ibid.}; Shiokawa, \\textit{Genzonshita}, pp. 433-437.\n\n\\textsuperscript{23} The representative work in modernisation theory is Lipset’s one. See Seymour Martin Lipset, “Some Social Requisites of Democracy: Economic Development and Political Legitimacy”, \\textit{The American Political Science Review}, Vol. 53, No. 1 (March 1959). More sophisticated works in modernisation theory include the following: Samuel P. Huntington, \\textit{Political Order in Changing Society} (New Haven: Yale University Press, 1968); Barrington Moore Jr., \\textit{Social Origin of Dictatorship and Democracy} (Harmondsworth: Penguin University Books, 1973/ First published in 1966).\n\nexample, Talcott Parsons advanced ‘evolutionary universals’. Society, according to him, develops from a primitive stage, through social stratification and cultural legitimation, toward a bureaucratic organisation, market system, universal norm and a democratic association.\\textsuperscript{24}\n\nSuch a view had some influence on Soviet studies. Richard Lowenthal, in 1970, argued that communist regimes were bound to face a dilemma between an ideological utopian goal and economic development. After ideological decay, he argued, the communist regime went toward developmental authoritarian dictatorship rather than totalitarian one.\\textsuperscript{25} Later he developed this line of argument. The communist system that had been unable to adopt some element of pluralist democracy would face erosion of legitimacy and, therefore, a political crisis.\\textsuperscript{26}\n\nAs another example of a modernisation theorist, Thomas Remington can be noted. After the Soviet collapse, he argues that contradictions between industrialisation and urbanisation, for instance environmental problems, and between educational improvement and job structure in Soviet Union, an example of which is that one who had a good education could not have an appropriate job where manual workers were demanded, led people to organise opposition movements.\\textsuperscript{27} These arguments have contributed to understanding the influence of economic and social change on political change.\n\n\\textbf{4. New Institutionalism}\n\nWhile many structural approaches investigate the conditions for regime change from society (below), new institutionalism considers political change comes from the state (above). There are at least two new institutionalisms which have developed with little mutual relation. Nonetheless, some scholars try to find the theoretical core of new institutionalism. According to them, while political institution can be considered as rules constraining actors, the behaviour of actors gradually changes institutions. Political\n\n\\textsuperscript{24} Talcott Parsons, ‘Evolutionary Universals in Society’, \\textit{American Sociological Review}, Vol. 29, No. 3 (June 1964).\n\n\\textsuperscript{25} Richard Lowenthal, ‘Development vs. Utopia in Communist Policy’, in Chalmers Johnson ed., \\textit{Change in Communist Systems} (Stanford: Stanford university Press, 1970).\n\n\\textsuperscript{26} Richard Lowenthal, ‘On “Established” Communist Party Regime’, \\textit{Studies in Comparative Communism}, Vol. 7, No. 4 (Winter 1974). Though this is an abbreviated version of Richard Lowenthal, ‘The Ruling Party in a Mature Society’, in Mark G. Field ed., \\textit{Social Consequences of Modernisation in Communist Societies} (Baltimore: Johns Hopkins University Press, 1976), the abbreviated version is more sophisticated.\n\n\\textsuperscript{27} Thomas F. Remington, ‘Regime Transition in Communist Systems: The Soviet Case’, \\textit{Soviet Economy}, Vol. 6, No. 2 (1990). Ada W. Finifter and Ellen Mickiewicz, ‘Redefining the Political System of the\n\nchange can occur as a result of the long-term development of the relation of actors and institution.\\textsuperscript{28} Since this theoretical core is too broadly defined, it seems necessary to introduce each variant of new institutionalism. The first variant is rational choice institutionalism. This school presumes that behaviour of actors is rational within the constraints of institutions. Thus, the preference of actors is the maximisation of personal interests. Moreover, it is based on methodological individualism: it focuses on individual actors rather than collective actors. On the other hand, the second variant, sociological institutionalism, rejects rational choice. This school does not presume actors’ preferences \\textit{a priori}, since preferences are formed by institutions. In addition, it is not based on methodological atomism. Thus, actors are not individuals but, for instance, social class, parties, and others.\n\nUp to now, some studies that applied new institutionalism to the Soviet case are based on rational choice institutionalism. The common element of these studies is the focus on intra-state (including the party) affairs rather than society. Philip Roeder applies rational choice institutionalism to the explanation of structural cycles and the final collapse of communist regime. He exclusively focused on relations between the top (Politburo) level elites and second (Central Committee) level elites by supposing their relations were reciprocal rather than hierarchical. In order to secure their political position, the top elites had to seek support from the second level, which was bound to lead to a transition from collective leadership to one-man directive leadership. In addition, the directive leadership was bound to be conservative, because it could not betray the interest of second level elites. If betrayed, he was expelled by\n\n\\textsuperscript{28} On new (or neo) institutionalism generally, see Peter A. Hall and Rosemary C. R. Taylor, ‘Political Science and the Three New Institutionalisms’, \\textit{Political Studies}, Vol. 44, No. 4 (1996); Ellen M. Immergut, ‘The Theoretical Core of the New Institutionalism’, \\textit{Politics and Society}, Vol. 26, No. 1 (1998); Rosa Mule, ‘New Institutionalism: Distilling some ‘Hard Core’ Propositions in the Works of Williamson and March and Olsen’, \\textit{Politics}, Vol. 19, No. 3 (September 1999). On sociological institutionalism, see Paul J. DiMaggio and Walter W. Powell, ‘The Iron Cage Revisited: Institutional Isomorphism and Collective Rationality in Organizational Fields’, \\textit{American Sociological Review}, Vol. 48, No. 2 (April 1983). On historical institutionalism, see Kathleen Thelen and Sven Steinmo, ‘Historical institutionalism in comparative politics’, in Sven Steinmo, Kathleen Thelen, and Frank Longstreth, eds., \\textit{Structuring Politics} (Cambridge: Cambridge University Press, 1992); Colin Hay and Daniel Wincott, ‘Structure, Agency and Historical Institutionalism’, \\textit{Political Studies}, Vol. 46, No. 5 (1998); Peter A. Hall and Rosemary C. R. Taylor, ‘The Potential of Historical Institutionalism: a Response to Hay and Wincott’, \\textit{Political Studies}, Vol. 46, No. 5 (1998). On rational choice institutionalism, see Douglass C. North, ‘Institutions and a transaction-cost theory of exchange’, James E. Alt and Kenneth A. Shepsle, eds., \\textit{Perspectives on Positive Political Economy} (New York: Cambridge University Press, 1990); Douglass C. North, \\textit{Institutions, Institutional Change and Economic Performance} (New York: Cambridge University Press, 1990). The\n\nsecond level elites, as in the case of Khrushchev. Thus, the Soviet system was bound to stagnate. Gorbachev’s reforms were attempts to replace the old second level elites with new ones, but he failed to create a new structure.\\textsuperscript{29} Though this is not institutionalism, one study that applied rational choice to the Soviet case can be introduced here. According to Susan Batty and Vesna Danilovic, Gorbachev’s strategy of centrism between radical reformers and conservatives was rational in order to make sure their cooperation in the short run. However, such a centralist strategy could not be sustained in a sequential process as polarisation increased. They explained this mechanism by nested game theory.\\textsuperscript{30} In another study, Steven Solnick also utilises rational choice institutionalism to account for the collapse of the Komsomol and other youth organisations. He focuses on the middle level bureaucracy (e.g. regional full-time Komsomol workers). According to him, the middle level bureaucracy tended to be autonomous because of agency problem. Though they were agents of top elites, middle level elites could get more information on their own affairs. Thus, they could hide their real capacity and information from the central elites. The bureaucratic hierarchy was bound to weaken. Gorbachev’s reforms delegating authority to the middle level elites enhanced centrifugal fragmentation and caused a hierarchy breakdown.\\textsuperscript{31} Although she did not apply rational choice, Bunce’s treatment of the collapse of the communist regime is logically similar to Solnick’s explanation. Her bird-eye’s view explanation emphasises that the formal monopoly of power and resources internationally (within the Soviet bloc) and domestically (within the Soviet Union) caused unbearable high costs for the central organisation. Thus, throughout its history, the Soviet Union informally delegated power to lower organs as well as satellite countries. Gorbachev’s reforms accelerated this centrifugal process by the formal power delegation to lower organs. Therefore, the Soviet bloc disintegrated and the Soviet Union also collapsed.\\textsuperscript{32}\n\n\\textsuperscript{29} Philip G. Roeder, \\textit{Red Sunset: The Failure of Soviet Politics} (Princeton: Princeton University Press, 1992).\n\n\\textsuperscript{30} Susan E. Batty and Vesna Danilovic, ‘Gorbachev’s Strategy of Political Centrism: A Game-Theoretic Interpretation’, \\textit{Journal of Theoretical Politics}, Vol. 9, No. 1 (1997).\n\n\\textsuperscript{31} Steven L. Solnick, ‘The Breakdown of Hierarchies in the Soviet Union and China’, \\textit{World Politics}, Vol. 48, No. 2 (January 1996); Steven L. Solnick, \\textit{Stealing the State: Control and Collapse in Soviet Institutions} (Cambridge, Mass.: Harvard University Press, 1998).\n\n\\textsuperscript{32} Valerie Bunce, \\textit{Subversive Institutions: The Design and the Destruction of Socialism and the State} (New York: Cambridge University Press, 1999).\n\nIt seems that few studies applied sociological institutionalism to the Soviet or Communist case. One study on the Hungarian Socialist Workers’ Party applies sociological institutionalism, which seems instructive in understanding of the disintegration of the CPSU. According to this, the Hungarian communist party had failed to adequately co-opt the new professionally qualified elites as party workers especially at a regional and local level. Such isolated elites began to form informal reform circle, which, in the end, made it possible to change the party from within.\\textsuperscript{33}\n\nAs we have seen, although there are some variations in new institutionalism, the common element is that it focuses on the ruling organisation rather than top elites as in the case of transitology or society as in the case of modernisation theory.\n\n\\textbf{5. Marxist Views}\n\nSome Left scholars advanced a somewhat similar view to some new institutionalists on the Soviet ‘demise’. David Kotz and Fred Weir argue that Gorbachev’s reforms gave a great opportunity to conduct a capitalist revolution to party-state elites. For example, economic reform allowed middle and lower elites to spontaneously privatise state property. Political reform destroyed central control and middle and lower party officials became independent. The Soviet system was, therefore, fragmented by party-state elites themselves. The revolution came ‘from above’. A high degree of elite continuity after the collapse, they argue, supports their argument.\\textsuperscript{34}\n\n\\textbf{6. Some Hypotheses on Political Change}\n\nHere, we can make some hypotheses about why and how the Soviet system collapsed based on these theories.\n\n1. The central factor in the Soviet collapse is the strategy of top elites, for example, Gorbachev, Yeltsin, Ligachev and so forth (transitology).\n\n\\textsuperscript{33} Patrick H. O’Neil, \\textit{Revolution from Within: The Hungarian Socialist Workers’ Party and the Collapse of Communism} (Cheltenham: Edward Elgar, 1998). A condensed version is Patrick H. O’Neil, ‘Revolution from Within: Institutional Analysis, Transition from Authoritarianism, and the Case of Hungary’, \\textit{World Politics}, Vol. 48, No. 4 (July 1996).\n\n2. Social and economic change or the failure to legitimate its rule through economic development was the crucial factor in the Soviet collapse (modernisation theory).\n\n3. Intra-state structure accumulated friction within the ruling body that led to the final collapse by the failure of reform (new institutionalism).\n\n4. The Soviet system came to an end by transforming party-state elites into new economic elites (Marxist view).\n\nAfter investigating the CPSU disintegration in detail, we will return to these hypotheses in the final chapter.\n\nIV. How the Soviet System Collapsed: Temporal Sequences of Political Change\n\n1. Application of Different-Type Concepts\n\nSo far, we have seen several theories of the Soviet system and its collapse. In this section, let me clarify some terminology on the temporal sequences of political change, which are used in this dissertation. Although transitology’s conceptual tools, that is, liberalisation and democratisation, have been influential in defining the temporal sequences of political change, some concepts that are more appropriate may have been advanced by an older study of the breakdown of democratic regimes.\\textsuperscript{35} True, the Soviet system was far from a liberal democracy. Therefore, the application of such concepts may be the dangerous case of ‘conceptual stretching’. Nonetheless, it seems to me that the concepts used in the breakdown of democratic regimes are more neutral than those of teleological transitology. Whether or not the application is appropriate should be decided only by the result of such an attempt. Thus, this issue will be considered in the final chapter after the detailed analysis.\n\n\\textsuperscript{34} David Kotz with Fred Weir, \\textit{Revolution from Above: The Demise of the Soviet System} (London: Routledge, 1997).\n\n2. Crisis\n\nIn his *Breakdown of Democratic Regimes*, Linz utilised Karl Dietrich Bracher’s concepts of temporal sequences: crisis, loss of power, power vacuum, and takeover of power (a breakdown). In each phase, there is a chance to find a solution (reequilibrium). If a regime fails to secure reequilibrium in the first phase, it reaches the second phase. If it keeps failing, the regime faces breakdown. The first phase is crisis. This is characterised by a situation in which a regime is incapable of resolving problems. Serious problems tend to destroy a consensus of regime-supporting elites, because such serious problems are, by definition, difficult to resolve, therefore, a solution acceptable to the majority cannot be found. Therefore, they are called ‘unsolvable problems’. Unsolvable problems accumulate in this phase. Nonetheless, unsolvable problems are usually not the immediate cause of the breakdown. ‘[I]t is not the technical characteristics of the problems but the political context in which they are placed, the constraining conditions on the regime, and the alternatives offered by the existence of one or more disloyal oppositions that ultimately trigger the process of breakdown.’\n\n3. Loss of Power and Power Vacuum\n\nIn the phase of loss of power, the regime begins to suffer a crisis of legitimacy. The ruling capacity of the regime significantly declines. A tense atmosphere, widespread circulation of rumours, increased mobilisation in the street and so forth may lead regime-supporting elites to take action to strengthen the power of executive, or to make an attempt to incorporate part of the opposition.\n\nNonetheless, such measures may fail to produce the expected result. In this case, the immobilism of political forces and the process of polarisation continue, and a pre-civil war situation emerges. This is the phase of power vacuum. None rules the country in this phase. There are two options for regime-supporting leadership: to withdraw, turning over its power to the armed forces, or to appeal to the nation and to mobilise organised forces.\n\n---\n\n35 Juan J. Linz, *The Breakdown of Democratic Regimes: Crisis, Breakdown and Reequilibration* (Baltimore: Johns Hopkins University Press, 1978).\n\n36 *Ibid.*, pp. 50-55. Citation is p. 55.\n\n37 *Ibid.*, pp. 75-77.\n\nThese phases are similar to what Samuel Huntington called ‘praetorianism’. The government loses its capacity to satisfy the demands of the people. That is, the level of political participation exceeds that of political institutionalisation, which induces military intervention.\\textsuperscript{38}\n\n4. Takeover of Power and a Breakdown\n\nWhen opposition forces assume power, the process reached the phase of breakdown. This may be a result of a violent confrontation or secret negotiation. In the latter case, the process is carried out by only a small number of individuals.\\textsuperscript{39} Once the opposition assumes power, its rule must be institutionalised. This is the inauguration of a new regime.\n\nTo investigate the process of CPSU disintegration, utilising these concepts, is the task of the following chapters. Before starting the task, it is necessary to examine the existing research on the final years of the CPSU.\n\nV. Previous Studies of the CPSU and Features of This Research\n\n1. Categorisation of Existing Studies of the CPSU\n\nAlmost without exception, every study of the collapse of the Soviet Union touches the CPSU issue. In fact, it is not possible to discuss the Soviet collapse without including the CPSU. Still it seems impossible to give an overview of all these studies, because of their huge number. It is necessary to limit and categorise the arguments to specifically the CPSU, though, since most of the previous studies on the CPSU are based on firm historical and empirical evidence, it is dangerous to do so. Nonetheless, it seems that there are some differences in focus and crucial issues such as the possibility of reform (see Table 1-2). The first difference lies in the focus of research. While some studies pay more attention to institutional issues, others investigate ideology and the opinion of party members. The second criterion is the possibility of reform of the CPSU, though it is not always clear. Some scholars admit a certain possibility of party reform, which implies that party reform could have led to the successful consequence of total system reform. Other scholars argue that party reform in communist system is impossible, since the party\n\n\\textsuperscript{38} Samuel P. Huntington, \\textit{Political Order}.\n\\textsuperscript{39} Linz, \\textit{The Breakdown}, pp. 78-79.\n\napparat concentrated power in its own hands and any reform would necessarily undermine its power, which must cause an intense reaction from the apparat.\n\n2. Institutional Analysis\n\nThe following introduces previous studies along this typology. However, the possibility of party reform is not always clear. Thus, previous studies are introduced by considering their research focus. The first category is institutional analysis. Many studies seem to be included in this category. The most extensive work is Graeme Gill’s.\\(^{40}\\) He historically discusses many issues from personnel change to the institutional framework that the CPSU faced by using many published materials, especially newspapers. If forced to mention some problems, firstly, his study is all-inclusive (although it can be also a positive point), therefore, the focus of the discussion is not always clear. This leads to a second problem: why, after all, the CPSU disintegrated is not necessarily clear, though he suggests its disintegration was caused by the failure of adaptation to a changing environment.\\(^{41}\\) Related to it, he does not suggest the possibility of party reform. Later scholars should discuss some crucial topics that are not considered in his excellent sketch. Toshihiko Ueno, a Japanese scholar, also analyses many problems of the CPSU. The main foci of his works are institutional change, social composition, the authority of the party in the whole system, and others.\\(^{42}\\) Although he does not refer to the possibility of party reform, it seems that he thinks there was some possibility of this kind at the 28\\(^{\\text{th}}\\) party congress in 1990. Some works in this category argue that party reform is impossible by investigating resistance from the top-level (Central Committee) party apparat. Though he changed his opinion on this matter, Gordon Hahn’s previous view seems typical. According to him, reform of the CPSU was impossible since power was so concentrated in the hands of the CC apparat that any reform undermined its interests, which led to strong resistance. Another feature of his research is the use of party archives. Probably his research is one of the earliest attempts to understand\n\n\\(^{40}\\) Graeme Gill, *The Collapse of a Single Party System: The Disintegration of the Communist Party of the Soviet Union* (Cambridge: Cambridge University Press, 1994).\n\n\\(^{41}\\) *Ibid.*, pp. 183-184.\n\n\\(^{42}\\) Toshihiko Ueno, ‘Gorubashofu Seikenka niokeru Sorenpokyosanto no Henka [Changes of the CPSU under Gorbachev]’, *Hogaku Kenkyu [Studies of Law]*, Vol. 63, No. 2 (1990); Toshihiko Ueno, ‘Sorenpokyosanto Kaitaikatei no Bunseki [The Analysis of Processes of the Disintegration of the CPSU]’, *Kokusaiseiji [International Politics]*, Vol. 104 (1993); Toshihiko Ueno, ‘Sorenpokyosanto Dai28kai Taikai womeguru Shomondai [Problems around the Twenty Eighth Congress of the CPSU]’, *Hogaku Kenkyu*, Vol. 68, No. 2 (1995).\n\nthe Soviet collapse through investigating party archives.\\textsuperscript{43} In addition to these works, Cameron Ross discusses the problem of party-state relations.\\textsuperscript{44}\n\n\\section*{3. Ideologies and Opinion Analysis}\n\nSome scholars analyse ideological issues and the emergence of various groups in the CPSU. Ronald Hill’s study is included in this group. The purpose of his discussion is to investigate the strategy of Gorbachev’s reform which led to institutional collapse and cracks in the monolith.\\textsuperscript{45} He distinguishes these cracks among strands of opinion inside the CPSU. He does not discuss the possibility of reform either. Nobuo Shimotomai, a Japanese scholar, also investigates the divergence of opinion within the party.\\textsuperscript{46}\n\nAmong other scholars, Stephen White should be mentioned. He produced many works on the CPSU from an overview of the disintegrating process to more detailed analysis of the 28\\textsuperscript{th} party congress.\\textsuperscript{47} Although some of these are beyond the ideology and opinion analysis, for the sake of convenience his works are introduced here. In two works that were written well after the disintegration, he suggests the clear possibility of party reform. Based on opinions of lower level party members that were included in party archives, he states ‘there was a real potential for Party renewal in the early 1990s, based upon a commitment to social justice and a far-reaching democratization of the party structure’.\\textsuperscript{48} However,\n\n\\textsuperscript{43} Gordon M. Hahn, \\textit{Gorbachev versus the CPSU CC Apparat: The Bureaucratic Politics of Reforming the Party Apparat, 1988-1991} (PhD Dissertation, Boston University, 1995); Gordon M. Hahn, ‘The Politics of the XXVIII CPSU Congress and the Central Committee Open Letter’, \\textit{Russian History}, Vol. 22, No. 4 (Winter 1995); Gordon M. Hahn, ‘The First Reorganisation of the CPSU: Central Committee Apparat under Perestroika’, \\textit{Europe-Asia Studies}, Vol. 49, No. 2 (1997). His later view that admits the possibility of party reform is presented by Gordon M. Hahn, \\textit{Russia’s Revolution from Above, 1985-2000: Reform, Transition, and Revolution in the Fall of the Soviet Communist Regime} (New Brunswick: Transaction Publishers, 2002).\n\n\\textsuperscript{44} Cameron Ross, ‘Party-State Relations’, in Eugene Huskey ed., \\textit{Executive Power and Soviet Politics: The Rise and Decline of the Soviet Politics} (Armonk: M. E. Sharpe, 1992).\n\n\\textsuperscript{45} Ronald J. Hill, ‘The CPSU: From Monolith to Pluralist?’ \\textit{Soviet Studies}, Vol. 43, No. 2 (1991); Ronald J. Hill, ‘The CPSU: Decline and Collapse’, \\textit{Irish Slavonic Studies}, Vol. 12 (1991).\n\n\\textsuperscript{46} Nobuo Shimotomai, ‘Soreypo Houkai no Nakano Kyosanto [The CPSU in the Collapse of the USSR]’, \\textit{Kokusaiseiji [International Relations]}, Vol. 99 (1992).\n\n\\textsuperscript{47} Stephen White, ‘Rethinking the CPSU’, \\textit{Soviet Studies}, Vol. 43, No. 3 (1991); Stephen White, ‘Background to the XXVIII Congress’, in E. A. Rees ed., \\textit{The Soviet Communist Party in Disarray: The XXVIII Congress of the Communist Party of the Soviet Union} (London: Macmillan Press, 1992); Stephen White ‘The Politics of the XXVII Congress’, in \\textit{Ibid.}; Stephen White, ‘Communists and their Party in the Late Soviet Period’, \\textit{The Slavonic and East European Review}, Vol. 72, No. 4 (October 1994); Stephen White, ‘The Failure of CPSU Democratization’, \\textit{The Slavonic and East European Review}, Vol. 75, No. 4 (October 1997); Stephen White and Ian McAllister, ‘The CPSU and Its Members: Between Communism and Postcommunism’, \\textit{British Journal of Political Science}, Vol. 26, No. 1 (1996).\n\n\\textsuperscript{48} White, ‘Communists and their Party’, p. 663.\n\nit is always not clear why this possibility could not be realised. Many reasons may be indicated: the indecision of Gorbachev, the reaction of conservatives and others. His two articles are another early attempt that used party archives.\n\nThe analysis of the right wing in the CPSU by Robert W. Orttung shows interesting points. Ideologically right wing in the Communist Party of Russian Republic who sought the unity of the CPSU made the condition of fractionalism by itself because it was one ‘fraction’ within the CPSU.\\(^{49}\\) On party reform, it seems that he thinks it depended on the attitude of the right wing. If they had accepted pluralism, the party could have renewed itself. He states, ‘While the Right was willing to use factionalism in its battle against the democratic reformers, it could not accept pluralism as a permanent state of affairs’.\\(^{50}\\)\n\nConcerning Gorbachev’s strategy of party reform, there is a study on the discourse of Gorbachev by Neil Robinson.\\(^{51}\\) He argues that Gorbachev’s reform of the CPSU was not very reformist. Gorbachev, according to Robinson, avoided any change to the place of the party in the whole system. His study suggests Gorbachev’s ambiguity on the role of the party. Similarly, a recent book by Jonathan Harris makes an important contribution to understanding Gorbachev’s contradictory and ambiguous strategy of reforming the party apparat. His focus is the content of Gorbachev’s strategy rather than the institutional framework of the party apparat. According to him, Gorbachev tried to change the role of the party by emphasising the ‘political’ rather than ‘economic-management’ role, which destroyed the fundamental function of the party apparat.\\(^{52}\\)\n\nTherefore, the crucial issues in the study of the CPSU are as follows. The first is why party reform was introduced. The second is whether the possibility of party reform existed or not. Thirdly, if there was such a possibility, why was it not realised? Alternatively, if there was no such possibility, what prevented the reform? While some scholars who think the possibility existed tend to attribute the reasons to\n\n\\(^{49}\\) Robert W. Orttung, ‘The Russian Right and the Dilemmas of Party Organization’, *Soviet Studies*, Vol. 44, No. 3 (1992). The author does not give this ‘fraction’ a formal meaning, since the fraction was prohibited by the end of the CPSU. Only platforms were admitted in the twenty-eighth congress.\n\n\\(^{50}\\) Ibid., p. 474.\n\n\\(^{51}\\) Neil Robinson, “*The Party is Sacred to Me*: Gorbachev and the Place of the Party in Soviet Reform, 1985-1990”, Discussion Paper Series No. 10 (Essex: Russian & Soviet Studies Centre, University of Essex, June 1991); Neil Robinson, ‘Gorbachev and the Place of the Party in Soviet Reform, 1985-1991’, *Soviet Studies*, Vol. 44, No. 3 (1992).\n\n\\(^{52}\\) Jonathan Harris, *Subverting the System: Gorbachev’s Reform of the Party’s Apparat, 1986-1991* (Lanham, MD.: Rowman & Littlefield Publishers, 2004).\n\nindecision of Gorbachev and reaction of conservatives, other scholars who consider party reform was impossible are likely to seek their explanation in the institutional structure of the CPSU.\n\n4. Features of this Research\n\nCompared with the studies mentioned above, this dissertation has the following features. Firstly, the focus is on the institution. Although the author admits that institutional analysis tends to be a dry description, it is necessary to research this issue. After the Second World War, political science sought more dynamic approaches by dismissing an institutional approach. Nonetheless, the old institutional approach has not yet lost its merit. Before turning to a new approach, scholars should think what they can recognise by using such an approach.\n\nSecondly, the author’s analysis pays more attention to the party apparat and its work. This seems to be a natural research subject because it is frequently assumed that the party apparat is the key to understanding the Soviet system. However, the study of the party apparat was not easy. Published materials that were available told little about the actual work of the party apparat. Materials that were found by chance (such as the Smolensk archive) provided great opportunities for such research.\n\nNow the situation has changed, and new archival materials become available. This dissertation bases itself mainly on the party archive, which is the third feature of this dissertation. This research utilises party archives of Russian State Archive of Recent History or RGANI (formerly TsKhSD, the Centre for Preservation of Contemporary Documents), fond 89 and Russian State Archive of Social and Political History or RGASPI (formerly RTsKhIDNI, Russian Centre for the Preservation and Study of Documents of Recent History), fond 582, opis’ 6 (formerly fond 646, opis’ 1).53\n\nThese features may not be very new. In fact, this dissertation shares many features with other studies mentioned above. For example, in terms of focus, the institutional analysis is also attempted by many other scholars, including Gill. Nonetheless, this dissertation tries to conduct a deeper institutional analysis of the party apparat. The party apparat, which is the second feature, has been analysed by Hahn and Harris. Still, Harris’s work did not utilise the party archives and it researches Gorbachev’s (ambiguous) strategy rather than institutions. But, party archives have been utilised by White and Hahn.\n\nThis dissertation is, nonetheless, different from White’s two articles in terms of focus. While his focus is more on party ranks, the Central Committee (CC) apparat is this dissertation’s main interest. Thus, Hahn’s works share many features with this dissertation. The difference will be shown through the whole argument in terms of interpretation.\n\nVI. Structure of This Dissertation\n\nThe dissertation consists of seven chapters. In this chapter, the research subject, some theoretical issues, and previous research were considered. In the next chapter, based on mainly existing literature, the situation of the party before *perestroika* will be discussed. This will show the reasons why party reform was necessary. In the third chapter, the reform of party-state relations will be considered. This issue relates to streamlining the party’s old functions. The fourth chapter will deal with issues of party elections and the party programme. These issues relate to defining the new function of the party. However, the party failed to achieve the new function desired by Gorbachev. Rather, it was converting itself into other functions: economic and security functions in the final months of the party. These issues will be discussed in the fifth and sixth chapters. Finally, the summarised argument, brief comparison and theoretical consideration will be given in the final chapter.\n\n---\n\n53 Incidentally, the name ‘TsKhSD’ rather than ‘RGANI’ is used in this dissertation, because the author referred to microfilm form documents edited before the renaming.\n\nTable 1-1: Typology of Approaches\n\n| | Actor-centred | Structure-centred |\n|----------------|---------------------|---------------------|\n| From above | Transitology | New institutionalism|\n| From below | Civil Society Theory| Modernisation Theory|\n\nTable 1-2: Typology of the Studies on the CPSU\n\n| Possibility of reform | Focus |\n|-----------------------|------------------------|\n| | Institution |\n| | Ideology and Opinions |\n| Impossible | |\n| Possible | |\n\nChapter 2 The Phase of Crisis: The General Problem in the USSR\n\nI. Introduction\n\nThe phase of crisis is characterised by the accumulation of ‘unsolvable problems’. What were the ‘unsolvable problems’ in the Soviet system? Some may indicate the nature of the Soviet economic system. Firstly, the command economic system theoretically had fundamental problems as Mises and Hayek argued many years ago. Secondly, the economic system was practically far from efficient. Especially after the oil shock, the lack of efficiency caused a difficult problem in the realm of high technology. Others may indicate a changing nature of society. The emerging civil society, they may say, became less amenable to the party control. My argument, nonetheless, suggests that ‘unsolvable problems’ were accumulating in the political system itself. The basic features of the Soviet political system tended to face a dilemma. Let us, first of all, consider the basic dilemma of communist regimes in general. Then we will move on to the Soviet case.\n\nII. The Tension between Monolithic Unity and Monopolistic Control: a General Problem\n\nAs discussed in Chapter 1, the basic characteristics of the communist regime are monolithic unity of the party and the party’s monopolistic control over the state and society. However, these two characteristics presented a dilemma. The party tried to monopolistically control the state and society, for which the party had to exercise a whole series of functions. Still, the party had to integrate these functions to maintain its monolithic unity. It was not always a difficult task if the purpose was clearly defined. For instance, in wartime, this system worked rather well since the party could mobilise the state and society for the only aim, to win the war. Or, at the early stage of its development, utopian goal of ideology could mobilise people to build ‘communism’ to a significant degree.\\(^1\\)\n\nNonetheless, the more complicated the system became, the more difficult it was for the party to control it. For example, in the realm of economy this problem was clear. Economic development was one of the most important tasks of the regime. At the early stage, rapid industrialisation seemed to lead to\n\nbuilding the utopian communist society. At a later stage, where the legitimation by a utopian ideology faded away, it substituted the function of legitimacy.\\(^2\\) However, the party workers were originally revolutionaries, that is, amateurs in economics. They, therefore, had to train experts in economics. Although at the first stage of economic development, they could relatively easily control these experts, the more complicated the economic system became, the harder it was to control them. This problem was reflected in the divergence between so-called ‘reds’ and ‘experts’. While the ‘red’ was the person who engaged in the party from youth organisations and was educated by the party, experts were raised in the economic spheres. ‘Reds’, on the one hand, were fully devoted to party activities. For experts, on the other hand, joining the party meant one step in their career promotion. The difficulty of controlling the experts meant that they became influential and independent within the party. Almost the same story was true in other realms. It became increasingly difficult for the central party organisation to monitor regional party organisations since the ruling structure became very complex. In the early stages, the central organisation tried to monitor regional ones by violent methods. Nonetheless, violent methods had the potential to prevent rational ruling due to the arbitrariness of central organisations. Regional ruling elites usually had more professional knowledge on regional matters than central ones. The more stable did the personnel policies become, the more autonomous the local organisations. Thus, the party became an assembly of experts. Ideological decay accelerates this tendency. Monolithic unity faces a crisis of integrity.\n\nMoreover, control over society also might become weak. It is impossible for any forceful organisation to extend its control to such a typical private realm as the family. It is well-known that the Catholic Church was rather independent of the control of the party in Poland. Even organisations founded to control society might become autonomous. Generally, organisations develop their own interests once they have been established. For example, there was a tendency that academic organisations became independent of the party since these organisations had special knowledge and authority. The party could\n\n\\(^1\\) Shiokawa states that socialist system had effectiveness rather than efficiency at the early stage of development. See Shiokawa, *Genzonshita Shakashugi* (Tokyo: Keisoshobo), p. 127.\n\n\\(^2\\) See Takayuki Ito, ‘Eastern Europe: Achieving Legitimacy’, in Gilbert Rozman with Seizaburo Sato and Gerald Segal eds., *Dismantling Communism: Common Causes and Regional Variations* (Washington/Baltimore: Woodrow Wilson Center Press/ Johns Hopkins University Press, 1992), pp. 288-294. Ito indicates three legitimating formulas or legitimacy claims in communist countries, which are a revolutionary-millennial formula, the formula of rapid industrialisation, and formula of economic effectiveness. Shiokawa argues that factors that integrated the masses in communist countries were an ideology, economic achievements, and paternalism. See Shiokawa, *Genzonshita*, pp. 184-196.\n\nnot force an arbitrary personnel policy upon them. The same tendency was observable in other organisations. Trade unions, for instance, might take some autonomy from the party if the party was not popular with the workers. Thus, monopolistic control over the state and society was gradually undermined.\n\nIII. The Soviet Case\n\nLet us turn our attention to how the general problem of a communist regime emerged in the USSR. The communist regime in Eastern Europe and the Soviet Union had some of the same difficulties discussed above. Nonetheless, it seems that how the difficulty was reflected and how to cope with it had certain differences among the countries. The following sections will specifically look into the Soviet case. Firstly, the structure of CPSU organisations is considered. Secondly, two distinct types of communist party elite will be introduced from raion level to centre. The third task is to discuss centre-regional relations. Finally, why reform of the CPSU was needed will be considered. It will suggest that the reason why the reform in the USSR occurred from the leadership was directly connected with these problems.\n\n1. Hierarchy of the party organisations\n\nBefore discussing career patterns from raion to centre, the structure of party organisations should be noted briefly.\\(^3\\) Figure 2-1 shows the hierarchy of the CPSU. The lowest party organisations were primary party organisations (PPOs), which were formed in any organisation if it included more than three party members, and which every party member had to join. The upper organisations of PPOs were *raion* (district) party committees (raikoms) or in the case of cities, city party committees (gorkoms). Let us define this level as ‘local’.\n\nThe party organisational hierarchy was complicated at its upper levels. On the one hand, in Russia, Ukraine, Belorussia, Georgia, Azerbaijan, Uzbekistan, Kirgizia and Kazakhstan, raikoms and gorkoms were subordinate to *oblast’* or *krai* party committees (obkoms or kraikoms). Some party committees of capital or very huge cities (e.g. Moscow, Leningrad, Kiev and so forth) had the same status as obkoms. Here we call an oblast’ level as ‘regional’. Except in the Russian republic, obkoms were supervised by republican central committees. On the other hand, the parties of Estonia, Latvia, Lithuania, Moldavia,\n\nTurkmenia and Armenia did not have obkoms, therefore, the republican central committee of each republic controlled raikoms and gorkoms in these republics. Then, republican party committees were under the all-union central committee. However, the Russian republic did not have its own central committee until 1990. Thus, obkoms and kraikoms in Russia were directly subordinate to the all-union central committee. This meant that obkoms in Russian republic were as important as (or frequently more important than) other republican central committees for the all-union central committee, since, besides the exceptional importance of the Russian republic, obkoms and kraikoms in Russia outnumbered republican central committees.\n\nAt each level, the party committee had full-time party workers. In the all-union central committee, membership of the Secretariat was a full-time job. CC secretaries directed other full-time party workers of Central Committee departments. It is well-known that the General Secretary became the top person of the USSR by holding that position. Though the Politburo was the highest organ of decision-making, membership of the Politburo was not a full-time job, that is, Politburo members had another paid job. For example, members included the General Secretary, chairman of the Council of Ministers, some republican party first secretaries, and others, which were full-time jobs. It seems that the Politburo coordinated the most important interests of various organs of the Soviet system.\n\nAt the lower levels, party organisations except for PPOs also had the Secretariats. The equivalents of the Politburo at the lower levels were party bureaux, which included important persons in other organs as well as party officials, for example, the chairman of the soviet executive committee (ispolkom), the director of a huge factory in the region and so forth. PPOs did not have a Secretariat, but had secretaries (PPO secretaries). They were usually, but not always, full-time. The party apparat consisted of this huge hierarchy of full-time party workers from the CC secretaries to the PPO secretaries.\n\n2. Apparatchiki and Khozyaistvenniki at a Local Level\n\nHow did revolutionaries train economic experts? According to Azrael, Lenin attempted to manage this problem by utilising the bourgeois specialists from the old regime and the red directors, which led to the rise of red directors in the political field. However, Stalin’s Great Purge extinguished them. The new\n\n---\n\n3 On the structure of CPSU organs in more detail, see Ronald J. Hill and Peter Frank, *The Soviet*\n\nred specialists after the Purge were politically obedient and dependent on leadership through the Stalin and Khrushchev era. Under Brezhnev, a new managerial elite, which was well educated, pragmatic and politically reliable for the regime rather than democratic, consequently emerged.\\(^4\\) This well-known story has been discussed by many scholars.\\(^5\\) While most of them researched oblast' or upper level elites because of limitations of information, Matsuzato researched the career patterns of raion level elites, by which he distinguishes two different types of elites: *apparatchiki* and *khozyaistvenniki*.\\(^6\\) The criteria that are relevant to this distinction are the timing of joining the party, higher education qualifications, higher political education qualifications, and the timing of becoming a full-time party worker.\\(^7\\) Now it seems possible to discuss this question from raion to central level. The discussion in this section of the raion is mainly based on Matsuzato's distinction. The relation between *apparatchiki* and *khozyaistvenniki* at the oblast' and central level is discussed in the following sections.\n\n**(a) *Khozyaistvenniki***\n\n*Khozyaistvennik* is a word that derives from *khozyaistvo* (economy). It literally means an economic manager. This clearly indicates their character. They have a higher education, and pursue their careers in a management body. Joining the party is rather late, and they have only a little political education. Once they become a full-time party worker, their promotion is quick.\n\nMatsuzato introduces five typical cases in Tver' oblast'. One of them is Kozlov in Staritsa raion, who was born in 1945. He entered Leningrad Polytechnic Institute in 1963, joined the party in 1964, and graduated from an institute in 1969. He began to work in a machine factory in Staritsa raion in 1969, and became a new electric factory manager in 1978. In 1985 he became second secretary in the raikom after a\n\n---\n\n\\(^4\\) Jeremy R. Azrael, *Managerial Power and Soviet Politics* (Cambridge, Mass.: Harvard University Press, 1966).\n\n\\(^5\\) An excellent survey of theoretical arguments is presented by Stephen White, 'Communist Systems and the \"Iron Law of Pluralism\"', *British Journal of Political Science*, Vol. 8, No. 1 (January 1978), pp. 102-106. His own view is critical of pluralist arguments.\n\n\\(^6\\) Kimitaka Matsuzato, ‘Roshia Chiho Shidosha no Kyuria Patan: Toveri shu wo jireini shite [Career patterns of local leaders in Russia: the case of Tver’],’ in Akihiro Ishikawa, Nobuaki Shiokawa, and Matsuzato Kimitaka eds., *Surabu no shakai [Slavic Society]* (Tokyo: Kobundo, 1994). One problem of his studies is how his findings in Tver' oblast' can be generalised. Nonetheless, it seems that his argument is valid as a general tendency.\n\n\\(^7\\) A full-time worker of the party and soviet was called an ‘exempted’ (*osvobozhdennyi*) worker. According to Matsuzato, this terminology has not changed yet. See *Ibid.*, p. 331.\n\nshort period of study in a higher party school. Except for his early party membership, Kozlov is a typical *khozyaistvennik*: high technical education, and a latecomer as a full-time party worker, with little political education.\\(^8\\) Other figures whom Matsuzato introduces, Sel’vonenko in Torzhok city and Kurbatov in Kalinin raion, have similar careers. His study discovered that technical experience and education was (and ‘is’ still now) required to be elites at the raion level.\n\n**(b) Apparatchiki**\n\nMatsuzato’s usage of the words *apparat* and *apparatchiki* is a little confusing. Usually, apparatus is used as a translation of *apparat* and an *apparatchik* denotes its full-time member. However, his use of these words is more complex. For example, if all full-time workers of the party are *apparatchiki*, even *khozyaistvenniki* are included in the category of *apparatchiki* when they become full-time workers. *Apparatchiki* are, by his definition, people who devote themselves more to the party or executive apparat. They had some common characteristics: they join the party at a relatively early age, become full-time workers early, have lower level technical education,\\(^9\\) but a higher political education, and at slow to be promoted. Let me introduce two persons among those whom Matsuzato discusses. The first was born in 1947, and began to work when he was 15 years old. He completed an all-union correspondence (not full-time) industrial technical school in 1971. This education offered him a chance to join the party in 1972. He became a full-time worker (the chairman of a *poselok* (village) *ispolkom*) early in 1973. In 1974, he moved to the Propaganda and Agitation department of Firosovo raikom and then to the Organisational department in 1975. After a higher political education in Leningrad (1976-1980), which indicates the strong expectations of the party organisation since he was transferred to such a huge city as Leningrad, he returned and was promoted to the deputy chairmanship of the raion *ispolkom* (raiiispolkom) in 1980 and then to the second secretaryship of the raikom in 1983. However, his promotion stagnated here. He remained second secretary until 1990.\\(^{10}\\) Another example of an *apparatchik* worked mainly in an *ispolkom*. He was born in 1937. He completed an agricultural machinery school in 1957. When he was 22,\n\n\\(^8\\) Matsuzato, ‘Roshia Chibo’, pp. 307-310.\n\n\\(^9\\) On Soviet education system, we should distinguish lower technical education from higher one though this is not always regarded as important. The latter, on the one hand, indicates education in universities or institutes, while, on the other hand, the former was offered in ‘professional technical schools (PTU: professional’no-tekhmicheskoe uchilishche)’.\n\nhe was recruited as a secretary of a village ispolkom from a kolkhoz worker. He joined the party when he was 24. Then he became a full-time worker of Tver' oblispolkom in 1966 when he was 29. From 1968 to 1970, he studied at Leningrad higher party school. In 1970, he began to work as an instructor in a Tver' obkom. Then, he returned to the ispolkom. He worked in Kalinin gorispolkom (city soviet executive committee). He was promoted to be an assistant of the chairman of the oblispolkom in 1979 when he was 42. Then he became the 'second head' of the oblispolkom in 1982. However, his promotion stagnated here.\\textsuperscript{11} Other \\textit{apparatchiki} Matsuzato discusses share more or less this pattern. Then, he concludes that \\textit{khozyaistvenniki} had priority over \\textit{apparatchiki} in career patterns at the raion level.\n\nFigure 2-2 summarises the career patterns discussed above. This shows economic managers (\\textit{khozyaistvenniki}) could be promoted to second secretaryships of raikoms or the chairmanships of raiispolkoms, skipping the lower level party work. Of course, the distinction between \\textit{khozyaistvenniki} and \\textit{apparatchiki} is not always clear. There are mixed figures. Some, who became a full-time worker of Communist Youth Organisation (\\textit{KomsomoI}) when they were young, had a higher technical education.\\textsuperscript{12} Nonetheless, what was discussed above shows the following. Firstly, at least at the raion level, \\textit{khozyaistvenniki} stood at a higher point in career terms. Secondly, this priority of \\textit{khozyaistvenniki} was a result of meritocracy since this meant that practical managers rather than propagandists were regarded as important. Thirdly, according to Matsuzato, these career patterns were established under Brezhnev during the 1970-80s. These findings are reinforced by statistical evidence. According to 1971 Tver' statistics, 30 people completed a higher education among 33 chairmen of raiispolkoms in the oblast'. Nonetheless, it seems for 19 of them (about three-quarters) higher education meant only that they had graduated from a higher party school. On the other hand, 1989 statistics show that 5 of 30 raiispolkom chairmen (one sixth) completed a higher party school only. During these years (from 1971 to 1989), the priority of \\textit{khozyaistvenniki} was established at least in the raions of Tver' oblast'.\\textsuperscript{13}\n\n\\textbf{3. Apparatchiki and Khozyaistvenniki in Regional and Republican Levels}\n\n\\textsuperscript{10} Matsuzato, ‘Roshia Chiho’, pp. 317-320.\n\n\\textsuperscript{11} Ibid, pp. 320-321. Matsuzato states he does not understand what was the ‘second head’.\n\n\\textsuperscript{12} Ibid., pp. 321-322.\n\nAs shown in figure 2-1, obkoms in the RSFSR were almost equivalent to republican central committees in the structure of the CPSU. Therefore, although the argument of this section includes obkoms in the RSFSR and other republics, the primary concern here is obkoms in the RSFSR.\n\nSince career patterns at the oblast’ level have been investigated by many researchers, there is much statistical information that shows that many obkom first secretaries had economic background.\\(^{14}\\) Frank studied the profiles of first secretaries of most obkoms and kraikoms (including republican obkoms and kraikoms) based on 1966 data. According to him, 134 of 139 first secretaries had completed a higher education. In addition, according to the other data which takes together all secretaries of party obkoms, kraikoms and central committees of republic parties in January 1967, the figure for higher education indicates a clear increase from the past: the figure in 1947 was 41.3 per cent while the corresponding figure in January 1967 is 97.6%. If our concern is directed to details of higher education of obkom first secretaries as of 1966, the largest group was people who completed only a higher party school (36/134: 26.8 per cent) and the second largest was agricultural-technical (34/134: 25.3 per cent). Nonetheless, if agricultural-technical, industrial-technical (25/134: 18.6 per cent), agricultural-technical and party (7/134: 5.2 per cent), and industrial technical and party (9/134: 6.7 per cent) backgrounds, who were assumed to be *khzoyaistvenniki*, are put together, they clearly formed the largest group (75/134: 55.9 per cent).\\(^{15}\\) The general tendency of the rise of *khzoyaistvenniki* was already clear in 1967 though the higher party school group was still large. It is necessary to investigate this tendency after 1967.\n\nRigby has researched RSFSR obkoms in the later period. According to his study, the decline of number of obkom first secretaries having only a party education from September 1965 to September 1976 is clear. While in 1965 the group of first secretaries who had completed only a higher party school was 19.4 per cent (14/72), in 1976 this number decreased to 9.7 per cent (7/72). It seems certain that people\n\n---\n\n\\(^{13}\\) Ibid, p. 330; Kimitaka Matsuzato, ‘Gyoseifuto toha Nanika [What is the Administrative Party?]’, *Surabu kenkyu senta hokoku shirizu [Slavic Research Center Occasional Paper]* No. 56 (Sapporo: Slavic Research Center, Hokkaido University, 1995), pp.26-27.\n\n\\(^{14}\\) For example, Peter Frank, ‘The CPSU Obkom First Secretary: A Profile’, *British Journal of Political Science*, Vol. 1, No. 2 (April 1971); T. H. Rigby, ‘The Soviet regional leadership: the Brezhnev generation’, in T. H. Rigby, *Political Elites in the USSR: Central leaders and local cadres from Lenin to Gorbachev* (Aldershot: Edward Elgar, 1990); Joel C. Moses, ‘The Impact of Nomenklatura in Soviet Regional Elite Recruitment’, *Soviet Union*, Vol. 8, No. 1 (1981).\n\n\\(^{15}\\) Frank, ‘The CPSU Obkom’, pp. 182-183.\n\nlacking professional qualifications found it more difficult to become first secretaries.\\textsuperscript{16} Nonetheless, it should be remembered that people having a professional higher education were appointed first secretaries with a rather long experience of full-time party work. Many obkom first secretaries had been raikom first secretaries, and this number increased from 1965 to 1976.\\textsuperscript{17} This may reflect the way in which professional qualifications had become necessary at the raion level as discussed above. In addition, the long party experience of obkom first secretaries does not necessarily mean that they identify themselves as \\textit{apparatchiki}. Mawdsley and White introduce the case of Viktor Dobrik, an obkom first secretary in Ukraine since 1969. Although he had been a full-time party worker since he was thirty years old, he denied that he was regarded as a party careerist since he thought that he had been promoted because of his professional skill.\\textsuperscript{18} It seems that the word \\textit{apparatchiki} carried a negative image in the USSR. This is suggested in that the word, a full-time worker in the party and ispolkom, was (and is) an ‘exempted’ worker in Russian. This implied that an ordinary work was more valued than a professional bureaucratic work.\\textsuperscript{19} Because certainly most obkom first secretaries had long party work experience, it is difficult to insist on the absolute rise of \\textit{khozyaistvenniki} in career patterns at the regional level. Nonetheless, it seems that their priority can be admitted even at the regional level to a lesser degree than at the local level.\\textsuperscript{20}\n\n\\textbf{4. Apparatchiki and Khozyaistvenniki in the Centre}\n\nAt the central level, it seems that there was a division of labour between \\textit{apparatchiki} and \\textit{khozyaistvenniki}. Nonetheless the distinction of these two types is not always clear at the central level. There were few persons who did not have highly qualified education. It seems better to distinguish central party members in terms of periods of a full-time party work. David Lane and Cameron Ross studied careers of governmental elites (USSR ministers, and similar status executives, e.g. chairs of USSR state committees) from 1984-1991. They distinguished four types of governmental elites, measured by ‘party\n\n\\textsuperscript{16} Rigby, ‘The Soviet regional leadership’, pp. 237-239.\n\n\\textsuperscript{17} Ibid., pp. 242-243.\n\n\\textsuperscript{18} Evan Mawdsley and Stephen White, \\textit{The Soviet Elite from Lenin to Gorbachev: The Central Committee and its Members, 1917-1991} (Oxford: Oxford University Press, 2000), p. 210.\n\n\\textsuperscript{19} Matsuzato, ‘Roshia Chiho’, p. 331.\n\n\\textsuperscript{20} Matsuzato argues that the priority of \\textit{khozyaistvenniki} was weaker at the higher level. See Matsuzato, ‘Gyoseifuto’, p. 36.\n\nsaturation’ that was counted by the ranks of party posts and years of full-time party work\\textsuperscript{21}: i) Governmental elites with no party saturation were ‘non-party careerists’. They had no experience of a full-time party work and had a career totally within one ministry or sector of the economy, ii) ‘Party careerists’ were governmental elites with high party saturation. They had been transferred from the party apparat and had had rather long experience of the high rank party work. And hybrid careerists were divided by iii) ‘a low-level party saturation group’ who had had only a few years experience in the party apparat, and iv) ‘an intermediate group’ who had had mixed careers in both governmental and party work.\\textsuperscript{22} This first two are close to Matsuzato’s \\textit{khozyaistvenniki} and \\textit{apparatchiki}, and hybrid careerists are close to the mixed figures introduced in section 3. Lane and Ross assume that the high party saturation represented strong control of the party. They find that party saturation was very low among pre-Gorbachev governmental elites, that is, non-party careerists were predominant. In addition, non-party careerists were the most influential among directing and planning ministers and industrial production and building ministers. Thus, they argue, the party experienced difficulties in asserting hegemony over the USSR Council of Ministers at that time.\\textsuperscript{23} It means \\textit{khozyaistvenniki} were superior in the economic sphere.\n\nThe career of Nikolai Ryzhkov is a good example. Ryzhkov, chairman of the USSR Council of Ministers from 1985 to 1991, is a typical \\textit{khozyaistvennik}. His career was exclusively in industry. He was born in 1929. Working at a defence industry plant from 21 years old, he completed firstly the Kramatorsk machine construction technical school in 1955, then a higher engineering education (at the Ural Polytechnic Institute) in night school in 1959. He joined the party in 1956. In 1971, he became general director of Uralmash, one of the largest production associations in the world. In 1975 he was appointed first deputy minister of heavy and transport machine building and in 1979 first deputy chairman of the USSR State Planning Committee (Gosplan). In late 1982, when Ryzhkov was 53, Andropov, General Secretary at that time, coopted him into the Central Committee apparat. In 1985, he became a full member of the Politburo.\\textsuperscript{24} Ryzhkov can be regarded an excellent example of the \\textit{khozyaistvennik}: a higher\n\n\\textsuperscript{21}Thus, a USSR minister who had been an ex-high rank party official with long party work experience gained a high party saturation number.\n\n\\textsuperscript{22}David Lane and Cameron Ross, \\textit{The Transition from Communism to Capitalism: Ruling Elites from Gorbachev to Yeltsin} (New York: St. Martin’s Press, 1999), pp. 61–65.\n\n\\textsuperscript{23}\\textit{Ibid.}, pp. 65-67.\n\n\\textsuperscript{24}On Ryzhkov’s career, see Dzhin Vronskaya and Vladimir Chuguev, \\textit{Kto est’ Kto v Rossii i Byvshem SSSR} (Moskva: Terra, 1994); Tsentr Politicheskoi Informatsii, \\textit{Federal’naya i Regional’nyaya Elita Rossii}:\n\neducation, and no political education (there is no evidence to suggest that he went to a higher party school). Though the party admission itself was relatively early as a *khozyaistvennik* (at the age of 27), he had not been a full-time party worker until he became 53.\n\nHowever, at the central level, *khozyaistvenniki* were not always influential. Brezhnev’s career was that of *apparatchik* rather than *khozyaistvennik*, though he had knowledge of technical engineering. He was a full-time party worker since 1938 when he was 32. Chernenko was a devoted *apparatchik*. His education was mainly higher party school and worked in propagandist realm in the party apparat. Gorbachev was also an *apparatchik*. His career was dedicated almost entirely to the party. At the top level of the party apparat, *apparatchiki* seemed predominant. Lane and Ross studied careers of CC secretaries and heads of CC departments from 1981-1991. They found that many of them devoted to full-time party work throughout their careers and did not have experience of governmental work, though they also confirmed that the large portion of other party officials were co-opted from non-governmental sectors (e.g. industrial work, professional work and so forth).\\(^{25}\\) Such devoted party officials could be regarded as *apparatchiki*. Therefore, it seems that there was a rather clear division of labour between *apparatchiki* and *khozyaistvenniki*. In addition, such division took an institutional form: the party and the government. Combinations of Brezhnev and Kosygin, Gorbachev and Ryzhkov were examples of such a division of labour. While, at the lower level, both *khozyaistvenniki* and *apparatchiki* could be found within the party apparat and *khozyaistvenniki* were more influential in the party apparat, the picture was somewhat different at the central level.\n\n**5. Centre-Regional-Local Relations in the Soviet Union**\n\nAs we have seen, the rise of *khozyaistvenniki* took place especially in lower party organisations during the Brezhnev period. It is difficult to judge if this development led to better performance of the party organisations. On the one hand, there is an opinion that argues that the party stagnated. For example, during *perestroika*, Gorbachev frequently complained that lower party organisations did not work well,\n\n\\(^{25}\\) *Kto est’ Kto v Politike i Ekonomike* (Moskva: Izdatel’stvo GNOM i D, 2001); Date Base of Slavic Research Center, Hokkaido University, URL: http://src-home.hokudai.ac.jp/politics/rawa/rul.html; Archie Brown ed., *The Soviet Union: A Biographical Dictionary* (London: Weidenfield and Nicolson, 1990), pp. 320-321. See also Lane and Ross, *The Transition*, pp. 212-213; Jerry Hough, *Democratization and Revolution in the USSR 1985-1991* (Washington D.C.: Brookings Institution Press, 1997), pp. 92-93.\n\nand that they usurped the functions of other organisations, which led to stagnation. Nonetheless, on the other hand, it is obvious that public service and the living standards of ordinary people were best under Brezhnev in Russian history (including Gorbachev and Yeltsin), though, of course, party practices involved a huge waste of resources. Taking into account the fact that local party organisations were much closer to the life of ordinary people, we can point out that the party at least at the local level worked relatively well. In addition, such relatively good performance was related to the establishment of the career patterns. With such career patterns, the party had capable raikom first secretaries who knew the actual work of production.\n\nAt the regional and republican levels, it is more difficult to judge how well or badly these structures operated. Firstly, there is a consensus among scholars that regional and republican party organisations became more autonomous from the centre. Brezhnev’s policy of ‘trust in cadres’ provided a good incentive and time to manage their regional problems with first secretaries. According to Blackwell, cadres were highly stabilised during the Brezhnev era at both the central and the lower levels. Let me take the figures of lower levels. In republican party committees, the turnover of republican Politburos (or party bureaux) under Brezhnev decreased by about half in comparison with the Khrushchev era. In the case of republican secretaries, the rate of turnover also declined. In obkoms, the rate was almost half of that of the Khrushchev period.\\textsuperscript{25} John Miller also discussed that the centre did not control regional staffing in a systematic way.\\textsuperscript{27} In other realms, the republican and the regional autonomy at that time has been confirmed by many scholars. For example, Mary McAuley discussed republican autonomy in nationality policy. She studied the national composition of republican party congresses, republican party recruitment, and nationalities of party members of republican parties. Though her argument did not give a definite answer because of lack of information, there was no uniform central policy on nationality matters. Thus, a certain autonomy was confirmed.\\textsuperscript{28} Gill and Pitty also discuss republican autonomy within the party. They argued that a republican party’s autonomy increased significantly under Brezhnev. Visits by the central\n\n\\textsuperscript{25} Lane and Ross, \\textit{The Transition}, pp. 47-54.\n\n\\textsuperscript{26} Robert E. Blackwell, Jr., ‘Cadres Policy in the Brezhnev Era’, \\textit{Problems of Communism}, Vol. 28, No. 2 (March-April 1979), pp. 33-35.\n\n\\textsuperscript{27} John Miller, ‘Nomenklatura: Check on Localism?’ in T. H. Rigby and Bohdan Harasymiw eds., \\textit{Leadership Selection and Patron-Client Relations in the USSR and Yugoslavia} (London: George Allen & Unwin, 1983).\n\nleadership became ceremonial and criticism on personnel matters also became moderate.\\textsuperscript{29} One study of Kazakhstan Party personnel by a Japanese student revealed that Dinmukhamed Kunaev, first secretary of the Kazakh party, enjoyed rather a lot of independence from the centre. After 1976 even second secretaries, who usually had Russian nationality and had been regarded as ‘watchdogs’ of the centre, had worked in Kazakhstan and been promoted within Kazakhstan after graduating from universities, that is, well before becoming second secretaries. Of course, Kunaev’s special relationship with Brezhnev would be very useful to enjoy such autonomy.\\textsuperscript{30} In any case, it is certainly possible to recognise the republican and regional autonomy in the party under Brezhnev.\n\nSecondly, we may be able to assume that such regional and republican autonomy was also related to local autonomy. It seems that an oblast’ or a republic was too large to monitor all of its cities and raions. It is likely that a relatively good performance by raikoms discussed above led often to their \\textit{de facto} autonomy. As mentioned above, most obkom first secretaries had been raikom first secretaries. Many scholars suggested that regionalisation of the all-union Central Committee (the representation of obkom first secretaries in Central Committee) was evidence of regional autonomy. If this suggestion was correct, localisation of obkoms could be considered proof of local autonomy. For example, Gorbachev states in his memoirs that although his transfer from head of department of Stavropol’ kraikom to first secretary of Stavropol’ gorkom was movement to a lower job in terms of the \\textit{nomenklatura} list, he was attracted to greater independence of the gorkom first secretaryship.\\textsuperscript{31} In addition, one study of Oktyabr’ raion party committee in Moscow city shows that the raikom scarcely received any instructions from Moscow gorkom.\\textsuperscript{32} A case study of Kazakhstan mentioned above argues that Kunaev’s Kazakhstan was not ‘Kunaev’s kingdom’ but that he coordinated interests of various regions just as the all-union centre did\n\n\\textsuperscript{28} Mary McAuley, ‘Party Recruitment and the Nationalities in the USSR: A Study in Centre-Republican Relationships’, \\textit{British Journal of Political Science}, Vol. 10, No. 4 (1980).\n\n\\textsuperscript{29} Graeme Gill and Roderic Pitty, \\textit{Power in the Party: The Organization of Power and Central-Republican Relations in the CPSU} (New York: St. Martin’s Press, 1997).\n\n\\textsuperscript{30} Tetsuro Chida, ‘Sorenpo Chuo-Kazafusutan Kankei no Hensen (1980-1991): To Erito Jinjiddoko wo Sozai toshite’ [The Central-Republican Relationship and Party Elites in the Soviet Union: Kazakhstan (1980-1991)]’, \\textit{Surabukencyu} [Slavic Studies], Vol. 50 (2004), pp. 37-39.\n\n\\textsuperscript{31} Mikhail Gorbachev, \\textit{Zhizn’ i Reformy}, Vol. 1 (Moskva: Novosti, 1995), p. 109; Mihairu Gorubachofu, \\textit{Gorubachofu Kaisoroku}, Jo (Tokyo: Shinshosha, 1996), p. 144. Emphasis added.\n\n\\textsuperscript{32} Itsuro Nakamura, \\textit{Soren no Seijiteki Tagenka no Katei} [The Process of Political Pluralisation in the USSR] (Tokyo: Seikeido, 1997).\n\namong regions.\\textsuperscript{33} Thus, the centre allowed people, who knew their own region better and had professional knowledge, to direct the region. This meant that republican and regional leaders could enjoy rather significant independence in their own republics and regions. Moreover, regional leaders in their turn probably allowed some autonomy to local (raion and city) leaders. If this analysis is the case, it is possible to argue that the relatively better performance of lower party organisations must have been sustained at the expense of the centre. By dismissing strict control, the Soviet system could perform relatively well in the Brezhnev period. John Miller indicates, in his study of regional party personnel, the reason why the centre did not exercise the power to arrange the systematic rotation of officials from place to place ‘seem[ed] to lie in the imperatives of rapid economic growth’.\\textsuperscript{34}\n\nGiven such a situation, a serious task for the central leadership was how to regulate the republican and regional party organisations. In addition, republican and regional leadership faced the same difficulty in their relations with local party organisations. Patronage may provide a clue to understanding this issue. Although patronage has been regarded as evidence of corruption and inefficiency of the Soviet system (and of course this is, to some degree, the case), it may have been a reasonable response to the centre-regional-local problem. When the systematic hierarchical regulation does not work well, a reliable client is a useful or even necessary instrument of central control. It seems to me that this logic was the case at least in the Brezhnev era. When the centre had to allow some autonomy to regional leaders, patronage could be a guarantee that they would not rebel against the centre.\n\nHowever, patronage would face difficulties when the patron changed. The aging of top leaders might have been a reasonable response in order to escape a destruction of patron-client relations. Still, the time when top leader died was inevitable. A new leader would face considerable difficulty in constructing new centre-regional relations. Some signs of huge turnover of central and regional personnel were there even in the Andropov period.\\textsuperscript{35} Here we can recognise one of reasons why Gorbachev had to attempt a high level of turnover of regional leaders in his early years. The reason lay in patronage and centre-regional relations.\n\n\\textsuperscript{33} Chida, ‘Sorepo Chuo’, p. 37.\n\\textsuperscript{34} Miller, ‘Nonenklatura’, p. 90.\n\\textsuperscript{35} Stephen White, \\textit{After Gorbachev} (Cambridge: Cambridge University Press, 1993), p. 5.\n\n6. Fragmentation within the Party and Needs of Reform from Above\n\nFrom what was discussed above, it is clear that the monolithic unity of the CPSU was weakened to some degree. At the local level, raikoms worked relatively well given *de facto* autonomy. Regional leaders also became autonomous. Moreover, the professional background of local and regional party leaders, which were necessary for economic development and public service, made the party an assembly of professionals. Jerry Hough argued that such regional and functional cleavages became a prominent characteristic of the Soviet political system under Brezhnev and that the system was no longer totalitarianism but was moving towards ‘institutional pluralism’.\n\nTo some degree, his argument was valid. Regional autonomy and professionalism certainly increased under Brezhnev. The performance of such professional elites was not necessarily bad. Moreover, it seems that his argument assumed that such ‘plural’ elements contributed to the system’s stability. However, he may have underestimated the extent to which such ‘plural’ elements could be obstacles for the central leadership.\n\nIn addition, the Soviet economic system was too centralised and inevitably inefficient. This leads to another reason why we can say that the relatively good performance of the lower party organisations must have been sustained at the expense of the centre. Let us imagine that one raikom, which was asked to produce some kilograms of vegetables valued at 1000 roubles, spent 1100 roubles to produce them. Such inefficiency may have been acceptable at this level. Still if all raions of one oblast’ were inefficient to the same degree, the cost would become much higher at the oblast’ level. Such inefficiency, then, would become too huge at the centre. And only at the centre this inefficiency in total scale could be recognised.\n\nThus, the problem may not have been the decline of the economic development rate itself. Even theoretically economic problems do not necessarily cause political problems immediately. In fact, despite several problems in the economy, some keen observers recognised that there was not a clear indication of the Soviet regime collapse. Actually, despite the macro level economic decline, the average living standard of ordinary people was sustained by the relatively good performance of lower level party organisations. The problem was that such good performance could be realised only by *de facto* autonomy.\n\n---\n\n36 Jerry F. Hough, *The Soviet Union and Social Science Theory* (Cambridge, M.A.: Harvard University Press, 1977), esp. chap. 1.\n\nof local and regional party organisations and the professionalism of lower elites. In a sense, the party faced a crisis of its integrity not because of economic decline but because of economic development.\n\nThat the initiative for reforms came from above in the USSR was, therefore, not a coincidence. So far, an influential explanation is presented by totalitarian theory. According to this, since a regime was firmly controlled by the dictator, only the dictator could have the broader latitude of choice that would undermine his power.\\textsuperscript{37} However, this fails to explain why reform was necessary at all. My argument would suggest a different cause: Only the centre could realise the seriousness of the systemic problems. Regional and local autonomy, professionalism of elites, and patronage became obstacles only for the new top leader. The total scale of systematic economic problems could be visible only at the centre because the performance of lower level was not necessarily bad. Reform came only from the top. If the metaphor of war activity is used, this situation can be explained as follows: While each unit managed their activity relatively well in the front line, at the headquarters the centre could not supervise the activity of each unit because the war line was so extended. Just like ‘friction’ in a war, the CPSU suffered dysfunction of huge hierarchical bureaucracy. According to Patrick O’Neil, the Hungarian communist party could not work well at the local or regional level. Professionally qualified elites were not co-opted into the local or regional party leadership very much. Thus, reform initiative came from locales within the party.\\textsuperscript{38} The picture was different in the Soviet Union. Local party organisations, by co-opting \\textit{khozyaistvenniki}, worked more or less well. In this situation, the initiative for reform could come only from the centre.\n\nOf course, it was the top leaders who judged how acute these problems were. In this term, it was decisive that the Soviet Union had Gorbachev as a leader. It seems clear that he recognised (or began to recognise at some point) these problems as a ‘crisis’ of the system. Soon after Gorbachev became a leader, the Soviet political system entered the phase of crisis.\n\n\\textbf{IV Conclusion}\n\n\\textsuperscript{37} For example, see William E. Odom, ‘Soviet politics and After: Old and New Concepts’, \\textit{World Politics}, Vol. 45, No. 1 (October 1992), p. 71.\n\n\\textsuperscript{38} Patrick H. O’Neil, ‘Revolution from Within: Institutional Analysis, Transition From Authoritarianism, and the Case of Hungary’, \\textit{World Politics}, Vol. 48, No. 4 (July 1996); Patrick H. O’Neil, \\textit{Revolution from Within: The Hungarian Socialist Workers’ Party and the Collapse of Communism} (Cheltenham: Edward Elgar, 1998), pp. 71-86.\n\nSome of ‘unsolvable problems’ in the communist regime that divided ruling elites, therefore, lay in the party’s dilemma between monolithic unity and monopolistic control. In the Soviet Union, the dilemma led to *de facto* regional and local autonomy, and the rise of *khozyaistvenniki* in lower party organisations at the expense of central control. These problems required reforms, but there was little consensus among ruling elites on what kinds of reforms were necessary. Some thought what was needed was more discipline. Others thought the problems were more acute. Gorbachev was or became one such person who recognised that problems were more serious. The problems became ‘unsolvable’ under the current system, because of the lack of consensus.\n\nThen, what kinds of reforms were necessary for leaders who recognised the problems acutely? Firstly, the new leader may have thought that the party would have to streamline its functions, because it had become an assembly of various professionals. Thus, it was necessary for the party to remove its burdensome economic functions. Reforms of party-state relations would be required. Probably the institutional form of division of labour between *apparatchiki* (the party) and *khozyaistvenniki* (the Council of Ministers) at the centre would make the leadership feel it easy to decide such a reform. Secondly, central leaders must have fought against ‘regionalism’. When, despite a huge turnover of regional leaders, the situation did not improve, the central leaders would attempt competitive party elections, which, they expected, would destroy patronage within the region that had frustrated the implementation of central policies.\n\nIn the next two chapters, we will closely look at these reforms. Chapter 3 will investigate party-state relations under the impact of Gorbachev’s reforms. In Chapter 4, we will look into party elections.\n\nFigure 2.1: Vertical Structure and Supervisory Functions in the CPSU\n\nCPSU CONGRESS (MEETS EVERY 5 YEARS) → CPSU CENTRAL COMMITTEE (MEETS EVERY 6 MONTHS) → CPSU POLITBURO\n\nUNION REPUBLIC CONGRESS (MEETS EVERY 5 YEARS) → UNION REPUBLIC CENTRAL COMMITTEE (MEETS EVERY 6 MONTHS) → UNION REPUBLIC BUREAU\n\nPROVINCIAL CONFERENCE (MEETS TWICE EVERY 5 YEARS) → PROVINCIAL COMMITTEE (OBIKOM) (MEETS EVERY 4 MONTHS) → PROVINCIAL (OBIKOM) BUREAU\n\nDISTRICT CONFERENCE (MEETS TWICE EVERY 5 YEARS) → DISTRICT COMMITTEE (RAIKOM) (MEETS EVERY 3 MONTHS) → DISTRICT (RAIKOM) BUREAU\n\nPRIMARY PARTY ORGANIZATION (MEETS ONCE A MONTH) → PRIMARY PO BUREAU\n\nCPSU SECRETARIAT\n\nUNION REPUBLIC SECRETARIAT\n\nPROVINCIAL (OBIKOM) SECRETARIAT\n\nDISTRICT (RAIKOM) SECRETARIAT\n\nPPO SECRETARY\n\nPRAVDA\n\nPROPAGANDA & AGITATION\n\nECONOMIC\n\nPARTY ORGANS\n\nUNION REPUBLIC NEWSPAPER\n\nPRIVILEGED PROPAGANDA & AGITATION\n\nECONOMIC\n\nPARTY ORGANS\n\nPROVINCIAL NEWSPAPER\n\nSource: John A. Armstrong, *Ideology, Politics, and Government in the Soviet Union: An Introduction*, 4th ed. (New York: Praeger, 1978), p. 75.\n\nFigure 2-2: Career Patterns at Raion Level from the 1980s to the Last Period of the CPSU\n\nEconomic management body\n\nHead of economic management body\n\nLeaders in economic management body\n\nWorkers, engineers, collective farm members\n\nThe CPSU, Ispolkom, Komsomol\n\nNomenklatura\n\nFirst secretary of raikom\n\nSecond secretary of raikom\n\nChairman of raiispolkom\n\nHead of Organisational department in the party or Komsomol\nPost in charge of cadre in raiispolkom\n\nInstructors in raikom\n\nFirst secretary of raion committee of Komsomol\n\n\"Reserves\" = activists in Komsomol (about 40 people in a raion)\n\nSource: Kimitaka Matsuzato, \"Gyoseifuto toha Nanika [What is the Administrative Party?]\", in Surabu kenkyu senta hokoku shirizu [Slavic Research Center Occasional Paper] No. 56 (Sapporo: Slavic Research Center, Hokkaido University, 1995), p.25; Kimitaka Matsuzato, \"Roshia chihoshidosa no kyaria patan: Toveri shu wo jireini shite [Career patterns of local leaders in Russia: the case of Tver]\", in Akihiro Ishikawa, Nobuaki Shiokawa, and Matsuzato Kimitaka eds., Surabu no shakai [Slavic Society] (Tokyo: Kobundo, 1994), p.301.\n\nChapter 3 Streamlining the Party Apparat: Party-State Relations\n\nI. Introduction\n\nAs we have discussed in Chapter 2, the party had to conduct various functions and one of the most burdensome functions was economic management. Therefore the party’s relations with the state became a serious concern. In fact, this topic had attracted many scholars before the Gorbachev period.\\(^1\\) This chapter also considers the party’s control over the state.\\(^2\\) It is well known that the party controlled state organs. The party had various controlling mechanisms. Firstly the party developed the party apparat to check the activity of state organs. For example, the CC apparat had departments that paralleled the central ministerial branches. Secondly, the party controlled the staffing of the state organs through the *nomenklatura* system. For instance, the all-union Central Committee approved the important posts in the military, ministries, and so forth. Thirdly the party had primary party organisations (PPOs) in state organs (and almost\n\n---\n\n\\(^1\\) On party-state relations before *perestroika*, see Ronald J. Hill, ‘Party-State Relations and Soviet Political Development’, *British Journal of Political Science*, Vol. 10, No. 2 (April 1980); Ronald J. Hill, ‘The apparatchiki and Soviet political development’, in Peter J. Potichnyj ed., *The Soviet Union: Party and Society* (Cambridge: Cambridge University Press, 1988); Ronald J. Hill and Alexander Rahr, ‘The General Secretary, the Central Party Secretariat and the Apparat’, in David Lane ed., *Elites and Political Power in the USSR* (Hants: Edward Elgar, 1988). Though the author admits that the word ‘state’ (and Soviet) has been used to denote both legislative and executive organs, the executive organs (the Council of Ministers and Ispolkoms) are referred to as the ‘state’ here, partly because to analyse the competitive elections of ‘Soviets’ (Congress of people’s deputies in all-union and Russia and Supreme Soviets and local Soviets in other republics) is such a huge subject that this needs other chapters, and primarily because the party-executive organs relationship has, the author believes, a crucial importance.\n\n\\(^2\\) The major existing studies on party-state relations during *perestroika* period are the following. Cameron Ross, ‘Party-State Relations’, in Eugene Huskey ed., *Executive Power and Soviet Politics: The Rise and Decline of the Soviet Politics* (Armonk: M. E. Sharpe, 1992); Gordon M. Hahn, ‘The First Reorganisation of the CPSU: Central Committee Apparat under Perestroika’, *Europe-Asia Studies*, Vol. 49, No. 2 (1997); Gordon M. Hahn, *Russia’s Revolution from Above, 1985-2000: Reform, Transition, and Revolution in the Fall of the Soviet Communist Regime* (New Brunswick: Transaction Publishers, 2002); Alexander Rahr, ‘The CPSU in the 1980s: Changes in the Party Apparatus’, *Journal of Communist Studies*, Vol. 7, No. 2 (June 1991); Jonathan Harris, *Subverting the System: Gorbachev’s Reform of the Party’s Apparat, 1986-1991* (Rowman & Littlefield Publishers, 2004).\n\nevery organisation in the Soviet Union). The party could monitor the activity of the state through PPOs.\n\nWhy did the party need to control the state? To some degree, this was the natural consequence of one-party dominance. The very close relations between party and state can be recognised under an authoritarian regime and under a democratic regime with a predominant party system as in Japan.\\(^3\\) Nonetheless, party control under the communist party regime differed in the following respects. Firstly, in term of the scope, the control of the party reached from the all-union level to the raion, the lowest administrative division. This total control does not happen even in an ordinary authoritarian regime. Secondly, this strong orientation to control the state is, to some extent, a practical requirement of the planned or command economy. Since many of the state organs were responsible for economic management, the party could not release this control. Thirdly, the Soviet administrative system necessitated party control. It is well known that the Soviet system functioned both as a legislative and executive body. In addition, each level soviet was sovereign. Therefore, a ‘dual subordination’ existed as stated in the Constitution of the USSR, 1977, that ‘Executive Committees of local Soviets of People’s Deputies shall be directly accountable both to the Soviet that elected them and to the higher executive-administrative body.’ This principle could have caused a problem if the decision of the soviet had differed from that of the higher executive body. Such an anarchical principle needed the hierarchic control of the party behind the formal administration system. This ‘dual subordination’ was, it seems, unique to the Soviet system. An ordinary authoritarian regime does not have such administrative system. Fourthly, the Leninist theory of revolution demanded the seizure of the state by the party. Lenin’s *State and Revolution* projected that socialist revolution would take place by replacing an old state bureaucracy with a new ‘bureaucracy’ controlled by\n\n\\(^3\\) On the concept ‘predominant-party system’, see Giovanni Sartori, *Parties and Party Systems: A Framework for Analysis* (New York: Cambridge University Press, 1976), pp. 192-201.\n\nthe proletariat.\\textsuperscript{4} As the famous distinction between a totalitarian regime and an authoritarian one by Linz indicates, the systemic ideology was a prominent feature of the communist party regime. Thus, party control was a theoretical requirement as well as a practical one in economic and administrative terms.\n\nHow did party–state relations change under Gorbachev? What happened if party control was removed? To investigate these questions is the task of this chapter. The structure is as follows. Firstly party-state relations up to the 28\\textsuperscript{th} Party Congress are discussed. Then, their relations after the 28\\textsuperscript{th} Party Congress follow.\n\nII. Reasons for the Reform of Party-State Relations\n\nBefore investigating the concrete process of party-state relations, the reasons for this reform should be considered. Gorbachev’s initiative on this policy is clear, though it is very likely that he took into account his reformer colleagues’ opinions. However, when, as General Secretary, Gorbachev’s power base was the party and the party’s power derived from its supervision over the state, it did not seem rational for him to release its supervisory power. What made him think the reform was necessary? So far several interpretations have been advanced.\n\nThe first one argues that the reform was to resolve the problem of \\textit{podmena} (substitution).\\textsuperscript{5} The constant problem of relations between party and state was that the party controlled state organs (the Council of Ministers in the centre, Ispolkoms in local areas) so tightly that the state organs could not take any initiatives, which led to economic stagnation. Particularly the party organised departments along the same lines as the structure of state organs,\n\n\\textsuperscript{4} V. I. Lenin, \\textit{Kokka to Kakumei} (Tokyo: Chikumashobo, 2001). This is a translation of Vladimir Il’ich Lenin, \\textit{State and Revolution}.\n\n\\textsuperscript{5} This is an officially stated reason. Thus, most existing studies suggest this reason. For example, Toshihiko Ueno, ‘Gorubachofu Seikenka niokeru Sorenpokyosantono Henka [Changes of the CPSU under Gorbachev],’ \\textit{Hogakukankyu}, Vol. 63, No. 2 (February 1990), p. 167.\n\nby which the party substituted and/or duplicated the work of the state. By dismissing party control, according to this argument, state organs would be able to work independently. Gorbachev himself supports this interpretation in his memoirs.\\(^6\\) This argument stresses the connection with economic reform.\n\nThe second interpretation emphasizes political struggle within the leadership. According to this, faced by the strengthening authority of Ligachev who was based in the party apparat, Gorbachev advanced the party apparat reorganisation to curb him.\\(^7\\)\n\nThirdly, Gorbachev might think that the party and state apparat colluded to frustrate his reforming efforts. Dividing the party and state function, he might have thought, would make it possible to defeat the anti-reform coalition of the party-state apparat.\\(^8\\)\n\nFourthly, the reform might be aimed at improving centre-regional relations.\\(^9\\) As discussed in the earlier chapter, one problem within the party was that the party function extended so widely that the centre could not devote sufficient attention to supervising regional organisations. In addition, the leadership might think that the party spent so much time and energy on economic activities that it forgot ‘political’ activities such as propaganda, agitation and so forth. Therefore, streamlining party functions could be one way to reform centre-regional relations and party’s ‘political’ activity. This interpretation implies that it was necessary for the party itself to relinquish party control over the state organs because economic management was,\n\n---\n\n\\(^6\\) Mikhail Gorbachev, *Zhizn’ i Reformy* Vol. 1 (Moskva: Novosti, 1995), p. 410; Mihairu Gorubachofu, *Gorubachofu Kaisoroku* Jo (Tokyo: Shinchosha, 1996), p. 512; Mikhail Gorbachev, *Memoirs* (London: Doubleday, 1996), p. 268.\n\n\\(^7\\) Jerry F. Hough, *Democratization and Revolution in the USSR, 1985-1991* (Washington, D. C.: Brookings Institution Press, 1997), p. 200. In addition, Hough states as the immediate purpose, ‘to begin the process of destroying the central institutions of the Communist Party, including the Politburo.’ *Ibid.* However, this interpretation is, it seems, an example of hindsight. It is not persuasive to consider that Gorbachev intended to destroy his own power base in 1988 when the 1989 election of the Congress of the Peoples’ Deputy did not take place yet, therefore, he did not have any other power centre than the party.\n\n\\(^8\\) Archie Brown, *The Gorbachev Factor* (Oxford: Oxford University Press, 1996), p. 184; David Lane and Cameron Ross, *The Transition from Communism to Capitalism: Ruling Elites from Gorbachev to Yeltsin* (New York: St. Martin’s Press, 1999), p. 55.\n\n\\(^9\\) Graeme Gill and Roger D. Markwick, *Russia’s Stillborn Democracy? From Gorbachev to Yeltsin* (New York: Oxford University Press, 2000), p. 55.\n\naccording to this, burdensome for the party.\n\nTwo points can be suggested in respect of these explanations. Firstly the fourth interpretation (centre-regional relations) is logically consistent with the author’s previous argument, which is neglected by many scholars. Secondly, it should be borne in mind that the first interpretation tends to regard the party organs as superior to those of the state, while the third one argues that party-state relations were more equal and closer than had been thought. It is instructive that the third and fourth explanations are advanced by scholars relatively closer to the pluralist school. The pluralist school tends not to emphasise party control, but to signify the checks and balances of various interests. We will return these points after discussing the concrete process of party-state relations.\n\nIII. The First Reorganisation of the Party Apparat: from the 19th Party Conference up to the 28th Party Congress\n\n1. The Process of Decision Making on the First Reorganisation\n\n(a) The Reorganisation of the CC Apparat and the Establishment of the CC Commissions\n\nMany decisions on apparat reorganisation were taken at the party Conference of 1988 and at CC plenums. The first reorganisation of the party apparat was set out in the ‘Theses of the Central Committee of the CPSU to the 19th All-union Party Conference,’ which were approved by the CC plenum in May 1988, which stated ‘Taking into account the increasing role of the party as a political vanguard, and the division of function of party committees and state’s economic organs, [it is necessary to] undertake necessary change in the structure and composition of the party apparat.’\\(^{10}\\) This statement developed into Gorbachev’s address on 28 June 1988 to the 19th All-union Party Conference. He proposed to reject organising of the CC\n\n\\(^{10}\\) *Pravda*, 27 May 1988, p. 2.\n\napparat and of lower party organs in parallel with branches of administration, to reconstruct their structure in accordance with the proper function of the party, and to reduce their number.\\textsuperscript{11} The resolution of the 19\\textsuperscript{th} conference (1 July 1988) approved a proposal to ‘carry out, by the end of this year, the reorganisation of the party apparat’ and to ‘make the necessary change in its structure.’\\textsuperscript{12}\n\nThe role of directing the reorganised apparat was entrusted to the Politburo members and to the Commission that the conference decided to establish. At the conference Gorbachev referred to the necessity to create Commissions in the CC along the main directions of internal and external policy, in which the CC members would regularly work. The party apparat also was expected to occupy its own appropriate place in the Commissions.\\textsuperscript{13} The resolution of the 19\\textsuperscript{th} Party Conference ‘On Democratisation of Soviet Society and Reform of Political System’ provided a basis for the creation of the Commissions from among CC members.\\textsuperscript{14} Thus, the function of the Secretariat, which had checked the work of the CC apparat, was to be weakened by the participation of CC members.\n\nIt took some time to develop a concrete plan of reorganisation. The plan of reorganisation was still not clear at the time of the 19\\textsuperscript{th} Conference. The CC plenum took a decision ‘On the Basic Directions of the Perestroika of the Party Apparat (30 July 1988)’ which mandated the CC Politburo to examine and establish a new structure of the apparat, and to define new links with the apparat of lower party organs.\\textsuperscript{15} Then, Gorbachev issued a memorandum ‘On the question of the reorganisation of the party apparat’ dated 24 August 1988 to the Politburo. In this memorandum, Gorbachev, paying attention to the delay in the apparat reorganisation and referring to the further activation of the CC CPSU through the creation of\n\n\\textsuperscript{11} \\textit{Materialy XIX Vsesoyuznoi konferentsii Kommunisticheskoi Partii Sovetskogo Soyuza} (Moskva: Politizdat, 1988), p. 80.\n\n\\textsuperscript{12} \\textit{Materialy XIX Vsesoyuznoi}, p. 106.\n\n\\textsuperscript{13} \\textit{Materialy XIX Vsesoyuznoi}, p. 77.\n\n\\textsuperscript{14} \\textit{Materialy XIX Vsesoyuznoi}, p. 126.\n\n\\textsuperscript{15} \\textit{Pravda}, 31 July 1988, p. 2.\n\nCommissions, proposed the function of each CC department. The Department of Party Construction and Cadre ‘Policy’\\textsuperscript{16} should concentrate on internal party work. The Ideology department was to take responsibility for all theoretical, ideological, scientific, and cultural problems. On social-economic matters, Gorbachev proposed that the CC departments surrender this function to governmental organs and to establish a single department of economic and social policy. The Agrarian Department and Defence Production department, which related to economic affairs, were to be kept, though their functions were to be changed. International affairs, which three CC departments had engaged in, were to be under the jurisdiction of a single International department. A new department, which related to the creation of a law-based socialist state, was to be founded. The General Department and Administration of Affairs were to be kept. This reorganisation, as Gorbachev proposed it, entailed a reduction in apparat numbers, amounting to 1940 responsible workers and 1275 support staff at that time. In addition, he proposed greater autonomy for lower party organisations on apparat reorganisations.\\textsuperscript{17} The Politburo approved Gorbachev’s memorandum on 8 September 1988.\\textsuperscript{18}\n\nThe discussion at the Politburo meeting shows that every Politburo member admitted the necessity of the reorganisation, though the reasons were not necessarily the same. Let us consider the statements of major Politburo members. The first person who gave his comments on Gorbachev’s memorandum was Ligachev. His statement shows that he totally supported the memorandum at that time, though, of course, the possibility that he pretended to support it cannot be denied. In addition, he recognised that Gorbachev intended that the CPSU’s original political function rather than its administrative role should be improved, stating, ‘I want to emphasise that … this apparat should engage in political and theoretical questions …’\\textsuperscript{19}\n\n\\textsuperscript{16} Gorbachev stated ‘Policy’ rather than ‘Work’ in the memorandum. \\textit{Izvestiya TsK KPSS}, 1989, No. 1, p. 83.\n\n\\textsuperscript{17} \\textit{Izvestiya TsK KPSS}, 1989, No. 1, pp. 81-86.\n\n\\textsuperscript{18} \\textit{Izvestiya TsK KPSS}, 1989, No. 1, p. 81.\n\n\\textsuperscript{19} Tsentr Khraneniya Sovremennoi Dokumentatsii (TsKhSD), fond (f.) 89, perechen’ (p.) 42, delo (d.) 22, page (p.) 1.\n\nMoreover, his argument emphasised the centre-regional relationship, which was one prominent feature of his statement compared with those of other members. He stated, ‘The strengthening of the connection with local areas, local organisations, [and] with workers [is necessary], because if any apparat does not closely connect with local affairs, [and] local working collectives, it is not able to help the CC to work out the policy and bring the theoretical and political work for problem-solving.’\\(^{20}\\) This judgement may derive from his past career as CC secretary responsible for organisational matters. In any case, this statement is important because it shows that centre-regional relations provided the reason for the apparat reorganisation beyond the reform-conservative cleavage in the leadership.\n\nPolitburo members from the executive organs were concerned about the consequences of the reorganisation for party-state relations. For example, Ryzhkov’s argument was related to the economic sphere, particularly the Social-Economic Department. He opposed the suggestion that this department should have sub-divisions on social policy, economic policy, and science-technology policy, because these jurisdictions were interconnected. His argument was directed to prevent the Social-Economic Department from paralleling the sub-divisions of the Council of Ministers, that is, *podmena*.\\(^{21}\\) He also mentioned the naming of the Defence Production Department and Agrarian Policy.\\(^{22}\\) Vitalii I. Vorotnikov, the chairmen of the RSFSR Council of Ministers and a full member of the Politburo, also suggested coordination among the party and economic organisations. He asked not only to reorganise the party apparat, but also to strengthen the cadre of soviet and economic organs.\\(^{23}\\) In addition, Gorbachev said, ‘It is necessary to strengthen influence. Now we suffer from operational-economic questions, and follow ministries, which pass their own memorandum to us. This distracts us from concentrating\n\n---\n\n\\(^{20}\\) Ibid., p. 1.\n\n\\(^{21}\\) Ibid., p. 3.\n\n\\(^{22}\\) Ibid., pp. 3–4.\n\n\\(^{23}\\) Ibid., pp. 7–8.\n\non the cardinal political questions.\\textsuperscript{24} Thus, the hypothesis, which argues that the purpose of the reorganisation was to prevent \\textit{podmena}, has some basis in fact.\n\nWhat, then, was the party supposed to do? A. Yakovlev mentioned such an ideological problem as the optimal concept of political vanguard, and the interrelationship between the executive and the political apparat. In addition, he argued that the party should concentrate on its political and ideological influence in order to improve the role of the local soviets.\\textsuperscript{25} Though Vadim Medvedev’s comment was brief, he also referred to the political function of the party as vanguard.\\textsuperscript{26} Improving its political function in domestic affairs would be one way to be an ordinary party. Anatolii Luk’yanov demanded to precisely demarcate the function of the CC Commissions that would supervise the CC apparat, though his political position seemed more conservative than those of Yakovlev and Medvedev.\\textsuperscript{27} From their statements, we can understand that some Politburo members thought the party should be a ‘normal’ political party that engaged in political and ideological work.\n\nTogether with the reorganisations of the CC apparat, new Commissions were founded. The CC plenum on 30 September 1988 decided to establish six new Commissions.\\textsuperscript{28} Figure 3-1 shows the new Commissions and their chairmen who were CC secretaries. On internal party affairs, Georgii Razumovskii was to lead the Commission on the Questions of Party Construction and Cadre Policy. Nikolai Slyun’kov, a full Politburo member and a close colleague of Ryzhkov, became chairman of the Commission of Socio-Economic Policy. Yakovlev became the chairman of the Commission on International Policy. Chebrikov was to lead the Commission on Legal Policy, and was promoted from KGB chairman to CC secretary. Kryuchkov replaced him as KGB chairman. Medvedev was to be chairman of the Ideology Commission, replacing Ligachev, and, in a remarkable change, Ligachev was moved to\n\n\\textsuperscript{24} \\textit{Ibid.}, p. 13.\n\\textsuperscript{25} \\textit{Ibid.}, pp. 9-10.\n\\textsuperscript{26} \\textit{Ibid.}, p. 24.\n\\textsuperscript{27} \\textit{Ibid.}, p. 17.\n\\textsuperscript{28} \\textit{Pravda}, 1 October 1988, p. 1.\n\nAgrarian work. The hypothesis that attributes the reorganisation to leadership struggles is based on this fact.\\textsuperscript{29}\n\nThe new composition of the CC apparat mostly corresponded with Gorbachev’s proposals. Figure 3-1 shows the new composition. The former 20 departments were reorganised into 9 departments. The most prominent feature of the changes was a huge reduction in economic functions, while the departments on internal party affairs (Department of Party Construction and Cadre Work, General Department, Administration of Affairs) did not face a comparable reorganisation. Though some scholars argue this was a result of these organisations’ resistance to reorganisation, it does not necessarily seem to be the case.\\textsuperscript{30} Because Gorbachev’s memorandum itself made only a few references to these departments, it seems that he originally intended to reduce the economic function of the party, while keeping its internal cohesion in order to concentrate on the ideological and cadre work that were the party’s original function, though the resistance to the reorganisation certainly existed. The resistance can be inferred from the fact that Gorbachev issued an instruction and a memorandum demanding that each department finalised its plans on the structure and staffing on 5 December 1988 when several months had passed since the Politburo’s decision in September. In addition, a memorandum on 29 September 1988 from a CC official, K. Mogil’nichenko, suggests that anxiety for their personal fates grew among the members of the party apparat, which might lead to their resistance.\\textsuperscript{31} Nonetheless, few changes of the apparat on internal party affairs can be recognised from lower party apparat reorganisation, which suggests the original intention to keep the internal cohesion. Let us consider it in the next section.\n\n(b) The Reorganisation of the Lower-Level Party Apparat\n\n\\textsuperscript{29} Ligachev himself, of course, supports this argument. See Egor Ligachev, \\textit{Zagadka Gorbacheva} (Novosibirsk: Interbuk, 1992), p. 93; Yegor Ligachev, \\textit{Inside Gorbachev’s Kremlin} (Boulder: Westview Press, 1996), pp. 109.\n\n\\textsuperscript{30} Gordon M. Hahn, ‘The First Reorganisation of the CPSU: Central Committee Apparat under Perestroika,’ \\textit{Europe-Asia Studies}, Vol. 49, No. 2 (1997), p. 284.\n\n\\textsuperscript{31} \\textit{Istochnik}, 1995, No. 3, pp. 159-160.\n\nConcerning the lower party organisations, the Politburo took a decision ‘On the reorganisation of the apparat of local party organisations’ on 10 September 1988, which was based on the proposal of the CC Department of Organisational-Party Work\\(^{32}\\) and Administration of Affairs. According to this, the CCs CPs of union republics, kraikoms and obkoms were to have the following departments: the Department of Organisational-Party Work, Ideological Department, Social-Economic Department, Agrarian Department, State-Law Department, General Department, and Administration of Affairs. At gorkom and raikom level, the apparat was reorganised into Organisational, Ideological, and General Departments. In addition, gorkoms in the huge industrial centres might create a Department of Social-Economic Development, and raikoms in huge agricultural raions might have an Agrarian Department.\\(^{33}\\) It is obvious that the departments on internal party affairs (Organisational-Party Work, General, and Administration of Affairs) did not face a large reorganisation. Because this decision charged the CC Department of Organisational-Party Work and Administration of Affairs to examine this proposals from lower party organisations, later (18 October 1988) these two departments issued an information memorandum on the proposals from lower party organisations, which proposed that the reorganisation of the lower-level party apparat should correspond with the previous decisions of the 19\\(^{th}\\) Party Conference, plenums, and the Politburo.\\(^{34}\\) This argued that the departments on organisational-party, cadre, and ideological work should become stronger, which, it seems, testifies that the first reorganisation was intended to primarily change party-state (esp. economic) relations rather than internal party life.\n\nThe implementation of this decision was reported in some places. For example, the October plenum of the Ukrainian Party approved a resolution, ‘On the formation of commissions of the CC CP of Ukraine and reorganisation of apparat of party organs of\n\n---\n\n\\(^{32}\\) At that time this department was still called the CC Department of Organisational-Party Work.\n\n\\(^{33}\\) *Izvestiya TsK KPSS*, 1989, No. 1, p. 87.\n\n\\(^{34}\\) *Izvestiya TsK KPSS*, 1989, No. 1, p. 89.\n\nrepublic.\\textsuperscript{35} The Moscow obkom case was reported in December. Before the Moscow party conference, V. Mesyats, first secretary of the Moscow obkom, was interviewed by \\textit{Pravda}, in which he said that 18 departments in its obkom would be reduced to 9. In addition, according to him, two departments, the Ideological department and Organisational-party and cadre work, would be strengthened.\\textsuperscript{36} Later, the report of the Moscow obkom party conference also mentioned the reorganisation.\\textsuperscript{37} In any case, through these cases we can confirm that these reorganisations were in accordance with the central policy that demarcated party and state and strengthened intra-party cohesion.\n\n\\textbf{2. The Internal Structure of the Party Apparat after the Reorganisation}\n\n\\textbf{(a) The Internal Structure of the CC CPSU Apparat}\n\nThen, what was the internal structure of CC departments after the reorganisation? This can be now understood on the basis of internal party documents. On 29 December 1988, Razumovskii (Party Construction and Cadre Work), Boldin (General), and Kruchina (Administration of Affairs), heads of the CC departments on internal party affairs, presented to the CC CPSU (CC secretaries and Politburo members) a proposal on the structure and staffing of the departments of the CC CPSU and it was approved as a decision of the CC CPSU.\\textsuperscript{38} Various tables 3-2 show the details of the first reorganisation. In addition, it is reasonable to assume that each department had around 100 responsible workers, because Gorbachev stated in his memorandum of August 1988 that the total CC apparat was 1940 (and 1275 support staff), and that a total of 20 departments existed at that time.\\textsuperscript{39} By comparing this assumed old staff\n\n\\textsuperscript{35} \\textit{Pravda Ukrainy}, 12 October 1988, p. 1.\n\\textsuperscript{36} \\textit{Pravda}, 5 December 1988, p. 2.\n\\textsuperscript{37} \\textit{Pravda}, 12 December 1988, p. 3.\n\\textsuperscript{38} TsKhSD, f. 89, p. 4, d. 9.\n\\textsuperscript{39} \\textit{Izvestiya TsK KPSS}, 1989, No. 1, p. 85. Incidentally, it does not seem useful to count the average number of support staff, because it was likely that the number of support staff differed significantly by the department, which can be inferred from the support staff’s number in the first reorganisation plan.\n\nnumber with the proposed one, we can know the supposed degree of the change.\n\nFirst of all, it should be noticed that the three departments responsible for internal party affairs did not present their own proposals on the reorganisation, though the reason is not clear. As discussed above, it seems reasonable to think that this was part of Gorbachev’s original idea.\n\nThe Ideological Department was to have six sub-departments, one consultant group and one secretariat. This department basically integrated three former department functions (Propaganda, Science and Educational Institutions, Culture). The total number of staff was 145 (141 responsible workers and 4 support staff), which was the result of a 61 per cent reduction of all workers of leading composition, instructors, and lecturers.\\(^{40}\\)\n\nThe largest reorganisation took place in the Social-Economic Department. Eight former departments were considered to be reorganised into this department.\\(^{41}\\) This was to have four sub-departments and one consultant group. Despite Ryzhkov’s opposition in the Politburo meeting on 8 September 1988 (see III-1 of this chapter), this department had individual sub-departments on social policy, economic policy, and science-technology policy. The function of this new department was the preparation of general proposals, touching all fundamental aspects of social-economic policy. The number of staff was 157 (128 responsible workers and 29 support staff). According to the memorandum, the number of instructors was increased at the expense of consultants.\\(^{42}\\) As a result, it seems obvious that many economic functions were to be removed from the party, though some scholars argue that the CC apparat violated the proposed division of function between the party and the state because of bureaucratic inertia.\\(^{43}\\) It is certainly possible to suggest sporadic cases of violation. Nonetheless, it is also clear that this number of staff was not enough to allow it to interfere in daily economic management. To\n\n\\(^{40}\\) TsKhSD, f. 89, p. 4, d. 9, p. 23.\n\n\\(^{41}\\) Ueno, ‘Gorubachofu seikenkanokeu,’ p. 165.\n\n\\(^{42}\\) TsKhSD, f. 89, p. 4, d. 9, pp.6-8, p. 23.\n\n\\(^{43}\\) Hahn, ‘The First Reorganisation’, pp. 294-295.\n\nconclude that the party had reduced its economic function is not unreasonable.\n\nThe Agrarian Department had eight sectors and one secretariat and total staff was 88 (85 responsible workers and 3 support staff). This number of staff was one third of that of the former CC Department of Rural Economy and Food Production. A reference to the need to avoid the duplication of a state organ (*Gosagropom*) can be found in this memorandum, which may suggest, again, that the main aim of reorganisation was party-state (esp. economic) relations.\\(^{44}\\)\n\nThe State-Law Department was a successor to the former Administrative Department. As shown in the sub-departmental composition, this department related to armed forces, KGB and so forth. Though this department reduced its number of consultants, it was not a huge reduction. It may be natural that this department did not face massive reductions in the first reorganisation, because the party did not reduce its control over security organs even in the second reorganisation. The demarcation between the party and the state concerned the economic sphere rather than security organs.\n\nThe International Department integrated three former Departments (Foreign Cadres, Liaison with Communist and Workers’ Parties of Socialist Countries, and International). This department had eight sub-departments, one consultant group, one group of ‘party technicians’, and one secretariat. The total number of staff was 209 (203 responsible workers and 6 support staff), and 20 categories of posts were introduced into the department, which was about twice more than other departments.\\(^{45}\\) Though this was the largest of the departments included in the proposal, the tendency of reduction was clear because this department was to integrate four former departments.\n\nThe former Defence Production Department was reorganised into the Defence Department with three sub-departments, one group of consultants, and one secretariat. Total\n\n\\(^{44}\\) TsKhSD, f. 89, p. 4, d. 9, pp.6-8, p. 24.\n\n\\(^{45}\\) TsKhSD, f. 89, p. 4, d. 9, pp.6-8, p. 24.\n\nstaff was 62 (54 responsible workers and 8 support staff) which was a reduction of 32.5 per cent compared with the former department. This small number of staff suggests that this department's supervisory power on economic sphere diminished to a large degree.\n\n(b) The Party Apparat Hierarchy after the Reorganisation\n\nThe internal structure of the party apparat from the centre to the branches can be inferred from the posts and salary list of party workers. This list, dated 29 July 1989, was presented by Razumovskii, Boldin, and Kruchina and approved by the Politburo on 3 August 1989.\\textsuperscript{46} This was demanded because the first reorganisation significantly changed the apparat structure and the full-time party workers' salaries were so low that the party could not recruit appropriately qualified workers. Though this list does not include the posts and salary of the CC Secretary and General Secretary, it covers, it seems, all other party posts. In addition, salary reflected position within the party apparat.\\textsuperscript{47} Thus, this list is worth introducing regardless of its length.\n\nTable 3-3-1 shows the CC CPSU job list, which was discussed in detail above. A new finding was that this made it possible to infer the structure of the Administration of Affairs, whose posts were indicated in categories independent of other departments.\n\nTable 3-3-2 indicates posts and salary of republican party officials. Though it is not possible to consider the size and internal structure of the republican CC apparat more precisely than discussed above, it is possible to infer that the internal structure of republican CC departments was similar to that of the CC CPSU because the names of posts corresponded with each other.\n\nTables 3-3-3 to 3-3-5 show posts and salary from obkom level down to the PPOs.\n\n\\textsuperscript{46} TsKhSD, f. 89, p. 9, d. 13.\n\n\\textsuperscript{47} Gorbachev states that his transfer from head of department of Stavropol' kraikom to first secretary of Stavropol' gorkom was movement to a lower job in terms of the \\textit{nomenklatura} and salary list. Thus, the \\textit{nomenklatura} list corresponded with the salary list. Mikhail Gorbachev, \\textit{Zhizn' i Reformy}, Vol. 1, p. 109; Mihairu Gorubachofu, \\textit{Gorubachofu Kaisoroku}, Jo, p. 144; Mikhail Gorbachev, \\textit{Memoirs}, p. 77.\n\nThese substantiate the lower-level party structure discussed above, and PPO party officials' low salary was remarkable. The privilege of party workers will be considered in an appendix.\n\n3. Implementation of the Proposal\n\n(a) Some Quantitative Results\n\nTo what degree was the proposal of the first reorganisation implemented? A massive, but slow, reduction of the party apparat can be inferred from some fragmentary and sometimes contradictory quantitative results. Before the reorganisation Gorbachev's memorandum mentioned above identified 1940 responsible workers and 1275 support staff at that time. In the Politburo meeting on 8 September 1988, Ligachev stated that they would cut about 700-800 thousand people in the whole country and 550 thousand in republic party organisations, obkoms, gorkoms, and raikoms. In addition, when he was asked how the reduction was going by Gorbachev, he answered, 'There is no difficulty at the moment, Mikhail Sergeevich [Gorbachev], no.' He added that it was urgently proceeding and there was a special announcement that it would be completed by 1 January. Compared with other information that we will see, Ligachev's figures are so huge that the basis of measurement must be different from others. In any case, it is obvious that these far-reaching reductions and time limits were too optimistic and could not be kept.\n\nA memorandum from the CC official K. Mogil'nichenko mentioned above (September 1988) states that some 700 responsible workers, without counting 255 pension-age people, would be subject to replacement. The Central Auditing Commission reported that during the\n\n---\n\n48 There are few studies on the implementation of the apparat reorganisation. Gill's most extensive study on the collapse of the CPSU states, 'There is no real discussion of how this change was carried out.' See Graeme Gill, *The Collapse of a Single Party System: The Disintegration of the Communist Party of the Soviet Union* (Cambridge: Cambridge University Press, 1994), p. 74.\n\n49 *Izvestiya TsK KPSS*, 1989, No. 1, p. 85.\n\n50 TsKhSD, f. 89, p. 42, d. 22, p. 2.\n\n51 *Istotechnik*, 1995, No. 3, pp. 159-160.\n\nsecond half of 1988 about 700 posts of responsible and support staff were cut and that about 7,000 posts were released in lower party organs due to the reorganisation.\\textsuperscript{52} These figures of the Central Revision Commission might be exaggerated because the figures that appeared later were more moderate.\n\nIn the January 1990 issue of \\textit{Izvestiya TsK KPSS} (that is, about one year after the Central Revision Commission report), two articles appeared on the apparat reduction. One article, in response to a reader’s question, stated that 536 CC CPSU responsible workers had been released. Among them, 224 became pensioners and 312 went to other jobs.\\textsuperscript{53} Another article shows slightly different figures. According to this source, more than 700, including 600 responsible, workers went out. In addition, this article stated that the CC CPSU had 2365 workers and among them 1303 workers were responsible ones.\\textsuperscript{54} Because Gorbachev memorandum’s figures were 1940 responsible workers and 1275 technical ones (that is 3215 in total), a simple calculation, which excludes new recruitment which might happen during the reorganisation, means that 637 responsible workers and 213 technical ones (in total 850) were cut. In March 1990 Kruchina stated that party organisations had 102,450 responsible and 33,420 support staff in total. In addition, there were 79 responsible workers in one obkom, kraikom, or CC CP of union republic on average and 20 responsible workers in one gorkom or raikom on average. Full-time workers in PPOs amounted to 77,000.\\textsuperscript{55} In his report to the 28\\textsuperscript{th} Party Congress, Kruchina stated that 8,500 workers had been released at all levels of party committees and that 680 persons had been released in the CC CPSU apparat.\\textsuperscript{56} The reduction of 680 was lower than indicated in the previous Central Revision Commission Report. Further figures were presented in the documents prepared for the 28\\textsuperscript{th} congress on the activity of the Secretariat.\n\n\\textsuperscript{52} \\textit{Izvestiya TsK KPSS}, 1989, No. 4, p. 24.\n\n\\textsuperscript{53} \\textit{Izvestiya TsK KPSS}, 1990, No. 1, p. 113.\n\n\\textsuperscript{54} \\textit{Izvestiya TsK KPSS}, 1990, No. 1, pp. 116-117.\n\n\\textsuperscript{55} \\textit{Pravda}, 12 March 1990, p. 3.\n\n\\textsuperscript{56} \\textit{XXVIII s”ezd Kommunisticheskoi Partii Sovetskovo Soyuza: Stenograficheskii Otchet} Vol. 1 (Moskva: Politizdat, 1991), p. 233.\n\nAccording to it, during the period from March 1986 to 20 June 1990, 9,756 workers, including 3,097 ‘party’ (technical?) workers, were appointed and 8,266 workers, including 3,380 ‘party’ (technical?), workers were released at all levels of the party organisations.\\(^{57}\\) In addition, between the 27\\(^{\\text{th}}\\) and 28\\(^{\\text{th}}\\) congresses the CC Secretariat appointed 824 workers and released 1,494 ones.\\(^{58}\\)\n\nIt is difficult to evaluate the results of the first reorganisation. Even taking into account the fact that the CC Ethnic Relations department (early 1990) and the department on Work with Social-Political Organisations (April 1990) were founded, the reduction in number of the CC CPSU was massive but moderate in view of the proposed staff numbers. In addition, the time schedule was prolonged because at the beginning Ligachev stated that it would be completed by 1 January 1988 as discussed above. It is understandable that some studies have attributed the result to apparat resistance.\\(^{59}\\) Nonetheless, the author inclines to the view that the exercise was not without success. It would have a huge impact, when an organisation that had had about 2000 workers lost some 700 persons within a few years. It seems that the reduction was huge enough to make the CC apparat malfunction especially in the realm of the economy, that is, in relation to the Council of Ministers. To emphasise the resistance too much may distract our attention from the important fact of ‘loss of power’ and a developing ‘power vacuum’, which will be discussed later.\n\n(b) Where the released members went\n\nThe discussion above makes it clear that party workers were released to a more or less huge degree. Obviously it was not possible to make all pensioners. Where, then, did they go later? The Gorbachev memorandum proposed that the freed full-time party workers of the CC apparat should support central and other organs of administration, scientific establishments,\n\n\\(^{57}\\) *Izvestiya TsK KPSS*, 1990, No. 9, pp. 22-23. Though it is not clear what the ‘party’ worker means, it seems to indicate a support staff, because the numbers are close to those given in the previous interview with Kruchina in *Pravda*, 12 March 1990, p. 3 (n. 41).\n\n\\(^{58}\\) *Izvestiya TsK KPSS*, 1990, No. 9, p. 23.\n\n\\(^{59}\\) For example, Hahn, ‘The First Reorganisation.’\n\ninstitutions of higher education, and the means of mass information.\\textsuperscript{60} Though party archival documents are fragmentary and it should be remembered that TsKhSD fond 89 selectively disclosed party documents, it seems to indicate a general tendency of transference from the party apparat to the apparat of the Supreme Soviet of the USSR. It was natural that new officials were required for the supposed new power centre. Anatolii Luk’yanov, first deputy chairman of the Presidium of the Supreme Soviet at that time, asked the CC CPSU to confirm five persons as heads of department of the Supreme Soviet secretariat on 26 January 1989. Three of them had been CC CPSU apparat officials. In addition, he asked the CC department of Party Construction and Cadre Work to send CC CPSU workers to the Secretariat of the Supreme Soviet.\\textsuperscript{61} On 2 February 1989, Luk’yanov submitted a proposal to confirm an official of the CC VLKSM (Komsomol) as head of department of the Supreme Soviet secretariat.\\textsuperscript{62} A further demand was made on 10 February, in which Luk’yanov asked the CC CPSU to transfer 19 CC CPSU workers to the Presidium of the Supreme Soviet. On the 15\\textsuperscript{th} of the same month, the transfer of 8 CC officials to the Presidium of the Supreme Soviet was requested by Luk’yanov.\\textsuperscript{63} On 21 February 1989, T. N. Menteshashvili\\textsuperscript{64} asked the CC CPSU to confirm one CC CPSU official to be an official of the Presidium of the Supreme Soviet.\\textsuperscript{65} Further, Luk’yanov proposed 2 officials’ movement to the Presidium of the Supreme Soviet.\\textsuperscript{66} Though these documents certainly show that the party still had the right to check the personnel of the Supreme Soviet because non-CC officials (e.g. a Komsomol official) who were to be heads of the Supreme Soviet Secretariat, were included in these documents, they, it seems, also suggest the general tendency of staff transfers from the party to the Supreme Soviet. In addition, these transfers\n\n\\textsuperscript{60} \\textit{Izvestiya TsK KPSS}, 1989, No. 1, p. 85.\n\n\\textsuperscript{61} TsKhSD f. 89, p. 30, d. 18, pp. 1-2.\n\n\\textsuperscript{62} TsKhSD f. 89, p. 30, d. 20, pp. 1-3.\n\n\\textsuperscript{63} TsKhSD f. 89, p. 30, d. 21, pp. 1-2.\n\n\\textsuperscript{64} Unfortunately, the author could not confirm who he was. Probably, he was a high rank member of the Presidium of the Supreme Soviet.\n\n\\textsuperscript{65} TsKhSD f. 89, p. 30, d. 22, p. 1.\n\n\\textsuperscript{66} TsKhSD f. 89, p. 30, d. 21, p. 3.\n\nwere not sufficient to make the Supreme Soviet function effectively. While the party was losing control, the alternative power structure was slow to establish itself. Here we can recognise that the Soviet system entered the phase of the loss of power and that it showed the ominous signs of a power vacuum.\n\n(c) How the new institution worked\n\n(i) The CC departments\n\nHow these new commissions and departments worked could be understood by the documents presented to the 28th Party Congress. Let us firstly see the CC departments. Table 3.4 shows how many basic issues that were submitted by the CC departments were discussed by the CC Secretariat. Though these ‘basic’ issues were not all issues raised by the CC departments, this can be regarded as an indicator of activeness of the CC department. Firstly the general tendency of decline of the CC departments’ activity is obvious. From a peak of 274 issues in 1987 it reduced to 54 in 1989 and 36 by 20 June.\n\nThis stagnation allows a mixed interpretation. On the one hand, it may be because the CC apparat lost some of its functions due to the reorganisation. If this is the case, the CC departments, which had been deprived of their functions, thus *could* not work rather than *did* not work. On the other hand, this may be deliberate prevarication on the part of the CC apparat, intended to suggest that the CC departments had many things to do but intentionally did not respond. Ligachev, it seems, suggests the former interpretation, stating, ‘[A]fter the creation of the Commissions [that is, the reorganisation of the CC apparat], the meetings of Secretariat ceased simultaneously. The party was deprived of an operating staff of its leader.’\\(^{67}\\) Gorbachev in his memoirs supports the later argument, frequently referring to party officials’ ‘sabotage’.\\(^{68}\\)\n\n---\n\n\\(^{67}\\) Egor K. Ligachev, *Zagadka Gorbacheva*, p. 93; Yegor Ligachev, *Inside Gorbachev’s Kremlin*, pp. 190-110. It seems that Ligachev uses the word ‘Secretariat’ in a broader sense including the departments, because ‘an operating staff of its leader’ must include the CC departments’ staff.\n\n\\(^{68}\\) For example, *Gorubachofu*, Jo, p. 497, 567; *Zhizn’ i Reformy* Vol. 1, p. 396. *Zhizn’ i Reformy* does not have a corresponding paragraph of *Gorubachofu*, p. 567. Incidentally, the word ‘sabotage’ (*sabotazh*) keeps probably French connotation and, therefore, has a weaker sense in\n\nThough it is difficult to define which is the case, it seems clear that CC officials felt deprived of their traditional function and could not understand what to do in new circumstances. Therefore, they stopped working or did not work. This would be particularly the case for the most significantly reorganised department, the Social-Economic Department.\n\nSo, secondly let us see the changes of each department’s activity in Table 3-4. Obviously the Social-Economic Department’s activity declined, despite the rapid economic recession at that time. In addition, it is remarkable that the Ideology Department, which had been supposed to play a central role in the new environment, could not actively work. Valentin Falin, CC secretary and Politburo member, said about the International Department at a Politburo meeting on 13 September 1990, in which a second reorganisation of the CC apparat was discussed, that after the changes of the 19th Party Conference, the International Department did not take any responsibility for the selection of cadres directed abroad.\\(^{69}\\) It is reasonable to assume that Gorbachev’s new thinking had deprived the International Department of its basic function. On the other hand, two departments, the Department of the Party Construction and Cadre Work and the State-Law Department that supervised the security organs as discussed above, show relative activism. Some arguments emphasise the strength of the Department of Party Construction and Cadre Work and, it is argued, it was able to resist the reorganisation.\\(^{70}\\) Though cadre work was a key concern of the whole party (as Stalin once said ‘Cadres decide everything’), it should be noted that the relative strength of the Department of Party Construction and Cadre Work increased as a result of the reorganisation. One report of an official of the department showed this at lower levels, stating ‘It is possible to speak of a so-called ‘vacuum’ in the leadership of people’s economy of oblasti and raions, when, in the party, the [economic] branch departments were abolished, but local soviets, particularly at raion level, do not have structural sub-divisions for managing corresponding branches. In these\n\n\\(^{69}\\) TsKhSD, f. 89, p. 42, d. 29, p. 9.\n\n\\(^{70}\\) See Hahn, ‘The First Reorganisation’ and his *Russia’s Revolution from Above*.\n\nconditions, at local level, instead of actual transmission to soviets of efficient functions on the economic questions that had been decided in the branch departments of party committees, the department of organisational-party and cadre work was entrusted with them. That is, everything is examined in the party apparat just as under the notorious command system.\\(^{71}\\) Of course, the organisational department’s economic work, it seems, was far from excellence. In the end, all these indicate the worst combination: the CPSU was losing its traditional administrative function; but could not become a ‘political’ party in a Western sense, being inclined toward a security function given the loss of power and the increasing power vacuum.\n\n(ii) The CC Commissions\n\nThe 28\\(^{th}\\) Party Congress documents also show the CC Commissions’ activity. Table 3-5 gives the basic information on the Commissions. Though it is difficult to understand the activism of the Commissions, they seem inactive because four to six meetings over one and half years cannot be regarded as vigorous activity. At a Politburo meeting mentioned above (13 September 1990), most participants agreed that the Commissions should be strengthened, which suggested that the Commissions had not been working well. For example, Ivan T. Frolov, chief editor of *Pravda* and a Politburo member, said, ‘If we want, as we say, to have a working and lively Central Committee, the accent should be on the work of the Commissions. It is necessary to precisely and clearly specify that the centre of all activity of the Central Committee is the Commissions.’\\(^{72}\\)\n\nA more difficult problem is to recognise the relation between CC departments and the CC Commissions. Presumably, the following statement of Frolov was accurate:\n\n‘Regarding the departments, these should be the groups to secure the work of the Commissions, not the contrary relationship as we see. Members of the CC should not run to the departments, leading instructions should not come from the departments, but members\n\n\\(^{71}\\) M. Sokolov, ‘Kakim byt’ partiinomu apparatu,’ *Partiinaya Zhizn’*, 1989, No. 19 (October), pp. 23.\n\n\\(^{72}\\) TsKhSD, f. 89, p. 42, d. 29, p. 7.\n\nof the CC should be masters. For this it is necessary to have not departments but groups under Commissions.\\textsuperscript{73} This statement suggests that the Commissions, which were supposed to supervise the departments, did not work properly. Rather, the weakened departments' instructions decided the main direction of the Commissions. Hence the same evaluation as the case of the CC departments: the new system did not function; the CPSU could not become a 'political' party.\n\n4. Preliminary Summary\n\nThe process of the first party apparat reorganisation has been investigated so far. As a preliminary summary the following points can be indicated. Firstly, the first reorganisation related primarily to party-state (particularly economic organs) relations. While the social-economic department significantly reduced its supervisory power, the CC departments on internal party affairs changed their structure to a far lesser degree. In addition, this was not only the result of their resistance but, presumably, of Gorbachev's original intention. Secondly, related to the first point, the Council of Ministers received a certain autonomy, though the Council of Ministers itself was losing control over the whole country's economy. Thus, thirdly, while the party was reorganised, no new power centre could found itself. The party was gradually losing control over the state organs. However, the Supreme Soviet at the centre and local soviets were too weak, ineffective, and/or chaotic to supervise these organs. When hierarchal control from the party was lost, the soviets at each level frequently made contradictory decisions, that is, a local soviet's decision often contradicted that of a higher soviet. Thus, executive organs could no longer recognise which decisions should be implemented. The contradiction of a 'dual subordination' became obvious.\\textsuperscript{74} The establishment\n\n\\textsuperscript{73} Ibid., p. 7.\n\n\\textsuperscript{74} Shimotomai emphasises the problem of 'dual subordination'. See Nobuo Shimotomai, \\textit{‘Peresutoroika’ wo Koeta [Beyond Perestroika]} (Tokyo: Asahi Shinbunsha, 1991), p. 299; Nobuo Shimotomai, \\textit{Dokuritsu Kokka Kyodotai heno Michi [the Road to the CIS]} (Tokyo: Jiji\n\nof an apparently strong Presidency in March 1990 was a response to this situation, while the party could not become a political party, so remained a kind of an administrative organ. However, a series of ‘highest’ administrative organs cannot coexist in one country. If it happens, it necessarily leads to immobilism. The phase of the loss of power develops into the next phase: the power vacuum. The only way to escape from this problem is to weaken other administrative organs. This was the case for the Soviet Union. The Soviet system faced immobilism, and Gorbachev went into the second reorganisation of the CC CPSU apparat intending to weaken the administrative function of the party further.\n\nIV. Further Reform of Party-State Relations: the 28th Party Congress and After\n\n1. A Power Vacuum as a Given Factor: Controversy over Party-State Relations at the 28th Party Congress\n\nAs discussed above, the loss of power emerged in the process of the first reorganisation of party-state relations. The phase developed into a power vacuum after the establishment of the presidency. It seems this became a structural constraint for making decisions of further reform. This section investigates how political actors recognised the ‘power vacuum’ from the debates at the 28th Party Congress.\n\nIn the opening speech, Gorbachev admitted the difficult situation with regard to reform of party-state relations, stating, ‘The process of reform of the political system is going with difficulty. The role and function of the party, state, and soviet organs are being changed. Frankly speaking, this all is taking place abnormally.’ Still he insisted that the situation would have been worse, if they had not taken such a course.\\(^{75}\\)\n\nA further discussion on party-state relations took place at the section ‘Party, Soviet,\n\n\\(^{75}\\) Tsushinsha, 1992), pp. 78–80.\n\nand Social-Political Organisations and Movements (5 July 1990)’. This section was chaired by Valentin Kuptsov, head of the CC department on Work with Social and Political Organisations, and more than 500 delegates participated.\\textsuperscript{76} The two main speakers were Aleksandr Vlasov, chairman of the RSFSR Council of Ministers and Candidate Member of the Politburo, and Luk’yanov. Both emphasised power vacuum in their speech. Vlasov said, ‘Particularly, the questions of political reform, demarcation of functions of party and soviet power should be mentioned. … The very concepts did not work, the work was conducted unsystematically, structures and functions of soviet organs at local levels did not work … Absolutely this can be said of the work of executive organs. … In a word, the party transferred its economic function to ispolkoms, but soviets proved to be unprepared to receive them.’\\textsuperscript{77} He went on to state that a similar problem existed in relations between the legislative and executive organs in the soviets, which led to ‘bureaucratism’ and ‘additional friction’.\\textsuperscript{78} In addition, when he was asked at what level the lack of preparation to assume new function existed, he replied, ‘I think at all levels, from the Council of Ministers to rural soviets.’\\textsuperscript{79} Luk’yanov’s speech also referred to the same issue, stating, ‘half of our misfortune in the centre and branches in the past two years came from, in the author’s opinion, the fact that party committees, first of all, had stopped ruling in practice, then soviets … could not take over the administrative function at all. That is, … actually power vacuum is arising in real life.’\\textsuperscript{80} He also referred to the division of legislative and executive functions in the soviets. According to him, such a division was positive at oblast’ and krai level. However, at raion level, ‘We remember the Leninist principle not only of division but also of unity of power.’\\textsuperscript{81} This statement was accepted with applause. This statement, it seems, reflected the recognition that the legislative-executive division had led to stalemate at raion\n\n\\textsuperscript{76} Rossiiskii Gosudarstvennyi Arkhiv Sotsial’no-Politicheskoi Istorii (RGASPI), fond (f.) 582, opis’ (o.) 6. ed. khr. 1.5, p. 1.\n\n\\textsuperscript{77} Ibid., p. 6.\n\n\\textsuperscript{78} Ibid.\n\n\\textsuperscript{79} Ibid., p. 10.\n\n\\textsuperscript{80} Ibid., p. 16.\n\n\\textsuperscript{81} Ibid., p. 20. See also pp. 17-18.\n\nlevel and to the problem of 'dual subordination'.\n\nOther speakers in the section also referred to the failure of power transfer from the party. For example, Veniamin Yakovlev, USSR minister of justice, stated that the party had stopped administering society but the soviets had not fully taken the power into their own hands.\\(^{82}\\) The same statement was presented by E. A. Gershkaron, head of an oil and gas investigation combine in Krasnodar.\\(^{83}\\)\n\nOn the other hand, some speakers advanced a different view. That is, the problem was that the party still kept power in its hands. Georgii Popov, head of department at a Donetsk medical institute, argued for the necessity of demarcating the functions of party organisations, soviets and economic organs; while the party should take political responsibility, government and economic organs should take one for their own concrete activity.\\(^{84}\\) Viktor Dyatlov, a reader at Irkutsk state university, said, 'the main task today ---- this is destatification [razgosudarstvlenie] of the party. … Reject the nomenklatura system, the right to control the activity of the administration, and an evaluation by the party.'\\(^{85}\\) Anatolii Sobchak, chairman of Leningrad city soviet and a famous radical reformer, stated that it was, first of all, the party that was guilty; the party interfered in the task of state organs and substituted itself still for state power.\\(^{86}\\) Such a view was reflected in the final report of the section meeting on 7 July. Kuptsov mentioned that the party should abandon the command method in relations with the Soviets.\\(^{87}\\)\n\nThe two arguments mentioned above were different in their evaluation of the chaotic situation. The former one assumed that the failure of power transfer was the reason. The latter, on the other hand, ascribed responsibility to the party's power holding. It seems to the author that the latter argument, which was presented mainly by soviet deputy and/or intellectual people\n\n---\n\n\\(^{82}\\) Ibid., p. 28.\n\n\\(^{83}\\) Ibid., p. 35.\n\n\\(^{84}\\) Ibid., p. 51.\n\n\\(^{85}\\) Ibid., pp. 59-60.\n\n\\(^{86}\\) Ibid., p. 70.\n\n\\(^{87}\\) XXVIII s'ezd Kommunisticheskoi Partii Sovetskogo Soyuza, Vol. 1, p. 583.\n\n(e.g. university teachers), failed to take into account the fact that party officials, for their part, felt they could not control the situation. The Vlasov and Luk’yanov statements clearly reflected such a feeling. A ‘power vacuum’ certainly existed at least in the leadership’s cognition and constrained the decisions of the leadership.\n\n2. The Politburo\n\nAs is well known, the Politburo had been the highest organ of decision making of the Soviet Union until the establishment of the state presidency.\\(^{88}\\) The members of the Politburo included not only top party officials but also the top state officials, e.g. the chairman of the Council of Ministers, chairman of KGB and so forth. The reorganisation of the Politburo at the 28\\(^{th}\\) Party Congress led to reform of party-state relations.\n\nThe March CC plenum (1990) approved a draft of the new party Rules, which included a radical change in the highest party decision making organs. The draft projected the abolition of the Politburo and the creation of a Presidium. Its members were to be confirmed by the congress of the CPSU; the chairman (not general secretary) of the CPSU, his deputies and leaders of republican parties were to join the Presidium \\textit{ex officio}. The Presidium, in its own name, was to direct the decisions to the party organisations for their implementation; was to bring the decisions on the most important political questions for the confirmation of the CC plenum; and was to report annually on its activity to the CC plenum.\\(^{89}\\) Thus, the \\textit{ex officio} Presidium members were supposed to be party officials rather than the whole country’s top elite.\n\nHowever, the new draft Rules that appeared on 28 June 1990 significantly modified this proposition. This draft stated only that the chairman of the CPSU was to lead the working Presidium, and there was no other statement on Presidium membership, that is, the proposal on\n\n\\(^{88}\\) The standard reference on the Politburo is John Löwenhardt, James R. Ozinga, and Erik van Ree, \\textit{The Rise and Fall of the Soviet Politburo} (London: UCL Press, 1992), to which the author owes a lot in this section.\n\n\\(^{89}\\) \\textit{Materialy Plenuma Tsentral’nogo Komiteta KPSS, 11, 14, 16 marta 1990 g.} (Moskva: Politizdat, 1990), p. 203 (Article 31).\n\nthe republican party leaders’ membership was eliminated.\\textsuperscript{90} In addition, while the chairman of the CPSU, who was to be elected by the party congress, was retained, the CC plenum was to elect the first secretary.\\textsuperscript{91} Their relation was not clear, which required further revision at the party congress.\n\nThe party Rules that were finally approved at the 28\\textsuperscript{th} Party Congress were in the event on somewhat traditional lines. Firstly, the General Secretary remained and the post of chairman of the CPSU disappeared, though the post of General Secretary was to be elected by the party congress rather than the CC plenum. At the congress Gorbachev was elected the new General Secretary and was freed from the control of the CC plenum. Secondly, the proposed Presidium was eliminated and the Politburo, to which members were to be elected by the CC plenum, was revived. On these points, Gorbachev stated in the congress that it was because a majority of Communists did not support the new institution and post.\\textsuperscript{92} Nonetheless, the General Secretary, his deputy and first secretaries of the republican parties entered the membership of the Politburo.\\textsuperscript{93} As a consequence, the new composition of the Politburo became as in Table 3-6. While only Gorbachev had a state post (USSR President) and other prominent political figures joined the Presidential Council, the Politburo became an assembly of republican party leaders. Thus, in the highest organ, the party was basically deprived of most state ties.\n\nStill, one problem remains. Why did Gorbachev not leave his party post? Rather many people criticised that he occupied both presidential and party posts. On the one hand, some argued that Gorbachev should resign the party post and concentrate on the presidential job. On the other hand, there were some suggestions that he should resign from President and concentrate on the party job. It does not appear very unreasonable to think that he had a chance to leave the party and make the presidency stronger because major political figures had left the\n\n\\textsuperscript{90} \\textit{Pravda}, 28 June 1990, p. 2 (Article 29).\n\n\\textsuperscript{91} \\textit{Pravda}, 28 June 1990, p. 2 (Article 30).\n\n\\textsuperscript{92} \\textit{XXVIII s’ezd Kommunisticheskoi Partii Sovetskogo Soyuza}, Vol. 1, p. 100.\n\n\\textsuperscript{93} \\textit{Pravda}, 18 July 1990, p. 2 (Article 28).\n\nPolitburo and moved to the Presidential Council after the 28th Party Congress. However, it seems to the author this choice was too risky for him given the ‘power vacuum’. The party was still a kind of administrative organ. The new presidential system had not been working well up to the party congress and there was no guarantee that a presidential system would work properly. If Gorbachev had concentrated on only his state post, the chaotic situation might have become worse. Thus, it is better to understand not that Gorbachev ‘did’ not leave the party, but that he ‘could’ not.\\footnote{This does not deny that Gorbachev had rather strong identity as a party official. Certainly his love of the party would influence his decision.}\n\n3. The CC Apparat\n\n(a) The Controversy over Apparat Reorganisation up to the 28th Party Congress\n\nCompared with the first reorganisation, the second reorganisation of the CC apparat has attracted little attention from researchers.\\footnote{A few exceptions are the followings. Cameron Ross, ‘Party-State Relations;’ Alexander Rahr, ‘The CPSU after the Twenty-eighth Party Congress,’ \\textit{RL/Report on the USSR}, 2-45 (November 9, 1990); Gordon M. Hahn, \\textit{Gorbachev versus the CPSU CC Apparat: The Bureaucratic Politics of Reforming the Party Apparat, 1988-1991} (PhD Dissertation, Boston University, 1995).} In fact, only fragmentary information is available. The turning point toward the second reorganisation was, of course, the 28th Party Congress.\n\nThe controversy over the party Programme and new party Rules touched the problem of the CC commissions and party apparat. Let me consider the process of the approval of the ‘Programmatic Declaration’ and new party Rules on this point. The February CC plenum approved a ‘Platform of the CC CPSU toward the 28th Party Congress’ named ‘Toward Humane Democratic Socialism.’ This included a statement on the party apparat, to the effect that: ‘The party apparat is necessary. It will make perfect its structure, improve its competence, and eradicate its bureaucratic appearance. It is necessary to create conditions that attract well-prepared, educated and competent party members to its work. The apparat must be\n\noptimised in its number and strictly subordinated to elected organs.\\textsuperscript{96} The March 1990 draft of the new party Rules also stated about the apparat, ‘Leading elected organs of the party create a subordinate working apparat, which realises basically analytic, prognosis and sociological and consulting service of their activity. The party apparat is formed by electoral organs on the basis of the recommendation of primary party organisations, and the recommendation is discussed at their meetings. Labour law is applied to workers of the party apparat.’\\textsuperscript{97} As to the Commissions, ‘In the CC CPSU the permanent Commissions are created on the basis of direction of its activity. They are formed in the plenum of the CC CPSU from the members of the CC and also other communists who are confirmed as advisers. The Commissions are headed by CC secretaries who are elected by the CC plenum, and [the Commissions] have right to take decisions within their own competence. Communists working in the CC CPSU and its Commissions on a permanent basis receive a salary from party funds;’ ‘The CC Secretariat is formed from the leaders of the Commissions. It … directs the work of the CC apparat.’\\textsuperscript{98}\n\nLeading up to the 28\\textsuperscript{th} Party Congress, the party apparat became one of the main arenas of controversy. For example, the head of the Ideological department of Sasovskii gorkom in Ryazan oblast’ proposed the abolition of the distinction between the Organisational and Ideological departments, and the creation of a department of party organisers which would carry out organisational, ideological, political, educational, and economic activity at intermediate level. He also argued for the improvement of cadre work in the party.\\textsuperscript{99} There was a proposal to allow PPOs to decide how to form raikom, gorkom and obkom apparats, and it was also proposed to liquidate departments at raikoms.\\textsuperscript{100} This idea of department liquidation at raion\n\n\\textsuperscript{96} \\textit{Materialy Plenuma Tsentral’nogo Komiteta KPSS}, 5-7 fevralya 1990 g. (Moskva: Politizdat, 1990), p. 381.\n\n\\textsuperscript{97} \\textit{Materialy Plenuma Tsentral’nogo Komiteta KPSS}, 11, 14, 16 marta 1990 g., p. 196 (Article 14).\n\n\\textsuperscript{98} \\textit{Ibid.}, pp. 203-204 (Article 31).\n\n\\textsuperscript{99} V. Sal’nyi, ‘Kakoi Byt’ Strukture Apparata,’ \\textit{Partiinaya Zhizn’}, 1990, No. 3 (February), pp. 34-36.\n\n\\textsuperscript{100} N. Medvedev, ‘Osillila Kabinetnaya Sueta’, \\textit{Partiinaya Zhizn’}, 1990, No. 3 (February), pp.\n\nlevel was repeated by another party worker. He argued for abolishing the departments and creating two 'commands' (organisational and ideological). There was also some defence of the function of the apparat. For instance, V. Ryabov, a party official in the CC department, presented a defence of the party apparat, arguing in a Pravda article that it was necessary not to eradicate the apparat, but to change its mode of work.\n\nProbably the results in the party congress reflected such a harsh controversy. The 'Programmatic Declaration' approved by the congress did not include any statement on the party apparat. On the other hand, the June draft of the party Rules and the approved party Rules did not change its article on the party apparat. This may not be surprising because the apparat itself was necessary for any organisation. In any case, the second reorganisation took place on the basis of the new party Rules.\n\n(b) Continuing Controversy after the Party Congress\n\nSome arguments on the second reorganisation were advanced after the 28th congress. At the Secretariat meeting on 28 July Gorbachev stated that the renewal of cadres was necessary in all sections and urged that new, trustworthy and fresh-thinking people should be brought into party work. Then he said, 'All this relates to the CC apparat.' The Secretariat meeting on 7 August thought it necessary to substantially reduce the CC apparat, and to considerably renew it. For this aim, it was decided to carry out the attestation of all CC apparat workers, and to widely disseminate the principle and practice of its formation.\n\nThe concrete plan of reorganisation of the CC apparat was discussed at the Politburo meeting of 13 September 1990. Oleg Shenin, CC secretary for Organisational Matters, presented a preliminary plan. He stated that there were 1,493 persons in the 'KPK' (Party\n\n---\n\n66–68.\n101 A. Aliev, 'Nuzhny li Otdeley?' Partiinaya Zhizn', 1990, No. 5 (March), p. 38.\n102 Pravda, 3 April 1990, p. 2.\n103 See Pravda, 15 July 1990, p. 1, 3.\n104 Pravda, 29 July 1990, p. 2.\n105 Pravda, 9 August, p. 2.\n\nControl Committee) and CC at that time and proposed to reduce this to 603 persons (or by 40.4 percent), which was the same figures that had been reported by Aleksandr Dzasokhov, CC secretary for Ideology, before this Politburo meeting. Still, the content of this massive reduction reveals a kind of a façade character. Of the 603 workers, 275 were to go to the CC CP RSFSR. Thus, the real reduction was just 328 workers. The new CC departments were planned to be the following. An Organisational Department was proposed to concentrate wholly on work with party organisations including party organisations in the armed forces, border and interior troops. Here we can understand that the party did not lose its tie with the security organs. On the other hand, work on social organisations, soviets, international relations, and science was proposed to go to other departments. The Ideology Department was, Shenin said, to have two functions: theoretical and ideological. In addition, the Ideology Department was expected to strengthen the Press Centre. The Department on ‘Work’ with Social and Political Organisations had been created before the 28th Party Congress (on 9 April) by the Politburo decision with 28 members including V. I. Mironenko, former first secretary of the CC Komsomol, as first deputy head. This department was renamed as the Department on ‘Relations’ with Social-Political Organisations and was to expand its activity. A Department on Legislative Initiatives and Legal Questions was to be formed and the State and Law Department was to be liquidated; the Ethnic Relations Department, which had been established at the beginning of 1990, was to be kept. On the basis of the Social and Economic Department, a\n\n---\n\n106 Shenin mistakenly said ‘KPK,’ because the Central Control Commission, which integrated the functions of KPK and Central Auditing Commission, established itself at the 28th Party Congress.\n\n107 TsKhSD, f. 89, p. 42, d. 29, p. 2.\n\n108 Izvestiya TsK KPSS, 1990-9, p. 4. In this article he reported the activity of the Secretariat after the 28th party congress. This shows that his statement was made before the confirmation of the Politburo.\n\n109 TsKhSD, f. 89, p. 42, d. 29, p. 2.\n\n110 Ibid., p. 2.\n\n111 This information was stated by Luk’yanov at the 28th Party Congress. RGASPI, f. 582, o. 6, ed. khr. 15, p. 48. The Politburo confirmed its creation on 29 March 1990, and entrusted the Secretariat to submit the proposal on its structure and so forth within two weeks. TsKhSD, f. 89, p. 9, d. 91, p. 1. Thus, its establishment on 9 April perfectly fitted the time-schedule.\n\nSocial and Economic ‘Policy’ Department was to be formed, which was planned to include the work of the Defence department, which was to be liquidated. The Agrarian department was to be reorganised into a Department on Work with Peasants. The International department was to engage in relations with foreign parties and organisations rather than a general foreign policy. The General department and Administration of Affairs were to be kept.\\textsuperscript{112} As represented in the name of Social-economic ‘Policy’ or ‘Work with Peasants,’ this reorganisation was, it seems, intended to make the CPSU a political party rather than an administrative organ.\n\nShenin made proposals also on the CC Commissions, though less detailed ones. He proposed to have two types of Commission: permanent ones and the commissions that were to be formed in accordance with the 28\\textsuperscript{th} Party Congress resolutions. This proposal meant that there were more Commissions than CC secretaries.\n\nThe responses from Politburo members and other participants to this proposal were very confusing as compared with the discussion of the first reorganisation in which every member had argued more or less from the whole party and country point of view. Not many participants presented their own ideas on the apparat reorganisation, and others complained of the current situation or argued their own interest. For example, Ivan Polozkov, first secretary of the CP RSFSR, asked for a larger apparat for his own party.\\textsuperscript{113} V. Falin, the head of the International Department, complained that staffing levels were too low to work effectively.\\textsuperscript{114} O. Baklanov argued for the necessity to have a Defence Department.\\textsuperscript{115} S. Gurenko, first secretary of the CP Ukraine, supported protecting the apparat.\\textsuperscript{116} A. Mutalibov, first secretary of the CP Azerbaijan, harshly complained of his situation such that he was called a neo-stalinist, which made Gorbachev very angry.\\textsuperscript{117} Some other participants presented new proposals. For example,\n\n\\textsuperscript{112} TsKhSD, f. 89, p. 42, d. 29, pp. 2-3.\n\\textsuperscript{113} Ibid., pp. 5-7.\n\\textsuperscript{114} Ibid., pp. 9-11.\n\\textsuperscript{115} Ibid., p. 11.\n\\textsuperscript{116} Ibid., p. 16.\n\\textsuperscript{117} Ibid., pp. 24-25.\n\nFrolov mentioned relations between the Commissions and the departments as discussed above. V. Kuptsov put forward some ideas in connection with social organisations.\\textsuperscript{118} N. Nazarbaev, first secretary of the CP Kazakhstan, proposed the renewal of the mode of apparat work and to keep the Agrarian departments.\\textsuperscript{119} G. Semenova, CC secretary for Women Affairs, argued for creating a sub-division for women’s affairs.\\textsuperscript{120} Overall, there were too many new proposals and demands for Gorbachev to summarise at once. Then they entrusted the Secretariat to work out this problem taking into account the exchange of opinions.\\textsuperscript{121} The result was reported at the October CC plenum.\n\n\\textbf{(c) Composition of the New Commissions and Departments}\n\nThe outline of the second reorganisation was reported by Shenin to the October CC plenum.\\textsuperscript{122} In the end, thirteen departments and eleven Commissions were established. Figure 3-2 shows the composition of the new departments. The departments were rather significantly changed from the previous proposal to the Politburo meeting. The Ideology Department was to engage in questions of propaganda, mass information and other ideological matters. The Humanitarian Department was to make contact with creative and scientific intellectuals, work out theoretical questions of social development, and prepare party cadres. The Press Centre was retained. Presumably the three departments mentioned above had been under the jurisdiction of the former Ideology Department. The Department on Relations with Social and Political Organisations was to concentrate on social and political relations including workers and youth movements. The Department on Legislative Initiatives and Law Questions replaced the former State and Law Department. The Ethnic Policy Department, which also had been created from the State and Law Department, was renamed as the Ethnic ‘Relations’ Department. The\n\n\\textsuperscript{118} Ibid., p. 12.\n\\textsuperscript{119} Ibid., pp. 12–13.\n\\textsuperscript{120} Ibid., p. 14.\n\\textsuperscript{121} Ibid., p. 26.\n\\textsuperscript{122} \\textit{Materialy Plenuma Tsentral’nogo Komiteta KPSS, 8–9 oktyabrya 1990 g.} (Moskva: Politizdat, 1990), pp. 41–47.\n\nDepartment of Social and Economic ‘Policy’ was created on the basis of the former Social and Economic Department. The Centre of Information Processing replaced the Defence Department. The Agrarian Department was renamed as the Agrarian ‘Policy’ Department and was to engage in relations with peasant movements. The International Department was kept but its function was clarified as ties with foreign parties and organisations. The General Department and Administration of Affairs were also kept and the Department of Party Construction and Cadre Work was replaced by the Organisational Department, which was to concentrate on supervision of party organisations including those in the armed forces, border and interior troops, and on renewal of party life. This department was to coordinate the ties of the CC apparat with lower-level party organisations and organise all-party events. The Organisational Department was to play the central role after this reorganisation.\n\nCompared with the proposal to the Politburo meeting, some differences can be indicated. Firstly, the Agrarian Policy Department, which had been supposed to become the Department on Work with Peasants, survived. This was noticeable because Gorbachev insisted on the name ‘Work with Peasants’ at the Politburo meeting of 13 September and the agrarian sphere had been under his jurisdiction during the Brezhnev period. If Gorbachev could not implement his intention even in the agrarian sphere, it may suggest he was losing his overall leadership of the CPSU. Secondly, the Defence Department was not liquidated but renamed the Centre of Information Processing. Thirdly, the creation of the Humanitarian Department was not included in the proposal to the Politburo. Overall, the number of the departments was increased.\n\nNew Commissions were also reported and approved at the October CC plenum. Figure 3-2 shows the new Commissions. Eleven Commissions in total were formed and there were two different kinds of Commissions as suggested by Shenin’s proposal to the Politburo. The first was permanent Commissions created in accordance with paragraph 29 of the party Rules: Ideology, Social and Political, Social and Economic, on Agrarian Policy, on Questions of Women and Family, on Ethnic Policy, on Problems of International Policy, and on Renewal of\n\nthe Activities of Primary Party Organisations. The second group was created by the resolutions adopted at the 28\\textsuperscript{th} Party Congress: on Science, Education and Culture, on Questions of Youth Policy, on Military Policy. This group of Commissions were to be chaired by Politburo members or CC secretaries.\\footnote{Ibid., pp. 41-42 (Shenin’s report), p. 201 (decision).} Furthermore, a new Commission on Questions of Financial and Economic Activity of the Party was created at the December CC plenum.\\footnote{Materialy Plenurna Tsentral’nogo Komiteta KPSS, 10-11 dekabrya 1990 g. (Moskva: Politizdat, 1991), p. 5.}\n\nThe relationship between the departments and the commissions is not clear. While some departments clearly had relations with certain commissions, some commissions had communications with several departments. At the Politburo meeting mentioned above (13 September) Shenin stated, ‘For four commissions, which will be, by virtue of their own character, connected with a series of CC departments, a small coordinating apparat will be created.’\\footnote{TsKhSD, f. 89, p. 42, d. 29, p. 3.} Though it is not clear which were these ‘four commissions’, it is possible to infer that they were the commissions on Questions of Women and Family Issues, on Military Policy, on Questions of Youth Policy, and on Science, Education and Culture. Still, that the last one (Commission on Science…) supervised the Humanitarian department was made public.\\footnote{Izvestiya TsK KPSS, 1990, No. 11, p. 29.} Perhaps, this department had relations with both Ideological commission and the one on Science, Education, and Culture. Thus, it seems that the relations between the departments and the commissions were as in Figure 3-2. To investigate how the decisions on the CC apparat were implemented and how these new institutions worked is the next task.\n\n(d) Implementation of the Decisions\n\n(i) Some Quantitative Results\n\nAs mentioned above (3-(b)), the scale of the CC apparat was to be significantly reduced. The 40 per cent reduction was referred to by some Secretariat members. Dzasokhov’s\n\nreport has already been mentioned.\\textsuperscript{127} Just before the October CC plenum (1990) Shenin stated that the CC apparat would be reduced but that the quality of workers and effectiveness of work would be improved.\\textsuperscript{128}\n\nThese published reports, however, did not show the concrete content of the reduction. A document on the wages of party workers, which was prepared by the CC Administration of Affairs on 15 October and circulated to the Secretariat and CCC, shows the contents. Firstly, the mentioned target of 40 per cent reduction denoted only ‘responsible workers’. That is, the CC apparat was to reduce its 1493 responsible workers to 890 (in total 603 persons or 40.4 per cent). Then, support staff were to be reduced by 30-35 percent. Secondly, as also mentioned, this reduction had a façade element, because many of the released workers (275 responsible and 150 support staff) went to the CC of CP RSFSR. Thus, the ‘real’ proposed reduction was 328 responsible workers (21.9 percent).\\textsuperscript{129} There was no comprehensive information on how further this reduction was implemented, though it is very likely, inferred from the first reorganisation, that the process was not smooth at all. Still, some fragmentary information on where the released workers went is available, which, it seems, suggests the difficulty in its implementation. Let us consider it further in the next section.\n\n(ii) Where the released members went and Staffing in the CC apparat\n\nIt would be natural to assume that the released party workers went to the new presidency after its establishment in March 1990. One surprising fact is, however, that their transfers to the presidential apparat were very slow. Just before the 28\\textsuperscript{th} Party Congress (on 28 June 1990) Luk’yanov asked to transfer one CC official in the Ideological Department to the ‘Supreme Soviet Secretariat’.\\textsuperscript{130} Even after the congress, this tendency continued. On 24 or 25 July a transfer of one CC official to the Supreme Soviet Secretariat was requested by\n\n\\textsuperscript{127} \\textit{Izvestiya TsK KPSS}, 1990, No. 9, p. 4.\n\\textsuperscript{128} \\textit{Izvestiya TsK KPSS}, 1990, No. 10, p. 6.\n\\textsuperscript{129} TsKhSD, f. 89, p. 8, d. 42, p. 1.\n\\textsuperscript{130} TsKhSD f. 89, p. 30, d. 29, p. 2? Because this delo’s numbering was messy, it is impossible to denote the precise page.\n\nLuk’yanov.\\textsuperscript{131} On 25 July Luk’yanov asked to employ one released CC official as a head of department in the Supreme Soviet Secretariat, though this proposal was not supported by the Presidium of the Supreme Soviet.\\textsuperscript{132} A further transfer of one CC official to the Supreme Soviet Secretariat was requested by Luk’yanov on 2 or 3 October.\\textsuperscript{133} On 17 or 18 October he asked to transfer one CC official again.\\textsuperscript{134} On 5 November he made an additional request.\\textsuperscript{135} Taking into account that the Presidency was founded in March, these transfers to the Supreme Soviet apparat are a striking fact. In fact, the Presidency did not have its own apparat until December 1990, just before the further extension of presidential power was approved.\\textsuperscript{136} According to Valerii Boldin, head of the CC General Department, the leadership had the idea to create the presidential apparat even before the establishment of the presidency, but creating the presidential apparat was complicated by its relationship with the state ministries.\\textsuperscript{137} In any case, this was, without doubt, an important reason for the poor implementation of presidential decrees and the ‘power vacuum’.\n\nAs far as the evidence of fond 89 archive shows, transfers to the presidential apparat took place after December 1990. On 7 December, A. Pavlov, head of the CC ‘State and Law Department’ (which means this department that the October CC plenum had decided to liquidate still existed at the time), wrote ‘in connection with the reorganisation of the CC apparat, it is proposed to release comrade V. N. Putilin from his current posts of deputy head of sector of this\n\n\\textsuperscript{131} TsKhSD, f. 89, p. 30, d. 41, p. 3? This delo’s numbering is also messy. This document gives its date as both 24 and 25 July.\n\n\\textsuperscript{132} Ibid., pp. 1-2?\n\n\\textsuperscript{133} Ibid., p. 4? This also states both dates.\n\n\\textsuperscript{134} Ibid., p. 5? This also states both dates.\n\n\\textsuperscript{135} Ibid., p. 6?\n\n\\textsuperscript{136} At the Politburo meeting of 16 November 1990, Nursultan Nazarbaev, first secretary of Kazakh party and president of Kazakhstan union republic, strongly recommended Gorbachev to create the presidential apparat. According to Nazarbaev, he established it immediately after he became Kazakh president. See TsKhSD, f. 89, p. 42, d. 30, p. 21. See also Stephen White, Graeme Gill and Darrell Slider, \\textit{The Politics of Transition: Shaping a Post-Soviet Future} (Cambridge: Cambridge University Press, 1993), p. 74.\n\n\\textsuperscript{137} Valerii I. Boldin, \\textit{Krushenie P’edestala: Shtrikhi k Portretu M. S. Gorbacheva} (Moskva: Respublika, 1995), pp. 367-372; Valery Boldin, \\textit{Ten Years That Shook the World: The Gorbachev Era as Witnessed by His Chief of Staff} (New York: Basic Book, 1994), p. 249-253.\n\ndepartment.’ Then, he added four other officials to be released. They were to work in the Presidential apparat.\\textsuperscript{138} The CC Secretariat approved these releases on 13 December.\\textsuperscript{139} On 9 January 1991, three officials in the General Department were released and went to the Presidential apparat.\\textsuperscript{140} Nikolai Kruchina, Administrator of Affairs, made a proposal to transfer one official in his department to a Department on Questions of Defence and State Security under the Presidential apparat on 24 May 1991 and the Secretariat approved the proposal on 30 May.\\textsuperscript{141} An additional thirty CC officials in the ‘Defence Department’ were transferred to the corresponding department of the Presidential apparat. The Secretariat approved it on 30 May, stating, ‘in connection with the reorganisation of the CC apparat’.\\textsuperscript{142} This means that the Defence Department that was supposed to be abolished in October 1990 still existed until May 1991.\n\nSome officials went to the state ministries, which were supposed to be directly subordinated to the presidency after December 1990. For example, it was approved by the Secretariat on 3 April that one official in the CC department on Legislative and Legal Questions was transferred to the USSR Cabinet of Ministers.\\textsuperscript{143} On 30 May 1991, the Secretariat approved the transfer of two CC officials in the General Department to the Cabinet of Ministers.\\textsuperscript{144}\n\nBesides the retirement of pensioners,\\textsuperscript{145} a different type of transfer also took place. On 26 December 1990, the Secretariat approved the release of A. I. Vol’skii, who would play an important role as a representative of ‘Civic Union’ in the privatisation period under Yeltsin, from ‘head of the CC department’ because he had been elected president of a\n\n\\textsuperscript{138} TsKhSD, f. 89, p. 20, d. 16, p. 2.\n\\textsuperscript{139} Ibid., p. 1.\n\\textsuperscript{140} TsKhSD, f. 89, p. 20, d. 19, pp. 1-2.\n\\textsuperscript{141} TsKhSD, f. 89, p. 20, d. 52, pp. 1-2.\n\\textsuperscript{142} TsKhSD, f. 89, p. 20, d. 54, d. 55, d. 56. See also, f. 89, p. 23, d. 12, p. 6.\n\\textsuperscript{143} TsKhSD, f. 89, p. 20, d. 44, pp. 1-2. This official was named by the Cabinet of Ministers on 16 March 1991, then the department on legislative and legal questions made the proposal later (one day in March, invisible because of bad printing).\n\\textsuperscript{144} TsKhSD, f. 89, p. 20, d. 53, pp. 1-4.\n\\textsuperscript{145} Retirement, of course, took place. See TsKhSD, f. 89, p. 20, d. 20, pp. 1-2. Three officials of the General Department retired and were approved by Secretariat on 9 January 1991.\n\nScientific-Industrial Union.\\textsuperscript{146} Incidentally, this decision has a strange aspect. According to his official biography in \\textit{Izvestiya TsK KPSS}, Vol'skii was supposed to be the chairman of Committee of special administration of Nagorno-Karabakh autonomous oblast', though he had been head of the Machine Building Department before that.\\textsuperscript{147} Still, the Machine Building Department was abolished in the first CC apparat reorganisation and there is no evidence that he returned to the CC department. This may be a simple mistake. In any case, such a transfer to newly established economic unions or associations as in Vol'skii's case happened during the apparat reorganisation. On 24 June 1991 the Secretariat approved the transfer of one CC official of the Social and Economic Policy Department to an 'Inter-branch state-cooperative association.'\\textsuperscript{148}\n\nNew staffing of the CC apparat has an ominous sign. For example, on 4 December 1990, the Secretariat agreed to employ three persons in the CC Organisational Department, two of whom were to remain as cadres in the USSR armed forces.\\textsuperscript{149} In addition, on 21 January 1991, that two persons working in the Administration of Affairs should remain each as cadres in the armed forces and as acting reserve of the KGB was approved by the Secretariat.\\textsuperscript{150}\n\nIn the end, all these show important points. Firstly the second reorganisation of the party apparat, as the first, prolonged as the fact that 'State and Law Department' and 'Defence Department' that were supposed to be liquidated at the October CC plenum (1990) existed in December 1990 (the State and Law Department) and May 1991 (the Defence Department) indicates. Secondly the preparation of the Presidential apparat was very slow. According to Boldin, it had fewer than 400 staff including support staff by August 1991. Compared with some 1600 managerial and support staff in the Cabinet of Ministers, its relative power was obviously\n\n\\textsuperscript{146} TsKhSD, f. 89, p. 33, d. 10, pp. 1-2. The proposal to approve the release was made by the department of 'Party Construction and Cadre Work' (not the Organisational department) on 6 November 1990. Ibid. p. 3.\n\n\\textsuperscript{147} \\textit{Izvestiya TsK KPSS}, 1990, No. 10, p. 44. Vol'skii was a member of the CC CPSU.\n\n\\textsuperscript{148} TsKhSD, f. 89, p. 23, d. 23, pp. 1-2.\n\n\\textsuperscript{149} TsKhSD, f. 89, p. 20, d. 14, p. 1.\n\n\\textsuperscript{150} TsKhSD, f. 89, p. 20, d. 26, pp. 1-2.\n\nsmaller, though both were supposed to be directly subordinate to the President.\\textsuperscript{151} In addition, there is no evidence that the Cabinet of Ministers could work well. Here we can see the ‘power vacuum’ again. Thus, thirdly, the party apparat certainly weakened and lost most of its power of control over the state organs, but tightened its ties with security organs. This may be a natural response given a ‘power vacuum’. We can confirm this point from different points of view.\n\n\\textbf{(iii) How the New Institution worked}\n\nThere is only fragmentary information on the Commissions’ and CC departments’ activity after the second reorganisation. Table 3-7 shows the number of meetings of the CC Commissions. Firstly, compared with Table 3-5, which shows the activity of the Commissions before the 28\\textsuperscript{th} Party Congress, it seems that the Commissions became slightly more active. Secondly, nonetheless, the level of activism differed by Commission. As well as the late established Commission on Questions of Financial and Economic Activity of the Party, the Ideological and Social and Economic Commissions were inactive. On the other hand, the Social and Political, on Agrarian Policy, on Military Policy, and on Renewal of the Activity of Primary Party Organisations were more vigorous. Particularly the last two Commissions’ activeness is, it seems, suggestive because Military Policy, by its very name, denotes a connection with the armed forces and the Shenin-led Commission on Renewal of the Activity of PPOs supervised the party organisations including those in the armed forces. This tendency can be confirmed by the departments’ activity.\n\nIt is, nonetheless, not possible so far to research the entire activity of the CC departments. Let me indicate basic tendencies by collecting the fragmentary information that is available. From April 1991 \\textit{Izvestiya TsK KPSS} monthly published articles on the activity of the CC departments. Though this series of articles was interrupted by the attempted coup and, therefore, covered only five departments, they can provide some basic information on the work of the CC departments.\n\n\\textsuperscript{151} Boldin, \\textit{Krushenie P’edestala}, p. 372; Boldin, \\textit{Ten Years}, p. 253.\n\nThe Social and Economic Policy Department had 62 full-time workers (it is not clear if they were only responsible workers or including support staff) and five sectors (Social Policy, Economic Policy, Scientific and Technological Policy, Economy of Defence Complex, on the Connection with Soviet and Social and Economic Organisations). This department’s activity was directed to research on the economic situation and preparation for the transition to a market economy.\\(^{152}\\) This department’s downgrading seems obvious. Compared with the first reorganisation plan (Table 3-2-2), in which its predecessor was planned to have 128 responsible workers and 29 support staff, staffing was reduced by more than half.\n\nThe number of staff of the Ethnic Policy Department was not shown. It had three sectors (an Analysis sector, a Propaganda and Information sector, and a sector on Discussion of the permanent CC Commission on Ethnic Policy of the CPSU). This department prepared decisions and information for the plenums, conferences and congresses of the party.\\(^{153}\\) The level of activism of this department cannot be defined. Nonetheless, taking into account the violent situation around ethnic problems at that time, it seems that it could claim its importance.\n\nThe Humanitarian Department had 35 responsible workers. Its structure was not clear, though, presumably, it had two sub-divisions (for working out (i) complex problems of the development of science, and (ii) theoretical problems of social development, political analysis and forecasting) and sectors.\\(^{154}\\) It seems that this department’s activity, by its nature, duplicated one of the Ideological Department. For example, though it was reported that the Humanitarian Department participated in the preparation of the draft of new party Programme, a document of this kind clearly concerned both departments. How cooperative these two departments were cannot be recognised. Still, one can imagine that this duplication sometimes could caused a conflict, because, on the one hand, the Commission on Science, Education and Culture that supervised the Humanitarian department was chaired by Frolov, a Politburo member but not CC\n\n\\(^{152}\\) *Izvestiya TsK KPSS*, 1991, No. 4, pp. 78-79.\n\n\\(^{153}\\) *Izvestiya TsK KPSS*, 1991, No. 5, pp. 66-67.\n\n\\(^{154}\\) *Izvestiya TsK KPSS*, 1991, No. 6, pp. 90-91.\n\nsecretary, and the Politburo became less active after the 28th Party Congress, while, on the other hand, the Ideological Commission was chaired by Dzasokhov, a CC secretary and Politburo member, and the Secretariat became more active after the party congress.\n\nThe International Department consisted of 100 responsible workers, though, it was reported, it had about 500 workers in the past. Its structure was composed of groups. Some groups were created on geographical basis (e.g. Western Europe, Eastern Europe, Socialist Countries in Asia and so forth). In addition, there were a group of consultants and a group engaging in studies of huge questions and long-term tendencies of the development of world politics.\\textsuperscript{155} It is not likely that this department had a significant influence on Gorbachev’s foreign policy.\n\nThe key of all departments was the Organisational Department, which conducted an organisational and coordinating role within the party: from training and education of cadres, structural unification of the party, to plan making and implementation by party organs. This department had six regional sectors. Furthermore, it had the following sectors: an Armed Forces sector; a border, internal, and railway troops sector; a sector of party organisations in the Soviet foreign establishment; a service commission of the CC CPSU; a consultants’ sector; a sector of [party] Rules’ questions; a organisational questions sector; an unitary party ticket sector; and a sector of recording and analysis of cadres.\\textsuperscript{156} Here we can recognise that the party never lost its ties with security organs. In addition, this department had a significant role in composing a new \\textit{nomenklatura} list.\n\nFinally, though the work of the Administration of Affairs will fully be analysed in Chapter 5, one important Secretariat decision on 30 July should briefly be mentioned here. By this decision, the Secretariat approved that the Administration of Affairs became an ‘independent subdivision’ of the CC apparat; it become a ‘judicial person’ in order to utilise\n\n\\textsuperscript{155} \\textit{Izvestiya TsK KPSS}, 1991, No. 7, pp. 57-59.\n\n\\textsuperscript{156} \\textit{Izvestiya TsK KPSS}, 1991, No. 8, pp. 85-86.\n\nCPSU property; its activity was to be financed by the party but also from its own productive-financial activities.\\textsuperscript{157} This decision suggests that the CPSU as an organisation was converting its function into an economic organisation comparable with the Komsomol.\n\nFurther activities of the CC departments can be understood by the Secretariat decision ‘On the plan of measures for realisation of decisions of July (1991) plenum of the CC CPSU’ on 30 July 1991. This plan included preparing the draft of new party Programme, accepting and organising proposals on the party Rules, summoning the extraordinary 29\\textsuperscript{th} Party Congress, adopting measures on the election of USSR people’s deputies, on the party budget, and so forth. The CC departments were assigned to such tasks and inter-department working groups were organised, but there was no task regarding the state organs. Thus, the party certainly lost its control over the state.\\textsuperscript{158}\n\nOverall, these activities of the CC Commissions and departments show the following tendencies. Firstly, the party lost most of ties with the state except for the security organs. Party control over the state by departmental supervision was over. Secondly, nonetheless, the party faced considerable difficulties in changing its function to ‘political party’ as shown by the inactivity of the Ideological Commissions and an assumed friction between the Ideological and Humanitarian departments (see also Chapter 4). Then, thirdly, the party began to change its function to an economic organisation to defend itself (see Chapter 5). Finally, given a ‘power vacuum’, the party had no other reliable force than its ties with security organs (see Chapter 6). These points can also be confirmed by the last \\textit{nomenklatura} list. Let us consider it in the next section.\n\n4. The \\textit{Nomenklatura} System around the 28\\textsuperscript{th} Party Congress and After\n\n(a) Controversy and Decisions\n\n\\textsuperscript{157} TsKhSD, f. 89, p. 20, d. 64, pp. 1-13.\n\\textsuperscript{158} TsKhSD, f. 89, p. 20, d. 62, pp. 1-17.\n\nThe *nomenklatura* system had been a target of harsh controversy. Though it was not always clear what was meant by ‘*nomenklatura*’, it was frequently used to denote party control over the state organs. The February 1990 CC plenum’s ‘Platform of the CC CPSU toward the 28th Party Congress,’ however, did not have any reference to the *nomenklatura*.¹⁵⁹ The Democratic Platform argued for the abolition of the *nomenklatura* system. In the end, the ‘Programmatic Declaration’ accepted by the 28th Party Congress included a statute indicating ‘In the cadre work, the party rejects formalism and a nomenklaturist approach.’¹⁶⁰\n\nPresumably, based on this ‘Programmatic Declaration,’ the Secretariat meeting on 7 August 1990 planned to fully and finally reject the nomenklaturist stereotype in the near future.¹⁶¹ Later at the end of August, the Secretariat acknowledged it expedient to abolish *nomenklatura* in its existing form. Thus, the CC CPSU was to confirm only party cadres.¹⁶² Shenin commented in the October 1990 issue of *Izvestiya TsK KPSS* that its number of cadre posts examined by the CC CPSU was to be reduced from about 15 thousand to 2 thousand, which identified what was mentioned as party workers and so forth.¹⁶³ Therefore state posts were to be excluded from the *nomenklatura* list.\n\nStill, the implementation of abolition was prolonged. In July 1991 Shenin reported that the party demolished the *nomenklatura* mechanism.¹⁶⁴ Though he did not indicate when they abolished the *nomenklatura* system, the last *nomenklatura* list shows that its implementation was prolonged. The list was presented by the Organisational department on 6 August 1991. It states, ‘In accordance with a request (20 September 1990), the proposals on the list of posts … is submitted…’¹⁶⁵ This prolongation may reflect the resistance of the party apparat or the confusion, ineffectiveness and malfunction in the party apparat. In any case, the problem here is\n\n---\n\n¹⁵⁹ See, *Materialy Plenuma Tsentral’nogo Komiteta KPSS, 5-7 fevralya 1990 g.*, pp. 353-382.\n¹⁶⁰ *Pravda*, 15 July 1990, p. 3.\n¹⁶¹ *Pravda*, 9 August 1990, p. 2.\n¹⁶² *Pravda*, 30 August 1990, p.2.\n¹⁶³ *Izvestiya TsK KPSS*, 1990, No. 10, p. 6.\n¹⁶⁴ *Izvestiya TsK KPSS*, 1991, No. 7, p. 4.\n¹⁶⁵ TsKhSD, f. 89, p. 20, d. 77, p. 3. Emphasis added.\n\nthe content of the *nomenklatura* list.\n\n**(b) The Nomenklatura List**\n\nThis list included 7735 posts in total and divided these posts into six groups. The first group consisted of 945 party posts of the CC CPSU, CC CP RSFSR, CCC CPSU, and CCC CP RSFSR. The second group was made up of 1882 posts, including first and second secretaries of union republican parties, secretaries of the RSFSR party, first secretaries of [autonomous] republic party committee,\\(^{166}\\) obkoms, kraikoms and some huge cities’ (e.g. Moscow) gorkoms. Responsible workers in the CC apparat and some party publishing, academic institutions’ leading posts and others were also included. These were party posts. In addition, the second group also included secretaries of all-army party committees, KGB, internal troops of MVD, and railway troops. Though, certainly, they were also ‘party’ posts and probably the appointments to these posts were to be confirmed *ex post facto*, such armed forces posts were crucial for the party leadership, because this meant that they were as important to the party leadership as first and second secretaries of union republican party organisations or first secretaries of republican parties, kraikoms and obkoms. In total, the CC Secretariat was to confirm 2447 posts. The second group also included posts that were to be confirmed not by the CC secretariat but by the sector of recoding and analysis of cadres in the Organisational department. These were 380 party posts.\\(^{167}\\)\n\nFrom the third to fifth group were the posts for which ‘the confirmation in the CC CPSU will not be carried out.’ It was just for information collecting. The third group consisted of 429 party posts at slightly lower levels including secretaries of union republic parties (excluding first and second secretaries); secretaries of party committees in USSR ministries and branches; foreign Soviet establishments; chairmen of control commissions of union republican parties, republican parties, krais, oblasti and some large cities’ party organisations; deputy\n\n\\(^{166}\\) At that time, autonomous republics were called just ‘republics.’\n\n\\(^{167}\\) TsKbSD, f. 89, p. 20, d. 77, pp. 3-4, p. 7. The affixed post list of the first and second group is incomplete.\n\nsecretaries of party committees in the army, KGB, internal troops of MVD, and railway troops; secretaries of the party committees of all forms of armed forces, military okrugs, fleets, troops groups and armies and flotillas.\\textsuperscript{168}\n\nThe fourth group included 977 non-party posts. For example, vice-president, prime minister, chairman of the Supreme Soviet, ministers, chairmen of state committees; chairmen and their deputies of general confederation of USSR trade union; secretaries of CC Komsomol; leaders of USSR Academy of Science, state bank; chiefs and their deputies of General staff and Main military-political administration in USSR armed forces; commanders-in-chief of armed forces; commanders of troops of military okrugs, groups of troops and fleets, armies, and flotillas, internal troops of MVD and so forth.\\textsuperscript{169} It is noticeable that many military posts were excluded from the confirmation. Because the armed forces were to be directly subordinated to the President, the party, it seems, had to surrender them.\n\nThe fifth group consisted of 341 posts including presidents of union republics, leaders of Supreme Soviets and Councils of Ministers in union republics and republics; chairmen of krais, oblasti, and some large cities' soviets and their ispolkoms.\\textsuperscript{170}\n\nThe sixth group was for 'collection of brief directory-biographical information.' That is, they were not subjects of confirmation. This consisted of 3161 posts of responsible workers of CC of union republican parties, kraikoms, obkoms, also army, state and social organisations, the economy, science, means of mass information, and spheres of public education, culture and foreign apparat.\\textsuperscript{171}\n\nFrom the last \\textit{nomenklatura} list, we can confirm that the party lost control over state organs. Nonetheless, it was crucial to the party to retain its control over the party organisations in the armed forces.\n\n\\textsuperscript{168} \\textit{Ibid.}, p. 4, pp. 8-22.\n\n\\textsuperscript{169} \\textit{Ibid.}, pp. 4-5, pp. 23-40.\n\n\\textsuperscript{170} \\textit{Ibid.}, p. 5, pp. 41-57.\n\n\\textsuperscript{171} \\textit{Ibid.}, p. 5, pp. 58-103.\n\n5. Primary Party Organisations\n\nAs far as party-state relations concerned, the controversy over PPOs developed around the organisational principle.\\textsuperscript{172} Previously PPOs were formed in a workplace (the so-called production principle). However, if the party had to strive for seats in the legislature, that is, if it should be a ‘political party,’ the principle needed to be changed to a territorial one to struggle in electoral districts, because people’s workplace was often different from their electoral district. In addition, this had an implication for party-state relations. State officials’ workplace was, of course, state ministries or other state organs. If the party had dropped the principle entirely, the logical consequence would have been that PPOs in state organs were bound to disappear.\n\nThe CC platform approved by the CC plenum (February 1990) supported the territorial-productive principle, that is, to keep party organisations in workplaces.\\textsuperscript{173} The draft party Rules approved by the March CC plenum also stated that PPOs were created in both working and residential places.\\textsuperscript{174} Another draft of the party Rules published just before the 28\\textsuperscript{th} Party Congress did not change this point.\\textsuperscript{175}\n\nAt the congress, Gorbachev took this problem in his opening address. He said, “Territorial or productive principle. To the question, to be or not to be, the party organisations in production, the answer is self-evident--- to be. … It is argued that the maintenance of the production principle in the construction of the CPSU should simultaneously strengthen the party organisations’ work in residential areas.”\\textsuperscript{176} This issue was also discussed in the section meeting on ‘Renewal of the Party’ of the party congress.\\textsuperscript{177} G. P. Kaz’min, first secretary of Khakass\n\n\\textsuperscript{172} The debates on PPOs were not limited to this matter. For example, to delegate the financial right to PPOs was one of them, which will be discussed in the next chapter.\n\n\\textsuperscript{173} \\textit{Materialy Plenuma Tsentral’nogo Komiteta KPSS}, 5-7 fevralya 1990 g., p. 379.\n\n\\textsuperscript{174} \\textit{Materialy Plenuma Tsentral’nogo Komiteta KPSS}, 11, 14, 16 marta 1990 g., p. 197 (article 18).\n\n\\textsuperscript{175} \\textit{Pravda}, 28 June 1990, p.1 (article 16).\n\n\\textsuperscript{176} \\textit{XXVIII s’ezd Kommunisticheskoi Partii Sovetskago Soyuza}, Vol. 1, p. 97.\n\n\\textsuperscript{177} On the fullest introduction of the discussion of this section, see Stephen White, ‘The Failure\n\nobkom, supported the territorial-productive principle, that is, to keep the production unit.\\textsuperscript{178} A. S. Podol’skii, a deputy head at the higher military-political school, emphasised the territorial principle, though he did not deny the productive principle.\\textsuperscript{179} Yu. K. Nepochanov, chief worker of an electric-vacuum factory in Nobosibirsk, proposed to allow the PPO to decide the organisational form by itself.\\textsuperscript{180} D. M. Sergeev, deputy secretary of the party committee of Ural political institute ‘S. M. Kirov,’ supported strengthening the territorial principle.\\textsuperscript{181} I. I. Mel’nikov, secretary of the party committee of Moscow State University at that time and later a CC secretary, summarised the arguments as the majority supported territorial-productive principle, but it was necessary to strengthen work in residential areas.\\textsuperscript{182}\n\nEventually, the party congress approved the Programmatic Declaration and new party Rules that kept both territorial and productive principles, while emphasising the territorial one.\\textsuperscript{183} Thus, in a structural sense, it did not become necessary to dissolve PPOs in the state organs (and the military).\\textsuperscript{184}\n\nNonetheless, the party faced a strong pressure later. Because, as we have seen, the party lost most of its relations with state organs, it had no power to resist it. So, the party organisations in the state organs began to dissolve themselves.\n\n\\section*{V. The Disorganisation of Party Organs in the State}\n\nThe displacement of the party organisations from social, economic, political,\n\n\\begin{footnotesize}\n\\textsuperscript{178} RGASPI, f. 582, o. 6. ed. khr. 16, p. 14.\n\n\\textsuperscript{179} Ibid., p. 36.\n\n\\textsuperscript{180} Ibid., p. 74.\n\n\\textsuperscript{181} Ibid., p. 77.\n\n\\textsuperscript{182} Ibid., p. 83. See also his report on the section meeting at the general meeting of the congress on 7 July. \\textit{XXVIII s”ezd Kommunisticheskoi Partii Sovetskogo Soyuza}, Vol. 1, p. 566.\n\n\\textsuperscript{183} \\textit{Pravda}, 15 June 1990, p. 3 (Programmatic Declaration); \\textit{Pravda}, 18 July 1990, p. 1 (article 16).\n\n\\textsuperscript{184} This issue was also related to the party organisations in the military. This will be discussed in Chapter 6.\n\\end{footnotesize}\n\norganisations or ‘departyisation’ began in universities.\\textsuperscript{185} To investigate this is beyond the task of this chapter. The ‘departyisation’ of the state organs was shown in a memorandum written by N. S. Stolyarov, chairman of the CCC CP RSFSR, ‘on the attempt of departyisation of administrative organs of RSFSR’ (6 May 1991) to Ivashko. This memorandum is worth citing regardless of its length:\n\n‘1. Recently in ministries and branches in RSFSR, the policy to departyisation of the administrative apparat and the factual displacement of party organisations beyond a limit is actively carried out. In many cases this is assisted by an uncertain or ambivalent position of top leaders. However, the main course is in systematic pressure on party organisations on the part of the corresponding republican power structure, which is energetically exploiting this departyisation for the achievement of its political aim and full neutralisation of the CPSU. …\n\n2. Taking into account the situation forming around the party organisations in a series of republican ministries and branches, it is considered expedient (a) to carry out an exchange of opinions on this problem in the CC CPSU with the participation of secretaries of party committees, first secretaries of raikoms of Moscow city and Moscow gorkom, and leaders of the CC Organisational department, the CC CP RSFSR, and the CCC CP RSFSR; (b) to foresee reserve variants of organisational formation of party organisations of republic administrative apparat, taking into account the new reality.’\\textsuperscript{186}\n\nAs suggested by the memorandum, the Organisational department made a further report on this problem dated 30 May and Ivashko agreed it on 7 June. It showed a rather serious\n\n\\textsuperscript{185} See, for example, TsKhSD f. 89, p. 20, d. 51; p. 8, d. 65.\n\n\\textsuperscript{186} TsKhSD, f. 89, p. 11, d. 91, p. 5.\n\nsituation. In the Office of Public Prosecutor of RSFSR, the formation of the apparat was carried out without the participation of communists, and displacement of party committees from the workplace was realised. Minister of Health Care, V. I. Kalinin, displaced the party bureau and the deputy minister called for departyisation of the ministry. In the RSFSR Ministry of Communication, Information, and Space, the party committee was also liquidated. The party organisation in RSFSR Ministry of Foreign Affairs was split from the party organisation of the RSFSR Council of Ministers in October 1990, but up to that time it did not register itself under the CP RSFSR. During 1991 (up to May 1991) 305 party members in ministries and state committees and branches left the CPSU and only 33 joined. The report made clear the continuing difficulties. For example, it mentioned the lack of a party Programme, the ideological foundations of its activity, full-time party workers’ uncertain feeling about the future, and social defencelessness because of the party apparat reduction. The combination of elected posts with economic [or managerial] work, constant structural change, cadres’ ‘starving’ among secretaries of workshop party organisations, according to this report, all negatively influenced the party’s activity. [In Moscow] uncertainty was expressed in connection with the weakening of the influence of central party organs, gorkom and raikoms on the activity of party committees and party bureaux.\\(^{187}\\) As shown in these memoranda, the party organisations were disintegrating themselves well before the attempted coup.\n\nA further attack on the party was made by Russian President Yeltsin. A Presidential decree ‘On suspending the activity of organisational structures of political parties and mass social movements in state organs and establishments of RSFSR’ (20 July 1991) was to prohibit the party organisations in state organs within the territory of Russia.\\(^{188}\\) This would certainly accelerate the party disintegration. The party complained of its illegality. Party newspapers published a series of articles arguing that the decree was not legal. The USSR Supreme Soviet\n\n\\(^{187}\\) Ibid., pp. 1-4.\n\n\\(^{188}\\) *Izvestiya*, 22 July 1990, p. 1.\n\nled by Luk'yanov asked the USSR Committee for Constitutional Compliance to examine the legality of the decree.\\textsuperscript{189} Still there was nothing more than that. No huge protest demonstration for the party, and no severe battles in the party organs of state bodies took place. The party’s control over the state had finished \\textit{de facto} before Yeltsin’s decree.\n\nVI. Conclusion\n\nThe fact that the party lost most of its ties with the state under Gorbachev’s reform is not news at all. The aspect that has been little discussed by many researchers is that the implementation of reform of party-state relations led to a ‘power vacuum’. It seems that the party’s rather strong supremacy over the state is clear here, because if the state had been more independent of the party than usually thought, the ‘power vacuum’ would not have been created. Therefore, the hypothesis of anti-reform coalition (see section II) is not be supported by the circumstantial evidence reviewed in this chapter. In addition, though the hypothesis of the leadership struggle has some evidence in the first reorganisation, this cannot explain the second reorganisation at all. Thus, it seems that two hypotheses, to prevent \\textit{podmena} or substitution and to streamline the party’s function for improving centre-regional relationship and its ‘political’ activity, are accurate. In the Soviet Union, the party (and its apparat) was the core of power or power itself.\n\nUnder such a political regime, attempts to transform the party were extremely difficult. The new Presidency that was for filling up the ‘power vacuum’ did not work well. Given such a situation, Gorbachev failed to change the party’s function to a ‘political party’. It could not surrender its ties with security organs, at least partially because to do so was too risky in a ‘power vacuum’. While, on the one hand, the party lost its traditional administrative functions, it\n\n\\textsuperscript{189} For details see Elizabeth Teague and Julia Wishnevsky, ‘El’tsin Bans Organized Political Activity in State Sector’, \\textit{RL/ Report on the USSR}, 3-33 (August 16, 1991).\n\nfailed to find new functions. In the end, the party lost its raison d'être.\n\nIn this chapter we mainly considered the process whereby the party lost the traditional administrative functions. The failure to transform the party into a ‘political party’ will be considered more deeply in relations with party elections in the next chapter. What, then, remained with the party? They were huge property asset and ties with the security organs. We need to investigate them further in Chapter 5 and 6.\n\nFigure 3-1: The Organisation of the CC CPSU in 1989\n\nCC Departments (Head)\n\nThe Administration of Affairs (N. E. Kruschina)\nThe General Department\nThe Department of Organisational Party Work\nThe Propaganda Department\nThe Culture Department\nThe Department of Science and Educational Institutions\nThe Department of Heavy Industry and Energy\nThe Chemical Industry Department\nThe Transport and Communications Department\nThe Economics Department\nThe Department of Light Industry and Consumer Goods\nThe Department of Trade and Domestic Services\nThe Construction Department\nThe Defence Industry Department\nThe Department of Agriculture and Food Industry\n\nDepartments Before Reorganisation\n\nOn Party Construction and Cadre Policy (G. P. Razumovskii)\nThe General Department (V. I. Boldin)\nThe Department of Party Construction and Cadre Work (G. P. Razumovskii)\nThe Ideological Department (A. S. Karpov)\nThe Social and Economic Department (V. I. Shnitko)\nThe Defence Department (O. S. Belkovsky)\nThe Agrarian Department (I. I. Sitnik)\nThe International Department (V. M. Fatin)\nThe State and Law Department (A. S. Pavlov)\nChief Political Directorate of the Armed Forces (A. D. Lizhnev)\n\nOn Party Construction and Cadre Policy (G. P. Razumovskii)\nThe General Department (V. I. Boldin)\nThe Department of Party Construction and Cadre Work (G. P. Razumovskii)\nThe Ideological Department (A. S. Karpov)\nThe Social and Economic Department (V. I. Shnitko)\nThe Defence Department (O. S. Belkovsky)\nThe Agrarian Department (I. I. Sitnik)\nThe International Department (V. M. Fatin)\nThe State and Law Department (A. S. Pavlov)\nChief Political Directorate of the Armed Forces (A. D. Lizhnev)\n\nSource: This Figure is adapted from Toshitiko Ueno, ‘Gorbachëvofu Seikenshu tokeiron Sorempōkyosonoto Henka [Changes of the CPSU under Gorbachev]’, Hagekakenbya, 63-2 (February 1990), p. 165 with some modifications. See also on the new Commissions Pravda, 1 October 1988, p. 1; on the new Departments, Pravda 27X, KP35, 1989, No. 1, p. 85.\n\n(Including inference)\n\nFigure 3-2: The Organisation of the CC CPSU in October 1990-1991\n\nThe Central Committee of the CPSU\n\n| Commissions (Chairman) | CC Departments (Head)* |\n|------------------------|------------------------|\n| Ideological (A. S. Ozakovskiy) | Ideological Department (A. S. Karpov) |\n| Social and Political (V. A. Kugisov) | Press Centre |\n| on Ethnic Policy (A. N. Gireenko) | Humanitarian Department (V. V. Bykovo) |\n| Social-Economic (N. A. Ivashko) | Department on Relations with Social and Political Organisations (V. A. Kugisov) |\n| on Agrarian Policy (E. S. Stroevy) | Ethnic Relations department (V. A. Mikhalov) |\n| on Problems of International Policy (G. I. Yanasev, V. M. Falin)* | Department of Social and Economic Policy (A. V. Vlasov) |\n| on Renewal of the Activities of Primary Party Organisations (O. S. Sheini) | Centre of Information Processing |\n| on Questions of Financial and Economic Activity of the Party**** (Yu. A. Matanenkov) | Agrarian Policy department (I. I. Skiba) |\n| on Questions of Women and Family Issues (G. V. Semenova) | International Department (V. M. Falin) |\n| on Science, Education, and Culture (I. T. Melnikov) | Department on Legislative Initiatives and Law Questions (V. S. Babashov) |\n| on Military Policy (O. D. Baklanov) | Organisational Department (Yu. A. Matanenkov) |\n| on Questions of Youth Policy (I. I. Melnikov) | General department (V. I. Boldin) |\n\n(Three commissions surrounded by dot-lines are not permanent commissions; but decided to establish in the 28th party congress.)\n\n* Heads of departments are uncertain. **Falin chaired this; 1 February meeting.\n\n**** established in the December CC plenum (1990).\n\nSource: Materialy Plenuma Tsentral'noy Komiteta KPSS: 8-iy oktyabrya 1991 g. (Moskva: Politizdat, 1990), pp. 41-47; on Commissions chairman, Izvestiya TSK KPSS, 1990, No. 11, pp. 9-10; 1991, No. 1, pp. 9-10; 1991, No. 11, pp. 9-10.\n\nTable 3-1: The Prospective Number of the CC Departments’ Staff\n\n| Department | Responsible Workers | Support Staff | Total |\n|--------------------------|---------------------|---------------|-------|\n| Ideological Department | 141 | 4 | 145 |\n| Social-economic Department | 128 | 29 | 157 |\n| Agrarian Department | 85 | 3 | 88 |\n| State-Law Department | 65 | 13 | 78 |\n| International Department | 203 | 6 | 209 |\n| Defence Department | 54 | 8 | 62 |\n| **Total** | **676** | **63** | **739** |\n\nSource: TsKhSD, Fond 89, Perechen’ 4, Delo 9, pp. 3-20.\n\n---\n\n1 The design of the table is suggested by Gordon Hahn’s study. See Gordon Hahn, ‘The First Reorganisation of the CPSU: Central Committee Apparat under Perestroika’, *Europe-Asia Studies*, Vol. 49, No. 2 (1997), p. 285. However, the way to count the staff number is different from him. See Table 2 on the reasons of difference.\n\nTable 3-2: The First Reorganisation of the CC Apparat in 1989\n\nTable 3-2-1, The CC Ideological Department\nHead of department: S. Kapto\nFirst deputy head: A. Ya. Degtyarev\n\nStructure\n1. Sub-department of basic scientific research: Head of sub-department –deputy head of department\n 5 sectors\n2. Sub-department of party propaganda: Head of sub-department –deputy head of department\n 2 groups and 2 sectors\n3. Sub-department of means of mass information: Head of sub-department –deputy head of department\n 4 sectors\n4. Sub-department of foreign political information and international connection: Head of sub-department –deputy head of department\n 4 sectors\n5. Sub-department of problems of youth teaching and education: Head of sub-department –deputy head of department\n 3 sectors\n6. Sub-department of culture and art: Head of sub-department –deputy head of department\n 4 sectors\n7. Group of consultants: Leader of consultants\n8. Secretariat\n\nStaffs=145 (141 responsible workers, 4 support staff)\n\nResponsible Workers\nHead of department 1\nFirst deputy head of department 1\nDeputy heads of department –heads of sub-departments 6\nLeader of consultant group 1\nHeads of sectors 22\nDeputy heads of sectors 4\nLeaders of responsible organisers group 1\nLeaders of lecturer group 1\nConsultants 10\nResponsible organisers 6\nInstructors 78\nLecturers 10\n\nSupport Staff\nHead of secretariat 1\nHelper of head of department 1\nDeputy heads of secretariat 2\n\nSource: TsKhSD Fond 89, Perechen’ 4, Delo 9, pp. 3-5; David Wells and John Miller, ‘A Directory of Heads and Deputy Heads of CPSU Central Committee Departments 1952-1991’, Lorton Paper 8 (1993), p. 16, on Head and First deputy Head.\n\n---\n\n1 Regarding this first reorganisation of the CC apparat, the first detailed analysis, which utilises party archive, is advanced by Gordon Hahn. See Gordon Hahn, ‘The First Reorganisation of the CPSU: Central Committee Apparat under Perestroika’, Europe-Asia Studies, Vol. 49, No. 2 (1997). However, many technical mistakes are found, which are indicated in the later notes. One general point is suggested here. Though Hahn does not count ‘helper of head of department’ as support staff, it seems appropriate that this is included in the category of support staff, because ‘helper’ belonged to Secretariat in most CC Departments except for the Defence department.\n\n2 Hahn does not mention ‘Sector of party scientific and educational institution’. See Hahn, ‘The First Reorganisation’, p. 292.\n\n3 Hahn miscalculates support staff as ‘2’. However, they should be 4 (one head of secretariat, two deputy heads of secretariat and one helper of head of department). See Hahn, ‘The First Reorganisation’, p. 285.\n\nTable 3-2-2. The CC Social and Economic Department\n\nHead of department: V. I. Shimko\nFirst deputy head: V. P. Moznin, N. A. Stashenkov\n\nStructure\n1. Sub-department of Social Policy\n 4 sectors\n Staff=33\n2. Sub-department of Economic Policy\n 5 sectors\n Staff=38\n3. Sub-department of Foreign Economy\n 2 sectors\n Staff=15\n4. Sub-department of Science-Technology Policy\n 4 sectors\n Staff=30\n5. Consultant Group\n Staff=11\n\nStaffs=157 (128 responsible workers, 29 support staff\\(^1\\))\n\nResponsible workers\nHead of department 1\nFirst deputy heads /head of sub-department 2\nDeputy heads of department /head of sub-department 2\nDeputy head of department /leader of consultant group 1\nDeputy heads of subdepartment 4\nHeads of sectors 15\nConsultants 40\nInstructors 63\n\nSupport Staff\nHead of secretariat 1\nDeputy head of secretariat 1\nHelper of head of department 1\nSupport staff 26\n\nSource: TsKhSD Fond 89, Perechen’ 4, Delo 9, pp. 6-8; David Wells and John Miller, ‘A Directory of Heads and Deputy Heads of CPSU Central Committee Departments 1952-1991’, Lorton Paper 8 (1993), p. 28, on Head and First deputy Head.\n\n\\(^1\\) Hahn fails to count ‘helper of head of department’ which is included in support staff here. See Hahn ‘The First Reorganisation’, p. 285, p. 288.\n\nTable 3-2-3. The CC Agrarian Department\n\nHead of Department: I. I. Skiba\nFirst Deputy Head: Yu. I. Mordovintsev\n\nStructure\n8 sectors\n1 secretariat\n\nStaffs=88 (85 responsible workers, 3 support staff)\n\nResponsible workers\nHead of department 1\nFirst deputy head 1\nDeputy heads 4\nHeads of sectors 8\nDeputies 8\nConsultants 13\nInstructors 50\n\nSupport Staff\nHead of secretariat 1\nDeputy 1\nHelper of head of department 1\n\nSource: TsKhSD Fond 89, Perechen’ 4, Delo 9, pp. 9-11; David Wells and John Miller, ‘A Directory of Heads and Deputy Heads of CPSU Central Committee Departments 1952-1991’, Lorton Paper 8 (1993), p. 8, on Head and First deputy Head.\n\nTable 3-2-4. The CC State and Law Department\n\nHead of Department: A. S. Pavlov\nFirst deputy head: I. A. Larin, V. E. Sidrov\n\nStructure\n1. Sub-department on control for decisions taken on the country’s armed forces\n 2 sectors\n2. Sub-department of legal problems\n 2 sectors\n3. Sub-department of inter-ethnic relation\n 2 sectors\n4. Sector on problems of state security\n5. Group of consultants on problems of perfection of legislation\n6. Helper of head of department\n7. Secretariat\n\nStaffs=78 (65 responsible workers, 13 support staff)\n\nResponsible workers\n Head of department 1\n First deputy heads of department /head of sub-department 2\n Deputy head of department /head of sub-department 1\n Leader of group of consultants 1\n Deputy heads of sub-department 3\n Heads of sectors 7\n Deputy heads of sectors 7\n Consultants 12\n Instructors 31\n\nSupport Staff\n Helper of head of department 1\n Head of secretariat 1\n Workers of secretariat 11\n\nSource: TsKhSD Fond 89, Perechen’ 4, Delo 9, pp. 12–13; David Wells and John Miller, ‘A Directory of Heads and Deputy Heads of CPSU Central Committee Departments 1952-1991’, Lorton Paper 8 (1993), p. 28, on Head and First deputy Head.\n\nTable 3-2-5. The CC International Department\nHead of department: V. M. Falin\nFirst deputy head K. N. Brutents, R. P. Fedrov\n\nStructure\n1. Consultant group\n 26 members\n2. Sub-department (Napravlenie) of New Political Thinking in International Relations\n 3 groups and 18 members\n3. Sub-department of Fundamental Problem of World Economic Relations\n 2 groups and 11 members\n4. Sub-department of International Party and Social Organisations and Movements\n 4 groups and 1 sector, and 25 members\\(^1\\)\n5. Sub-department of Socialist country of Europe and Connections with Communist and Workers' Parties of These Countries\n 19 members\n6. Sub-department of Socialist countries of Asia and Cuba and Connections with Communist and Workers' Parties of These Counties\n 21 members\n7. Sub-department of Connections with Parties and Other Social Forces of Developing Capitalist Countries\n 21 members\n8. Sub-department of Connections with Parties and Other Social Forces of Developing Countries\n 30 members\n9. Sub-Department (Poditel) on Work with Foreign Cadres and Party Organisations Abroad\n 24 members\n10. Group of \"Party technician (Parttekhnika)\"\n 5 members\n11. Secretariat\n 6 members\n\nStaffs=209 (203 responsible workers and 6 support staff)\\(^2\\)\n\nResponsible workers\nHead of department 1\nFirst deputy heads of department 2\nDeputy head of department 7\nLeader of consultant group 1\nHead of sub-department 1\nDeputy head of sub-department 1\nDeputy leaders of consultant group 2\nLeaders of group 23\nHeads of sector 3\nDeputy leaders of group 23\nDeputy heads of sector 3\nInstructors 15\nSenior consultants 5\nConsultants 24\nSenior readers 87\n\"Parttekhnik\" 5\n\nSupport Staff\nHead of secretariat 1\nDeputy heads of secretariat 3\nHelper of head of department 1\nLeader of code-group (Rukovoditel' shifrogruppy) 1\n\nSource: TsKhSD Fond 89, Perechen' 4, Delo 9, pp. 14-17; David Wells and John Miller, 'A Directory of Heads and Deputy Heads of CPSU Central Committee Departments 1952-1991', Lorton Paper 8 (1993), pp. 17-18, on Head and First deputy Head.\n\n\\(^1\\) Hahn miscalculates as 24 members. See Hahn, 'The First Reorganisation', p. 293.\n\\(^2\\) Hahn miscalculates as 200 responsible workers because he fails to include two first deputy heads and miscalculates 1 member mentioned in the above note. See Hahn, 'The First Reorganisation', p. 293.\n\nTable 3-2-6. The CC Defence Department\nHead of Department: O. S. Belyakov\nFirst Deputy Head: N. M. Luzhin\n\nStructure\n1. Sub-department of All-embracing problem\n2. Sub-department of Special System\n3. Sub-department of Information\n4. Sectors of Economic analysis\n5. Group of Consultants for Negotiation on Arms Reduction\n6. Secretariat\n\nStaffs=62 (54 responsible workers, 8 support staff)\n\nResponsible workers\nHead of department 1\nHelper of head of department 1\nFirst Deputy Head of department /Head of sub-department 1\nDeputy heads of Department /Heads of sub-departments 2\nLeader of Groups of Consultants 1\nDeputy heads of sub-department 3\nHead sector 1\nHead of secretariat 1\nConsultants 13\nInstructors 30\n\nSupport Staff\nInstructors on accounting 2\nHelpers of head of secretariat 2\nSecretary of head of department 1\nSecretaries of deputy head of department 2\nMessenger 1\n\nSource: TsKhSD Fond 89, Perchen’ 4, Delo 9, pp. 18-20; David Wells and John Miller, ‘A Directory of Heads and Deputy Heads of CPSU Central Committee Departments 1952-1991’, Lorton Paper 8 (1993), p. 12, on Head and First deputy Head.\n\nTable 3-3 Posts and Salary of the Party Apparat\n\nTable 3-3-1. Central Committee of the CPSU level\n\n| Name of the posts | Salary (rouble)* |\n|----------------------------------------------------------------------------------|------------------|\n| Administrator of affairs | 1000 |\n| Head of departments | 1000 |\n| First deputy head (in the department led by CC secretaries) | 825 |\n| First deputy head of Administration of affairs, deputy chairman of the Party Control Committee (PCC) | 775-800 |\n| Deputy head of departments, deputy administrator of affairs, members of the PCC | 750-775 |\n| Helper (*Pomoshchnik*) of CC general secretary | 875 |\n| Helper of CC secretary | 750-800 |\n| Reader (*referent*) of CC general secretary | 650-700 |\n| Reader of secretary of CC secretary | 600-650 |\n| Head of sub-department (*podotdel*), leader of consultant group | 700-775 |\n| Heads of departments of Administration of Affairs | 650-725 |\n| Deputy Head of sub-department | 625-715 |\n| Head of book-keeper (*bukhgalter*) of Administration of Affairs | 650-700 |\n| Head of sector, leader of group on direction, lecturers’ and responsible organisers | 625-700 |\n| Deputy head of departments of Administrations of Affairs, deputy leader of group of consultants | 600-690 |\n| Senior consultant | 575-670 |\n| Consultant, responsible organiser | 550-650 |\n| Helper of deputy chairman of the PCC, deputy of leader of lecturers’ group, helper of heads of departments, deputy head of book-keeper | 600-650? |\n| Head of “secretariat” | 600-700? |\n| Deputy head of sector, deputy leader of group on direction, responsible inspector (*kontroler*), leader of code-group (*shifrogruppa*) of international department | 575-6?? |\n| Deputy head of “secretariat” | 550-6?? |\n| Head of sector of production department of party publisher of Administration of Affairs | 560-6?? |\n| Instructor, lecturer, senior reader, head of sector of managing department | 475-6?? |\n| ‘Secretary’ of CC general secretary | 500-??? |\n| ‘Secretary’ of CC Secretary | 500-??? |\n| Head of archival preservation (*arkhivokhranilishche*) | 350-??? |\n| Reader (General department, department of party construction of cadre work) | 315-??? |\n| Head of typing sector (*mashbyuro*) | 315-??? |\n| Senior ‘secretary’ of General department | 250-??? |\n\nSource: TsKhSD, Fond 89, Perechen’ 9, Delo 13, pp. 22-23. *The salaries from ‘helper of deputy chairman of the PCC’ are not complete in the source, which is indicated as ‘?’ in this table.\n\nTable 3-3-2. Central Committee of Republican Party Organisation level\n\n| Name of the Posts | Salary (roubles) |\n|--------------------------------------------------------|------------------|\n| | CC PC of Ukraine | CCs CPs of Belarusia, Kazakhstan and Uzbekistan | CCs CPs of other union republics |\n| First secretary | 1100 | 950 | 900 |\n| Second secretary | 950 | 850 | 800 |\n| Secretary | 870 | 770 | 730 |\n| Helper of first secretary | 570-620 | 520-570 | 480-530 |\n| Helper of secretary | 500-550 | 450-500 | 430-480 |\n| Instructor | 570-620 | 520-570 | 480-530 |\n| Head of department, Administration of Affairs, chairman of commission of party control | 650-700 | 600-650 | 550-600 |\n| First deputy head of department | 600-650 | 550-600 | 510-560 |\n| Head of sector, leader of lecturers’ group, member of commission of party control, head of book-keeper | 500-550 | 450-550 | 430-480 |\n| Responsible organiser | 480-530 | 430-480 | 400-450 |\n| Consultant of department, deputy head of book-keeper | 430-480 | 400-450 | 400-450 |\n| Instructor, lecturer | 400-450 | 380-430 | 350-400 |\n\nSource: TsKhSD, Fond 89, Perechen’ 9, Delo 13, p. 21.\n\n| Name of the post | Salary (roubles) |\n|---------------------------------------------------------------------------------|------------------|\n| | Moscow gorkom, | Moscow obkom, | Out of group | I group | II group | III group |\n| | Leningrad obkom | Leningrad gorkom | | | | |\n| First secretary | 950 | 900 | 850 | 800 | 750 | 700 |\n| Second secretary | 850 | 800 | 750 | 700 | 650 | 630 |\n| Secretary | 770 | 730 | 700 | 650 | 600 | 580 |\n| Helper of first secretary | 500-550 | 480-530 | | | | |\n| Helper of secretary | 430-480 | 430-480 | 480-530 | 450-500 | 430-480 | 420-470 |\n| Inspector | 500-550 | 480-530 | 480-530 | 450-500 | 430-480 | 420-470 |\n| Head of department, administrator of affairs, and chairman of commission of party control | 580-630 | 550-600 | 550-600 | 530-580 | 500-550 | 480-530 |\n| First deputy head of department | 530-580 | 510-560 | 510-560 | 490-540 | 470-520 | 450-500 |\n| Deputy head of department | 500-550 | 480-530 | 480-530 | 450-500 | 430-480 | 420-470 |\n| Head of sector. Leader of lecturers' group, member of the commission of party control, (head of book-keeper) | 430-480 | 430-480 | 430-480 | 400-450 | 380-430 | 370-420 |\n| Responsible organiser, consultant of department, (deputy head of book-keeper) | 400-450 | 400-450 | 380-430 | 380-430 | 350-400 | 350-400 |\n| Instructor, lecturer | 350-400 | 350-400 | 350-400 | 350-400 | 330-380 | 330-380 |\n\nSource: TsKhSD, Fond 89, Perechen’ 9, Delo 13, pp. 19-20.\n\nTable 3-3-4: Raikom, gorkom level*\n\n| Name of the post | Salary (roubles) |\n|----------------------------------------------------------------------------------|------------------|\n| First secretary | 500-550 |\n| Second secretary | 450-500 |\n| Secretary | 420-460 |\n| Head of department, chairman of party commission | 360-400 |\n| Deputy head of department | 330-360 |\n| Deputy head of department---head of sector (office of political education), head of office work sector | 330-360 |\n| Instructor, lecturer, consultant | 280-330 |\n\nSource: TsKhSD, Fond 89, Perechen’ 9, Delo 13, p. 14. *From this to lower level, the structure of the party apparat significantly varied by regions (e.g. by the size of city, industrial or rural area, and so forth). Therefore, this table shows the simplest one of a rural raikom.\n\nTable 3-3-5: Primary Party Organisation level*\n\n| Name of the post | Salary (roubles) |\n|----------------------------------------------------------------------------------|-------------------------------------------------------|\n| Secretary of party committee (party buro) of productive (scientific-productive) | 85% of basic salary of main director (chief, manager) |\n| association, enterprise (industrial complex, management) | |\n| Deputy secretary of party committee (party buro) | 85% of basic salary of secretary |\n| Secretary of party committee (party buro) of shop party organisation | 85% of basic salary of chief of the shop |\n| Deputy secretary of party committee (party buro) of shop party organisation | 85% of basic salary of secretary |\n\n**Other full time workers of PPOs**\n\n**In party committees with rights of raikom**\n\n| Position | Salary (roubles) |\n|-------------------------------------------------------------------------|------------------|\n| Chairman of party commission – up to 75% of office salary of secretary | 280-300 |\n| of party committee, but not more than | |\n| Head of office of political education – up to 70% of office salary of | 250-270 |\n| secretary of party committee, but not more than | |\n| Head of sector of party account, instructor – up to 65% of office salary| 240-260 |\n| of secretary of party committee, but not more than | |\n| In party committees (party buro) of party organisations not having | |\n| the rights of raikom of the party | |\n| Head of office political education – up to 70% of office salary of | 230-250 |\n| secretary of party committee (party buro), but not more than | |\n| Instructor of party committee – up to 65% of office salary of secretary | 210-230 |\n| of party committee, but not more than | |\n\nSource: TskhSD, Fond 89, Perechen’ 9, Delo 13, pp. 9-10. *At the PPO level, the structure is varied significantly by the type of organisation (e.g. in an enterprise, railways, a rural place, a scientific establishment and so forth). This table shows the example of the PPO apparat of enterprises (association), construction and planning organisations of industry, building, transport, connection and other production branches of people’s economy.\n\nTable 3-4: Examination, by the CC Secretariat, of the Basic Issues Submitted by the CC Departments\n\n| The CC Departments | 1986 | 1987 | 1988 | 1989 | 1990 (20 June) | Total |\n|-------------------------------------|------|------|------|------|----------------|-------|\n| Party Construction and Cadre Work | 24 | 56 | 10 | 12 | 12 | 114 |\n| Ideology | 20 | 73 | 17 | 9 | 7 | 126 |\n| Social and Economic | 26 | 60 | 12 | 10 | 2 | 110 |\n| Agrarian | 18 | 23 | 5 | 1 | - | 47 |\n| International | 3 | 36 | 4 | 4 | 4 | 51 |\n| State and Law | 7 | 18 | 5 | 13 | 5 | 48 |\n| Defence | 2 | 4 | 2 | 1 | 1 | 10 |\n| Ethnic Relation | - | - | - | - | 2 | 2 |\n| General | 6 | 1 | 3 | 2 | 2 | 14 |\n| Administration of Affairs | 2 | 3 | - | 2 | 1 | 8 |\n| **Total** | 108 | 274 | 58 | 54 | 36 | 530 |\n\nSource: *Izvestiya TsK KPSS*, 1990, No. 9, p. 23.\n\nTable 3-5: Some Data of the CC Commissions (January 1989-June 1990)\n\n| Name of the CC Commission | Number of people of the Commission | Number of meetings | Examined questions |\n|---------------------------------------------------------------|-----------------------------------|--------------------|-------------------|\n| On questions of the party construction and cadre policy | 24 | 4 | 11 |\n| Ideology | 25 | 5 | 8 |\n| On questions of social and economic policy | 21 | 5 | 9 |\n| On question of agrarian policy | 23 | 6 | 17 |\n| On questions of international policy | 23 | 4 | 14 |\n| On questions of lawful policy | 20 | 4 | 10 |\n\nSource: *Izvestiya TsK KPSS*, 1990, No. 9, p. 24.\n\nTable 3-6: the Members of the Politburo in July 1990\n\n| Name | Position |\n|--------------------|--------------------------------------------------------------------------|\n| M. Gorbachev | General Secretary of the CPSU, USSR President |\n| V. Ivashko | Deputy General Secretary of the CPSU |\n| M. Burokayavichus | First Secretary of CP Lithuania |\n| A. Dzasokhov | CC Secretary for Ideology |\n| I. Frolov | Chief Editor of *Pravda* |\n| G. Gumbaridze | First Secretary of CP Georgia |\n| S. Gurenko | First Secretary of CP Ukraine |\n| I. Karimov | First Secretary of CP Uzbekistan |\n| P. Luchinskii | First Secretary of CP Moldova |\n| A. Masaliev | First Secretary of CP Kirgizia |\n| K. Makhkamov | First Secretary of CP Tajikistan |\n| V. Movsisyan | First Secretary of CP Armenia |\n| A. Mutalibov | First Secretary of CP Azerbaijan |\n| N. Nazarbaev | First Secretary of Kazakhstan |\n| S. Niyazov | First Secretary of Turkmenistan |\n| I. Polozkov | First Secretary of CP RSFSR |\n| Yu. Prokof'ev | First Secretary of Moscow gorkom |\n| A. Rubiks | First Secretary of CP Litvia |\n| G. Semenova | CC Secretary for Women Affairs |\n| O. Shenin | CC Secretary for Organisational Matter |\n| E. Silliari | First Secretary of CP Estonia |\n| E. Sokolov | First Secretary of CP Belorussia |\n| E. Stroev | CC Secretary for Agriculture |\n| G. Yanaev | CC Secretary for International Affairs |\n\nSource: *Izvestiya TsK KPSS*, 1990, No. 8, pp. 7-50.\n\nTable 3-7: Activity of the CC Commissions October 90-June 91\n\n| The CC Commissions | Number of Meetings |\n|--------------------------------------------------------|--------------------|\n| Ideological | 2 (14 Nov 90/ 12 Apr 91) |\n| Social and Political | 4 (25 Oct 90/ 30 Jan/ 19 Apr/ 30 May 91) |\n| on Ethnic Policy | 3 (21 Nov 90/ 1 Feb/ 23 Apr 91) |\n| Social and Economic | 2 (4 Dec 90/ 17 May 91) |\n| on Agrarian Policy | 4 (8 Dec 90/ 27 Mar/ 16 May/ 5 June 91) |\n| on Problems of International Policy | 3 (26 Nov 90/ 1 Feb/ 26 Apr 91) |\n| on Renewal of the Activity of Primary Party Organisations | 4 (26 Oct/ 8 Dec 90/ 25 Mar/ 21 June 91) |\n| on Questions of Women and Family Issues | 3 (10 Oct 90/ 30 Jan/ 23 Apr 91) |\n| on Science, Education and Culture | 3 (26 Oct 90/ 9 Feb/ 20 May 91) |\n| on Military Policy | 4 (29-30 Oct/ 8 Dec 90/ 1 Feb/ 26 Apr 91) |\n| on Questions of Youth Policy | 3 (14 Nov 90/ 2 Feb/ 23 Apr 91) |\n| on Questions of Financial and Economic Activity of the Party | 2 (17 Jan/ 8 Apr 91) |\n\nSource: *Izvestiya TsK KPSS*, 1990 No. 11, pp. 9-10; 1990, No. 12, p. 8; 1991, No. 1, pp. 9-10; 1991, No. 2, pp. 11-12; 1991, No. 4, p. 7; 1991, No. 5, pp. 10-11; 1991, No. 6, pp. 11-12; 1991, No. 7, p. 10; 1991, No. 8, p. 9.\n\nChapter 4 Failure of Making a ‘Political Party’: Party Elections and Party Unity\n\nI. Introduction\n\nAs we have seen in Chapter 2, the hidden power diversity was widening before perestroika. In order to manage this problem, Gorbachev tried to streamline the party’s functions, and the party lost its traditional administrative functions, as we have seen in Chapter 3. The subject of this chapter is to investigate how the party leadership succeeded or failed to find a new function of the party, that is, to make the communist party a ‘political party’.\n\nOne of the most crucial attempts for making a ‘political party’ was to ‘democratise’ the party. A ‘monolithic unity’ has been regarded as a prominent feature of the communist party. It is well known that the party maintained its unity by various methods. Particularly its personnel or nomenklatura system has been considered the central mechanism. Still, these methods did not necessarily fit its theoretically democratic principles. What happened if there were attempts to change this practice so as to fit the principle of intra-party democracy? Let us consider four issues related to this: competitive elections of party secretaries, the election of delegates to the 19th Party Conference in 1988, and to the 28th Party Congress in 1990, the emergence of platforms, and controversy around the 28th Party Congress and after. The problem here is the extent to which the controlling mechanisms disintegrated.\n\nII. Mechanisms to Maintain Party Unity\n\nBefore discussing party reform, briefly considering the main methods for controlling the party hierarchy is appropriate. These were the nomenklatura system, the ban on fractions,\n\nand democratic centralism.\n\n1. **Intra-Party Nomenklatura**\n\nThe intra-party *nomenklatura* system meant that higher party organs had personnel appointing rights to lower organs. For example, the all-union Central Committee approved a personnel list of republican and regional first secretaries, a republican central committee control its regional secretaries, and so forth.\n\nWhat then was the problem of the system? Most organisations in the world have such an appointing system. In a private company in the capitalist world, personnel appointing is usually decided from above. The self-management of a factory is hardly successful in any modern society. Nonetheless, this practice of the party did not fit its principle. In theory, personnel appointing was supposed to be decided by election from below. Elections had actually taken place in the party for many years before *perestroika*. However, only one candidate for one post was fixed before the election from above by *nomenklatura* lists. Therefore, the elections had not been competitive and electorates unanimously approved the nominated candidates. To investigate what happened when these elections became competitive is the research subject of this chapter.\n\n2. **Ban on Fractions**\n\nThe second mechanism for sustaining party unity was a ban of fractionalism.\\(^1\\) Since the 10\\(^{th}\\) Party Congress in 1921, the party had prohibited fractional activity. Though there is no agreement on this measure’s interpretation (that is, some argue it was intended as a temporary measure, while others consider that it was to be a permanent feature), it seems sufficient here to confirm that the ban on fractions worked for controlling the party hierarchy. The reason why\n\n---\n\n\\(^1\\) The author uses the word ‘fraction’ rather than ‘faction’ as a translation of ‘фракция’ along with Sartori’s terminology. See Giovanni Sartori, *Parties and Party Systems: A Framework for Analysis* (New York: Cambridge University Press, 1976), pp. 72-75.\n\nthis could be a useful measure is self-evident. Party members could not, at least publicly, organise their opinions independent of the leader, because fractions were prohibited. This does not mean there was no division within the party through party history. Stalin’s power struggle, the struggle after Stalin’s death, a change from collective leadership to individual rule under Brezhnev and so forth all suggest cleavages within the leadership. In addition, divisions between the centre and regional organisations frequently caused a serious problem as discussed in Chapter 2. However, the point is that even opponents within the leadership or lower organisations could not organise themselves. The appearance of monolithic unity was accordingly maintained.\n\n3. Democratic Centralism\n\nThe other mechanism for controlling the party hierarchy was democratic centralism. Usually this has been regarded as a way of decision making, by which party members can discuss freely before the approval of a decision, while, after the approval, the member must implement the decision unconditionally. Obviously, this concept was ambiguous. On the one hand, it was used for creating the democratic façade of the party. On the other hand, it was regarded to mean that lower party organisations had to obey decisions from above. Though this ambiguity became a problem during the perestroika period, we confirm for a moment that this principle was one of mechanisms for controlling the party hierarchy. Because before the perestroika period, decisions had been made without a truly free discussion, had come only from above, and their implementation had been compulsory.\n\nIII. Reasons for the Competitive Election of Party Secretaries\n\nAs easily understood, the nomenklatura system within the party would not be necessary if party secretaries were elected by competitive and secret elections from below. Thus,\n\nparty unity would possibly be destroyed.\n\nWhy was competitive party election necessary at all? If the power of General Secretary depended on his control over personnel by the *nomenklatura* system, it would have been irrational for him to destroy its own power base. Some reasons should be indicated. The first reason concerns centre-regional relations. Gill and Pitty argue that the introduction of multi-candidate secret ballot elections was intended to combat ‘localism’, that is, local cliques who had prevented the smooth implementation of central policies.\\(^2\\) They use Mann’s concept of weak infrastructural power to describe this situation.\\(^3\\) This concept, infrastructural power, denotes the power to implement policy. While the party-state was strong enough to make decisions independently of social organisations (strong despotic power), the Soviet Union was a weak state in terms of infrastructural power, that is, it could not implement decisions.\\(^4\\) As discussed in Chapter 2, one of the party’s most serious problems was that its activity expanded so much that the central organisation could not take account regional and local situations. It appeared to the centre that lower organisations distorted sound central policies by forming regional and local cliques. Therefore, party elections were, it seems, aimed at destroying these cliques from below.\n\n---\n\n\\(^2\\) Graeme Gill and Roderic Pitty, *Power in the Party: The Organization of Power and Central-Republican Relations in the CPSU* (New York: St. Martin’s Press, 1997), pp. 131–133. They use the word ‘local’ as a general term to denote the lower levels. Thus, their usage is different from the way the author used in Chapter 2, in which the ‘local’ level denoted raion and city level.\n\n\\(^3\\) Michel Mann, ‘The Autonomous Power of the State: Its Origins, Mechanism and Results’, in John Hall ed., *States in History* (Oxford: Basil Blackwell, 1986).\n\n\\(^4\\) Gill and Pitty, *Power in the Party*. See also Don Von Atta, ‘The USSR as A “Weak State”: Agrarian Origins of Resistance to Perestroika’, *World Politics*, Vol. 42, No. 1 (October 1989). These concepts, dictatorial power and infrastructural power, are similar to Skocpol’s state ‘autonomy’ and ‘capacity’. See Theda Skocpol, ‘Bringing the State Back In: Strategies of Analysis in Current Research’, in Peter B. Evans, Dietrich Rueschemeyer and Theda Skocpol eds., *Bringing the State Back in* (New York: Cambridge University Press, 1985). McFaul uses Skocpol’s concepts to analyse post-Soviet Russia. See Michael McFaul, ‘State Power, Institutional Change, and the Politics of Privatization in Russia’, *World Politics*, Vol. 47, No. 2 (January 1995). Since Skocpol’s terminology seems more neutral, her ones might be better for objective analytic purposes.\n\nSecondly, related with the first reason, Gorbachev may have intended to destroy established career patterns by competitive party elections. As discussed in Chapter 2, career patterns in the party under Brezhnev showed the rise of *khozyaistvenniki*. When Gorbachev tried to prevent the party from intervening in economic management and to improve the party’s political activity like propaganda, un-ideological or pragmatic, *khozyaistvenniki* were not appropriate. It may have been assumed that competitive elections would improve the party’s political activity through their campaign. For Gorbachev, competitive party elections could be a tool to change career patterns. In fact, criticism of technocratic cadres became quite common during the *perestroika* period, as we will see.\n\nWhile admitting these arguments are persuasive and logically connected with the argument of previous chapters, it may be better to add the leadership’s belief as the third reason: ‘the more elections, the more democratic, the better performance.’\\(^5\\) It seems there was a strong conviction at that time that democracy, if it is authentic, could resolve any problem. The author cannot deny that this policy included something beyond a pure calculation.\n\nFourthly, the experience of other communist countries, especially Poland and Hungary, would influence the Soviet leadership idea.\\(^6\\) It seems that the early stage of *perestroika* followed these two countries’ experience of political (Poland) and economic (Hungary) reform. The election of party secretaries had been conducted in Poland inside the deepening crisis of 1981. The Soviet leadership might intend to forestall the difficulty which the party would face by democratising the party.\n\nThese four reasons, it seems, are the case to some extent and it would be impossible to identify a single true explanation. In any case, the results of competitive party election were far\n\n---\n\n\\(^5\\) Such a conviction is indicated by Ueno. See Toshihiko Ueno, ‘Roshia no Senkyo Minshushugi: Peresutoroiikaki niokeru Kyososenkyo no Donyu [Electoral Democracy in Russia: Competitive Elections during the Perestroika Period]’ in Shugo Minagawa ed. *Ikoki no Roshia Seiji [Russian Politics in Transition]* (Hiroshima: Keisuisha, 1999), p. 339.\n\n\\(^6\\) Werner Hahn, ‘Electoral Choice in the Soviet Bloc’, *Problems of Communism*, Vol. 36, No. 2 (March–April 1987).\n\nfrom the ones desired by the leadership.\n\nIV. Competitive Election of Party Secretaries before the 19th Party Conference\n\n1. Decisions on the Competitive Party Election\n\nThe first address about party election by Gorbachev was made at the Central Committee plenum in January 1987, in which he stated, ‘It is necessary to think of a change in the procedure of elections of secretaries of raikoms, okrugkoms, gorkoms, obkoms, kraikoms, the republican CCs. … With this [change], members of party committees would have the right to bring any number of candidates to the electoral list.’\\(^7\\) However, it is reasonable to think that he could not obtain sufficient support on this point because the decision of the plenum, ‘On Perestroika and the Cadre Policy of the Party,’ mentioned only on the further democratisation of the party but not competitive elections.\\(^8\\)\n\n2. Early Attempts at Competitive Party Elections\n\nNonetheless, some competitive party elections took place in lower party organs with a detailed documentation in party press.\\(^9\\) For example, the first secretary of the Izhmorskii raion of Kemerovo oblast’ in the Russian republic was elected from two candidates in February 1987. This election took place under the supervision of obkom first secretary N. Ermakov. The candidates were Ivan Malkov, chairman of the raispolkom, and Gennadii Sedykh, director of a sovkhoz ‘Izhmorskii’. At the raikom’s plenum, both candidates expressed their opinions and participants also made comments on each candidate. After such a discussion, Malkov was\n\n---\n\n\\(^7\\) *Materialy Plenuma Tsentral’nogo Komiteta KPSS, 27-28 yanvarya 1987g.* (Moskva: Politizdat, 1987), p. 31.\n\n\\(^8\\) *Ibid.*, pp. 74-91. The further party democratisation specifically is discussed on p. 79.\n\n\\(^9\\) A detailed study on the early attempt of a competitive party election is Toshihiko Ueno, ‘Gorubachofu Seikenka niokeru Sorenpokyosantono Henka [Changes of the CPSU under Gorbachev]’, *Hogakukenkkyu*, Vol. 63, No. 2 (February 1990), pp. 148-157.\n\nelected first secretary by secret ballot.\\textsuperscript{10} Because, as we have seen, it was common that the chairman of the ispolkom was promoted to the first secretaryship at raion level, this was not a surprising result. Rather it seems that this aim was for appealing for support for Gorbachev’s policy.\n\nIn Ukraine, Oratov raikom in Vinnitsa oblast’ had a competitive election for first secretary, which was reported in February 1987. Though the raikom was about to elect A. N. Dvorets, chairman of the raispolkom, as first secretary in the traditional way, that is, single candidate way, Vinnitsa obkom interfered in this personnel matter, and determined that the raikom was to have a competitive election. I. P. Dem’yanchuk, chairman of a RAPO (raion agricultural-production combine) council, became another candidate. In terms of experience of party work and knowledge of the raion, Dvorets had more obvious claims and was expected to win. However, the result of the secret ballot was unexpectedly for Dem’yanchuk. The report attributed the result to new leader’s eagerness to seek a new decision, latest science and technology in agricultural work, and his strong leadership.\\textsuperscript{11}\n\nThe other case, in which two candidates were advanced for the first secretaryship, took place in the Sovetskii raikom of Khanty-Mansii autonomous okrug in Tyumen’ oblast’, which was reported in March 1987. Though at the beginning the proposal to conduct a competitive election was not welcomed, it was finally accepted. The post was contested for by Gennadii Borin, chairman of the raispolkom, and Gennadii Zelentsov, raikom second secretary. As in other competitive elections, members of the raikom plenum discussed whether or not each candidate was appropriate as first secretary before the election at the plenum. Though the participants’ comments included a personal character of candidates (e.g. arrogance), the critical point was which they should vote for: on the one hand, an economic manager or, on the other, an ideological-theoretical leader, as showed in participants’ statements that ‘we are to elect not\n\n\\textsuperscript{10} \\textit{Pravda}, 10 February 1987, p. 2; \\textit{Sovetskaya Rossiya}, 10 February 1987, p. 2.\n\n\\textsuperscript{11} \\textit{Pravda Ukrainy}, 26 February 1987, p. 3\n\nan economic leader, but the party’s’; ‘As an economic manger (khozyaistvennik) he [Borin] is not bad, but as the post of first secretary he cannot [be good].’ After such a discussion, the candidates spoke of their own ideas. Then, voting took place. Zelentsov, the second secretary, was elected first secretary.\\textsuperscript{12} This result was not the same as established career patterns, according to which the chairman of the raiispolkom progressed to raikom first secretary. That the central press reported and recommended such a process may have showed the leadership intention to destroy established career patterns.\n\nA plenum of Sakhnovshina raikom in Khar’kov oblast’ attempted another competitive election for the first secretaryship, which was reported in March 1987. The post was competed for by two candidates, Nikolai Karnaukh, instructor of the department of agricultural economy and food production of Kharikov oblast’, and Nikolai Semenets, chairman of Sakhonovshino raiispolkom. The organisation of the election was the same as the other cases: an open discussion by plenum members and then a vote. In the end, Karnaykh was elected. This was also a deviation from established career patterns. According to V. Mysnichenko, first secretary of Khar’kov obkom, who supervised the election, the critical point was that the person chosen should pay more attention to social questions and the concerns of ordinary people.\\textsuperscript{13}\n\nA competitive election of the first secretaryship of the Kol’chugino gorkom was attempted in Vladimir oblast’ in May 1987. Six candidates, including the chairman of gorispolkom, appeared in this election. After discussion and voting, N. Mochalov, secretary of the party committee of the non-ferrous metal processing factory ‘Ordzhonikidze,’ was elected. The report criticised too many candidates in this election.\\textsuperscript{14} In addition, we can confirm again that this was not in line with established career patterns.\n\nAccording to an article explaining the party’s cadre policy in \\textit{Partiinaya Zhizn’},\\textsuperscript{15} 120\n\n\\textsuperscript{12} \\textit{Partiinaya Zhizn’}, 1987, No. 5 (March), pp. 32-35.\n\n\\textsuperscript{13} \\textit{Partiinaya Zhizn’}, 1987, No. 6 (March), pp. 43-46.\n\n\\textsuperscript{14} \\textit{Partiinaya Zhizn’}, 1987, No. 9 (May), pp. 72-73.\n\n(not necessarily first) party secretaries of 909 newly appointed were elected by competitive and secret ballot in 1987.\\textsuperscript{15} Because this figure was the same as one repeated later, it seems plausible.\\textsuperscript{16} These early attempts at competitive elections show the following characteristics. Firstly they present some evidence for the hypothesis that the competitive party election was attempted to change the established career patterns, because, as we have seen, the results of these elections frequently deviated from the norm. It seems likely that the party leadership intended to prevent \\textit{podmena} (substitution) of the state function by the party. Secondly, while the resistance to competitive elections undoubtedly existed, this may not always be because of a conservative ideology or the reluctance to surrender the appointing or \\textit{nomenklatura} power. It is obvious that many raion level elections were directed by a higher party organisation. Thus, these elections did not undermine their appointing power very much. One problem may have been a way of organising the elections. Participants had to openly discuss the quality of candidates, including such personal shortcomings as arrogance in front of the candidates themselves. It seems very likely that such a procedure made for a nervous atmosphere for both candidates and participants, though everyone, including losing candidates and voters, made a positive comment on the attempt to undertake competitive elections. In any case, competitive elections were not compulsory at all (no formal decision on the competitive election at the Central Committee was taken, as mentioned above) and did not reach oblast’ level at this time. A further decision was taken at the 19\\textsuperscript{th} Party Conference.\n\nV. The 19\\textsuperscript{th} Party Conference and Competitive Elections\n\n1. Delegates Election to the 19\\textsuperscript{th} Party Conference\n\n\\textsuperscript{15} \\textit{Partiinaya Zhizn’}, 1988, No. 11 (June), p. 15.\n\n\\textsuperscript{16} \\textit{Partiinaya Zhizn’}, 1988, No. 17 (September), p. 11. This is an interview with G. K. Kryuchikov, deputy head of CC Department of Party Construction and Cadre Work, on the report and election campaign and its instruction.\n\nAt the June 1987 CC plenum, Gorbachev, in the name of the Politburo, submitted a proposal to convene the 19th Party Conference in order to begin political reform.\\textsuperscript{17} The CC duly took a decision ‘On Convening the 19th All-Union Party Conference’, which included the procedure for the election of delegates. One delegate was to be elected for each 3,780 party members; the elections were to be conducted by secret ballot (but not necessarily on a multi-candidate basis) at the plenums of union republican party organisations, kraikoms, and obkoms or, in the case of delegates election from party organs in military, at the military associations’ party conferences; and the elections were to begin between April and May 1988.\\textsuperscript{18}\n\nNonetheless, the delegates’ elections did not take place after Gorbachev’s speech at the meeting with leaders of the mass media on 7 May. In his speech, Gorbachev mentioned no quota of delegates and was in favour of the active participation of lower party organisations.\\textsuperscript{19} Though this was not clear at all as an instruction on electoral procedures, the election became a battle arena between reformers and the party apparat, which is well documented by Aryeh Unger and Baruch Hazan.\\textsuperscript{20} Although there is little to add to their studies, the following points that were mentioned but not emphasised by them should be indicated. Firstly, reformers were far from organised at this time. They did not have a coherent alternative idea of how to conduct the election, nor had they a clear vision of party reform. These matters were alien to the party before the conference, when democratic centralism and the ban on fractions prevailed over the views of party members. Organised opposition began to take place after the conference. Secondly, the apparat’s manipulation of delegates was, it seems, not only because of a malicious intention or their reluctance to surrender \\textit{nomenklatura} power, but also of an inertia of\n\n\\textsuperscript{17} \\textit{Materialy Plenuma Tsentral’nogo Komiteta KPSS: 25-26 iyunya 1987 g.} (Moskva: Politizdat, 1987), p. 37.\n\n\\textsuperscript{18} \\textit{Ibid.}, pp. 81-82; \\textit{Partiinaya Zhizn’}, 1987, No. 13 (July), p. 47.\n\n\\textsuperscript{19} \\textit{Pravda}, 11 May 1988, p. 2.\n\n\\textsuperscript{20} Aryeh L. Unger, ‘The Travails of Intra-Party Democracy in the Soviet Union: The Election to the 19th Conference of the CPSU’, \\textit{Soviet Studies}, Vol. 43, No. 2 (1991); Baruch A. Hazan, \\textit{Gorbachev’s Gamble: The 19th All-Union Party Conference} (Boulder: Westview Press, 1990), pp. 7-20, 69-76.\n\nbureaucratic organs. Any bureaucratic organ has such an inertia that makes it hesitate to change traditional methods. It seems that this was the case for the CPSU as well. Thirdly, there is little evidence that rank and file party members tried to participate actively. Rather, ‘the great majority of party members remained “silent”’.21 Fourthly, in any case, neither the CC plenum decision nor Gorbachev’s speech made it clear how to conduct multi-candidate elections. The party apparat had enough excuse just to follow traditional methods.\n\nThe result of the election is shown in Table 4-1. Compared with the delegates’ composition at the 27th Party Congress, whose electoral process was clearly controlled from above, the result of the 19th Party Conference was not very different from that of the 27th congress. This result had an influence on the future of the party, because, as we will see later, some party members, who were unhappy with the result, began to develop informal clubs within the party. In addition, it is well known that the debate at the conference was very vocal and that the conference approved a resolution on party election, which is considered in the next section.\n\n2. Decisions on Competitive Party Elections around the 19th Conference\n\nIn May 1988 the CC plenum approved the ‘Theses toward the 19th Party Conference,’ which envisaged competitive party elections including higher level ones. That is, ‘Communists have the right to propose more candidates than mandates available in the case of elections to all party committees. … Such a way of promotion, discussion, and election of members of party committees and secretaries may be extended, in the process of the formation of party organs, from raikoms and gorkoms to the CCs of communist parties of union republics and the CC CPSU.’22\n\nAt the conference Gorbachev stated that a majority supported the proposal of\n\n---\n\n21 Unger ‘The Travails’, p. 349.\n22 Pravda, 27 May 1990, p. 2.\n\nmulti-candidate election at all levels of party organisation.\\textsuperscript{23} Finally the 19\\textsuperscript{th} Party Conference approved a resolution, ‘On Some Urgent Measures for the Practical Realisation of Reform of Political System of the Country,’ which included a sentence, ‘the Conference considers it is necessary to conduct, this year, a report-and-election campaign in party organisations, which is guided by the decisions of the conference on reform of political system, [and] democratisation of party life.’\\textsuperscript{24} The other resolution ‘On Democratisation of Soviet Society and Reform of Political System’, stated ‘In the case of elections of members and secretaries of all party committees --up to the CC CPSU-- ensure a wide discussion of candidates and secret ballot, the possibility to include more number of candidates in the electoral bulletin than mandates available.’\\textsuperscript{25} Thus, the party was to conduct a report-and-election campaign, which would continue until the final days of the party.\n\nVI. Implementation up to the 28\\textsuperscript{th} Party Congress\n\n1. The Decision and Instruction on Party Elections\n\nThe conference resolutions on party election were a general guideline, but lacked a concrete procedure to embody the resolution that was to be approved by the CC plenum. The July CC plenum (1988) took a decision ‘On Reports and Elections in Party Organisations,’ by which the party organisations up to the obkom level were to conduct the reports and elections to the end of 1988. This decision also referred to the possibility of including more candidates than mandates. The schedule of implementation followed: PPOs in September to October, raikoms, gorkoms, and okrugkoms in October-November, obkoms and kraikoms in November to\n\n\\textsuperscript{23} \\textit{XIX Vsesoyuznaya konferentsiya Kommunisticheskoi Partii Sovetskogo Soyuza: Stenograficheskiy Otchet}, Vol. I (Moskva: Politizdat, 1988), p. 82.\n\n\\textsuperscript{24} \\textit{Materialy XIX Vsesoyuznoi konferentsii Kommunisticheskoi Partii Sovetskogo Soyuza} (Moskva: Politizdat, 1988), p. 106.\n\n\\textsuperscript{25} \\textit{Ibid.}, p. 126. Emphasis added.\n\nDecember. The Plenum entrusted the Politburo to make a more precise instruction for the report-and-election campaign.\\textsuperscript{26}\n\nThe Instruction was made and published in the name of the CC CPSU on 12 August 1988. This instruction more concretely prescribed how to conduct party elections, for example how frequently the party organisations should carry out the elections. Small PPOs were to have reports and elections every year; large ones were to do so every two or three years; raikoms, gorkoms, okrugkoms, obkoms, kraikoms and union republic party organisations—every five years. As is clear from the above, the reports and elections were organised by a bottom-up principle. The conferences of lower organisations were to have the right to propose candidates to the composition of higher organisations. This also included the statement of the possibility of including more candidates than mandates.\\textsuperscript{27} Thus, all resolutions and decisions admitted the possibility of a competitive election. Still, it was just possible, but not obligatory. Let us consider how the report-and-election campaign was carried out in the next section.\\textsuperscript{28}\n\n\\textbf{2. The Report-and-Election Campaign in 1988}\n\nIf the reports and elections had been fully free and competitive, the logical consequence would have been the abolition of intra-party \\textit{nomenklatura}. In fact, an article, just before the campaign began, mentioned the possibility of ‘making a formal-nomenklaturist approach to cadre [selection] unnecessary.’\\textsuperscript{29} Also at the beginning of the campaign in an interview in \\textit{Pravda} Georgii Razumovskii, a candidate member of the Politburo and CC secretary, stated that this electoral experiment would fundamentally changed the concept of the\n\n\\begin{footnotesize}\n\\textsuperscript{26} \\textit{Pravda}, 31 July 1988, pp. 1-2; \\textit{Materialy Plenuma Tsentral’nogo Komiteta KPSS, 29 iyulya 1988 g.} (Moskva: Politizdat, 1988), pp.43-45.\n\n\\textsuperscript{27} \\textit{Partiniaya Zhizn’}, 1988, No. 16 (August), pp. 30-35. A comment on this instruction is \\textit{Partiniaya Zhizn’}, 1988, No. 17 (September), pp. 8-14.\n\n\\textsuperscript{28} A contemporaneous study on the report-election campaign in 1988 is Dawn Mann, ‘Results of the 1988 CPSU Report-and-Election Campaign’, \\textit{RL/ Report on the USSR}, Vol. 1, No. 8 (February 24, 1989), pp. 4-7.\n\n\\textsuperscript{29} \\textit{Pravda}, 3 August 1988, p. 1.\n\\end{footnotesize}\n\nSuch a negative statement on the *nomenklatura* was repeated elsewhere in connection with the party election.\n\nThe campaign began with workshop party organisations. One article introduced the election of these organisations. Though they were not competitive, the atmosphere can be understood. They discussed practical problems of their own workplaces (e.g. alcoholism), improvement of the authority of party organisations, rush work, and so forth. Around the end of August, the election process reached the PPOs. An article asked PPOs and higher party organisations to have competitive elections, and to consider the secretaries’ platforms for their own work. In Moscow city one third of shop and primary party organisations conducted competitive elections. In September a CC official told the western press that about 10,000 low level party leaders had been replaced in competitive elections. According to an article in *Partinaya Zhizn’* on party elections, more than half the PPOs had competitive elections, though a later result showed that this was a little exaggerated (see below and Table 4-2).\n\nThe gorkoms and raikoms had elections around October and November. In Moscow city nine raikom party secretaries, including two first secretaries, were elected on an alternative basis. An information memorandum of the CC Department of Party Construction and Cadre Work (3 November 1988) stated that by 1 November (unknown from when) 778 raion and city party conferences had taken place. Though some active participation was reported, according to this memorandum the competitive elections for party secretaries had not been satisfactory. In the end, 174 gorkom and raikom secretaries, including 40 first secretaries were elected on an\n\n---\n\n30 *Pravda*, 18 August 1988, p. 2.\n31 *Partinaya Zhizn’*, 1988, No. 22 (November), p. 10.\n32 *Pravda*, 15 August 1988, p. 2.\n33 *Pravda*, 31 August 1988, p. 1.\n34 *Izvestiya TsK KPSS*, 1989, No. 3, p. 27.\n35 RL/ Research Bulletin, 422/88 (September 23, 1988), p. 8. The party official is Georgii Kryuchkov, a deputy head of the CC Department of Party Construction and Cadre Work and, according to RL, the western press report was in the *New York Times* on 21 September.\n36 *Partinaya Zhizn’*, 1988, No. 22 (November), p. 9.\n37 *Izvestiya TsK KPSS*, 1989, No. 3, p. 27.\n\nalternative basis. Nonetheless something new also took place. By secret ballot, 30 to 40 per cent of delegates to the conferences voted against the re-election of raikom and gorkom secretaries. In addition 29 secretaries, including eight first secretaries, did not get the necessary votes and had to leave the elected organs. The memorandum also criticised obkoms for their weak supervision of lower organs, their excessive tolerance toward raikom and gorkom secretaries and poor knowledge of their real authority. Moreover, it was implied that the delegates to the conferences were controlled, by stating that there were no serious critics on the reports of the candidates for the elections.\\(^{38}\\)\n\nLater, the campaign reached the obkom level. However, no competitive election of *first* secretaries was implemented, though eight competitive secretary (not first) elections were carried out. Rather, it may be noticed that party conferences at this level showed how difficult it was to surrender the economic functions of the party. For example, in a Moscow obkom conference, a view that to decide a trivial problem for *khozyaistvenniki* was not a task of the party committees was reported.\\(^{39}\\)\n\nThe Politburo decided on 11 February 1989 to publish a detailed report on the 1988 report-and-election campaign. According to this, one third of party groups had competitive election as well as almost half the workshop party organisations and PPOs. Table 4-2 shows the results at PPO level. Moreover, at raikom, gorkom, and okrugkom level, 1117 secretaries and 269 secretaries were elected on an alternative basis. As mentioned above, only eight secretaries of obkoms and kraikoms were elected by competitive elections. Still, the party committees' composition was renewed more radically. Almost 60 per cent of raikoms, gorkoms, obkoms, kraikoms renewed their composition; 66 new secretaries, including three first secretaries, of obkoms and kraikoms, and 1433 secretaries, including 250 first secretaries, of raikoms, gorkoms, and okrugkoms were newly elected (though the methods were not necessarily\n\n\\(^{38}\\) *Izvestiya TsK KPSS*, 1989, No. 1, pp. 94-98.\n\n\\(^{39}\\) *Pravda*, 12 December 1988, p. 3.\n\ncompetitive). It is obvious that higher party organisations did not conduct competitive elections. Thus, this report stated that several party organs had insufficiently conducted alternative elections, and also expressed dissatisfaction with the preparation and discussion of the campaign, and complained that higher party organisations did not recognise the real situation at local level.\\textsuperscript{40} We can conclude that, while the report-and-election campaign was relatively active at lower levels, higher party organisations obstructed its full implementation or tended to inertia.\n\n3. The Party Elections in 1989\n\nIn February 1989, the CC Commission on the Questions of Party Construction and Cadre Work discussed the results of the 1988 report-and-election campaign. The published documentation of this commission meeting limited itself to positive comment and the empty claim that ‘democratisation is important.’\\textsuperscript{41} Nonetheless, Gorbachev and his reformist colleagues were not happy with the result. Thus, on 18 July 1989 the CC CPSU organised a meeting of first secretaries of union republics, kraikoms, and obkoms, in which Gorbachev argued for applying electoral approaches to cadre appointments rather than formalist \\textit{nomenklatura} one.\\textsuperscript{42}\n\nThen the Politburo decided to conduct a report-and-election campaign again. Of course, it was obligatory that small PPOs conducted the report-and-election exercise as the 1988 instruction of party election had stated. Still, the Politburo decision ‘On the Conduct of Reports and Elections in Party Organisations in 1989 (2 August 1989)’ stated that ‘it seems expedient at the same time to discuss reports of bureaux of raikoms, gorkoms, okrugkoms, obkoms, kraikoms, and the CC of union republican parties on their activity at the plenum of corresponding committees.’ Thus, all party organisations up to the CCs of union republican\n\n\\textsuperscript{40} \\textit{Izvestiya TsK KPSS}, 1989, No. 3, pp. 12–25.\n\\textsuperscript{41} \\textit{Pravda}, 28 February 1989, p. 2.\n\\textsuperscript{42} \\textit{Pravda}, 19 July 1989, p. 3.\n\nparties were to face the campaign again. In addition, this decision urged party organisations to freely discuss current problems *on an alternative basis*.\\(^{43}\\) This was a reconsideration of democratic centralism *de facto*, at least in its traditional sense.\n\nHowever, the report on the campaign one month later showed dissatisfaction with the situation: ‘an analysis of the reports and elections that have just started shows that, in many party organisations, they are proceeding in the old fashion and in the form established for decades;’ ‘Reports and elections are intended to help change all orders of internal party relations, to establish, in each party organisation, a situation of friendliness, free and creative exchange of opinions, and presenting and discussing any alternative proposals;’ ‘With elections, the alternativeness, *glasnost*’ [openness], and unconditional consideration of opinions of communists and non-communists should become a rule.’\\(^{44}\\)\n\nUnder such pressure from above (and probably from below, that is, from rank and file party members), the competitive elections at obkom level finally took place, though it is not clear that these elections were related to the report-and-election campaign. The first attempt was the Chelyabinsk obkom first secretary election on 12 August 1989. N. D. Shvyrev, first secretary of Chelyabinsk obkom, was asked to resign due to harsh criticism. The new first secretary, Aleksei Litovchenko, formerly second secretary of this obkom, was elected from three candidates.\\(^{45}\\) On 7 September, Kaliningrad obkom plenum elected a new first secretary. At the beginning there were more than ten candidates who were discussed in raikoms, gorkoms and the obkom bureau beforehand. The plenum screened them and brought two candidates (the obkom second secretary and the chairman of the oblispolkom) in the electoral list. Finally Yurii\n\n---\n\n\\(^{43}\\) *Izvestiya TsK KPSS*, 1989, No. 9, p. 7. Emphasis added.\n\n\\(^{44}\\) *Pravda*, 3 September 1989, p. 1.\n\n\\(^{45}\\) *Pravda*, 13 August 1989, p. 2. Note on obkom first secretaries’ names. As one can see, Russian newspapers hardly mention a person’s full first name, but only his initial. Thus, some persons’ names are indicated as full surname with initials of first name and *otchestvo* here. Still, because the elected first secretaries’ full names are available in *Izvestiya TsK KPSS*, the author tried to mention full first names as far as he could check.\n\nSemenov, the second secretary, was elected Kaliningrad obkom first secretary.\\textsuperscript{46} Sakhalin obkom held a competitive election on 24 October 1989. Though again at first seventeen people were named as candidates, only four candidates were included in the electoral list. Viktor Zhigailo, a former obkom secretary, was elected obkom first secretary.\\textsuperscript{47} On November 30 Kareliya obkom plenum also held a competitive election. Twenty candidates were reduced to two, Nikolai Kir’yanov, an obkom secretary, and Yu. A. Kuznetsov, first secretary of Petrozavodsk gorkom. In the event Kir’yanov was elected obkom first secretary.\\textsuperscript{48} As to the first secretary at union republican level, the Ukrainian Central Committee had a competitive election on 28 September 1989, which followed Vladimir Shcherbitsky’s retirement. Though at first six candidates were discussed, two candidates (Vladimir Ivashko, second secretary of the Ukrainian party, and Stanislav Gurenko, a Ukrainian party secretary) were brought into the electoral list. Finally Ivashko received a majority of votes and was elected first secretary.\\textsuperscript{49} If such a competitive election had been sufficiently implemented, this logical consequence might have been that these elections made a nomenklatura system within the party unnecessary. In fact, on 15 October 1989, \\textit{Pravda} reported a meeting of the CC Commission on the Questions of Party Construction and Cadre Policy, which admitted the necessity of a renewal of cadres, of a change in cadre promotion practices, further democratisation of the party including elections, and abolition of the nomenklatura system.\\textsuperscript{50}\n\nHowever, it is clear that, as we have seen, the candidates were rather significantly screened even in competitive elections at higher levels. Thus, in most competitive elections, the final candidates were not surprising figures in view of traditional career patterns (e.g. second\n\n\\begin{itemize}\n \\item \\textit{Pravda}, 8 September 1989, p. 2; \\textit{RL/Report on the USSR}, Vol. 1, No. 37 (September 15, 1989), p. 35.\n \\item \\textit{Pravda}, 25 October 1989, p. 3.\n \\item \\textit{Pravda}, 1 December 1989, p. 2.\n \\item \\textit{Pravda}, 29 September 1989, p. 2; \\textit{Pravda Ukrainy}, 29 September 1989, p. 2; \\textit{RL/Report on the USSR}, Vol. 1, No. 40 (October 6, 1989), p. 32.\n \\item \\textit{Pravda}, 15 October 1989, p. 2. See also \\textit{RL/Report on the USSR}, Vol. 1, No. 43 (October 27, 1989), pp. 25-26.\n\\end{itemize}\n\nsecretary, chairman of oblispolkom, gorkom first secretary of major city in the oblast’ and so forth). In addition, it is very suspicious that, in general, the report-and-election campaign in 1989 was active. Detailed data on the results of the 1989 report-and-election campaign is available only up to PPO level, that is, there are no systematic data on higher level elections. According to Table 4-2, the number of PPOs that conducted reports and elections was small, compared with the previous year. It means that, even at the PPO level, the campaign was not active or that many PPOs might not have thought reports and elections were compulsory because almost all of the PPOs had reports and elections the previous year and, as the 1988 instruction says, only small PPOs originally were to conduct the reports and elections. In addition, some PPOs, it was reported, did not hold reports and elections in the proper way: in a party organisation, participants could know the coming meeting would take place just one day beforehand; some party organisations hindered the attendance of non-communists in the meeting.\\(^{51}\\) Nonetheless, the fact that the reports and elections was relatively better conducted at lower levels had some importance. The most vocal delegates were PPO secretaries at the 28\\(^{th}\\) Party Congress.\n\n**4. Party Elections in 1990 up to the 28\\(^{th}\\) Party Congress**\n\nUnder such a situation of inactive reform, the shock to regional level secretaries came from outside the party in early 1990. Elections of the Congress of People’s Deputies in Russia, Supreme Soviets in other union republics, and local soviets were to be held in February-March 1990. These elections were to be conducted under a new and difficult situation for the CPSU because of an amendment to article six of the USSR constitution. Party secretaries had to realise that they would lose the elections without turnover of the leadership of each party committee.\\(^{52}\\)\n\n---\n\n\\(^{51}\\) *Izvestiya TsK KPSS*, 1990, No. 2, pp. 65-67.\n\n\\(^{52}\\) In addition, these local soviet elections did not necessarily mean secretaries should be ‘democrats’. Their struggle for survival in the elections produced a mixed picture in ideological\n\nIn addition, many party secretaries, including first secretaries, actually failed to win seats in soviets. Some of the secretaries who failed the election had to resign the post of first secretary. Then the election to the vacant post was sometimes conducted in a competitive way.\n\nAnother stimulus to party election was the March CC plenum (1990) decision ‘On the Term for Calling of the 28th Congress of the CPSU, Conducting the Report-and-Election Campaign in the Party, the Norms of Representation and the Procedure of Election of Congress Delegates,’ which provided for the conduct of reports and elections at obkom and higher levels.\\(^{53}\\) From the fragmentary records of the Politburo meeting on 7 March, it is possible to infer that the decision to conduct a report-and-election campaign before the 28th Party Congress was controversial.\\(^{54}\\) Thus, before the congress, only higher party organisations were to conduct reports and elections.\\(^{55}\\) However, the timing of reports and elections was, it seems, entrusted to\n\nterms: Some first secretaries became ‘democrats’, others turned into ‘conservatives’, and others transformed into ‘nationalists’. Though they showed various political standpoints, their logic had the common element: to survive. See Kimitaka Matsuizato, ‘Roshiano Chihoseido: Daikaikaku kara 1995nen Chihojichihoshiko made, [Regional Institution in Russia: From the Great Reform to Law on Local Autonomy in 1995]’, in Juten Ryouiki Kenkyu Hokoku Shu, ‘Surabu Yurashia no Hendo’ [Occasional Papers on ‘the Changes in the Slavic-Eurasian World’] No. 25 (1996), p. 178. McAuley argued that in the process of local soviet elections, Leningrad obkom made the first open rebellion against the centre. See Mary McAuley, ‘Politics, Economics, and Elite Realignment in Russia: A Regional Perspective,’ Soviet Economy, Vol. 8, No. 1 (1992), p. 60. While this consequence can be partly attributed to the lack of consistent policy of the CPSU leadership, this was a logical consequence of a local election. This also means a democratic way does not necessarily turn out an ideal result.\n\n\\(^{53}\\) Materialy Plenuma Tsentral’nogo Komiteta KPSS, 11, 14, 16 marta 1990 g. (Moskva: Politizdat, 1990), pp. 180-183.\n\n\\(^{54}\\) The stenographic record of this meeting on this topic (March CC plenum) is almost completely omitted and shows only top page and the last page. Thus, the author can only infer that it was controversial from Gorbachev’s statement in the meeting ‘Then, before the congress, to elect only delegates to the congress was proposed and do not conduct reports and elections in the party. So, what about the preparation for the congress? Where is the platform, where is its discussion? Where is the pre-congress discussion, which should show us the opinions of communists and on platform and on [party] Rules.’ TsKhSD, f. 89, p. 42, d. 28, p. 2.\n\n\\(^{55}\\) However, a later report on the report and election campaign states that about one third of workshop and primary party organisations and 40 per cent of raikoms, gorkoms, and okrugkomks conducted meeting and conference before the 28th Party Congress. See Izvestiya TsK KPSS, 1991, No. 5, p. 68. Though the author could not investigate why this happened, perhaps it may be because some meetings for delegate election to the 28th Party Congress also became report and election meetings.\n\neach party organisation. The CC decision stated that the plenums of corresponding party committees defined the procedure of delegate election to the [reports and elections] party conferences (and congresses in union republics). According to Razumovskii at the Politburo meeting on 3 May 1990, ‘60 per cent of obkoms and kraikoms decided to conduct reports and elections before the 28th Party Congress, with which Gorbachev was not satisfied.’ On 13 June 1990 Vadim Medvedev, CC secretary and a Politburo member, reported that 140 oblast’ and krai party conferences and 10 union republic party congresses had taken place. Among them 88 conferences and 8 congresses elected their own party committees. It means that, for example, the union republican party congress elected its Central Committee.\n\nSo, many party organisations carried out party elections, some of which were competitive. Most widely broadcast was the case of Volgograd obkom. Vladimir Kalashnikov had been first secretary since 1984. His career was that of a typical khozyaistvennik. Born in 1929, after graduating from Stavropol’ agricultural-economy institute, he became a head of agricultural technician in 1950, then a director of a MTS (Machinery and Tractor Station) of sheep farming sovkhoz in 1955. Though his full-time party work began in 1961 as second secretary of a raikom, he returned to economic managing work after that. Before becoming first secretary of Volgograd obkom, he had been RSFSR Minister of Land Reclamation and Water Management. At the beginning he worked well as first secretary. However, he lost his prestige quickly. The obkom faced public demonstrations criticising privileges and corruption. Party members began to think that they needed a political leader rather than a khozyaistvennik. On 24 January 1990 the Volgograd obkom held a plenum, at which there were repeated calls for the leader’s resignation. On the 30th of the month, the plenum agreed to Kalashinikov’s retirement. The new first secretary was elected by competitive election at a report-and-election oblast’ party\n\n---\n\n56 TsKhSD, f. 89, p. 42, d. 28, p. 2.\n57 Pravda, 14 June 1990, p. 2.\n58 Izvestiya TsK KPSS, 1989, No. 2, p. 69.\n\nconference in March. Though once the number of candidates grew to 28, three candidates remained after self-resignation. Aleksandr Anipkin, first secretary of the Volgograd gorkom, was elected first secretary.\\textsuperscript{59}\n\nOther cases of obkom first secretary competitive elections were briefly reported. Chernigov obkom elected Vasilii Lisovenko as first secretary in competitive and secret election on 22 January 1990.\\textsuperscript{60} In the Kabardino-Balkar ASSR the competitive election took place with the transfer of former first secretary, Evgenii Eliseev, to a post in the CC apparat. The post was competed for by two candidates, the chairman of the republican Supreme Soviet and the second secretary of the republican CC. In the event, the second secretary, Valerii Kokov, won.\\textsuperscript{61} On 27 February Kaluga obkom plenum elected a first secretary from three candidates. Valerii Sudarenkov, working as deputy chairman of the council of ministers of the Uzbek republic and having worked as first secretary of Kaluga gorkom, was elected the new obkom first secretary.\\textsuperscript{62} On 24 March the Buryat obkom plenum approved the transfer of its first secretary, Anatolii Beryakov, to the RSFSR State Committee on Ethnic Questions. The plenum recommended that lower party organs discuss suitable successors.\\textsuperscript{63} On 6 April the obkom plenum elected first secretary Leonid Potanov, working as deputy chairman of the Supreme Soviet of the Turkmen republic and formerly a secretary of Buryat obkom.\\textsuperscript{64} At Sverdlovsk oblast' party conference eight candidates were advanced for the first secretaryship. Aleksandr Gusev, Asbest gorkom first secretary, was elected on 7 April. On the same day, Ul'yanovsk oblast' party conference elected first secretary Yurii Goryachev, chairman of Ul'yanovsk soviet, from two candidates out of an\n\n\\textsuperscript{59} \\textit{Pravda}, 28 January 1990, p. 2; \\textit{Partinaya Zhizn'}, 1990, No. 8 (April), pp. 45-47; Dawn Mann, ‘Authority of Regional Party Leaders Crumbling’, \\textit{RL/ Report on the USSR}, Vol. 2, No. 8 (February 23, 1990), pp. 1-6.\n\n\\textsuperscript{60} \\textit{RL/Report on the USSR}, Vol. 2, No. 5 (February 2, 1990), p. 26.\n\n\\textsuperscript{61} \\textit{RL/ Report on the USSR}, vol. 2, No. 9 (March 2, 1990), pp. 36-37.\n\n\\textsuperscript{62} \\textit{Pravda}, 28 February 1990: p. 2.\n\n\\textsuperscript{63} \\textit{Sovetskaya Rossiya}, 25 March 1990, p. 2.\n\n\\textsuperscript{64} \\textit{Sovetskaya Rossiya}, 7 April 1990, p. 2.\n\noriginal 20.\\textsuperscript{65} On 26 April Tyumen’ and Ufa party conferences elected first secretaries on an alternative basis. Also on 26 April Kirovograd obkom plenum elected a new first secretary from three candidates.\\textsuperscript{66} Boris Gidaspov was re-elected Leningrad city and oblast’ party first secretary from five candidates at a joint conference of Leningrad city and oblast’ party organisations.\\textsuperscript{67} Kemerovo oblast’ party conference re-elected Aleksandr Mel’nikov first secretary on an alternative basis and also Vologda and Gorno-Altaisk oblast’ party conferences had competitive first secretary elections.\\textsuperscript{68} Magadan, Amur, Smolensk and Voronezh oblast’ party conferences also had competitive elections for first secretary.\\textsuperscript{69}\n\nThus, many competitive elections for first secretaries took place during this period. However, it is difficult to establish how universal such attempts at competitive elections were. Nonetheless, we can recognise some effects of the competitive process. Firstly, secret and competitive party elections did not necessarily result in the victory of so-called ‘democrats’. Gidaspov (Leningrad), Mel’nikov (Kemerovo) and others were ‘conservative’ in a sense. Whether or not this was a result of ‘apparat games’ or electoral cheating cannot be determined. Still they could not have won without any support from rank and file party members. In addition, it should be remembered that these figures were different from strongly ideological conservatives like Nina Andreeva. Rather, their claim mainly related to keeping ‘law and order’ but not necessarily opposing some form of market economy. It is not unreasonable to think that such figures, who advocated restoring public order, could receive some support in a worsening situation. The competitive elections gave a chance of promotion to such new ‘law and order’ type ‘conservatives’. Secondly, once obkom leaders had been elected by competitive elections,\n\n\\textsuperscript{65} Sovetskaya Rossiya, 8 April 1990, p. 2.\n\n\\textsuperscript{66} Pravda, 27 April 1990, p. 3.\n\n\\textsuperscript{67} Pravda, 29 April 1990, p. 2; RL/Report on the USSR, Vol. 2, No. 18 (May 4, 1990), p. 39. On Leningrad party conference, see also Pravda, 26 April 1990, p. 2.\n\n\\textsuperscript{68} Pravda, 29 April 1990, p. 2.\n\n\\textsuperscript{69} Sovetskaya Rossiya, 1 June 1990, p. 5; Sovetskaya Rossiya, 2 June 1990, p. 7; Pravda, 2 June 1990, p. 2; Pravda, 8 June 1990, p. 2.\n\nthey could be independent of the centre. Thus, the General Secretary’s *nomenklatura* power must have been eroded. If the party election was considered in order to destroy local cliques, this was an unintended result. Overall, competitive elections accelerated organisational disarray in the party. Thirdly, it seems that the result of these competitive elections made it easy for regional party secretaries to accept the principle of a competitive election in the new party Rules. In the next few sections, the process toward the 28th Party Congress is investigated.\n\n**VII. Emerging Fractions and Controversy over Party Renewal**\n\nIn the run up to the 28th Party Congress, fractions within the party emerged. Let us briefly consider the fractions that tried to influence the delegates’ election to the congress. After the Central Committee published its platform as a draft of the new Party Programme, two major ‘platforms’ emerged around the beginning of 1990: the Democratic Platform and the Marxist Platform.\n\nThe February CC plenum discussed and approved the platform ‘Toward Humane, Democratic Socialism’. This platform was rather liberal in terms of its perspective for the entire political and economic system, that is, it supported a regulated market economy, a multi-party system, and the establishment of a new federal state. However, it was not very reformist on internal party matters: supporting the concept of vanguard rather than parliamentary party, no reference to the *nomenklatura* system, and keeping, while claiming renewal of their concepts, the ban on fractions and democratic centralism.\\(^{70}\\)\n\nThe Democratic Platform had its origins in the ‘Moscow Party Club’, which was formed in April 1989.\\(^{71}\\) The Moscow Party Club’s immediate goal was to call an extraordinary\n\n\\(^{70}\\) *Materialy Plenuma Tsentral’nogo Komiteta KPSS, 5-7 fevralya 1990 g.* (Moskva: Politizdat, 1990), pp. 353–382.\n\n\\(^{71}\\) On the Democratic Platform, the author is heavily indebted to Igor’ Chubais, ‘The\n\nCPSU congress. Then it developed its aims including reform of the procedure for delegate election to the party congress. At the same time, it began to organise its basic policy, which was crystallised at the all-union conferences of the Democratic Platform in January and April 1990. Their basic policy was to transform the CPSU into a social democratic parliamentary party. In order to do so, they proposed a multi-party system, a federal principle overall, a territorial principle for the PPO, the replacement of democratic centralism, freedom of fraction formation, and abolition of the *nomenklatura*.\n\nThe Marxist Platform was rooted in people who left the Moscow Party Club. It held its first conference in April 1990. Their policy was much more moderate than that of the Democratic Platform: it supported a market economy, a party for workers, a guarantee of the rights of minorities and replacement of bureaucratic centralism, still opposing fraction activity and a parliamentary party.\\(^{72}\\)\n\nThese were the first organised fractions *de facto* since the 10\\(^{th}\\) Party Congress of 1921. Some proposals of the Democratic Platform in particular had some resonance among the mass media including party journals. For example, some argued for implementation of the electoral principle in cadre work, which would have led to demolition of the *nomenklatura* mechanism.\\(^{73}\\) There was a suggestion that cadre selection should be open to a variety of people rather than based on a *nomenklatura* list.\\(^{74}\\) It was reported that one raikom in Murmansk city had abolished\n\n---\n\nDemocratic Opposition: An Insider’s View,’ *RL/ Report on the USSR*, Vol. 3, No. 18 (May 3, 1991); Julia Wishnevsky and Elizabeth Teague, “‘Democratic Platform’ Created in CPSU’, *RL/ Report on the USSR*, Vol. 2, No. 5 (February 2, 1990); Vyachelav Shostakovskii, ‘Obnovlyayu Kontseptsiyu Partii’, *Politicheskoe Obrazovanie*, 1989, No. 18 (December), pp. 5-12; Graeme Gill, *The Collapse*, pp. 122-125. See also Toshihiko Ueno, ‘Sorenpokyosanto Dai28kaitaikaiwomeguru Shomondai [Problems of the 28\\(^{th}\\) Congress of the CPSU]’, *Hogakakenkyu*, Vol. 68, No. 2 (February 1995), p. 344.\n\n\\(^{72}\\) *Glasnost’,* 1990, No. 2, (21 June), pp. 4-5.\n\n\\(^{73}\\) V. Abramov, ‘Iskorenit’ Byurokratizm’, *Partiinaya Zhizn’,* 1990, No. 3 (February), pp. 62-66.\n\n\\(^{74}\\) N. Kuz’menkok, ‘Ne Po Nomenklaturnoi Lestrnitse’, *Partiinaya Zhizn’,* 1990, No. 6 (March), pp. 30-31.\n\nits *nomenklatura* list, which had consisted of 286 posts.\\textsuperscript{75} With such views, platforms strived to win the delegate election to the 28\\textsuperscript{th} Party Congress, as is investigated in the next section.\n\n**VIII. The 28\\textsuperscript{th} Party Congress and Competitive Elections**\n\n1. **Delegate Election to the 28\\textsuperscript{th} congress**\n\n (a) **Decisions on the Electoral Procedure and their Critics**\n\n The CC Commission on the Questions of Party Construction and Cadre Policy discussed the procedure for delegate election to the 28\\textsuperscript{th} Party Congress. The Commission expressed the view that the procedure should be maximally democratised and supported the direct participation of communists in the process.\\textsuperscript{76} The proposal of the Commission was submitted to the February CC plenum (1990). The CC platform that was approved at the CC plenum stated that the election of delegates to the party conference and congress should be conducted with the direct participation of communists on an alternative basis.\\textsuperscript{77} Based on it, the CC Commission of Party Construction and Cadre Policy wrote a draft of ‘the Procedure of Delegates Election to the 28\\textsuperscript{th} CPSU Congress’, which envisaged the following points: 1. The candidates would be nominated by primary party organisations. 2. The election should be secret and competitive. 3. The candidates could be investigated at the raion and city party conference. 4. The plenums of obkoms, kraikoms, union republican party could define the procedure of delegate election. 5. A huge primary party organisation could directly elect the delegates with the decision of the plenums of obkoms, kraikoms, and union republican parties. 6. The oblast’, krai, union republican party conference could elect delegates. 7. Delegates from the military and\n\n\\textsuperscript{75} *Pravda*, 5 May 1990, p. 4.\n\n\\textsuperscript{76} *Pravda*, 4 February 1990, p. 2.\n\n\\textsuperscript{77} *Materialy Plenuma Tsentral’nogo Komiteta KPSS, 5-7 fevralya 1990g*. (Moskva: Politizdat, 1990), p. 379. See also *RL/Report on the USSR*, Vol. 2, No. 7 (February 16, 1990), pp. 37-38.\n\nMVD troops would be directly elected from the party conferences of military districts.\\textsuperscript{78} This draft after a little modification was approved at the March CC plenum as an attached document of the CC plenum decision, ‘On the Term of the 28\\textsuperscript{th} CPSU Congress, Conducting of the Report-and-Election Campaign in the Party, the Norms of Representation and the Procedure for Election of Congress Delegates’.\\textsuperscript{79}\n\nHowever, there were critics of this procedure. Firstly, though it was decided that delegates were to be elected basically from electoral districts, the party conference could elect delegates in some cases. Some people feared that party conferences could screen candidates who did not suit full-time party workers.\\textsuperscript{80} Secondly the delegates from the armed forces were to be elected only from party conferences rather than electoral districts.\\textsuperscript{81} Thirdly the plenums of obkoms, kraikoms and union republican parties could define the procedure ‘taking into account the situation of party organisations and opinions of communists’. But who were to be ‘communists’ in this context: party ranks or party workers? And how could communists determine ‘the situation’?\\textsuperscript{82} Fourthly, some argued that, without publishing candidates’ affiliation to any platform in the electoral list, communists would not be able to decide whom to vote for.\\textsuperscript{83}\n\nNonetheless, it cannot be denied that this procedure was more competitive and appeared better for reformers like the Democratic Platform than the previous procedure. The delegates’ election took place under this procedural rules.\n\n(b) \\textbf{The CC Open Letter and the Delegates Election to the 28\\textsuperscript{th} Party Congress}\n\nAs discussed above, one of main aims of the Democratic Platform was to send their\n\n\\begin{itemize}\n \\item \\textit{Pravda}, 27 February 1990, pp. 1-2.\n \\item \\textit{Materialy Plenuma Tsentral’nogo Komiteta KPSS}, 11, 14, 16 marta 1990 g., pp. 180-188.\n \\item \\textit{Sovetskaya Kul’tura}, 21 April 1990, p. 4.\n \\item \\textit{Pravda}, 7 March 1990, p. 3.\n \\item \\textit{Moskovskie Novosti}, 1990-10 (11 March), p. 3. This is a comment of Vyacheslav Shostakovskii, rector of Moscow Higher Party School and one of the leaders of Democratic Platform. See also \\textit{Sovetskaya Kul’tura}, 24 March 1990, p. 3.\n \\item \\textit{Sovetskaya Kul’tura}, 12 May 1990, p. 4.\n\\end{itemize}\n\ndelegates to the forthcoming 28th Party Congress. However, the party leadership was clearly apprehensive about this platform. This became clear with the publication of the CC open letter, ‘For Consolidation on a Principled Basis’ which appeared on 11 April 1990.\\(^{84}\\)\n\nThe Politburo decided to write an open letter on 22 March, which was to make clear the party leadership’s antagonistic view toward the Democratic Platform. The decision states, ‘To consider it is expedient to adhere the direction of ideological and organisational demarcation from the supporters of the “Democratic Platform” and other groups whose activity is directed to the split of the CPSU.’ Even if ‘other groups’ are mentioned, it is obvious that the main target was the Democratic Platform. The Politburo entrusted the Secretariat to prepare the letter and the draft of decision on this matter.\\(^{85}\\) Then, the Politburo on 9 April discussed the content of the prepared letter and whether or not it should be published. As Gorbachev says in his memoirs, he seems to have preferred to send a telegram to party organisations rather than publishing a letter.\\(^{86}\\) Only Yakovlev was very critical of the letter, supported the idea of a telegram, and moderately supported the Democratic Platform though he added that the CC platform was superior theoretically and practically.\\(^{87}\\) However, other reformist Politburo members, for example, Medvedev, Frolov, and Shevardnadze, did not strongly oppose the letter.\\(^{88}\\) Others supported publication of the letter because the CC needed to make its position clear. Without it, they argued, it would cause anxiety and confusion among party members.\\(^{89}\\) It seems that Gorbachev could not help but publish the open letter, though he asked Medvedev to rewrite it.\\(^{90}\\)\n\n\\(^{84}\\) Pravda, 11 April 1990, p. 1. For details of the politics of the CC open letter, see Gordon Hahn, ‘The Politics of the XXVIII CPSU Congress and the Central Committee Open Letter’, Russian History, Vol. 22, No. 4 (Winter 1995), to which the author is indebted.\n\n\\(^{85}\\) TsKhSD, f. 89, p. 9, d. 87, p. 1.\n\n\\(^{86}\\) TsKhSD, f. 89, p. 42, d. 27, p. 2; Mikhail Gorbachev, Zhizn’ i Reformy, Vol. 1 (Moskva: Novosti, 1995), pp. 540-541. Mihaeru Gorubachofu, Gorubachofu Kaisoroku, Jo (Tokyo: Shinchosha, 1996), pp. 694-695.\n\n\\(^{87}\\) TsKhSD, f. 89, p. 42, d. 27, p. 5.\n\n\\(^{88}\\) Ibid, p. 7 (Medvedev), p. 9 (Shevardnadze), p. 10 (Frolov).\n\n\\(^{89}\\) For example see ibid, p. 12 (Prokof’ev).\n\n\\(^{90}\\) Ibid, p. 16.\n\nThe CC open letter was published, which severely criticised the Democratic Platform: ‘Declaring themselves “consistent democrats”, … they attack the ideological and organisational basis of the CPSU …’; the Democratic Platform tried ‘to convert our party to a kind of formless association with full freedom of factions and groupings, that is, to practically ruin it.’ This recommended also expelling members of Democratic Platform from the party.\\(^{91}\\) This open letter caused some controversy. It certainly seems to have discouraged the Democratic Platform supporters. Some of them thought that the party was impossible to reform itself and left the party. Criticism was also widespread among other organisations or movements. The Komsomol condemned the open letter at its all-union congress.\\(^{92}\\) The Marxist platform also criticised the letter because, they argued, the Central Committee was motivated only by material rather than ideological considerations.\\(^{93}\\) The meeting of secretaries of republican parties, kraikoms, obkoms, and series of gorkom, and raikoms, which discussed ideological-political work, took place on 25 April, where the open letter was critically mentioned.\\(^{94}\\)\n\nProbably the most important effect of the open letter was its influence on the election of delegates to the 28\\(^{\\text{th}}\\) Party Congress. The Politburo discussed the questions of preparation for the 28\\(^{\\text{th}}\\) Party Congress and the Russian party conference on 3 May, when the delegate election was just beginning. In his report Razumovskii said that the CC open letter had a big influence on the course of the delegate election and the report-and-election campaign.\\(^{95}\\) Although he mentioned that the letter was, on the whole, perceived as an appeal for the consolidation of healthy party forces while the departure of party members was increasing, it seems that the letter encouraged so-called ‘conservatives’ to come forward to the forthcoming party congress. In addition, Gorbachev did not hide his critical view of the Democratic Platform, stating, ‘What\n\n---\n\n\\(^{91}\\) *Pravda*, 11 April 1990, p. 1.\n\n\\(^{92}\\) *RL/Report on the USSR*, Vol. 2, No. 17 (April 27, 1990), p. 24. (Central Television, 16 April)\n\n\\(^{93}\\) *RL/Report on the USSR*, Vol. 2, No. 17 (April 27, 1990), p. 25. (*Pravda*, 16 April)\n\n\\(^{94}\\) *Pravda*, 25 April 1990, p. 2.\n\n\\(^{95}\\) TsKhSD f. 89, p. 42, d. 28, p. 2.\n\nabout the “Democratic Platform”? … There is no concept, and nothing on the party is well thought out at all. There is only a concept such as ruining the party. That is all.\\textsuperscript{96} As discussed above, one of the original aims of Democratic Platform was to send their delegates to the party congress. The CC open letter discouraged the Democratic Platform members.\n\nOn the other hand, Gorbachev’s prime concern about delegates’ election was the social composition of delegates. Probably he presupposed that worker and peasant party members would support his reform and that the party apparat consistently opposed him. Though it is not possible to precisely discern how much effect on the social composition of delegates the letter had, the report on delegate election in progress at the Politburo meeting on 3 May was shocking for Gorbachev. According to Razumovskii, 80 per cent of delegates were to be elected from electoral districts rather than the party conference. The elections were certainly competitive. Up to the date of the meeting 19,800 people had been advanced as candidates for 4,382 mandates. 232 delegates had been already elected at the time. Among them, workers accounted for 12.1 per cent; peasants (kolkhoz workers) for 1.7 per cent; women for 7.3 per cent, and party workers for 24 per cent. Among candidates, the figures were workers 10 per cent, peasants 4 per cent and women 10 per cent. Though the ratio of worker delegates increased in comparison with that of worker candidates, these were shocking figures for Gorbachev. He asked how many workers there were among the 19,800 candidates, but Razmovskii did not answer.\\textsuperscript{97} Passivity of workers was also reported by Yurii Manaenkov, CC Secretary and a Russian bureau member. Among the candidates to the Russian party conference (the delegates were to attend the all-union party congress as well), about 13 per cent were workers. He added that administrative pressure should be utilised in order to strengthen the representation of workers. ‘Simply no other way exists.’ Gorbachev was angry with this and said, ‘Then I should speak frankly that our party apparat together with economic managerial leaders is doing this [lowering workers’ representation].’\n\n\\textsuperscript{96} Ibid., p. 6.\n\\textsuperscript{97} Ibid., p. 2.\n\nManaenkov responded, ‘Our party apparat is doing this because there are very, very many party workers among delegate candidates. Almost a quarter. Thus, the party apparat is connected with this.’ Nikolai Ryzhkov, chairman of the Council of Ministers, said that many party secretaries had become candidates and pushed out the working class. Gorbachev responded that the problem was that the workers had not advanced themselves as candidates. Consequently Gorbachev stressed the importance of electing workers and peasants and the Politburo appealed for electing more workers and peasants to the forthcoming party congress.\n\nThen, the elections continued. Some reports on the delegates’ election began to appear. On 11 May the North Osetiya oblast’ party conference elected delegates to the party congress, including Evgenii Primakov, a member of the Presidential Council and a candidate member of the Politburo. The congress of the Turkmen party and seven oblast’ party conferences in Kazakhstan elected delegates to the all-union congress on 12 May. The Georgian party congress elected delegates to the all-union party congress on 16 May. Many delegates were elected also from electoral districts. In Arkhangel’sk, Tula, Smolensk, and Kazan’ competitive delegate elections in electoral districts were reported. Delegates elected in Smolensk included Anatolii Luk’yanov, the chairman of Supreme Soviet and a Politburo member. Egor Ligachev, CC secretary and a Politburo member, was elected from an electoral districts of Belgorod oblast’, though one report suggested that he had failed to secure election in Moscow. From Moscow city, Gorbachev, Ryzhkov, Shevardnadze, Yakovlev, Vladimir Kryuchkov, chairman of the KGB and a Politburo member, and Yurii Maslyukov, CC secretariat and a Politburo member,\n\n---\n\n98 Ibid., p. 8.\n99 Ibid.\n100 Ibid., p. 27.\n101 Pravda, 5 May 1990, p. 1.\n102 Pravda, 12 May 1990, p. 2.\n103 Pravda, 13 May 1990, p. 2.\n104 Pravda, 17 May 1990, p. 2.\n105 Pravda, 27 May 1990, p. 2; Argumenty i Fakty, 1990-21 (26 May-1 June), p. 3; Ibid., 1990-22 (2-8 June), p. 6.\n\nwere elected. From Khabarovsk, Dmitrii Yazov, Minister of Defence and candidate member of the Politburo, was elected.\\textsuperscript{106} The result of delegates’ elections of Politburo members, candidate members and CC secretaries were published later (see Table 4-3). The Leningrad, Voronezh, Elista, Tashkent, Kuibyshev, Irkutsk, L’vov, and Kirov cases were also reported.\\textsuperscript{107} In one electoral district in Moscow city, Viktor Ryabov, a CC official, was elected on 10 May on an alternative basis.\\textsuperscript{108} In many regions, the results of delegate elections were reviewed in the party conferences.\\textsuperscript{109} From Table 4-3, we can recognise that delegate elections in party conferences were frequently non-competitive. In addition, it can be inferred from a report of the Red-Flag Northern Fleet party conference that some of the delegate elections of party organisations in armed forces were not conducted on an alternative basis.\\textsuperscript{110}\n\nOn the process, some complaints on the organisation of the election appeared. In Omsk oblast’ 168 candidates had been advanced for 34 mandates. More than one fourth of candidates were party workers who were skilled in political manoeuvring. They could become delegates while pushing out workers.\\textsuperscript{111} One worker delegate felt that the election had been organised unfavourably to him and suspected that he had been the victim of an ‘apparat game’.\\textsuperscript{112} An ill-prepared election was also reported in a letter from Kiev city, in which it was announced that the election would take place just one day beforehand. In addition, by not showing the candidates’ positions on the platform in the electoral list, they did not have any criterion to judge them.\\textsuperscript{113} Two weeks before the 28\\textsuperscript{th} Party Congress, Vladimir Lysenko, one of leaders of the Democratic Platform and a delegate to the 28\\textsuperscript{th} Party Congress, expressed his\n\n\\textsuperscript{106} \\textit{Pravda}, 31 May 1990, p. 2. On Gorbachev’s election, see \\textit{RL/Report on the USSR}, Vol. 2, No. 21 (May 25 1990), p. 27.\n\n\\textsuperscript{107} \\textit{Pravda}, 31 May 1990, p. 2; \\textit{Ibid.}, 6 June 1990, p. 2.\n\n\\textsuperscript{108} \\textit{Izvestiya TsK KPSS}, 1990, No. 6, p. 155.\n\n\\textsuperscript{109} \\textit{Pravda}, 4 June 1990, p. 2; \\textit{Ibid.}, 9 June 1990, p. 2.\n\n\\textsuperscript{110} \\textit{Pravda}, 7 June 1990, p. 2. Nonetheless, the Far East Military District Party Conference had a competitive delegates election. See Yazov in Table 3.\n\n\\textsuperscript{111} \\textit{Pravda}, 19 May 1990, p. 3.\n\n\\textsuperscript{112} \\textit{Pravda}, 2 June 1990, p. 3.\n\n\\textsuperscript{113} \\textit{Pravda}, 9 June 1990, p. 3.\n\nconcern that 48 per cent of delegates would be full-time party workers, and that less than 7 per cent would be workers and peasants.\\textsuperscript{114}\n\n2. The Establishment of the Communist Party of the Russian Soviet Federal Socialist Republic\n\nBefore considering the result of the delegates’ election, let us trace the process of the establishment of the Communist Party of the Russian Soviet Federal Socialist Republic.\\textsuperscript{115} The idea of a Russian party dates back to September 1989 when the CC plenum on nationality issues took place. This plenum’s platform proposed to examine the possibility of the foundation of a Russian ‘conference’ in which the republican issues would be discussed.\\textsuperscript{116} This led to the idea to revive the Russian bureau that had existed under Khrushchev, which the Politburo decided to propose to the CC plenum on 8 December 1989,\\textsuperscript{117} and the December CC plenum agreed to its foundation.\\textsuperscript{118}\n\nNonetheless, the Russian bureau was not active: Up to the Russian conference, it had only three meetings (15 January, 3 April, 9 June).\\textsuperscript{119} The first meeting was devoted to a consideration of the economic sovereignty of Russia and the matter of republic and local soviet elections.\\textsuperscript{120} The March CC plenum decided to hold a Russian party conference, at which the same delegates who were elected for the 28\\textsuperscript{th} all-union Party Congress were to participate, and\n\n\\begin{footnotesize}\n\\begin{itemize}\n\\item[\\textsuperscript{114}] \\textit{Moskovskie Novosti}, 1990, No. 24 (17 June), p. 9.\n\\item[\\textsuperscript{115}] For details of this process, see Toshihiko Ueno, ‘Sorenpokyosanto Dai28kaitaikaiwo’.\n\\item[\\textsuperscript{116}] \\textit{Materialy Plenuma Tsentral’nogo Komiteta KPSS: 19-20 sentyabrya 1989 g}. (Moskva: Politizdat, 1989), p. 225. The author must use the word ‘conference’ here because at that time the establishment of the Russian party organisation was uncertain. There was still some possibility that the Russian party ‘conference’ became a just coordinating place of lower party organs. After the establishment of CP RSFSR was decided, the conference was to become a ‘congress’.\n\\item[\\textsuperscript{117}] TsKSD, f. 89, p. 9, d. 85.\n\\item[\\textsuperscript{118}] \\textit{Materialy Plenuma Tsentral’nogo Komiteta KPSS: 9 dekabrya 1989 g}. (Moskva: Politizdat, 1989), pp. 37-38.\n\\item[\\textsuperscript{119}] \\textit{Izvestiya TsK KPSS}, 1990, No. 9, p. 24.\n\\item[\\textsuperscript{120}] TsKSD, f. 89, p. 23, d. 28.\n\\end{itemize}\n\\end{footnotesize}\n\nthe CC plenum entrusted the Russian bureau to form the preparatory committee for the Russian conference.\\textsuperscript{121} The second meeting of the Russian bureau approved the establishment of a preparatory committee of the Russian party conference, which consisted of 87 members.\\textsuperscript{122} Because no Russian bureau meeting was held until 9 June, which was just before the Russian party conference, the real preparatory work was carried out by the preparatory committee rather than the Russian bureau. The preparatory committee pressed the party leadership for the establishment of the Russian Communist Party.\n\nOther movements toward the Russian party became active. On 22-23 April the Committee of the United Front of Workers of Russia, a conservative fraction in the party, held a congress to discuss the formation of a Russian Communist Party. Participants criticised \\textit{perestroika} and demanded dismissing the leadership, including Ligachev who was known as a conservative.\\textsuperscript{123} Ligachev himself supported the foundation of a Russian Communist Party, though he added the necessity to keep the CPSU framework and party unity.\\textsuperscript{124} Ligachev was, according to Gorbachev, the strongest proponent of its foundation in the central leadership.\\textsuperscript{125}\n\nGorbachev states in his memoirs that he was worried that the Russian party might become a base for anti-reform groups to fight against the CC CPSU.\\textsuperscript{126} The precise time when Gorbachev finally decided to establish the CP RSFSR was at the Politburo meeting on 3 May. At the beginning of this meeting Gorbachev appeared reluctant to establish the Russian party. He mentioned the possibility that the Russian party would dominate the CPSU, given its\n\n\\begin{footnotesize}\n\\begin{enumerate}\n\\item[\\textsuperscript{121}] \\textit{Materialy Plenuma Tsentral'nogo Komiteata KPSS: 11, 14, 16, marta 1990g.}, p. 188.\n\\item[\\textsuperscript{122}] \\textit{Izvestiya TsK KPSS}, 1990, No. 5, pp. 14-19.\n\\item[\\textsuperscript{123}] \\textit{RL/Report on the USSR}, Vol. 2, No. 18 (May 4, 1990), p. 28. (TASS, April 22; Independent, April 23)\n\\item[\\textsuperscript{124}] \\textit{RL/Report on the USSR}, Vol. 2, No. 21 (May 25, 1990), p. 21. (Pravda, May 12)\n\\item[\\textsuperscript{125}] Mikhail Gorbachev, \\textit{Zhizn' i Reformy}, Vol. 1, p.531; Gorubachofu, \\textit{Gorubachofu Kaisoroku, Jo}, p. 684; Gorbachev, \\textit{Memoirs} (London: Transworld Publishers, 1996), p. 352.\n\\item[\\textsuperscript{126}] Gorbachev, \\textit{Zhizn' i Reformy}, Vol. 1, p.531; Gorubachofu, \\textit{Gorubachofu Kaisoroku}, Jo, p. 684; Gorbachev, \\textit{Memoirs}, p. 352.\n\\end{enumerate}\n\\end{footnotesize}\n\npredominant size.\\textsuperscript{127} However, many of the participants supported the establishment. Manaenkov,\\textsuperscript{128} Ligachev,\\textsuperscript{129} Gumer Usmanov, CC secretary,\\textsuperscript{130} Aleksandr Vlasov, chairman of the RSFSR council of ministers and a Politburo member,\\textsuperscript{131} Egor Stroev, CC secretary and a Politburo member,\\textsuperscript{132} Girenko, CC secretary,\\textsuperscript{133} and Yurii Maslyukov, chairman of Gosplan and a Politburo member,\\textsuperscript{134} and Primakov,\\textsuperscript{135} all basically supported the creation of the Russian party. Medvedev,\\textsuperscript{136} Ryzhkov,\\textsuperscript{137} and Boris Pugo, chairman of Party Control Committee and a candidate member of the Politburo,\\textsuperscript{138} thought there was no choice but to create the Russian party. Vitalii Vorotnikov, chairman of the Presidium of RSFSR Supreme Soviet and candidate member of the Politburo,\\textsuperscript{139} and Lev Zaikov, CC secretary and a Politburo member,\\textsuperscript{140} were neutral. Yakovlev,\\textsuperscript{141} and Frolov\\textsuperscript{142} were a little negative. Given such a situation, Gorbachev judged that he could not resist the demand for the creation of the Russian Party.\\textsuperscript{143}\n\nThe last meeting of the Russian bureau (9 June) mainly discussed, firstly, the social composition of the delegates to the Russian conference/congress, secondly, the date-schedule, thirdly, the naming of the Russian party. Gorbachev expressed alarm that the ratio of party workers among delegates had once amounted to 48-50 per cent and that it decreased by 44 per cent by the time of the meeting. Because such high representation of party workers was\n\n\\begin{itemize}\n\\item \\textsuperscript{127} TsKhSD, f. 89, p. 42, d. 28, p. 10.\n\\item \\textsuperscript{128} Ibid., p. 9.\n\\item \\textsuperscript{129} Ibid., p. 12.\n\\item \\textsuperscript{130} Ibid., pp. 12-13.\n\\item \\textsuperscript{131} Ibid., p. 13.\n\\item \\textsuperscript{132} Ibid., p. 14.\n\\item \\textsuperscript{133} Ibid., p. 17.\n\\item \\textsuperscript{134} Ibid., p. 22.\n\\item \\textsuperscript{135} Ibid., p. 26.\n\\item \\textsuperscript{136} Ibid., p. 20.\n\\item \\textsuperscript{137} Ibid., p. 20.\n\\item \\textsuperscript{138} Ibid., p. 25.\n\\item \\textsuperscript{139} Ibid., p. 15.\n\\item \\textsuperscript{140} Ibid., p. 18. Zaikov neither supported nor criticised the idea of a Russian party itself.\n\\item \\textsuperscript{141} Ibid., p. 15.\n\\item \\textsuperscript{142} Ibid., p. 24.\n\\item \\textsuperscript{143} Ibid., p. 29.\n\\end{itemize}\n\nunacceptable, it was proposed to invite 200 workers and peasants to the Russian party conference and 350 to the all-union party congress.\\textsuperscript{144} It was also proposed by Usmanov that some guests from other union republican parties be invited.\\textsuperscript{145} As to the schedule, the conference/congress was to take place in two stages. The problem was whether or not at the first stage the conference/congress would elect the Central Committee of the Russian party. Gorbachev proposed to elect only the first secretary at the first stage, and to elect the CC after the all-union congress, that is, at the second stage.\\textsuperscript{146} Concerning the naming, it was expressed that communists from the Chechen-Ingush organisations thought the name should be Communist Party of Russian \\textit{Federation} or RSFSR rather than Russian Communist Party. Prokof’ev also stated that the name should be the Communist Party of the RSFSR.\\textsuperscript{147}\n\nFinally the day of the Russian party conference arrived.\n\n\\section*{3. The Social Composition of Delegates to the Russian Conference and the 28\\textsuperscript{th} Party Congress}\n\nThe Russian conference/congress began on 19 June 1990. The number of delegates was 2768 in total. Most of the delegates were elected from single mandate electoral districts (2020 in number or approximately 73 per cent). From multi-mandate districts were elected 257 delegates (9.3 per cent) and from the various party conferences, 491 delegates (17.7 per cent) were elected.\\textsuperscript{148} Thus, the party conference did not filter the delegates very much, though, as we have seen, some critics of the electoral procedure had been afraid of this. Nonetheless, the social composition of delegates showed a large increase of party secretaries in comparison with the 27\\textsuperscript{th} Party Congress and the 19\\textsuperscript{th} all-union Party Conference as Table 4-1 shows. In particular,\n\n\\begin{footnotesize}\n\\begin{itemize}\n\\item[\\textsuperscript{144}] TsKhSD, f. 89, p. 23, d. 29, p. 4.\n\\item[\\textsuperscript{145}] Ibid., p. 13.\n\\item[\\textsuperscript{146}] Ibid., p. 16. See also TsKhSD, f. 89, p. 8, d. 72.\n\\item[\\textsuperscript{147}] TsKhSD, f. 89, p. 23, d. 29, p. 22.\n\\item[\\textsuperscript{148}] \\textit{Pravda}, 21 June 1990, p. 3.\n\\end{itemize}\n\\end{footnotesize}\n\nthe ratio of okrug, raion and city party committees secretaries rose enormously.\\textsuperscript{149}\n\nWhy did the election result in such a high level of representation of party workers? Some argue that this was a result of the apparat’s mobilisation. Gorbachev states in his memoirs about this result, ‘The conference and, of course, the congress [of CP RSFSR] turned into forums of party functionaries of mainly raion and city teams. This was the result of elections in the process of which party apparatchiki organised vigorous pressure to simply make themselves delegates.’\\textsuperscript{150} According to Hahn, the preparatory committee of the Russian conference was the main machine of apparat mobilisation. He says the committee was ‘the traditional apparat filter intended to control the delegate election process from Moscow and ensure that party apparatchiki dominated the RCP conference.’\\textsuperscript{151}\n\nThis argument, however, needs some qualification. If the preparatory committee had been the only filter, the ratio of apparat among delegates would have been much higher in Russia than in other union republics. For comparison, it is necessary to investigate the social composition of delegates to the 28\\textsuperscript{th} all-union Party Congress.\\textsuperscript{152} The 28\\textsuperscript{th} congress of the CPSU took place from 2 July to 13 July. The number of delegates was 4683 in total. The social composition of delegates to the congress shows that fewer full-time party workers came from other union republics. Party workers accounted for 40.7 per cent. In the Russian republic the party workers ratio was certainly higher (42.3 per cent) than that of other republics (38.3 per\n\n\\textsuperscript{149} Incidentally, at the 28\\textsuperscript{th} Party Congress, Razumovskii was not elected CC secretary or a Politburo member. In addition, he had not been a member of the Presidential Council. Thus, his political life finished at the 28\\textsuperscript{th} Party Congress. It may be partially because of the result of the report and election campaign and the delegate elections to all-union party congress and the Russian conference, with which Gorbachev was obviously dissatisfied.\n\n\\textsuperscript{150} Gorbachev, \\textit{Zhizn’ i Reformy}, Vol. 1, p.533; Gorubachofu, \\textit{Gorubachofu}, Jo, p. 686; Gorbachev, \\textit{Memoirs} does not have the corresponding sentences.\n\n\\textsuperscript{151} Gordon Hahn, \\textit{Russia’s Revolution from Above, 1985-2000: Reform, Transition, and Revolution in the Fall of the Soviet Communist Regime} (New Brunswick, N.J.: Transaction Publishers, 2002), pp. 137-138.\n\n\\textsuperscript{152} \\textit{XXVIII s”ezd Kommunisticheskoi Partii Sovetskogo Soyuza: stenograficheskii otchet}, Vol. 1, (Moskva: Politizdat, 1991), pp. 182-184.\n\nThus, the mobilisation of the party apparat by preparatory committee of the Russian conference may have taken place.\n\nNonetheless, what was the apparat’s method of mobilisation is not clear. One might expect that the party conference that elected the delegates became a filter because the delegate elections at the conference were, as we have seen in Table 4-3, frequently non-competitive. However, this is not the case. As Table 4-1 shows, at the 28th Party Congress the delegates from single mandate electoral districts were 2968 (63.4 per cent). From multi-mandate districts 497 delegates (10.6 per cent) were elected. From the various party conferences 26 per cent (1218 in number) of delegates were elected. This means that in the union republics except for Russia, more delegates were elected from party conferences and fewer delegates were from single mandate electoral districts, though in these republics the representation of party workers was lower than in Russia. Thus, it is not possible to conclude that the party conferences that elected the delegates became the method of filter or mobilisation, even if some critics of the delegate electoral procedure had expected so.\n\nPerhaps, contrary to the critics’ expectation, the single mandate electoral district method was more favourable to lower level party workers. As Table 4-3 shows, the delegate electoral district (single mandate) consisted of one or two raions. This might have been better for party workers to exercise their influence. In addition, lower party workers had replaced old party workers in reports and elections since 1988 and had been newly elected. It was natural that such newly elected party workers became delegates.\n\nMoreover, the 38.3 per cent representation of party workers in other union republics than Russia is high enough to assume that the same logic worked everywhere, which helped party workers in general to advance. As discussed above (see VIII-1-(b)), we can add the\n\n---\n\n153 The figure 38.3 per cent was calculated by the following way: {Total party workers to the 28th party congress (1905)-Party workers to the Russian conference (1171)}/{total delegates to the 28th party congress (4683)-total delegates to the Russian conference (2768)}\n\nfollowing points that influenced the delegates’ election. Firstly the CC open letter obstructed the Democratic Platform and its potential supporters. This was shown by the fact that the representation of intellectuals, who we may assume were the main component of Democratic Platform supporters, did not increase. Secondly, party workers’ manoeuvring or ‘apparat games’ certainly took place. Thirdly, the workers and peasants were passive in the process. Thus, the elections to the Russian conference/congress and the 28th Party Congress resulted in a high level of representation of party workers.\n\nHowever, it is a different matter to think that most party workers were conservative, which is assumed by many researchers. To investigate this is the task in the next sections.\n\n4. The Election of First Secretary of the CP RSFSR\n\nOn 22 June the election of first secretary of CP RSFSR took place on an alternative basis. Valentin Kuptsov, head of the CC department on Work with Social and Political Organisations, was recommended by Gorbachev.\\(^{154}\\) Other major candidates were Ivan Polozkov, first secretary of Krasnodar kraikom, and Oleg Lobov, second secretary of the Armenian CP.\\(^{155}\\) At the first election none of the candidates received enough votes. Only 343 delegates voted for Kuptsov and 2278 votes were against him. Votes for Polozkov were 1017 and 1604 votes were against him. Votes for Lobov were 848 and 1773 votes were against him.\\(^{156}\\) So a run-off election had to be held between Polozkov and Lobov. The final result was that Polozkov won a majority against Lobov (1396 versus 1066).\\(^{157}\\)\n\nThis was a difficult result for the all-union party leadership and was interpreted as the party apparat’s conservative resurgence by many researchers. Nonetheless, the difficulty was not\n\n\\(^{154}\\) Gorbachev, *Zhizn’ i Reformy*, Vol. 1, p.536; Gorubachofu, *Gorubachofu*, Jo, p. 691.\n\n\\(^{155}\\) Probably Lobov was one of guests from other union republican parties.\n\n\\(^{156}\\) *Uchreditel’nyi s”ezd Kommunisticheskoi Partii RSFSR: Stenograficheskii Otchet*, Vol. 2 (Moskva: Politizdat, 1991), pp. 169-170.\n\n\\(^{157}\\) *Ibid.*, p. 187. Incidentally, Gorbachev mistyped votes for Lobov as ‘1056’. See Gorbachev, *Zhizn’ i Reformy*, Vol. 1, p.538; Gorubachofu, *Gorubachofu*, Jo, p. 692.\n\nonly because Polozkov was a well-known conservative figure, but also because Kuptsov, the very person recommended by the leadership, lost. He did not go even to the run-off. This was the meaning of a competitive party election. As had already happened at oblast' level, once competitive party elections took place, the centre could not interfere in the process any longer. This very thing happened in the largest and most important union republic. Organisational disarray was accelerated. In a sense, this was the climax of competitive party elections.\n\nWas this, however, a conservative resurgence? To some degree, the answer must be positive. Still Polozkov did not win with an overwhelming majority. If every party worker had been conservative in ideological terms, Polozkov could have won with a first-round majority. The crucial factor appears to have been an anti-centre feeling among communists. It seems that they voted against the party leadership rather than for 'conservatives', that is, they preferred not electing Kuptsov to electing Polozkov. As we have seen, at least at the PPO level report-and-election campaigns had been taking place more or less on an alternative basis since 1988. It is not unlikely that while newly elected PPO secretaries felt responsible to their electorates, they were frustrated by their limited influence on the general party affairs, on the course of events, and on the party leadership. The debate at the 28th Party Congress will show this in the next section.\n\n5. Controversy over Party Renewal at the 28th Party Congress\n\nOn 5 July 1990, the 28th Party Congress held section meetings. The largest section was 'Renewal of the Party', which became a place of stormy debates.\\textsuperscript{158} More than 1230 delegates participated in the section. The main speakers were Polozkov as chairman, Pugo, and Manaenkov.\n\nHowever, ordinary participants were more vocal than the main speakers. The\n\n\\textsuperscript{158} For the fullest discussion on this section, see Stephen White, 'The Failure of CPSU Democratization', \\textit{The Slavonic and East European Review}, Vol. 75, No. 4 (October 1997).\n\ntraditional way of chairing did not work any more from the beginning. Many participants tried to shorten the time of Pugo and Manaenkov’s speech.\\textsuperscript{159} In addition, due to participants’ pressure, representatives of the mass media were allowed to enter.\\textsuperscript{160}\n\nThe main points of debates in the section were the status of PPOs, vanguard or parliamentary party, democratic centralism, fractions within the party, and renewal of the party leadership. Many rather radical proposals were presented by various people. A construction engineer demanded that PPOs decide the structure of raikoms, gorkoms, and obkoms; that PPOs keep 80 per cent of collected membership dues; and that the Central Committee should consist of about 200 people and become a full-time organ. If such proposals were going to be approved, and if the minority’s opinion was to be taken into consideration, democratic centralism could be supported.\\textsuperscript{161} According to the head of the military of the North West military border, the crucial problem was the widening gulf between the leadership and party masses.\\textsuperscript{162} The party secretary of Ivanovo energy institute stated that the CPSU had not become a ‘political party’ in a real sense to the present day; the party should become a parliamentary, rather than vanguard, party.\\textsuperscript{163} The party secretary in the central construction bureau of ocean mechanics in Leningrad said that neither the conference nor the congress but the Central Committee decided the most important questions.\\textsuperscript{164} An energy worker from Krasnoyarsk krai demanded to examine first secretaries at all levels and to change the name ‘democratic centralism’ to ‘general democratic\n\n\\textsuperscript{159} Rossiiskii Gosudarstvennyi Arkhiv Sotsial’no-Politicheskoi Istorii (RGASPI) fond (f.) 582, Opis’ (O.) 6, ed. khr. 16, pp. 4-5.\n\n\\textsuperscript{160} Ibid., p. 10.\n\n\\textsuperscript{161} Ibid., p. 16. Hereafter the author intentionally introduces various reformers’ speeches without organising the contents, because the author thinks these very assertive but not organised at all views were a main feature in this section meeting. In addition, the author does not mention speaker’s name if they are not a high rank person, because it seems to me that it is not important to denote worker or PPO secretaries’ names in this context.\n\n\\textsuperscript{162} Ibid., p. 19.\n\n\\textsuperscript{163} Ibid., pp. 21-22. ‘Party secretary’ hereafter in this section denotes a PPO or workshop party organisation secretary, if not specifically noted.\n\n\\textsuperscript{164} Ibid., p. 27.\n\ncentralism'.\\textsuperscript{165} The head of the military history institute of the Defence Ministry stated that if a party referendum would not act as before, they would face the risk of degeneration into a ‘secretaries’ party’.\\textsuperscript{166} The deputy head of the faculty of Novosibirsk higher military political school proposed to elect congress delegates by secret, competitive, and direct ballot; but he denied other platforms and fractions except for the CC platform.\\textsuperscript{167} The general director of a science-production combine from Moscow called for the renewal of 90 per cent of the party leadership and to change the raikom and gorkom plenum into the council of PPO secretaries.\\textsuperscript{168} The head of a department of scientific research institute in Moscow said, ‘maybe … the CPSU—this is the PPOs. PPOs are the very party, not its basis,’ and he proposed to change the name ‘democratic centralism’ to ‘democratic unity’.\\textsuperscript{169} The party secretary of a chemical factory asked for the election, from below, from PPO secretaries to the General Secretary on an alternative basis.\\textsuperscript{170} The party secretary of a trust from Kazakhstan asked to elect the Central Committee from electoral districts.\\textsuperscript{171} The party secretary of a metallurgy production combine proposed to abolish the obkom apparat, leaving the raikom and republican party apparat.\\textsuperscript{172} The head constructor of a production combine in Khar’kov said, ‘millions of communists … are not attracted because they do not have any influence on party policy making.’\\textsuperscript{173} A party veteran of Oktyabr’ raion of Moscow city supported the idea of the council of PPO secretaries and shrinking the raikom apparat.\\textsuperscript{174} The party secretary of Orekhovo-Zuevo cotton spinning combine in Moscow oblast’ asked that PPOs could retain 80 per cent of collected membership\n\n\\textsuperscript{165} Ibid., p. 28.\n\n\\textsuperscript{166} Ibid., p. 33.\n\n\\textsuperscript{167} Ibid., p. 36.\n\n\\textsuperscript{168} Ibid., p. 40.\n\n\\textsuperscript{169} Ibid., pp. 44-45.\n\n\\textsuperscript{170} Ibid., p. 54.\n\n\\textsuperscript{171} Ibid., p. 61.\n\n\\textsuperscript{172} Ibid., p. 63.\n\n\\textsuperscript{173} Ibid., p. 64.\n\n\\textsuperscript{174} Ibid., p. 66.\n\ndues.\\textsuperscript{175} M. A. Mukhametov, first secretary of Sibai gorkom in Bashkir ASSR, proposed to create a horizontal structure in the party.\\textsuperscript{176} The deputy party secretary of Ural polytechnic institute demanded a series of rights for PPOs: to decide the PPO structure by itself, to summon electoral organs, to stop implementing the central decisions that do not seem appropriate for PPOs, to elect party congress and conference delegates, to call referendums at the raikom level, and to retain 75 per cent of collected membership dues.\\textsuperscript{177}\n\nFrom these speeches it is obvious that many participants, including PPO secretaries, were reform-oriented. In addition, that their frustration came from their limited influence on the entire party policy, state of affairs, and the leadership is clear too. It should be remembered that the party was not necessarily a citadel of conservatives.\n\nNonetheless, it is also impressive that they were frustrated individually. That is, though their demands certainly had some common elements, they did not organise them beforehand. For example, some demanded that PPOs could keep at least 50 per cent of membership due, others demanded 75 per cent and others 80 per cent. Thus, the final decisions at the party congress inevitably became the product of compromise.\n\n\\textbf{6. Elections at the 28\\textsuperscript{th} Party Congress}\n\nBefore seeing some congress resolutions, let us consider elections at the party congress. The 28\\textsuperscript{th} Party Congress held some elections, including General Secretary, deputy General Secretary, the Central Committee. Although the General Secretary election was certainly competitive, the candidate other than Gorbachev was less well-known, therefore it cannot be said that this election was important (nonetheless it should be remembered that\n\n\\textsuperscript{175} Ibid., p. 73.\n\\textsuperscript{176} Ibid., p. 76.\n\\textsuperscript{177} Ibid., pp. 77-78.\n\nGorbachev received 1116 ‘against’ votes). An important election was that of deputy secretary. The main candidates were Ligachev and Ivashko. The result was a little surprising. Ivashko got 3109 positive votes and 1309 against votes. Ligachev received only 776 positive votes and 3642 delegates voted against him. This was a humiliating defeat for Ligachev. If all party workers had been conservatives, Ligachev, a famous conservative figure, would have won. Here we can recognise again that congress delegates were not necessarily ‘conservative’ but anti-centre or anti-current leadership. This can be understood from the fact that a radical proposal to directly elect the Politburo and Secretariat from the party congress rather than from the Central Committee was rejected by a very narrow margin of 87 votes (1959 delegates voted for and 2046 were against).\n\nThe new Central Committee was elected by a rather complicated but not competitive procedure. The General Secretary and his deputy were ex officio members. For electing other members, two lists were prepared by the leadership. The first list included 311 members, in which five members were allocated for each union republic and further seats were filled by representatives for each 100,000 of their membership. The second list was a ‘central list’, which elected 99 members. The second list originally included 85 members but was supplemented at the congress. The congress approved these lists. In the end, the new central committee consisted of 412 members. The turnover rate was remarkable. Almost 90 per cent of its members were newcomers. Local and PPO level party officials, intellectuals and workers increased their representations. The younger generation was co-opted. Women’s representation increased. More nationalities were represented. Nonetheless, this was not the Central Committee that\n\n---\n\n178 XXVIII s’ezd Kommunisticheskoi Partii, Vol. 2, p. 295.\n179 Ibid., p. 391.\n180 Ibid., p. 173.\n181 Izvestiya TsK KPSS, 1990-8, p. 3; Evan Mawdsley and Stephen White, *The Soviet Elite from Lenin to Gorbachev: The Central Committee and its Members, 1917-1991* (Oxford: Oxford University Press, 2000), pp. 203-204.\n182 Ibid., pp. 198-206.\n\nreformist party members wanted. It had not been elected on a competitive basis. The congress just modified and approved lists that had been prepared beforehand. In addition, the predominant majority had been determined by the first list. The congress could modify and supplement only the second list that included only 85 members originally. As Gorbachev said in his memoirs, ‘because the predominant part of future CC members were represented by delegates of union republics, the struggles for these posts had ended before the congress.’\\textsuperscript{183} This was a product of compromise like the congress resolutions that we will see in the next section.\n\n7. Decisions on the Competitive Election and Party Renewal\n\nThe 28\\textsuperscript{th} Party Congress approved the platform which turned into the ‘Programmatic Declaration’ and the new party Rules. Let me consider some points regarding party election and renewal.\n\nConcerning intra-party \\textit{nomenklatura}, the final decisions at the 28\\textsuperscript{th} congress called for the abolition of the nomenklatura approach.\\textsuperscript{184} The Programmatic Declaration stated, ‘In its cadre work, the party repudiates formalism and a nomenklatura approach;’ ‘The congress favours direct and, as a rule, contested elections of secretaries of party committees and delegates to party forums, with a secret ballot and the unrestricted nomination of candidates.’\\textsuperscript{185} The new party Rules also stated, ‘The party’s leadership [and] executive control bodies are elected. They\n\n\\begin{footnotesize}\n\\begin{itemize}\n\\item[183] Gorbachev, \\textit{Zhizn’ i Reformy}, Vol. 1, p. 561; Gorbachofu, \\textit{Gorbachofu}, Jo, p. 719.\n\\item[184] Regarding fractions, territorial base of primary party organisations, and departyisation of military force, the results were ambiguous. Though some of these issues will be treated in the next chapter, for more details see Stephen White, ‘Background to the XXVIII Congress’ and ‘The Politics of the XXVII Congress’, both in E. A. Rees ed., \\textit{The Soviet Communist Party in Disarray: The XXVIII Congress of the Communist Party of the Soviet Union} (London: Macmillan Press, 1992); Toshihiko Ueno, ‘Sorenpokyosanto Dai28kaitaikaiwo meguru Shomondai [Problems of the 28\\textsuperscript{th} Congress of the CPSU]’, \\textit{Hogakakenkyu}, Vol. 68, No. 2 (February 1995).\n\\item[185] \\textit{Pravda}, 15 July 1990, p. 3; \\textit{Current Digest of the Soviet Press} (CDSP), Vol. 42, No. 37 (1990), pp. 20-21.\n\\end{itemize}\n\\end{footnotesize}\n\nare elected by secret ballot. The ballot includes any number of candidates.\\textsuperscript{186} Thus, basically the reformers’ demand were realised on this point. Still, the word ‘favour’ and ‘as a rule’ were ambiguous. Thus, some problems were left.\n\nThe Programmatic Declaration rejected ‘democratic centralism in the form it took under the administrative-command system’. And the minority was given the right to uphold its view.\\textsuperscript{187} However, the new party Rules stated, ‘The CPSU lives and operates on the basis of ideological unity and party comradeship and the principle of democratic centralism’.\\textsuperscript{188} Again, this depended on one’s interpretation.\n\nAs to fractions, to organise ‘platforms’ was allowed by the Programmatic Declaration and the party Rules.\\textsuperscript{189} However, the creation of fractions was prohibited by the party Rules. No clear distinction between fractions and platforms was made. The ambiguity was not overcome, because these two documents, overall, were the products of compromise. The fact that the congress failed to approve the new party Programme was evidence in itself of its compromise nature.\n\nAfter the congress, the mass exodus of party members accelerated. Certainly some part of them left the party for pragmatic reasons. When the administrative function of the party was lost, joining the party was not a prerequisite of career promotion any more. It was natural for them to leave the party. Nonetheless, other part left because they were disappointed with the party reform. As we have seen, some delegates, including a number of party workers, were certainly reform-oriented. The compromising nature of the new Central Committee, the new party Rules, and the Programmatic Declaration did not satisfy such reformist party members.\n\n\\textsuperscript{186} \\textit{Pravda}, 18 July 1990, p. 1; \\textit{CDSP}, Vol. 42, No. 38 (1990), p. 15.\n\n\\textsuperscript{187} \\textit{Pravda}, 15 July 1990, p. 3; \\textit{CDSP}, Vol. 42, No. 38 (1990), pp. 20-21.\n\n\\textsuperscript{188} \\textit{Pravda}, 18 July 1990, p. 1; \\textit{CDSP}, Vol. 42, No. 38 (1990), p. 15.\n\n\\textsuperscript{189} \\textit{Pravda}, 15 July 1990, p. 3; \\textit{CDSP}, Vol. 42, No. 38 (1990), pp. 21; \\textit{Pravda}, 18 July 1990, p. 1; \\textit{CDSP}, 42-38 (1990), p. 16.\n\nIX. After the 28th Party Congress\n\n1. Party Elections after the 28th Party Congress\n\nAs mentioned above, the Programmatic Declaration and new Rules committed the party to competitive elections. In October 1990, the CC Secretariat published the draft instruction ‘On the Procedure of the Elections in the CPSU and Recall from the Composition of the Electoral Organs.’\\(^{190}\\) This instruction was revised and approved at the January joint CC and CCC plenum (1991) as part of the ‘Normative-Methodological Documents of the CPSU’.\\(^{191}\\) If these rules had been universally applied, all party elections should have been competitive.\n\nHowever, these were not universal at all. Though there is no systematic data on party elections after the party congress, it is possible to estimate how vigorous the competitive party elections were. Although in August 1990 two competitive obkom first secretary elections (Krasnodar and Ivanovo) were reported, these were only part of them.\\(^{192}\\) This tendency continued until August 1991. In particular, in 1991 competitive party elections became fewer.\\(^{193}\\) Some elections clearly mentioned their non-alternative basis.\\(^{194}\\) Thus, it is not possible to argue that competitive party elections entirely replaced appointment from above, despite the Programmatic Declaration and new party Rules.\n\n---\n\n\\(^{190}\\) *Pravda*, 30 October 1990, p. 3.\n\n\\(^{191}\\) *Materialy ob “edinennogo Plenuma Tsentral’nogo Komiteta i Tsentral’noi Kontrol’noi Komissii KPSS, 31 yanvarya 1991 g.* (Moskva: Politizdat, 1991), pp. 113-120; *Izvestiya TsK KPSS*, 1991, No. 3, pp. 19-22.\n\n\\(^{192}\\) See, *Pravda*, 5 August 1990, p. 3; *Ibid.*, 16 August 1990, p. 2.\n\n\\(^{193}\\) Though the author tried to see all obkom level election results in *Pravda*, the author cannot deny that he might have missed some results. Nonetheless, the basic tendency of rare competitive elections can be shown. On competitive party elections, see *Pravda*, 2 September 1990, p. 2; 12 September 1990, p. 2; 18 September 1990, p. 3; 23 September 1990, p. 2; 6 October 1990, p. 2; 12 October 1990, p. 3; 21 October 1990, p. 2; 21 October 1990, p. 1; 27 October 1990, p. 2; 28 October 1990, p. 4; 4 November 1990, p. 2; 25 November 1990, p. 2; 29 November 1990, p. 2; 1 December 1990, p. 4; 2 December 1990, p. 2; 9 December 1990, p. 2; 24 December 1990, p. 2; 21 February 1991, p. 2; 1 May 1991, p. 2; 3 June 1991, p. 2; 4 July 1991, p. 2; 12 August 1991, p. 2; 19 August 1991, p. 2.\n\n\\(^{194}\\) For example, see *Pravda*, 28 September 1990, p. 2; 15 August 1991, p. 2.\n\nIn addition, from these elections we can understand one more important issue: the reason first secretaries left their posts. The reason ‘in order to concentrate on the work of chairman of oblast’ soviet’ increased enormously.\\textsuperscript{195} When the party was deprived of its traditional administrative function, the post became less attractive for many first secretaries. Or, they could not understand the new function of the party as a ‘political party’.\n\n\\textbf{2. Intra-Party Nomenklatura}\n\nAs inferred from these insufficient electoral attempts, the implementation and interpretation of the abolition of intra-party \\textit{nomenklatura} were mixed. The abolition of the \\textit{nomenklatura} approach was, it seems, related only to non-party posts. The meeting of the Secretariat of 30 August 1990 stated that the CC CPSU would confirm only leading party workers and also leaders of printing organs, academic establishments and scientific institutions within the jurisdiction of the CC CPSU, while it agreed to abolish \\textit{nomenklatura} posts.\\textsuperscript{196} In October 1990, Oleg Shenin, CC Secretary, reported on the reduction of cadre posts examined by the CC CPSU from about 15 thousand to 2 thousand, which included what was mentioned as party workers and so forth.\\textsuperscript{197} Therefore, according to their interpretation, the intra-party \\textit{nomenklatura} would be retained. This can be recognised by the last \\textit{nomenklatura} list that was disclosed later. It was proposed by the CC Organisational department, and included 945 members who were responsible for personnel work (the CC CPSU, CC CP RSFSR, CCC (Central Control Commission) CPSU, and CCC CP RSFSR) as the first group. These posts were entirely subject to the confirmation of the Secretariat of the CC CPSU. In the second group, 1882 posts (first secretary and second secretaries of CC CP of union republic, secretaries of CP RSFSR, first secretaries of republican committees, kraikom, obkoms, gorkoms of Moscow, Kiev,\n\n\\textsuperscript{195} For example, see \\textit{Pravda}, 12 August 1990, p. 2; 25 August 1990, p. 2; 26 August 1990, p. 2; 2 September 1990, p. 2; 28 September 1990, p. 2; 10 April 1991, p. 2; 4 July 1991, p. 2.\n\n\\textsuperscript{196} \\textit{Pravda}, 30 August 1990, p.2.\n\n\\textsuperscript{197} \\textit{Izvestiya TsK KPSS}, 1990, No. 10, p. 6.\n\nand Tashkent, secretaries of all-army party committee, party committees of KGB, MVD internal troops and railway troops, and also workers of apparat of the CC CPSU, leaders of organs of party press, party scientific institutions and the Lenin museum) were included. In this group, 1502 posts were subject to the confirmation to the Secretariat of the CC CPSU, which excluded 42 posts of responsible workers of the CCC CPSU apparat and 338 posts of the apparat of the CC and CCC CP RSFSR from the total of 1882 posts. This excluded part was subject to inspection of the sector of recoding and analysis of cadres of the Organisational Department of the CC CPSU. Therefore, the subjects of the CC’s confirmation were 2447 (945+1502), which were a few more than the officially announced figure (about 2 thousand). As a result, this list suggests that, although the subject of the CC’s confirmation in the nomenklatura list did reduce in size and probably the appointments to these posts were to be confirmed ex post facto, many party posts were still under the jurisdiction of the nomenklatura list.\\footnote{TsKhSD, Fond 89, Perechen’ 20, Delo 77, List 3-4, 7. This Fond 89 list did not have full post list of the second group. Incidentally, Hahn’s account of this list includes misleading points. Firstly, he mistyped number of posts of the second group as 1182. Secondly, he does not distinguish Secretariat confirmation from the Organisational department’s confirmation. Thirdly, he states ‘Still subject to CC departments’ “confirmation” --- second secretaries and secretaries of partkomy from union republic level down to obkomy, of partkomy of the army and public organizations, heads of partkom departments from union republic down to okruzkhomy.’ See Hahn, \\textit{Russia’s Revolution from Above}, p. 393. However, it is not the case. These were in sixth group in the list, which ‘supposes the collection of brief directory-biographical information.’ See TsKhSD Fond 89, Perechen’ 20, Delo 77, List 5. In addition this sixth group included responsible workers in social organisations, national economy, means of mass information, and so forth, which Hahn does not mention. It is unlikely that the party could claim its control over these organisations in August 1991. The problem of party control over the state was discussed in Chapter 3.}\n\nmobilise its power so as to recover party unity. Shenin played the main part in this mobilisation.\n\nOn 3 December 1990, the CC Secretariat approved a decision ‘On the Orientation of Party Committees on the Questions of Strengthening the Organisational Work for the Stabilisation of Political and Economic Situation in corresponding with the Programmes of CC General Secretary, USSR President’. This decision attached a memorandum complaining of the situation in the party: ‘The organisational work and control of implementation are extremely weak and propaganda in local mass media is not widely developed;’ ‘in several regions, given decisions are practically left without attention.’ Thus, ‘CC Secretariat notes that … strict intra-party discipline, timeliness and consistency in implementation of targets acquire exceptional significance.’\\textsuperscript{199} In the draft of his speech at the meeting of first secretaries of union republican parties, republican parties, kraikoms, and obkoms, Shenin emphasised the interrelation of central and lower party organs. He stated, ‘It is necessary to organise the uninterrupted work of party structures at all levels within the limitation of the precisely defined responsibility of each level.’\\textsuperscript{200} The joint plenum of the CC and CCC in January 1990 approved the decision ‘On the Organisational and Political Strengthening of Party Organisations’. This decision mentioned ‘to reform the system of direct connection between the CC and party organisations.’\\textsuperscript{201} In July 1991, Shenin argued for the restoration of vertical relations in cadre work.\\textsuperscript{202} He was undoubtedly eager to recover the vertical structure of the party.\n\nOf course, it is not clear that his attempts were successful. It seems that centre-republic relations never recovered. In particular the Baltic parties increasingly became independent. On the other hand, centre-oblats’ relations in Russia would allow a mixed interpretation. Circumstantial evidence like uncompetitive party elections and the \\textit{nomenklatura} list seems to\n\n\\textsuperscript{199} TsKhSD, f. 89, p. 20, d. 13.\n\\textsuperscript{200} TsKhSD, f. 89, p. 23, d. 2, p. 22.\n\\textsuperscript{201} \\textit{Materialy ob’edinennogo Plenuma Tsentral’nogo Komiteta i Tsentral’noi Komissii KPSS: 31 yanvarya 1991 g.} (Moskva: Politizdat, 1991), pp. 109.\n\\textsuperscript{202} \\textit{Izvestiya TsK KPSS}, 1991, No. 7, p. 6.\n\nsuggest Shenin’s attempts to recover the vertical structure were somewhat successful.\n\n4. Reform Movements toward the 29th Extraordinary Party Congress\n\nWhile such attempts to recover the vertical structure were activated by the party apparat, reformist elements within the party kept trying to transform the party into a ‘political party’. The agendas important to reform from within were the new party Programme, and fractional or platform activity in the party.\n\nThe new party Programme had been discussed since the 28th Party Congress. After the CC plenum in July, the draft of the new Programme was published in August. This document was very social democratic or ‘democratic socialist’ in its language, rather than communist. It accepted some form of market economy, various political parties, plurality of political opinions.\\textsuperscript{203} The July CC plenum decided to summon an extraordinary party congress in November to December 1991, in which the new party Programme was to be approved.\\textsuperscript{204} Probably Gorbachev intended to split the party with reformist elements at the extraordinary party congress.\n\nAmong such reformist groups, the most progressive movement was the Democratic Movement of Communists, which was successor to the Democratic Platform that had fallen apart. It supported social democracy, some sort of market economy, and splitting the party. Though the Marxist platform was more moderate than the Democratic Movement of Communist, they expressed a willingness to cooperate.\\textsuperscript{205}\n\nMoreover, the first secretary of CP RSFSR, Polozkov, resigned in August. Kuptsov became the new first secretary. Because Polozkov had been under attack from both reformers and conservatives, his resignation itself did not give an advantage to reformers. Still the new\n\n\\textsuperscript{203} \\textit{Pravda}, 8 August 1991, pp. 3-4.\n\\textsuperscript{204} \\textit{Pravda}, 27 July 1991, p. 1.\n\\textsuperscript{205} For details see Dawn Mann, ‘Divisions within the Communist Party Intensify’, \\textit{RL/ Report on the USSR}, Vol. 3, No. 30 (July 26, 1991), pp. 4-5.\n\nfirst secretary Kuptsov was more reform-oriented.\n\nUnder such conditions, it is clear that there was some possibility to reform the CPSU from within. At least, one could recognise that there was a rather clear cleavage over the new party Programme. Still it was too late for Gorbachev to take an initiative. This does not necessarily mean that the August attempted coup put an end to the reform effort. Rather the party had dropped into an unprecedented crisis after the 28th Party Congress. Since 1990 the party had lost 4.2 million members. In the meantime, the party organisations were disintegrating, and the party apparat lost confidence in its activity as we have seen in the last chapter. Furthermore, the party faced a financial crisis and its property was fragmented, as we will see in the next chapter. Probably the ideal chance of reform was the 28th Party Congress. Why did Gorbachev fail? Let us consider it as a conclusion.\n\nX. Conclusion\n\nFrom our discussion above, it seems possible to understand why the party reform failed at the 28th Party Congress. Firstly conservative resistance to reform unquestionably existed. The election of Polozkov as CP RSFSR first secretary was shocking to the party leadership as well as ordinary party members. The mood created by Polozkov’s election led to a grave atmosphere at the beginning of the all-union party congress. The conservative reaction was undoubtedly a partial reason for the failure of party reform.\n\nSecondly, the weakness of the opposition outside the party did not encourage the reform movement within the party. In the Polish case (1980), the ‘Solidarity’ movement pressed party reformers to organise ‘horizontal structures’ and competitive party elections. In the Hungarian case (1989) the opposition was weaker than ‘Solidarity’, but, it seems, stronger than ‘Democratic Russia’. At least the opposition parties could seriously challenge the Hungarian Socialist Party, which led to its further reform. It is instructive that in Lithuania the communist\n\nparties split up and more reformist parts survived as a social democratic party (the Lithuanian Democratic Labour Party).\n\nThirdly we can see the weakness of the *organised* reform movement within the party. True, the Democratic Platform emerged. True, as we have seen, many communists, including PPO secretaries, were reform-oriented. Though their importance should be recognised, how well organised they were was far from clear. As we have seen, it is impressive that at the section of ‘renewal of the party’ at the 28th Party Congress, speakers were very assertive but did not form a united front at all. They offered a multiplicity of criticisms and proposals, but did not present a coherent alternative. In addition, it seems that ‘reformers’ in the party consisted of various kinds of people. While some were very radical, that is, seemed to try to transform the CPSU into a liberal-right wing party in a Western sense rather than a social democratic party, others were still loyal to ‘democratic socialism’. Moreover, such reformers as the Democratic Platform, in my impression, could not get rid of mutual suspicion. It is well known that so-called ‘Democrats’ at the time in general failed to form a collective identity.\\(^{206}\\) It seems that this was the case with the Democratic Platform as well. Therefore, the Democratic Platform fell apart quickly. It also lacked a clear leadership. A series of famous figures were certainly included in the Democratic Platform. Still they failed to make a united front. This was one of the reasons why so-called ‘Democrats’ failed to command a majority at the 28th Party Congress. Probably the only possible way to organise the reformers would have been if Gorbachev had provided the leadership.\n\nHowever, Gorbachev did not approach the reformers very much. There were two reasons. Firstly Gorbachev was personally very critical of the Democratic Platform, as we have seen (VIII-1-b). Secondly he had to manage the power vacuum. He might have had some chance to organise reformers at the 28th Party Congress. However, if Gorbachev had provided\n\n\\(^{206}\\) See M. Steven Fish, *Democracy from Scratch: Opposition and Regime in the New Russian Revolution* (Princeton: Princeton University Press, 1995), pp. 81-93.\n\nleadership for the reformers, the party would have split up and have lost its ties with the security organs. This was a too risky choice for Gorbachev, given the power vacuum that had been created by reform of the party apparat. As the author had argued in the last chapter, the Soviet political system went into the phase of the ‘power vacuum’ that was characterised by immobilism at the time of the 28th Party Congress. The Presidency established itself very slowly. Thus he did not have any other alternative power base than the party. If the party had split at the 28th Party Congress, the emerging chaotic situation might have become worse. It seems that this was a really hard decision for Gorbachev. He chose not to split the party, and this accelerated the rapid exodus from the party.\n\nThe attempts at party reform created unintended results --- ‘unintended’ if the hypotheses mentioned above (III) were the case. Thanks to party elections, local cliques became independent. The breakdown of old career patterns did not necessarily promote better ‘political’ cadres, and more democracy could not always resolve every problem. The party failed to become a political party and suffered organisational disarray.\n\nWhile, on the one hand, the party lost its traditional administrative functions, it failed to find new functions. In the end, the party lost its raison d’être. After the 28th Party Congress, the mass exodus of party members accelerated. The party lost nearly 4.2 million members between 1990 and the middle of 1991. This exodus had a serious impact on the future of the party (see Chapter 5). What, then, remained with the party? They were huge property assets and ties with security organs. We will investigate further the party finance and property in the next chapter and party-military relations in Chapter 6.\n\nTable 4-1: The Social Composition of the Delegates to the 27th Party Congress, 19th Party Conference, Founding Congress of Russian CP, and 28th Party Congress\n\n| The place of election | 27th congress (25 February-6 March 1986) | 19th conference (28 June-1 July 1988) | Founding congress of Russian CP (19-23 June, 4-6 September 1990) | 28th congress (2-14 July 1990) |\n|-----------------------|------------------------------------------|--------------------------------------|---------------------------------------------------------------|-------------------------------|\n| Single mandate electoral district | | | 2020 (73%) | 2968 (63.4%) |\n| Multi-mandate electoral district | | | 257 (9.3) | 497 (10.6) |\n| The party conferences | | | 491 (17.7) | 1218 (26) |\n| Ethnic groups | 72 | 72 | 47 | 63 |\n| Total number of delegates | 5,000 (100) | 5,000 (100) | 2,768 (100) | 4683 (100) |\n| New delegates (percentage of renewal) | 3,827 (76.5) | | | 3934 (84.0) |\n| Women | 1,352 (27.0) | 1,258 (25.2) | 173 (6.3) | 344 (7.3) |\n| Workers | 1,705 (34.1) | 1,638 (32.8) | 264 (9.5) | 543 (11.6) |\n| People engaged in industry, construction, transport, communication | 1,375 (27.5) | | 577 (20.8) | 1,005 (21.5) |\n| Workers in agricultural economy | 872 (17.4) | 866 (17.3) | 235 (8.5) | 483 (10.3) |\n| Kolkhoz members | | | 353 (12.8)? | 738 (15.8)? |\n| Economic leaders | | | 118 (4.3) | 255 (5.4) |\n| Leaders of productive and scientific-productive combines, enterprises, building, constructive organisations and engineer-technical service | 355 (7.1) | 354 (7.1) | 210 (7.6) | Approximately 17% (796 in number) |\n| Directors of sovkhoz | 80 (1.6) | 74 (1.5) | 60 (2.2) | |\n| Chairmen of Kolkhoz | 116 (2.3) | 108 (2.2) | 75 (2.7) | |\n| Scientific and creative Intellectuals | | 436 (8.7) | 245 (8.9) | 339 (7.2)? |\n| Writers, prominent artist, honoured teachers, doctors | 156 (3.1) | | | 392 (8.4) |\n| Workers of scientific and higher educational establishment | 114 (2.3) | 175 (3.5) | | |\n| Workers of education | | 93 (1.9) | | |\n| Workers of public health | | 41 (0.8) | | |\n| Workers of culture and art | | 69 (1.4) | 129 (4.7) | |\n| Workers of mass information | | 43 (0.9) | 34 (1.2) | 53 (1.1) |\n| Party workers | 1,074 (21.5) | 1,171 (42.3) | 1905 (40.7) |\n| Party activist in a broad sense | | | | |\n| Secretaries of the CC CPSU | | | | 12 (0.3) |\n| Secretaries of the CCs CPs of republics, kraikoms, obkoms | | 290 (5.8) | | 242 (5.2) |\n| Secretaries of kraikoms and obkoms | | | 97 (3.5) | |\n| Secretaries of okrugkoms, gorkoms, raikoms | 570 (11.4) | 537 (10.7) | 421 (15.2) | 1075 (22.9) |\n| Secretaries of agrarian raikoms | | | 250 (9.0) | |\n| Secretaries of PPOs, shop party organisations, party groups | 698 (14.0) | 762 (15.2) | | |\n| Secretaries of PPOs | | | 339 (12.2) | 486 (10.4) |\n| Heads and deputy heads of departments and instructors of party committees | | | 90 (1.9) | |\n| Workers of soviet, trade union, and komsomol organs | 682 (13.6) | 629 (12.6) | 336 (12.1)? | |\n\n| Workers in soviet | 305 (11.0) |\n|-------------------|------------|\n| Workers of trade union, komsomol, and other social organisations | 31 (1.1) |\n\n| Peoples’ deputies | 2,737 (58.4) |\n|-------------------|-------------|\n| Peoples’ deputies of the USSR | 113 (4.1) |\n| Peoples’ deputies of the union republics and autonomous republics | 516 (11.0) |\n| Peoples’ deputies of Russian republic | 126 (4.6) |\n| Peoples’ deputies of autonomous republics in Russian republic | 102 (3.7) |\n| Peoples’ deputies of locals soviets in Russian republic | 1,387 (50.1) |\n\n| Armed forces, ministry of internal affairs, KGB | More than 6% (281n) |\n|-----------------------------------------------|---------------------|\n| Armed forces | 183 (6.6) |\n\nSources: The 27th congress, Pravda, 28 February 1986, p. 5; XXVII s”ezd Kommunisticheskoi Partii Sovetskogo Soyuza: stenograficheskii otchet, Vol. 1 (Moskva: Politizdat, 1986), pp.268-271. The XIX conference, Pravda, 30 June 1988, p. 5; XIX Vsesoyuznaya konferentsiya Kommunisticheskoi Partii Sovetskogo Soyuza: stenograficheskii otchet vol. 1 (Moskva: Politizdat, 1988), pp. 132-134. The founding congress of Russian CP, Pravda, 21 June 1990, p. 3. The 28th congress Pravda, 5 July 1990, p. 4; XXVIII s”ezd Kommunisticheskoi Partii Sovetskogo Soyuza: stenograficheskii otchet, Vol. 1 (Moskva: Politizdat, 1991), pp. 182-184. The composition of party workers in the 28th congress, Izvestiya TsK KPSS, 1990, No. 8, p. 128. See also Toshihiko Ueno, ‘Sorenpokyosanto Dai28kaikaiiwō meguru Shomon dai [Problems of the 28th Congress of the CPSU]’, Hogakikenkyu, Vol. 68, No. 2 (February 1995), pp. 336-337.\n\n---\n\n1 This figure is ‘Workers’ plus ‘People engaged in industry, construction, transport, communication’ calculated by the author.\n2 This figure is ‘Workers’ plus ‘People engaged in industry, construction, transport, communication’ calculated by the author.\n3 This figure excludes ‘workers in mass information’ calculated by the author.\n4 This figure includes ‘Secretaries of PPOs, shop party organisations, party groups’ calculated by the author.\n5 This figure is calculated by the author from the sub-categories.\n\nTable 4-2: Results of the Report-and-Election Campaign (1988-1990)\n\n| | 1988 | 1989 | 1990 |\n|--------------------------------------|---------------|---------------|---------------|\n| Number of PPOs | 441578 | | |\n| PPOs which conducted elections | 441,531 (99.99%) | 158,505 | |\n| PPO secretaries elected in the report-election meetings | 441,531 | 163,261** | |\n| PPO secretaries elected from two or more candidates | 212,414 (48.81%) | 70,004 (42.9%) | |\n| PPOs which conducted election (in territorial party organisations) | 398,278 (100%)* | 310,133 (100%) | |\n| PPOs secretaries elected (in territorial party organisations) | 398,575* | 384009 | |\n| PPO secretaries elected from two or more candidates (in territorial party organisations) | 193,214 (48.5%)* | 136,498 (44.0%) | |\n\n*Izvestiya TsK KPSS, 1991-5 states both results of 1988 and 1990 report and election campaign. However, the 1988 result differs from the previously reported one in Izvestiya TsK KPSS, 1989-3. Though it is not clear why this happened, probably the later figures exclude PPOs directly subordinate to the CC CPSU (e.g. PPOs in military organs).\n\n**The number of elected secretaries was not the same as the one of meeting because of the changes of the structures of some party organisations in the course of reports and elections.\n\nSource: 1988: Izvestiya TsK KPSS, 1989, No. 3, p. 18; 1989: Izvestiya TsK KPSS, 1990, No. 2, p. 67; 1988* and 1990: Izvestiya TsK KPSS, 1991, No. 5, p. 70.\n\nTable 4-3: The Results of Delegate Elections of Party Leaders\n\n| Place of the election | Number of Candidates | Number of Voters | Number of Votes 'for' (%) | Number of Votes 'against' (%) |\n|-----------------------|----------------------|------------------|---------------------------|-------------------------------|\n| M. Gorbaichev | Frunze raion, Moscow city (single mandate) | 2 | 2953 | 1803 (61.3) | 1126 (38.1) |\n| L. N. Zaikov | Donetsk city, Tula oblast' (single mandate) | 3 | 4621 | 2833 (61.3) | 1777 (38.5) |\n| V. A. Ivashko | Solonynskii and Tomakovskii raions, Dnepropetrovsk oblast' (single mandate) | 2 | 3834 | 3681 (96.0) | 150 (3.9) |\n| V. Kryuchkov | Dzerzhinski raion, Moscow city (multi-candidate, 12 mandates) | 20 | 38840 | 30171 (77.7) | 8249 (21.2) |\n| E. K. Ligachev | Ivnyanskii and Prokhorovskii raions, Belgorod oblast' (single mandate) | 3 | 3576 | 2852 (79.8) | 708 (19.8) |\n| Yu. Maslyukov | Frunze raion, Moscow city (single mandate) | 3 | 3123 | 2032 (65.0) | 1061 (34.0) |\n| V. Medvedev* | Dokhtitskii Igel'skii raions, Vitebsk oblast' (single mandate) | 1 | 4448 | 4005 (90.0) | 441 (9.9) |\n| N. I. Ryzhkov | Leningradskii raion, Moscow city (single mandate) | 10 | 2493 | 1527 (61.3) | 898 (36.0) |\n| E. Shevardnadze | Kirovskii raion, Moscow city (single mandate) | 2 | 2838 | 2110 (74.4) | 693 (24.4) |\n| A. N. Yakovlev | Korosheski raion, Moscow city (multi-mandate, 6 mandates) | 65 | 16838 | 10670 (63.4) | 6051 (35.9) |\n| A. Biryukova* | The Kyrgyz Party Congress (37 mandates) | 37 | 937 | 867 (92.5) | 70 (7.5) |\n| A. V. Vlasov* | The Rostov Oblast' Party Conference (3 mandates) | 3 | 982 | 933 (74.6) | 249 (25.3) |\n| A. Luk'yanov* | Kardymovskii and Smolemskii raions, Smolensk oblast' (single mandate) | 1 | 3579 | 3438 (96.1) | 141 (3.9) |\n| E. Primakov* | Severo-Osetinsk Oblast' Party Conference (10 mandates) | 10 | 534 | 527 (98.7) | 7 (1.3) |\n| B. K. Pugo* | The Dushanbe City Party Conference (6 mandates) | 6 | 579 | 548 (94.6) | 30 (5.2) |\n| G. Razumovskyi | The Latvia Party Congress (16 mandates) | 29 | 404 | 347 (85.9) | 57 (14.1) |\n| D. T. Yazov | The Far East Military District Party Conference (10 mandates) | 13 | 528 | 496 (93.4) | 32 (6.0) |\n| O. D. Baklanov | Science Production Combine 'Yuzhno', Dnepropetrovsk oblast' (single mandate) | 2 | 3565 | 2855 (80.0) | 627 (18.9) |\n| A. N. Girenko | Genichskii raion, Kherson oblast' (single mandate) | 2 | 3473 | 2997 (86.3) | 476 (13.7) |\n| Yu. Manaenkov* | Volovskii raion, Lipetsk oblast' (single mandate) | 1 | 3026 | 2923 (96.6) | 103 (3.4) |\n| E. S. Stroev* | Dolzhanskii, Kolnyanskii, and Maloarkhangelskii raions, Orlov oblast' (single mandate) | 1 | 3461 | 3420 (98.8) | 41 (1.2) |\n| G. I. Usmanov | Chistopol city and Novosheshminskii raion, Tatar ASSR (single mandate) | 2 | 2713 | 2083 (76.8) | 619 (22.8) |\n| I. T. Frolov* | The Chelyabinsk Oblast' Party Conference (16 mandate) | 16 | 733 | 726 (99.0) | 7 (1.0) |\n\nV. N. Volotnikov and N. N. Slyunykov did not agree to participate in the delegate elections\nSource: *Glasnost*, 1990, No. 2 (21 June), p. 3.\n* The person was not elected by a competitive election\n\nChapter 5 Financial Crisis and Commercial Activities\n\nI. Introduction\n\nAfter the 28th Party Congress, Gorbachev more or less succeeded in depriving the CPSU of its administrative functions, but failed to transform the party into a ‘political party’ as we have seen in the previous chapters. Therefore, I have argued that ‘the party lost its raison d’être.’ However, as Ronald Hill argues, the party was not only an administrative organ, but also an economic actor.\\(^1\\) Its huge property assets and massive incomes from nearly 20 million party members made the party an economic actor distinguished from any other organisation in the Soviet Union. Certainly the party’s economic role needs further investigation.\n\nThis chapter analyses the disintegration of the CPSU from a budgetary perspective.\\(^2\\) Previous chapters have mainly focused on Gorbachev’s attempts at party reform, on personnel matters and institutional changes. The budget has been scarcely researched.\\(^3\\) However, in general, the budget is one of the keys to sustaining any organisation. A more detailed investigation is accordingly necessary to understand the disintegration of the CPSU.\n\nThe structure of the argument is as follows. Firstly, the process of budget formation is\n\n---\n\n\\(^1\\) See Ronald J. Hill, ‘The Communist Party and After’, in Stephen White, Alex Pravda and Zvi Gitelman eds., *Development in Soviet & Post-Soviet Politics* (London: Macmillan Press, 1992), p. 70; Ronald J. Hill, ‘The CPSU: Decline and Collapse’, *Irish Slavonic Studies*, Vol. 12 (1991), p. 101.\n\n\\(^2\\) The argument of this paper is mainly based on my previous article in Japanese. See Atsushi Ogushi, “Sorenkyosanto Hokkaikateito Yoinno Bunseki [The Analysis of the Process and the Cause of the CPSU Disintegration]”, *Roshihakenkyu [Russian Studies]*, Vol. 31 (October 2000). However, the earlier article included some misunderstanding. Therefore, I hope that my previous opinion on this topic should be replaced by this dissertation.\n\n\\(^3\\) Some exceptions that mention the financial aspects include Graeme Gill, *The Collapse of a Single Party System: The Disintegration of the Communist Party of the Soviet Union* (Cambridge: Cambridge University Press, 1994); Evan Mawdsley and Stephen White, *The Soviet Elite from Lenin to Gorbachev: The Central Committee and its Members, 1917-1991* (Oxford: Oxford University Press, 2000), esp. chapter 6; Gordon M. Hahn, *Russia’s Revolution from Above: Reform, Transition, and Revolution in the Fall of the Soviet Communist Regime* (New Brunswick: Transaction Publishers, 2002).\n\ndiscussed. I move on to consider the budget of the CPSU, then the origins of its financial crisis, and finally, the measures that were taken in an attempt to deal with the crisis.\n\nII. The Process of Budget Formation\n\nThe prerequisite to discussing the budget is an examination of its formation, which became an object of controversy in the party’s final years.\\(^4\\) Because the main income of the party budget was membership dues, let me primarily trace flows that were included. Figure 5-1 indicates these flows. It is clear that the Primary Party Organisations (PPOs) monthly collected membership dues from individual members and transferred the entire sum to a corresponding obkom or an equivalent party committee (e.g. kraikom). Obkoms distributed these funds and their own incomes (e.g. membership dues from PPOs directly supervised by obkoms, profits from regional party newspapers, and so forth) to raikoms and gorkoms within their territory and for their own use.\\(^5\\) In the Union republics which did not have oblast’ level organisations (e.g. the Baltic states), PPOs directly would transfer collected dues to the Central Committee of the Communist Party (CC CP) of the Union republic. All of this can be inferred from the draft ‘Instruction on the membership dues and financial economic activity of the CPSU’ which appeared in *Pravda* on 30 October 1990. Although this document was prepared to change the old way of budget formation, if we compare it with the final version, it seems that the draft followed the old practice. The draft states ‘Accepted sums of membership dues are fully passed … to establishments of saving banks … for their subsequent transfer to special current accounts of obkoms, kraikoms, autonomous republican committees and CCs CPs of Union republics\n\n\\(^4\\) Unfortunately, my research on this point is limited. The argument in this section includes inferences from fragmented information.\n\n\\(^5\\) See the statement of Gennadii Vesselkov, chairman of the permanent commission of Central Control Commission (CCC), ‘On Control for implementation of the budget of the CPSU and auditing of financial and economic activity’ at that time. *Pravda*, 8 January 1991, p. 3.\n\nThere is no reference to raikoms and gorkoms here. This statement was changed in the resolution adopted at the joint plenum of the Central Committee and Central Control Committee (CCC) in January 1991 as follows: 'Accepted sums of membership dues are passed ... to the establishments of saving banks ... for their subsequent transfer to the special or current accounts ... of corresponding party committees.' Therefore, the flow of money from PPOs to obkoms would be evident from what has been discussed above.\n\nAlthough it is more obscure at higher levels, it seems that the CCs of Union Republican party organisations deducted some income from obkoms and redistributed it among obkoms. So, it seems, did the CC CPSU, that is, the CC CPSU deducted part of the incomes from the CCs of Union republican party organisations, and in the territory of the RSFSR, from obkoms, since the RSFSR did not have its own party committee until 1990. This is suggested by the fact that Vladimir Ivashko, First Secretary of the Ukrainian CP at that time, reported to the 28th Congress of the Ukrainian CP that the Ukrainian party had transferred 48 million roubles in 1988 and 51 million roubles in 1989 to the CC CPSU. The amount of transfer, according to Ivashko, depended on the balance of the republican party's budget. It seems that the CC CPSU received more funds from well-developed party organisations like the Ukrainian and redistributed them to weaker party organisations, and so would the CC of Union republican party organisations do to obkoms within their republics. Nikolai Kruchina, Administrator of Affairs of the CC CPSU, stated at the 28th congress in July 1990 that the excess of income over expenditure of obkoms, kraikoms, and CCs CPs of union republics was transferred to the budget.\n\n---\n\n6 *Pravda*, 30 October 1990, p. 3 (article I. 11). Emphasis added.\n\n7 *Izvestiya TsK KPSS*, 1991, No. 3, p. 48 (article I. 11). Emphasis added.\n\n8 However, Alla Nizovtseva, deputy chairman of the Central Auditing Commission, stated in the 28th Party Congress, 'Some party organisations --- mainly PPOs but also gorkoms and raikoms --- announced their refusal to transfer (fully or partially) the collected party dues to the party committees' accounts.' *Pravda*, 4 July 1990, p. 4; *XXVIII s'ezd Kommunisticheskoi Partii Sovetskovo Soyuza: Stenograficheskii Otchet*, Vol. 1 (Moskva: Politizdat, 1991), p. 220. This may suggest some gorkoms and raikoms collected membership dues. Still, it seems that my argument is basically accurate.\n\n9 Hereafter I use the word 'obkom' includes its equivalents.\n\n10 *Pravda Ukrainy*, 26 June 1990, p. 4; FBIS Soviet Union, 1 August 1990, p. 79.\n\nof the CPSU and directed into subsidies for the party organisations which could not cover their expenditure from their own resources.\\textsuperscript{11} A memorandum on the budget of the CPSU prepared for the 28\\textsuperscript{th} Congress in the summer of 1990 indicates that some party organisations did not receive enough income to sustain themselves, and that the CC CPSU covered their deficit by a subsidies from its own funds and redistribution.\\textsuperscript{12}\n\nHowever, reported budgetary data did not show the redistribution. It was in fact impossible to recognise from the budget figures which party organisations received how much. This is because the CC CPSU compiled the figure of the budget from the sum of the Union republican parties and RSFSR obkoms without indicating redistribution. Let me provide a simplified example. If the CPSU had two Union republican parties, and if one republican party organisation’s total income was 100 roubles and expenditure 120 roubles, and another’s income 150 roubles and expenditure 130 roubles, then the CPSU’s income figure would be 250 (100+150) roubles plus its own income, and expenditure would be 250 (120+130) roubles plus its own expenditure. The CC CPSU might redistribute to cover the deficit of the former Union republican party, but it would not be shown in the budgetary figures. This method can be inferred from the fact that Kruchina presented the budget of Communist Parties of ‘Union republics’ rather than the CPSU as a whole at the joint plenum of the CC and Central Control Commission (CCC) that took place in January 1991. In addition, he stated that the budget of the CP RSFSR was calculated as the sum of the budgets of republican\\textsuperscript{13}, krais, and oblast party organisations together with expenditures to maintain the apparat of the CC and CCC RSFSR.\\textsuperscript{14} Accordingly, redistribution was not reflected in budget figures and the income of the CPSU was reported as total membership dues plus other incomes. The real figures will help to clarify these calculations.\n\n\\textsuperscript{11} \\textit{Pravda}, 5 July 1990, p. 5; \\textit{XXVIII s”ezd Kommunisticheskoi Partii Sovetskovo Soyuza} Vol. 1, p. 232.\n\n\\textsuperscript{12} \\textit{Izvestiya TsK KPSS}, 1990, No. 8, p. 91. An excerpt appeared in \\textit{Uchitel’skaya Gazeta}, 28 July 1990, p. 1.\n\n\\textsuperscript{13} At that time, ‘autonomous republics’ were called just ‘republics.’\n\nIII An Overview of the Budget of the CPSU in its Final Years\n\nIt is possible to investigate the budget of the CPSU in the late period very fully if not completely with sources that are now available. Of course, budget information had been an important topic at party congresses before perestroika.\\(^{15}\\) Nonetheless, the perestroika period was the first time this topic was politicised. In February 1989, *Pravda* published an article on the party budget as a response to readers’ letters, which itself indicated that the use of membership dues had become a politically important topic.\\(^{16}\\) In March 1990 Kruchina was interviewed on the budget. According to this interview, party income in 1989 was 2,568.9 million roubles and expenditure was 2,386.8 million roubles.\\(^{17}\\) Alla Nizovtseva, deputy chairman of the Central Auditing Commission, presented slightly different figures on the 1989 party budget to the 28\\(^{\\text{th}}\\) Party Congress, in which income was reported as 2,695.8 million roubles and expenditure was 2,279.2 million roubles.\\(^{18}\\) Though the reason this discrepancy occurred is not clear, these two accounts do at least made it clear that the party’s 1989 budget was in surplus.\n\nHowever, the financial situation became worse after that. One party archive document shows that a Politburo meeting held on 22 March 1990 discussed a cut in expenditure.\\(^{19}\\) Table 5-1 shows the budget plan of 1990 submitted to the 28\\(^{\\text{th}}\\) Party Congress.\\(^{20}\\) According to this, income would be about 2.7 billion roubles and expenditure about 2.1 billion roubles. Nonetheless, in this plan the problem of a deficit was not ignored; it stated that the sharp fall in\n\n---\n\n\\(^{14}\\) *Pravda*, 6 February 1991, p. 4.\n\n\\(^{15}\\) Ronald J. Hill and Peter Frank, *The Soviet Communist Party*, 3\\(^{\\text{rd}}\\) ed. (Winchester, Mass.: Allen & Unwin, 1986), p. 57.\n\n\\(^{16}\\) ‘Tainaya li kassa?’ *Pravda*, 10 February 1989, p. 3.\n\n\\(^{17}\\) *Pravda*, 12 March 1990, p. 3.\n\n\\(^{18}\\) *Pravda*, 4 July 1990, p. 4; *XXVIII s’ezd Kommunisticheskoi Partii Sovetskovo Soyuza* Vol. 1, p. 219 (income), p. 222 (expenditure).\n\n\\(^{19}\\) Tsentr Khraneniya Sovremennoi Dokumentatsii (TsKhSD), fond (f.) 89, perechen’ (p.) 9, delo (d.) 88, page (p.) 1.\n\n\\(^{20}\\) As tables 5-1, 5-2, 5-3, 5-4, 5-5 show, the details of the budget of 1990 were changed several times.\n\nincome that had already occurred would lead to a deficit of 1.6 billion roubles.\\textsuperscript{21} The problem is whether or not the plan was correctly fulfilled. It is possible to trace the process of implementation through party documents. Table 5-2 shows the implementation for a half-year period.\\textsuperscript{22} This indicates that during the first half of 1990 the plan was fulfilled relatively well, though Kruchina mentioned the decrease in income from membership dues.\\textsuperscript{23} Taking into account the fact that the mass exodus from the party accelerated after the 28\\textsuperscript{th} congress, one might assume that the plan had worked well during its first year. The final implementation is shown in table 5-3. First of all, it is necessary to notice that the plan itself was modified: the income target of 1990 was significantly reduced from about 2.7 billion roubles to 2.36 billion roubles, the main reason for which was the change in expected membership dues. In comparison with the first half year’s income (about 1.32 billion roubles), the final income in the year (about 2.28 billion roubles) means that the second half year’s income was about 960 million roubles. During this year, in other words, party income had fallen by about 360 million roubles. Secondly, while the first half year’s expenditure was about 930 million roubles, final expenditure was about 2 billion roubles without including the apparently unimplemented decision to assist Chernobyl’ victims. In other words, in the second half year expenditure increased to almost 1.06 billion roubles (about 140 million roubles more than in the first half of the year).\\textsuperscript{24} This tendency is confirmed in some published comments. For example, in September 1990 Nikolai Kapanets, deputy Administrator of Affairs, indicated that the deficit\n\n\\textsuperscript{21} \\textit{Izvestiya TsK KPSS}, 1990, No. 8, p. 93. An excerpt in \\textit{Uchitel’skaya Gazeta}, 28 July 1990, p. 1.\n\n\\textsuperscript{22} TsKhSD, f. 89, p. 8, d. 43, pp. 1-14. This document was presented on 21 September 1990 to Boris Pugo, Chairman of the Central Control Commission (CCC) of the CPSU, by Kruchina, Administrator of Affairs of the CC CPSU.\n\n\\textsuperscript{23} Ibid., pp. 2-3.\n\n\\textsuperscript{24} \\textit{Nezavisimaya Gazeta}, 8 August 1991, p. 5. \\textit{Pravda} shows only total sums. See \\textit{Pravda}, 29 July 1991, p. 2. However, \\textit{Nezavisimaya Gazeta} argued that this total sum included the unimplemented decision of 28\\textsuperscript{th} Party Congress to support Chernobyl’ victims. Later \\textit{Pravda} responded that the financing for victims was implemented. \\textit{Pravda}, 12 August 1991, p. 1. The author cannot confirm which was the case.\n\nwould be 1.5 billion roubles.\\textsuperscript{25} It is clear from these comments that the party budget worsened considerably after the 28\\textsuperscript{th} congress.\n\nIn 1991 party finance went into crisis. Kruchina, in a speech at the January 1991 joint plenum of the CC and CCC on the draft 1991 budget of the Union republican party organisations, admitted that the party faced a huge deficit of about 1 billion roubles.\\textsuperscript{26} This budget was approved by the joint plenum.\\textsuperscript{27} The indexes of the budget of the Union republican parties are shown in Table 5-4. Several months later, the 1991 budget plan of the CPSU appeared as a resolution of the plenum of the CC CPSU that was held on 26 July, which projected that income would be 1,394.0 million roubles and expenditure 2,494.0 million roubles, that is, the planned deficit was 1.1 billion roubles.\\textsuperscript{28} Although this resolution did not show the details of these estimates, which were entrusted to the Secretariat of the CC CPSU for elaboration in the process of their implementation, a secret document, disclosed in the non-party press, shows these details (Table 5-5).\\textsuperscript{29} Since the reasons for the financial crisis will be investigated in the following sections, we may for the moment simply confirm that the CPSU was already facing a financial crisis before the attempted coup.\n\nOf course, a financial crisis does not immediately lead to bankruptcy. The CPSU had reserve funds and huge property assets, including buildings which became an object of controversy between soviets and party in the same way in which the property of the communist parties of Eastern Europe had been nationalised during the demise of communist regimes in those countries. At a press conference on 12 December 1990, Ivashko, deputy General Secretary,\n\n\\textsuperscript{25} \\textit{Pravda}, 14 September 1990, p. 3.\n\n\\textsuperscript{26} \\textit{Pravda}, 5 February 1991, p. 4.\n\n\\textsuperscript{27} \\textit{Pravda}, 6 February 1991, p. 6, p. 2. The draft of resolution is TsKhSD f. 89, p. 23, d. 3, pp. 1-3 and this draft was approved in the meeting of Politburo on 30 January 1991. See TsKhSD f. 89, p. 42, d. 31, p. 25.\n\n\\textsuperscript{28} \\textit{Pravda}, 29 July 1991, p. 2. During the time between the January joint CC and CCC plenum and July CC plenum, some information on the budget was presented by party journals. See \\textit{Glasnost'}, 1991, No. 9 (28 February), p. 7; \\textit{Partiinaya Zhizn'}, 1991, No. 7 (April), pp. 37-42.\n\n\\textsuperscript{29} \\textit{Nezavisimaya Gazeta}, 8 August 1991, p. 1, p. 5; FBIS Soviet Union, 15 August 1991, pp. 31-34, 16 August 1991, pp.13-16; TsKhSD, f. 89, p. 23, d. 28. Fond 89 shows more detailed items than \\textit{Nezavisimaya Gazeta}.\n\nstated that the total property of the party was 4.9 billion roubles and that its reserve funds were 4.4 billion roubles.\\textsuperscript{30} After the attempted coup, the news that CPSU property was about 4 billion roubles in value was publicised.\\textsuperscript{31} Although it is clear that the CPSU had enormous property, it was mainly in the form of real estate --- that is, assets rather than current income --- and it cannot be denied that the balance between income and expenditure had deteriorated sharply.\n\n\\section*{IV. The Reasons for Financial Crisis}\n\n\\textbf{1. Decrease of Membership Dues}\n\nWhy, then, did this financial crisis happen? The first reason was the fall in the number of party members.\\textsuperscript{32} Table 5-6 shows the changes in the number of members, which indicates the rapid fall that took place from 1990 to 1991. This was not because of a natural decline but because members were leaving the party, for reasons including their differences over the policy direction in the party. A massive contraction occurred after the 28\\textsuperscript{th} congress, as many party members were disappointed by the compromising character of its proceedings. Secondly, since the locus of power was shifting from party to soviets, deputies did not need to stay in the party. For example, over twenty deputies to the Ukrainian Supreme Soviet from L’vov oblast’ and city announced that they were resigning from the party in April 1990.\\textsuperscript{33} In July 1990, Sylenko, a deputy from Khar’kov, reported that all deputies who were members of the Democratic Platform intended to leave the party.\\textsuperscript{34} Thirdly, many studies of career patterns have shown that\n\n\\textsuperscript{30} \\textit{Pravda}, 13 December 1990, p. 4; \\textit{RL/Report on the USSR}, Vol. 2, No. 51 (21 December, 1990), p. 36.\n\n\\textsuperscript{31} \\textit{RL/Report on the USSR}, Vol. 3, No. 36 (6 September 1991), pp. 80-81.\n\n\\textsuperscript{32} On the more detailed study of decrease of party members, see Ueno, ‘Sorenpokyousanto’; Gill, \\textit{The Collapse}, pp. 153-154; Philip Hanson and Elizabeth Teague, ‘Soviet Communist Party Loses Members,’ \\textit{RL/Report on the USSR}, Vol. 2, No. 20 (18 May 1990).\n\n\\textsuperscript{33} \\textit{RL/Report on the USSR}, Vol. 2, No. 15 (13 April 1990), p. 36.\n\n\\textsuperscript{34} \\textit{RL/Report on the USSR}, Vol. 2, No. 31 (3 August 1990), p. 34. This source does not state Sylenko’s first name.\n\nfor many people joining the party had been just a necessary condition for appointment and promotion, and had not necessarily been based on a strong commitment to party policy. Therefore, when staying in the party ceased to be a necessary condition, the number of people leaving the party naturally increased.\n\nThis decrease of members not only meant its reduction as an organisation, but also influenced the party budget, since well over half of its income, at least apparently, consisted of membership dues.\\textsuperscript{35} Boris Pugo, Chairman of the Central Control Commission (CCC), reported in August 1990 that, during the first half of 1990, 370,000 members had left the party, another 150,000 had not paid their membership dues, and 250,000 had been expelled.\\textsuperscript{36} Oleg Shenin, Secretary of the CC CPSU and a Politburo member, reported in October 1990 that since the beginning of that year 800,000 people had left the party, but only 200,000 had joined, and that the party budget would face more than a 1 billion rouble deficit.\\textsuperscript{37} At the July CC plenum (1991), Gorbachev told that the party had lost 4.2 million members over the previous one and a half years.\\textsuperscript{38}\n\nWhat Pugo said above made clear that even people who stayed in the party did not necessarily pay membership dues. In addition, Pugo reported to a plenum of the CCC CPSU on 10 October 1990 that more than 1 million members were not paying dues, that 10,000 were paying incomplete amounts, and that many party organisations were holding them back for their own purposes.\\textsuperscript{39} Kruchina stated in his speech at the joint plenum mentioned above, ‘The party does not receive a part of the income because some PPOs are slow to transfer funds to higher party organisations, refuse to pay for full-time party workers from their own funds, and sometimes spend them selfishly for purposes which do not help party work as a whole. In\n\n\\textsuperscript{35} Some sources insist appropriation from the state budget was quite common. See Stephen Handelman, \\textit{Comrade Criminal} (New Haven: Yale University Press, 1995), pp. 98-100.\n\n\\textsuperscript{36} \\textit{RL/Report on the USSR}, Vol. 2, No. 32 (10 August 1990), pp. 34-35.\n\n\\textsuperscript{37} \\textit{Pravda}, 18 October 1990, p. 5; FBIS Soviet Union, 18 October 1990, p. 31; \\textit{RL/Report on the USSR}, Vol. 2, No. 43 (26 October 1990), p. 36.\n\n\\textsuperscript{38} \\textit{Pravda}, 26 July 1991, p. 2.\n\n\\textsuperscript{39} \\textit{Pravda}, 12 October 1990, p. 3.\n\naddition, the free-rider moods are growing; they keep demanding the increase of subsidies from the centre.\\textsuperscript{40} In March 1991 Gennadii Veselkov, deputy chairman of the CCC CPSU, reported that over 1.3 million communists were not paying their dues.\\textsuperscript{41} The birth of the Communist Party of the Russian Republic made this problem additionally complex. Because the Russian Party was conservative in ideological terms, lower party organisations in the republic faced a problem in that they belonged to it. Some organisations refused to send their funds to the CC CP RSFSR, and considered whether to withhold payment or send their dues directly to the CC CPSU.\\textsuperscript{42}\n\nThe change in the rate of membership dues also led to a fall in income. This rate change was agreed at the 28\\textsuperscript{th} Party Congress and was stated in the new party Rules. As table 5–7 indicates, the new Rules changed the rate from 3 per cent of ‘salary’ as a maximum to 2 per cent of ‘income.’ Kapanets explained this concept in an interview in September 1990.\\textsuperscript{43} Afterwards, the definition of ‘income’ was finally defined by an ‘Instruction on the payment of membership dues and financial-economic activity of organisations of the CPSU.’\\textsuperscript{44} This ‘Instruction,’ a document defining the way to pay membership dues, and financial-and-economic activity which will be discussed below, was approved by the January 1991 joint plenum of the CC and CCC as part of the ‘normative-methodological documents of the CPSU.’ A draft had appeared earlier and after the approval a further explanation appeared in a party journal.\\textsuperscript{45} The characteristics of these documents on membership dues were as follows. Firstly, they precisely defined the concept of ‘income,’ which consisted of salary plus other bonuses, and rewards; that is, instead of a decrease in the rate, the range of membership dues was increased. Secondly, conditions for exemption from payment were strictly denoted.\n\n\\textsuperscript{40} \\textit{Pravda}, 5 February 1991, p. 4.\n\n\\textsuperscript{41} \\textit{Rabochaya Tribuna}, 2 March 1991, p. 2; FBIS Soviet Union, 7 March 1991, p. 44.\n\n\\textsuperscript{42} \\textit{Komsomolskaya Pravda}, 12 September 1990, p. 2.\n\n\\textsuperscript{43} \\textit{Pravda}, 14 September 1990, p. 2.\n\n\\textsuperscript{44} \\textit{Izvestiya TsK KPSS}, 1991, No. 3, pp. 46-55.\n\n\\textsuperscript{45} \\textit{Pravda}, 30 October 1990, p. 3 is on the draft. \\textit{Partiinaya Zhizn'}, 1991, No. 13 (July), pp. 22-27 is on the further explanation.\n\nindicated the central organisation’s wish to collect membership dues by all possible means.\n\nThe new instruction caused confusion in local organisations. One letter on 30 April 1991 from members of the party bureau of a PPO in Orel oblast’s statistical administration to the Organisational Department of the CC CPSU explained that they considered some articles of the ‘Instruction’ were not appropriate to their circumstances. Although their understanding of ‘income’ excluded state tax and charitable payments, the ‘Instruction’ appeared to provide for deduction of dues from total income including state tax and charitable payments. This was considered, according to the letter, by rank-and-file communists, who took the view that the party leadership was interested in collecting as much dues as possible and in maintaining the comfortable conditions of full-time party workers; some members left the party because of it. It was necessary, they claimed, to persuade the mass of communists and explain the aims and the amount needed; then ‘in a word, we consider this norm of the instruction is not acceptable.’\n\nThis antagonistic feeling toward the centre must have been pervasive since the non-payment of membership dues increased very rapidly. Table 5-2 indicates that the income from membership dues was about 800 million roubles in the first half year for 1990 and Table 5-3 shows that the final income from membership dues was about 1.25 billion. That is, the second half year’s income from dues in 1990 was only about 450 million roubles, nearly half of the first! Budget plans of 1991 (Table 5-5) were also based on the expectation of a decrease from about 1.3 billion roubles to about 930 million roubles.\n\n2. Decline of Publishing Activity\n\nA decrease in profits from publishing activity as well as membership dues contributed to the financial crisis. Publishing activity suffered in general at that time. This hit party presses as well as others. For example, *Pravda* lost subscribers from 6,870,100 in January 1990 to\n\n---\n\n46 TsKhSD f. 89, p. 11, d. 184. pp. 1-4. See also White, ‘Communists and their party in the Late Soviet Period’, *The Slavonic and East European Review*, Vol. 72, No. 4 (October 1994), p. 658.\n\n504,800 in October.\\textsuperscript{47} As Table 5-5 shows, the 1991 budget plan assumed that profits from publishing activity were likely to decrease enormously (its share in total income was expected to fall from 44.2 per cent to 20.6 per cent) and that it would in future need subsidies from the party. The reason for this decline in publishing activity was, firstly, that people were now able to choose from among alternative information sources, and secondly, that the severe economic situation prevented people buying newspapers.\\textsuperscript{48} In addition, the economic situation caused a rise in the price of publishing materials, which added to the decline.\n\n\\textbf{V. Reconstruction of the Budget I: Structural Change of Budget Formation}\n\nThus, the party faced a financial crisis and tried to reconstruct the party budget accordingly. The first method to do this was to restrict expenditure. There was a proposal to cut expenditure on 22 March 1990 at a Politburo meeting, though the details of this proposal are not clear.\\textsuperscript{49} In addition, it is well known that a mass reduction in the party apparat was attempted by Gorbachev during the \\textit{perestroika} period whose purpose was not to cut expenditures as much, but to prevent \\textit{podmena} or a substitution of the state function by the party and to concentrate on political activities as I have argued in Chapter 3. Nonetheless, this might be regarded as a helpful step towards reducing expenditure. In fact, one of the major reasons for the arrears of membership dues, as we have seen, was that rank-and-file party members did not want to support full-time workers by their contributions. However, the effect of the apparat reduction was minimal at most or even the opposite. Kruchina reported accordingly in a document of 15 October 1990, which circulated among secretaries of the CC CPSU and the Chairman of the CCC CPSU. According to this, regardless of the massive cut in the number of full-time workers, total expenditure on the maintenance of the CC CPSU and CP RSFSR apparat would increase by 9.15 million roubles or 22.6 per cent over 1990 because of the increase in social insurance,\n\n\\textsuperscript{47} \\textit{Pravda}, 12 October, p. 6.\n\n\\textsuperscript{48} \\textit{RL/Report on the USSR}, Vol. 2, No. 40 (5 October 1990), pp. 31-32.\n\n\\textsuperscript{49} TsKhSD f. 89, p. 9, d. 88, p. 1.\n\nmeeting and other costs.\\textsuperscript{50} The other document of 15 January 1991 reported an increase in travelling costs to the Baltic countries.\\textsuperscript{51} These increases in management costs offset the savings that might have been expected to follow the reduction in the full-time central apparat.\n\nThe more important method of expenditure reduction was structural change in the formation of party budget, particularly decentralisation of the right of budget formation. Firstly, PPOs were given the right to retain 50 per cent of collected membership dues, though, as noted above, PPOs had had to transfer the total sum of collected dues to obkoms. This proposal was offered by Gorbachev at the plenum of the CC CPSU of March 1990, where he stated ‘In the context of democratic reconstruction (perestroika) of the CPSU, essential changes in the order of formation and expenditures of the party budget are foreseen by the draft of the party Rules. … To leave up to 50 per cent from the sum of collected membership dues at their disposal.’\\textsuperscript{52} Kruchina also mentioned this proposal in an interview.\\textsuperscript{53} This proposal was approved by the 28\\textsuperscript{th} Party Congress and included in the new party Rules.\\textsuperscript{54}\n\nSecondly, a transition to the self-financing of each party organisation was proposed and approved by the 28\\textsuperscript{th} Party Congress.\\textsuperscript{55} These new ways of budget formation were defined in detail by a document on the ‘Mechanism of formation, implementation and control of the budget of the CPSU,’ a decision of the Secretariat of the CC CPSU of 8 March 1991 which prescribed the formation and use of collected revenues.\\textsuperscript{56} This demarcated the financial power of central and local party organisations; each Union republican party was supposed to be self-financing in the formation and utilisation of its own budget, which was made up of membership dues, profits from local papers and receipts from production-and-economic\n\n\\textsuperscript{50} TsKhSD, f. 89, p. 8, d. 42, pp. 10-16.\n\\textsuperscript{51} TsKhSD, f. 89, p. 5, d. 10, pp. 1-3.\n\\textsuperscript{52} Pravda, 12 March 1990, p. 2.\n\\textsuperscript{53} Pravda, 12 March 1990, p. 3.\n\\textsuperscript{54} For the resolution on the party budget, see Pravda, 12 July 1990, p. 1. For new party Rules, see Pravda, 13 July 1990, p. 2.\n\\textsuperscript{55} Pravda, 12 July 1990, p.1.\n\\textsuperscript{56} Pravda, 28 June 1991, p.2; Izvestiya TsK KPSS, 1991, No. 7, pp.17-21. The draft of the ‘Mechanism’ is in Pravda, 17 December 1990, p. 2.\n\nactivities. PPOs utilised up to 50 per cent of their incomes; central funds were supposed to consist of profits from the central press, receipts from production-and-economic activities of the Department of Administration of Affairs, the dues of members who were outside territorial party organisations (e.g. the armed forces), and others.\n\nThese policies were considered to be one of means of activating PPOs and lower party organisations, and the leadership, it seems, intended that this should be the case. For example, Veselkov, chairman of the permanent commission of Central Control Commission (CCC) ‘On Control for implementation of budget of the CPSU and auditing of financial-and-economic activity’ at that time, reported such an intention in an interview, in which he responded to letters from communists who hoped that party organisations would be allowed to become independent in the resolution of their financial problems.\\(^{57}\\)\n\nHowever, taking into account the fact that most expenditure was directed to the maintenance of lower level party organisations and PPOs, these policies can be regarded as another form of expenditure restriction. When Table 5-4 (the budget of the Union republican parties) is compared with Table 5-5 (the budget of the CPSU), the total deficit in the former is about 1 billion roubles and that in the latter it is 1.1 billion. Thus, the deficit of the CC CPSU was 100 million roubles. It is evident that most of the deficit derived from lower organisations. There are some references to financial decentralisation as a solution to the financial crisis. For example, the budgetary memorandum for delegates to the 28\\(^{\\text{th}}\\) Party Congress mentioned it.\\(^{58}\\)\n\nHow would lower level party organisations and PPOs act, given financial autonomy? Under conditions of a rapid fall in members and arrears of membership dues, each organisation faced a financial crisis. Naturally, they demanded subsidies from the central organisation. Ivashko, First Secretary of Ukrainian CP at the time, reported that only ten oblast’ level party organisations in the republic (Dnepropetrovsk, Donetsk, Zaporozhe, Crimea, Lugansk, L’vov,\n\n\\(^{57}\\) *Pravda*, 8 January 1991, p. 3.\n\n\\(^{58}\\) *Izvestiya TsK KPSS*, 1990, No. 8, p. 93.\n\nOdessa, Khar’kov, and Kiev oblasts and Kiev city) made a surplus.\\textsuperscript{59} In October 1990 Shenin, CC Secretary and a Politburo member, observed that all party organisations needed subsidies except for two (Moscow and Leningrad).\\textsuperscript{60} In an interview in March 1991 Veselkov complained of the free-rider attitude in which all party organisations asked for money but did not want any interference in how they spent it and indicated that all party organisations would receive subsidies except for Moscow gorkom; for example, he stated that 70-80 per cent of expenditure would be covered by subsidies in the Kirghiz, Tajik and Turkmen party organisations, and four republics, two krai and six oblast’ party organisations in Russia.\\textsuperscript{61} Some of these demands for subsidies can be seen in the letter from V. Pymashevskii, a secretary of the Latvian CP, on 29 January 1991, which requested subsidies and more allocations from the centre since inflation had been accelerating and the Latvian Council of Ministries had decreed an increase in salaries. Responding to this demand meant an increase in expenditure. While the Department of Administration of Affairs of the CC CPSU asked for party workers in state organisations and enterprises to be paid by each organisation, it accepted on 18 February 1991 that full-time party workers should be paid from the party budget.\\textsuperscript{62} Since this case was likely to have been more urgent than other requests, how pervasive this response was cannot be clarified. If this case was more general, subsidies must have been correspondingly larger.\n\n\\textsuperscript{59} \\textit{Pravda Ukrainy}, 26 June 1990, p. 4; FBIS Soviet Union, 1 August 1990, p. 79. Graeme Gill’s account on this point is misleading. Firstly, he miscounts party organisations as 11. Secondly, he writes as if the ‘11’ party organisations made profits at the all-union level. However, Ivashko was First Secretary of the Ukrainian CP at that time and stated this at the 28\\textsuperscript{th} Ukrainian CP congress. Therefore, it is natural to think his report concerned only the Ukrainian republic. See Gill, \\textit{The Collapse}, p. 155.\n\n\\textsuperscript{60} FBIS Soviet Union, 18 October 1990, p. 31; \\textit{RL/Report on the USSR}, 2-43 (26 October 1990), p. 36. Shenin’s statement, it seems, excluded oblast’ level party organisations in Union republics other than the RSFSR, since his report differed from Ivashko’s statement mentioned above too much if it included them. These organisations in republics other than RSFSR would not be within the jurisdiction of the CC CPSU as Figure 5-1 shows. Incidentally, although Shenin did not suggest whether this ‘Moscow’ meant Moscow city or oblast’, it would be reasonable to infer Moscow gorkom from Veselkov’s comment. See the next note. In the case of Leningrad, it seems, city and oblast’ organisations had been merged. See \\textit{RL/Report on the USSR}, Vol. 2, No. 9 (2 March 1990), p. 39.\n\n\\textsuperscript{61} \\textit{Rabochaya Tribuna}, 2 March 1991, p. 2; FBIS Soviet Union, 7 March 1991, p. 44.\n\n\\textsuperscript{62} TsKhSD, f. 89, p. 11, d. 78, pp. 1-2. Ivashko’s agreement was singed in 20 February.\n\nEven so, it seems that subsidies and allocations were not enough, since party organisations began to disappear. The number of PPOs, which had consistently increased, declined in 1991 as Table 5-8 shows. Moreover, some higher party organisations began to dissolve. For example, Tomsk gorkom dissolved itself because of a cut in its apparat and a fall in income, though four raikoms in the city continued to work.\\(^{63}\\) Even in a relatively well-placed city such as Leningrad the situation was serious. Boris Gidaspov, first secretary of the Leningrad obkom and secretary of the CC CPSU, said at a plenum of the obkom that it was necessary to reduce the number of raikoms in order to manage the financial problem.\\(^{64}\\)\n\n**VI. Reconstruction of the Budget II: Increasing Income**\n\nThe second way to reconstruct the budget was to raise income. For a start, the pressure to collect membership dues increased. In this period many calls were made for party discipline. For instance, Pugo declared at the plenum of the CCC CPSU in October 1990 that resolute measures to strengthen discipline and to overcome negative tendencies were necessary.\\(^{65}\\) Veselkov mentioned the strengthening of party discipline in his interview of March 1991.\\(^{66}\\) Both decisions on the budget of the CPs of Union republics and the CPSU in 1991 referred to discipline.\\(^{67}\\)\n\nAnother and more important method was commercial activity. Though this activity has often been considered entirely secret by some researchers, this is not necessarily the case. Many published documents and comments before the collapse plainly mention such activities. The memorandum on the budget of the CPSU prepared for the 28\\(^{\\text{th}}\\) Party Congress implied the\n\n---\n\n\\(^{63}\\) *RL/Report on the USSR*, Vol. 2, No. 35 (31 August 1990), p. 33.\n\n\\(^{64}\\) FBIS Soviet Union, 27 September 1990, p. 95.\n\n\\(^{65}\\) *Pravda*, 12 October 1990, p. 3.\n\n\\(^{66}\\) *Rabochaya Tribuna*, 2 March 1991, p. 2; FBIS Soviet Union, 7 March 1991, p. 44.\n\n\\(^{67}\\) The 1991 budget of the CPs of Union republics is *Pravda*, 6 February 1991, p. 2; TsKhSD, f. 89, p. 236, d. 3. The 1991 budget of the CPSU is *Pravda*, 29 July 1991, p. 2. Though TsKhSD, f. 89, p. 23 d. 25 is also on the 1991 budget of the CPSU, it does not refer to discipline.\n\nimportance of this, noting ‘more effective use of the existing material and technical base of the party for additional attraction of incomes.’\\textsuperscript{68} A resolution of the congress approved the party exercising its rights as a judicial person and rationally using them to strengthen its financial and material resources.\\textsuperscript{69} Kapanets made clear in an interview that party committees should actively engage in entrepreneurial activity, utilise their material basis to achieve these aims, and create joint enterprises including participation in foreign partnership and associations.\\textsuperscript{70} Gidaspov, similarly, mentioned the importance of commercial entrepreneurial activity at a plenum of the Leningrad obkom.\\textsuperscript{71} Pugo also referred to the need to develop enterprise activity and new sources of income at the plenum of October 1990.\\textsuperscript{72} In December 1990, Ivashko reiterated at a press conference that earning money was not prohibited and announced that a special committee on financial and economic activity had been created, though enterprise activity was to be implemented in accordance with laws and party principles.\\textsuperscript{73} Both the ‘Instruction’ and ‘Mechanism’ devoted much attention to financial economic activity. Especially in the ‘Instruction’ there were many changes between the draft and final resolution, which would suggest controversy around this problem.\\textsuperscript{74} The resolution on the budget of the CPs of Union republics envisaged greater income from production and economic activity and more effective utilisation of the party’s material resources.\\textsuperscript{75} Veselkov insisted on the need to develop production and economic activity though he said that the Department of Administration of Affairs had not yet engaged in this to a significant extent.\\textsuperscript{76} The budget plan of the CPSU in 1991 also showed the strong expectation that income would be increased by commercial\n\n\\textsuperscript{68} \\textit{Izvestiya TsK KPSS}, 1990, No. 8, p. 93.\n\n\\textsuperscript{69} \\textit{Pravda}, 12 July, 1990, p. 1.\n\n\\textsuperscript{70} \\textit{Pravda}, 14 September 1990, p. 3.\n\n\\textsuperscript{71} FBIS Soviet Union, 27 September 1990, pp. 94-95.\n\n\\textsuperscript{72} \\textit{Pravda}, 12 October 1990, p. 3.\n\n\\textsuperscript{73} \\textit{Pravda}, 13 December 1990, p. 4; \\textit{RL/ Report on the USSR}, Vol. 2, No. 51 (21 December 1990), p. 36. The statement ‘earning money …’ was published only in \\textit{RL}.\n\n\\textsuperscript{74} On the draft ‘Instruction,’ see \\textit{Pravda}, 30 October 1990, p. 3. The resolution is published in \\textit{Izvestiya TsK KPSS}, 1991, No. 3, pp. 46-55. The ‘Mechanism’ is in \\textit{Pravda}, 28 June 1991, p. 2 and \\textit{Izvestiya TsK KPSS}, 1991, No. 7, pp. 17-20.\n\n\\textsuperscript{75} \\textit{Pravda}, 6 February 1991, p. 2.\n\nactivity.\\textsuperscript{77} After the attempted coup, Ivashko observed, ‘you know that economic and commercial activity was recently allowed -- strictly within the limits of current legislation -- to party committees.’\\textsuperscript{78} From these published accounts, it is apparent that the party did not hide engaging in commercial activity and it is unsatisfactory to represent such activities as evidence of some sort of a scandalous party underground.\n\nHowever, secret documents also existed. A secret decision of the CC CPSU (21 March 1990) agreed with Kruchina and head of the CC State and Law Department, A. Pavlov’s memorandum that under the multi-party system, the party should expect an attack on its property from other parties. So, it recommended, the party should utilise its status as a ‘judicial person’ in order to protect it.\\textsuperscript{79} According to another Kruchina’s memorandum of 11 May 1990, the CC CPSU decided to send some party workers to France and Italy in order to look into these countries’ financial and economic activity.\\textsuperscript{80} The similar decision to visit Austria took place on 12 November 1990.\\textsuperscript{81} On 23 August 1990, a document, ‘On urgent measures for organising commercial and foreign economic activities of the party,’ recommended creating an ‘invisible’ party economy in order to adapt to a new transitional environment based upon the market and multiparty competition.\\textsuperscript{82} One document, ‘Personal obligation to the CPSU,’ suggests that secret commercial activity was carried out by entrusted people who vowed to carry out party tasks in any post and in any situation, not to expose their own status as an entrusted person, to keep financial and material means on behalf of the party, to return them on the party’s first\n\n\\textsuperscript{76} \\textit{Rabochaya Tribuna}, 2 March 1991, p. 2; FBIS Soviet Union, 7 March 1991, p. 44.\n\n\\textsuperscript{77} \\textit{Pravda}, 29 July 1991, p. 2.\n\n\\textsuperscript{78} \\textit{Pravda}, 30 September 1991, p. 3; \\textit{Current Digest of the Soviet Press}, Vol. 43, No. 39 (1991), p. 16.\n\n\\textsuperscript{79} TsKhSD, f. 89, p. 39, d. 29, pp. 1-9.\n\n\\textsuperscript{80} TsKhSD, f. 89, p. 11, d. 6, p. 1.\n\n\\textsuperscript{81} TsKhSD, f. 89, p. 21, d. 46, pp. 1-3. In this document, Kruchina asked an approval to send party workers. See \\textit{Ibid.}, p. 1. Ivashko’s agreement can be found on the same page.\n\n\\textsuperscript{82} \\textit{Komsomolskaya Pravda}, 31 October 1991, p. 1. See also Elizabeth Teague and Vera Tolz, ‘CPSU R.I.P.,’ \\textit{RL/ Report on the USSR}, Vol. 47, No. 3 (22 November 1991), p. 5; Hahn, \\textit{Russia’s}, p. 218.\n\ndemand, and to maintain strict confidentiality.\\textsuperscript{83} A meeting of the Secretariat of the CC CPSU on 11 June 1991 agreed the proposal on the development of the production and economic activity of the party.\\textsuperscript{84} Though the content of the proposal was not clear, after some modification it was sent to the Politburo. A Politburo decision on 11 July 1991 accordingly proposed production and economic activity to every party committee as a means to cover deficits and achieve a transition to self-financing.\\textsuperscript{85}\n\nIn addition, the party leadership tried to hide the commercial activity. In April 1991, the Administration of Affairs responded a letter from secretary of a workshop party organisation in Omsk that was written in February 1991. In the letter, the party worker asked if or not the party engaged in a banking activity as was stated by a local soviet deputy. Kapanets denied any banking activity of the party and added that the production and economic activity was basically publishing.\\textsuperscript{86}\n\nThere is only fragmentary information on these commercial activities and a full account may be impossible because of Kruchina’s suicide.\\textsuperscript{87} Rather a lot of examples of the CC’s activity are disclosed. The central party organisation leased vacant party buildings and rooms to associations, companies and so forth.\\textsuperscript{88} More important cases are the ones that the party invested in or created a commercial company. For example, on 29 August 1990 the CC Secretariat decided that the Administration of Affairs should undertake a joint venture with a West German tourist company.\\textsuperscript{89} On 8 October 1990 Kruchina wrote a memorandum asking to create a joint venture on the basis of Institute of Social Sciences under the CC CPSU. This was projected to utilise the property of the Institute (e.g. a dormitory) that had not been used.\\textsuperscript{90}\n\n\\textsuperscript{83} \\textit{Komsomolskaya Pravda}, 7 December 1991, p. 1. See also Hahn, \\textit{Russia’s}, p. 253. However, no completed form of this document was found. \\textit{Moscow News}, 20 (16-22 May 2001), p. 5.\n\n\\textsuperscript{84} TsKhSD, f. 89, p. 23, d. 7, p. 8.\n\n\\textsuperscript{85} TsKhSD, f. 89, p. 12, d. 28, pp. 1-3; \\textit{Istoricheskii Arkhiv}, 1992, No. 1, pp. 7-8.\n\n\\textsuperscript{86} TsKhSD, f. 89, p. 22, d. 22, pp. 1-8.\n\n\\textsuperscript{87} Rather a lot of examples are introduced by Handelman, \\textit{Comrade Criminal}, esp. chap.6.\n\n\\textsuperscript{88} See TsKhSD, f. 89, p. 11, d. 186; p. 8, d. 17-19; p. 23, d. 1; p. 11, d. 8; p. 11, d. 27.\n\n\\textsuperscript{89} TsKhSD, f. 89, p. 5, d. 3, pp. 1-2.\n\n\\textsuperscript{90} TsKhSD, f. 89, p. 21, d. 40, pp. 1-5.\n\nKruchina’s memorandum on 15 October 1990 (circulated to the CC Secretariat) shows that he, taking in account an opinion of a branch of the CC Administration of Affairs, asked permission to establish a joint venture with a state consortium ‘Ekoprom,’ though the decision of the Secretariat is not clear.\\textsuperscript{91}\n\nSome cases took place in cooperation with local party organisations. The CC CPSU with Leningrad obkom opened a commercial bank ‘Rossiya’, in which 30 million roubles (15 million roubles each were paid by CC and Leningrad obkom) were accumulated as start-up capital. The bank was registered by USSR State Bank on 27 June 1990.\\textsuperscript{92} After its establishment, some negotiation between the CC and the obkom also took place. Although Gidaspov, first secretary of Leningrad obkom, requested (on 27 September 1990) 500 million roubles at 3-4 per cent interest for 3 years as a deposit, Kruchina agreed on 22 March 1991 to send 50 million roubles for two years at a rate of 6 per cent interest per year.\\textsuperscript{93} There were more cases of the centre-local cooperation in commercial activity. On 20 August 1990 the Moldavian party organisation sent to the CC Administration of Affairs a memorandum requesting 10 million roubles in total for two years to finance their twelve (including six informal) joint ventures. Kruchina then sought permission to do so, probably from the Secretariat.\\textsuperscript{94} The Kazakh party organisation asked the CC Administration of Affairs to invest 100 million roubles in order to managing a commercial bank ‘Kompartbank’ on 13 February 1991. Kruchina then wrote a proposal to send the money to the ‘Kompartbank’s’ account in the condition of annually 10 per cent interest rate, though it is not clear whether or not this proposal was approved by the Secretariat.\\textsuperscript{95} On 14 June 1991, the Kyrgyz party organisation requested 7.5 million roubles from the CC Administration of Affairs in order to finance Chui obkom’s commercial activity.\n\n\\textsuperscript{91} TsKhSD, f. 89, p. 11, d. 18, pp. 1-2.\n\n\\textsuperscript{92} TsKhSD, f. 89, p. 21, d. 13, pp. 1-2.\n\n\\textsuperscript{93} \\textit{Ogonek}, 1991, No. 46 (9-16 November), p. 4; TsKhSD, f. 89, p. 5, d. 15, p. 1. See also \\textit{RL/Report on the USSR}, Vol. 2, No. 42 (19 October 1990), p. 48.\n\n\\textsuperscript{94} TsKhSD, f. 89, p. 11, d. 19, pp. 1-3. Though it is not clear where Kruchina sent his memo, it is reasonable to think it was sent to the Secretariat, inferred from the style of this document.\n\n\\textsuperscript{95} TsKhSD, f. 89, p. 11, d. 84, pp. 1-5.\n\nThe Administration of Affairs allocated 4.9 million to the Kyrgyz party.\\textsuperscript{96} In Moscow, Yurii Prokof’ev, first secretary of Moscow gorkom, and B. Balashov, first secretary of Moscow obkom, proposed to create a joint-stock company, to which Kruchina agreed on 5 August 1991.\\textsuperscript{97}\n\nSome regional cases were also reported. In Perm’, party officials created a commercial firm and began hotel management and a rent-a-car service.\\textsuperscript{98} Zaporozh’e obkom in Ukraine approved a proposal that a party committee in an automobile factory co-founded two small enterprises.\\textsuperscript{99} In Tatarstan, a liquor factory was managed by the party headquarters.\\textsuperscript{100}\n\nIn addition, after the attempted coup, many cases appeared in the mass media. A joint-stock commercial cooperation received millions before the attempted coup.\\textsuperscript{101} According to \\textit{Moscow News}, the topic of party money was featured more than seven thousand times by mass media.\\textsuperscript{102}\n\nWhile the first aim of commercial activity was, of course, to cover financial deficits, it had a second implicit purpose, as the secret documents showed, which was to protect party property against the soviets. Party officials knew the experience of East European communist parties in which their property had been nationalised after the regimes collapsed. Yeltsin claimed in his speech at the 28\\textsuperscript{th} Party Congress that people would react by nationalising party property if the party did not reform itself. This meant that his word, ‘nationalise,’ could function as a threat. The Democratic Platform, in fact, proposed to transfer all party property to the soviets.\\textsuperscript{103} One memorandum signed by head of the CC Department of Legislative Initiatives and Law Questions, V. Babichev, Deputy Head of the CC Organisational Department, Yu.\n\n\\textsuperscript{96} TsKhSD, f. 89, p. 33, d. 14, pp. 1-3.\n\\textsuperscript{97} \\textit{Ogonek}, 1991, No. 46 (9-16 November), pp. 4-5.\n\\textsuperscript{98} Mary McAuley, ‘Politics, Economics, and Elite Realignment in Russia: A Regional Perspective’, \\textit{Soviet Economy}, Vol. 8, No. 1 (1992), p. 75.\n\\textsuperscript{99} \\textit{Izvestiya TsK KPSS}, 1991, No. 8, pp. 96-98.\n\\textsuperscript{100} Stephen White, \\textit{Russia Goes Dry: Alcohol, State and Society} (Cambridge: Cambridge University Press, 1996), p. 112.\n\\textsuperscript{101} \\textit{Moscow News}, 37 (15-22 September 1991), p. 7.\n\\textsuperscript{102} \\textit{Moscow News}, 38 (22-29 September 1991), p. 7.\n\nRyzhov, and Kruchina on 12 May 1991 argued strongly that the attempts to nationalise the party property were illegal, which shows that the party leadership was threatened by such attempts.\\textsuperscript{104} One document on commercial activity mentioned above clearly identifies this aim, stating, ‘[A]s the lesson of the communist parties of Eastern Europe proved, non-acceptance of timely measures on legalisation of the party property … inevitably threatened painful consequences.’\\textsuperscript{105} The proposal from Prokof’ev and Balashov mentioned above also suggests this aim: faced with the threat of nationalisation of party property, ‘Moscow gorkom and obkom of the CPSU together with legal experts and specialists conducted a series of conferences and meetings on the questions of securing the normal activity of party organs and preserving party property under the present circumstances. According to the opinion of legal experts, the only right decision is the creation of joint-stock companies of the private type with a change of property and transferring its own share to legitimate capital in the form of fixed funds.’\\textsuperscript{106} Thus, to protect party property was another important aim of commercial activity. In any case, both purposes of commercial activity can be summarised in simple words: to rescue the party.\n\nVII. The Consequences of the Commercial Activity\n\nThe commercial activity, however, led to paradoxical results. Firstly, it caused a functional change in the CPSU from an administrative organisation to a commercial one by strengthening the position of the Administration of Affairs Department within the party. On 30 July 1991, the CC Secretariat took a secret decision, which allowed the Administration of Affairs to become an ‘independent subdivision’ of the apparat of the CPSU. With this decision, the Administration of Affairs was to be able to engage in commercial activity more vigorously.\n\n\\textsuperscript{103} \\textit{Argumenty i Fakty}, 31, 4–10 August 1990, p2.; FBIS Soviet Union, 14 August 1990, p. 32.\n\n\\textsuperscript{104} TsKhSD, f. 89, p. 11. d. 86, pp. 1-3. This memorandum was agreed by Ivashko on 13 May 1991.\n\n\\textsuperscript{105} \\textit{Komsomolskaya Pravda}, 31 October 1991, p. 1. See also Hahn, \\textit{Russia’s}, p. 218.\n\n\\textsuperscript{106} \\textit{Ogonek}, 1991, No. 46 (9-16 November), pp. 4-5.\n\nby using the party property.\\textsuperscript{107} It seems that this decision shows that the party was becoming a commercial organisation by its attempts to protect its property, while losing its traditional administrative function.\n\nIn addition, secondly, these activities paradoxically caused the fragmentation of party property. That is, party property was taken over and ‘privatised’ by many individual party members, by enterprises including foreign ones, by local party committees and, probably, by foreign Communist parties.\\textsuperscript{108}\n\nOn this phenomenon, two explanations have been presented. The first explanation is a ‘conspiracy theory’ which suggests that the party apparat engaged in commercial activity to enhance their private interests. It seems to me that this explanation attributes the problem to malicious intention too much. It tries to reveal how bad the party apparat was so eagerly that its description becomes more or less scandalous. The second explanation is neo-institutionalism, which is more theoretical and sophisticated. According to this, firstly local party organisations (agents) faced a financial crisis because of the devolution of budgetary rights and began commercial activity by utilising party property, which led to its fragmentation and a hierarchy breakdown (the equivalent of a run on the bank). Then, the central organisation (principal), on the other hand, realised this and tried to protect its property firstly by resorting to power against local organisations, and later by commercial activity. The central organisation, according to this, unintentionally gave local organisations incentives to increase their private interests by institutional change.\\textsuperscript{109}\n\nAlthough this explanation is at first sight persuasive, the temporal sequence of the neo-institutional explanation is not supported by most of the evidence. It overlooks the fact that it was the central organisation that commanded local organisations to engage in commercial\n\n\\textsuperscript{107} TsKhSD f. 89, p. 20, d. 64, pp. 1-13.\n\\textsuperscript{108} \\textit{Komsomol'skaya Pravda}, 31 October 1991, pp. 1-3.\n\\textsuperscript{109} Steven L. Solnick, \\textit{Stealing the State: Control and Collapse in Soviet Institutions} (Cambridge, MA.: Harvard University Press, 1998). Solnick states that his argument on the CPSU is not intended to be rigorous. \\textit{Ibid.}, p. 228.\n\nactivity. Certainly, only a few statements appear to indicate local initiative. For example, in the 28th Party Congress’s session ‘renewal of the party’ V. N. Shbev, second secretary of Lithuania (the CPSU platform) urged to start commercial activity, because of his party’s desperate decline in membership.\\textsuperscript{110} At a concluding address of the founding Congress of CP RSFSR, Polozkov stated that the party Rules gave local party organisations full independence in engaging in economic activity.\\textsuperscript{111} Gidaspov stated at the Leningrad obkom plenum, ‘There is no need to wait for some instruction from executive authorities of the CPSU on this matter [commercial activity].’\\textsuperscript{112} However, except for Shbev’s statement, these statements can be interpreted as recommendations of commercial activity from the centre to local organisations that had not engaged in it yet. In addition, it was discussed that Gidaspov conducted commercial activity in close cooperation with the centre. The ‘Mechanism’ defined the production-economic activity as relatively centralised.\\textsuperscript{113} The secret document of July 1991 mentioned above might suggest that commercial activity was not vigorous at local level because, if a ‘run on the bank’ had happened, the centre would not have recommended commercial activity to local organisations.\\textsuperscript{114} In addition, even such a local case as the Zaporozh’e obkom published in \\textit{Izvestiya TsK KPSS} suggests that the centre recommended other lower party organisations to follow their way.\\textsuperscript{115}\n\nIt seems that both existing explanations use the wisdom of hindsight, that is, they speculate about the cause by reasoning backwards from the results. True, commercial activity caused the fragmentation of party property. True, this would entail certain illegal activity. True, many party officials consequently received benefits from commercial activity. Nonetheless, it seems to me that the people who directed and engaged in commercial activity seriously wanted\n\n\\textsuperscript{110} Rossiiskii Gosudarstvennyi Arkhiv Sotsial’no-Politicheskoi Istorii (RGASPI), fond (f.) 582, opis’ (o.) 6, ed. khr. 16, p. 39.\n\n\\textsuperscript{111} \\textit{Materialy Uchreditel’nogo s’ezda Kommunisticheskoi Partii RSFSR} (Moskva: Politizdat, 1990), p. 133.\n\n\\textsuperscript{112} FBIS Soviet Union, 27 September 1990, p. 94.\n\n\\textsuperscript{113} \\textit{Pravda}, 28 June 1991, p. 2; \\textit{Izvestiya TsK KPSS}, 1991, No. 7, pp. 17-20, esp. III, ‘Organisation of control for the party budget.’\n\n\\textsuperscript{114} TsKhSD, f. 89, p. 12, d. 28, pp. 1-3; \\textit{Istoricheskii Arkhiv}, 1992, No. 1, pp. 7-8.\n\n\\textsuperscript{115} \\textit{Izvestiya TsK KPSS}, 1991, No. 8, pp. 96-98.\n\nto save the party rather than to make a profit for themselves. The very intention paradoxically caused fragmentation. In order to cover financial deficits and to protect party property against the soviets, they began to engage in commercial activity, and this made it necessary to transfer profits to individual members, enterprises and others for protection since keeping them in one place would leave them vulnerable to confiscation. When Yeltsin gave a final blow to the party, they realised that the entity they sought to protect had been fragmented and that the money had ended up in their own hands. Here we may be able to see the paradox between an intention and a result just as in Weber’s account of the emergence of capitalism.\\textsuperscript{116}\n\nHence, Yeltsin’s role was not to destroy the party but to fill the vacuum which had been created by the party’s self-destruction. The following words of de Tocqueville would be true also for \\textit{perestroika} if the words ‘July monarchy’ are changed to ‘party’: ‘So the July monarchy had fallen, fallen without a struggle, not under the victors’ blows, but before they were struck.’\\textsuperscript{117}\n\n\\section*{VIII. Conclusion}\n\nSchumpeter once referred to the budget as the essence of the state.\\textsuperscript{118} If so, the budget of the CPSU might be the essence of essences. The CPSU suffered a financial crisis before the attempted coup because of the fall in its membership, an increase in the number of members who did not pay dues in full or at all, and a recession in party publishing. The devolution of budgetary rights to improve the situation caused a rebellion in lower party organisations. Commercial activity that was originally intended to save the party led to the functional change\n\n\\begin{footnotesize}\n\\textsuperscript{116} Max Weber, \\textit{The Protestant Ethic and the Spirit of Capitalism}, trans. by Talcott Parsons (London: Routledge, 1992).\n\n\\textsuperscript{117} Alexis de Tocqueville, \\textit{Recollections}, trans. by J. P. Mayer (London: Macdonald, 1970), p. 61.\n\n\\textsuperscript{118} Joseph A. Schumpeter, ‘The Crisis of the Tax State’, in Richard Swedberg, ed., \\textit{Joseph A. Schumpeter: The Economics and Sociology of Capitalism} (Princeton NJ.: Princeton University Press, 1991), p. 100.\n\\end{footnotesize}\n\nof the CPSU from an administrative into an economic organ, and finally the fragmentation of party property.\n\nA radical change in economic relations frequently involves a huge cost in terms of violence. The apparat’s independence as a ‘bourgeoisie’ made the collapse of the USSR, regardless of its scale, relatively peaceful.\n\nSo far we have seen the process that the party lost its traditional administrative function in Chapter 3, that the party failed to find a new function as a ‘political party’ in Chapter 4, and that the party changed its function into an economic organ, which caused a fragmentation of party property in this Chapter. We should consider the party’s last remaining tie with the state organs and the final blow to the party: party-state relations and the August attempted coup in the next chapter.\n\nFigure 5-1: The Flow of Money in the CPSU\n\nOther Incomes (Publishing, PPOs directly supervised by the CC CPSU, etc.)\n\nCC CPSU\n\nPart\n\nRedistribute\n\nPart\n\nCC of Union Republic\n\nOther Incomes (Republican Publishing, PPOs directly supervised by the CC of Union Republic, etc.)\n\nCC of Union Republic\n\nPart\n\nRedistribute\n\nPart\n\nObkom\n\nOther Incomes (Regional Publishing, PPOs directly supervised by the obkom, etc.)\n\nObkom\n\nDistribute\n\nRaikom\n\nTotal\n\nPPO\n\nMembership Dues 3% of Salary\n\nIndividual Member\n\nM M M M\n\nTable 5-1: Budget Plan of the CPSU in 1990 (presented at the 28th party congress)\n\n| Name of income and expenditure | Approximate percentage (%) |\n|--------------------------------|---------------------------|\n| **Income** | |\n| 1. Party membership dues | 59.65 |\n| 2. Deduction from profits of party publishing | 39.8 |\n| 3. Other receipts | 0.55 |\n| Total | 100 |\n| **Expenditure** | |\n| 1. Expenditure on maintenance of local party organs and party establishments | 75.0 |\n| 2. Expenditure on maintenance of central party establishments | 1.4 |\n| 3. Expenditure on apparat of the CC CPSU | 1.1 |\n| 4. Expenditure on economic security of activity of the CC CPSU and measures for the acquisition and utilisation of means of office equipments and connections | 0.8 |\n| 5. Expenditure on maintenance of sanatoria and equipment within the jurisdiction of Department of Administration of Affairs of the CC CPSU | 0.7 |\n| 6. Expenditure on acquisition of computing technology for party committees and party establishments, and on programming security | 1.1 |\n| 7. Expenditure on construction and repair of buildings of party organs, party publishing, and party establishments | 17.9 |\n| 8. Expenditure on financing of international activity of the CPSU, on the partial participation in publishing of a journal “Problems of peace and socialism” | 0.5 |\n| 9. Expenditure on holding the 28th Congress of the CPSU | 0.3 |\n| 10. Reserves for covering unforeseen expenditures of local and central party organs | 1.2 |\n| Total | 100.0 |\n| Excess of incomes over expenditures | 586,950.0 |\n\nSource: *Izvestiya TsK KPSS*, 1990, No. 8, p. 95. Percentages of incomes, total incomes and the differences between exceeding incomes and expenditures are added and some details are omitted.\n\nTable 5-2: On the Implementation of the CPSU Budget over the First Half Year of 1990\n\n(Thousand Roubles)\n\n| Name of income and expenditure | Approved in 1990 | Implemented over the first half year | Implementation in % |\n|--------------------------------|------------------|--------------------------------------|---------------------|\n| **Income** | | | |\n| 1. Party membership dues | 1,612,860.0 | 798,995.3 | 49.5 |\n| 2. Deduction from profits of party publishing | 1,075,840.0 | 512,217.8 | 47.6 |\n| 3. Other receipts | 15,000.0 | 10,735.4 | 71.6 |\n| Total | 2,703,700.0 | 1,321,948.5 | 48.9 |\n| **Expenditure** | | | |\n| 1. Expenditure for the apparat of the CC CPSU | 40,500.0 | 16,069.9 | 39.7 |\n| 2. Expenditure on the maintenance of local party organs and party establishments | 1,538,900.0 | 709,730.6 | 46.1 |\n| 3. Expenditure on the maintenance of central party establishments | 28,700.0 | 13,540.8 | 47.2 |\n| 4. Expenditure on the maintenance of equipments within the jurisdiction of Administration of affairs department of the CC CPSU | 15,900.0 | 5,829.2 | 36.7 |\n| 5. Expenditure on the need of Primary Party Organisations | 43,700.0 | 15,705.7 | 35.9 |\n| 6. Expenditure on acquisition of computing technology for party committees and party establishments, elaboration of technical conditions and programming | 20,200.0 | 3,547.5 | 17.6 |\n| 7. Expenditure on construction and repair of buildings of party organs, party establishments and party publishing | 378,800.0 | 147,473.8 | 38.9 |\n| 8. Special expenditure | 25,050.0 | 12,157.3 | 48.5 |\n| 9. Reserve for the party budget | 25,000.0 | 2,568.1 | 10.3 |\n| Total | 2,116,750.0 | 926,622.9 | 43.8 |\n| Excess of incomes over expenditure | 586,950.0 | 395,325.6 | 67.4 |\n\nSource: TsKhSD Fond 89, Perechen’ 8, Delo 43, p. 5. This document was presented by Kruchina to Pugo on 21 September 1990.\n\nTable 5-3: On the Implementation of the 1990 CPSU Budget\n\n| Name of income and expenditure | Approved with the consideration of modification | Implemented | Result | In thousand roubles | In % |\n|--------------------------------|-------------------------------------------------|-------------|--------|---------------------|------|\n| **Income** | | | | | |\n| 1. Party membership dues | 1,277,000.0* | 1,245,835.9 | -31,164.1 | -2.4 | |\n| 2. Deduction from the profit of party publishing | 1,043,360.0 | 971,019.5 | -72,340.5 | -6.9 | |\n| 3. Other receipts | 40,000.0 | 67,944.9 | +27,944.9 | +69.9 | |\n| **Total** | 2,360,360.0 | 2,284,800.3 | -75,559.7 | -3.2 | |\n| **Expenditure** | | | | | |\n| 1. Expenditure on financing the activity of local party organs and party establishments | 1,210,340.0 | 1,197,819.3 | -72,520.7 | -6.0 | |\n| 2. Expenditure on financing the activity of primary party organisations of Union republics | 372,260.0 | 370,359.8 | -1,900.2 | -0.5 | |\n| 3. Expenditure on maintenance of central party establishments | 28,700.0 | 27,368.5 | -1,331.5 | -4.6 | |\n| 4. Expenditure on apparat of the CC CPSU | 22,305.0 | 18,617.2 | -3,687.8 | -16.5 | |\n| 5. Expenditure on economic security of the activity of the CC CPSU and holding of all party events | 18,195.0 | 15,984.5 | -2,210.5 | -12.1 | |\n| 6. Expenditure to maintenance of sanatoria and equipment within the jurisdiction of Department of Administration of Affairs of the CC CPSU | 12,000.0 | 11,505.2 | -494.8 | -4.1 | |\n| 7. Expenditure on acquisition of computing technology, the elaboration of technical conditions, and programming | 20,200.0 | 21,209.0 | +1,009.0 | +5.0 | |\n| 8. Expenditure to construction and repair of buildings of party organs and party publishing | 378,800.0 | 364,570.4 | -14,229.6 | -3.8 | |\n| 9. Expenditure on financing organisational measures, conducting sociological research and inter party contracts of the CPSU | 18,150.0 | 14,368.6 | -3,781.4 | -20.8 | |\n| 10. Reserves | 25,000.0 | 12,267.5 | -12,732.5 | -50.9 | |\n| **Total** | 2,105,950.0 | 1,994,070.0 | -111,880.0| -5.3 | |\n| Excess of incomes over expenditure on financing the activity of party committees and party establishments and development of their material basis | 254,410.0 | 290,760.3 | +36,320 | 14.3 | |\n| Expenditure on the decision of the 28th congress of the CPSU | | | | | |\n| Transferred from funds of the CPSU to realisation of health measures for children | 500,000.0 | --- | --- | --- | |\n\n| Description | Amount 1 | Amount 2 | Amount 3 | Amount 4 |\n|----------------------------------------------------------------------------|----------|----------|----------|----------|\n| residing in the accident zone of the Chernobyl' Nuclear Power Station | | | | |\n| Total on the expenditure part of the budget of the CPSU | 2,494,070.0 | --- | --- | --- |\n| Exceeding of expenditure over incomes recovered at the expense of insurance funds of the CPSU | -209,269.7 | -209,269.7 | | -9.2 |\n\nSource: *Nezavisimaya Gazeta*, 8 August 1991, p. 5; FBIS Soviet Union 16 August 1991, pp. 15-16.\n\nAlthough the item of approved membership dues (*) is 1,227,000.0 in the sources, it is a clear misprint and has been corrected.\n\nTable 5-4: Budget Plan of the Communist Parties of Union Republics in 1991\n\n(Thousand Rouble)\n\n| Name of income and expenditure | Planned for 1991 | Approximate Percentage (%) |\n|--------------------------------|------------------|----------------------------|\n| **Income** | | |\n| 1. Party membership dues | 76,4345.0 | 84.2 |\n| 2. Deduction from profits of party publishing | 110,755.0 | 12.2 |\n| 3. Incomes from production, financial-economic activity and other income | 32,840.0 | 3.6 |\n| Total incomes | 907,940.0 | 100 |\n| **Expenditure** | | |\n| 1. Expenditure to financing activity of party committees and party establishments | 981,460.0 | 49.9 |\n| 2. Expenditure to financing activity of primary party organisations | 482,180.0 | 24.5 |\n| 3. Expenditure to construction of building of party organs, accommodation by partial participation, and to repair of housing | 195,000.0 | 9.9 |\n| 4. Expenditure to construction of object of party publishing | 107,000.0 | 5.4 |\n| 5. Financing of unprofitable publishing of party organs | 9,300.0 | 0.5 |\n| 6. Subsidies to publish newspapers of party okrugkoms, gorkoms, raikoms | 193,000.0 | 9.8 |\n| Total | 1,967,940.0 | 100 |\n| Resources of insurance funds of the CPSU directed to covering of deficit of the budget of the CP Union republics (Excess of expenditure over income) | 1,060,000.0 | |\n\nSource: *Izvestiya TsK KPSS*, 1991, No. 5, p. 71. Percentages are added and some details are omitted.\n\n| Name of income and expenditure | Approved in the Budget of the CPSU in 1990 | Foreseen in 1991 | Changes from 1990 to 1991 in approx. percentages (1990—1991) |\n|--------------------------------|------------------------------------------|-----------------|-------------------------------------------------------------|\n| **Income** | | | |\n| 1. Party membership dues | 1,277,000.0 | 927,200.0 | 54.1---66.5 |\n| 2. Deduction from the profit of party publishing | 1,043,360.0 | 286,780.0 | 44.2---20.6 |\n| 3. Incomes from production-economic activity and other receipt | 40,000.0 | 180,020.0 | 1.7---12.9 |\n| **Total income** | 2,360,360.0 | 1,394,000.0 | 100---100 |\n| **Expenditure** | | | |\n| 1. Expenditure for financing the activity of party committees and party establishments of CP union republics, and development of its material basis | 1,515,640.0 | 1,292,760.0 | 71.9---51.8 |\n| 2. Expenditure for financing activity of primary party organisations of CP union republics | 372,260.0 | 482,180.0 | 17.6---19.3 |\n| 3. Subsidies for publishing the newspapers of okrugkom, gorkoms, and raikoms of the party | --- | 193,000.0 | Non---7.7 |\n| **Total expenditure on the budget of the CPs of Union republics** | 1,887,900.0 | 1,967,940.0 | 89.6---78.9 |\n| 4. Expenditure for financing the activity of party committees and primary party organisations in the USSR Armed Forces | 10,883.0 | 120,525.0 | 0.5---4.8 |\n| 5. Expenditure for financing the activity of central party establishments | 28,700.0 | 27,700.0 | 1.3---1.1 |\n| 6. Expenditure on apparat of the CC CPSU | 22,105.0 | 32,560.0 | 1---1.3 |\n| 7. Expenditure for holding plenums and meetings of the permanent commission of the CC CPSU and other all party events, and economic security of the activity of the CC CPSU apparat | 18,395.0 | 23,800.0 | 0.9---1 |\n| 8. Expenditure for maintenance of medical-health establishments and equipment within the jurisdiction of the Department of Administration of Affairs of the CC CPSU | 12,000.0 | 26,300.0 | 0.6---1.1 |\n| 9. Capital investment to the development and reconstruction of central party publishing material basis, central party establishments, medical-health establishment and equipment within the jurisdiction of the Department of Administration of Affairs of the CC CPSU | 75,500.0 | 133,300.0 | 3.5---5.3 |\n| 10. Expenditure on financing organisational measures, conducting sociological research and inter-party contacts of the CPSU | 18,150.0 | 24,000.0 | 0.8---1 |\n| 11. Expenditure for acquiring electronic computing technology and new models of office equipment, elaboration of technical conditions and programming | 20,200.0 | 28,000.0 | 0.9---1.1 |\n| 12. Expenditure for financing the activity of the Central Control Commission of the CPSU | ---- | 4,300.0 | Non---0.2 |\n| 13. Reserves (for unexpected expenditure in | 25,000.0 | 105,575.0 | 1---4.2 |\n\n| Description | Amount 1 | Amount 2 | Percentage |\n|----------------------------------------------------------------------------|----------|----------|------------|\n| connection with price increases for material-technical resources communication services and so on) | | | |\n| Total expenditure | 2,105,950.0 | 2,494,000.0 | 100--99.9 |\n| Resources of CPSU insurance fund directed to cover the deficit of party budget | | 1,100,000.0 | |\n\nSource: *Nezavisimaya Gazeta*, 8 August 1991, p. 5; FBIS Soviet Union, 16 August 1991, pp. 14-15; TsKhSD Fond 89, Perechen’ 23, Delo 25, pp. 3-13. Approximate percentages are added. Although Fond 89 shows more details of each item, it does not include expenditure items 2 and 3.\n\nTable 5-6: Changes of Party Members\n\n| Year, Mon. Day | Member | Candidate Member | Total |\n|----------------|--------------|------------------|-----------|\n| 1989, 1.1. | 18,975,725 | 512,097 | 19,487,822|\n| 1990, 1.1. | 18,856,113 | 372,104 | 19,228,217|\n| 1990, 10.1 | | | 17,742,638|\n| 1991, 1.1 | | | 16,516,100|\n\nSource: 1989, *Izvestiya TsK KPSS*, 1989, No. 2, p. 138; 1990 1.1, *Izvestiya TsK KPSS*, 1990, No. 4, p.113; 1991, *Partinaya Zhizn’*, 1991, No. 11, p.31. The other figure is from Toshihiko Ueno, ‘Sorenpokyousanto Kaitaikateino Bunseki [The Analysis of Disintegrating Processes of the CPSU]’, *Kokusaiseiji* [International Politics], 104 (October 1993), p. 18. See also Philip Hanson and Elizabeth Teague, ‘Soviet Communist Party Loses Members’, *RL/Report on the USSR*, 2-20 (18 May 1990), p. 2.\n\nTable 5-7: Change of the Rate of the Membership Dues\n\n| Old Rule | Membership dues | New Rule | Monthly Incomes | Membership dues |\n|-------------------|-----------------|-------------------|-----------------|-----------------|\n| Monthly salary | | | | |\n| Up to 70 roubles | 10 kopecks | Up to 70 roubles | 10 kopecks | |\n| 71-100 r | 20 kopecks | 71-100 r | 20 kopecks | |\n| 101-150r | 1.0 % of monthly salary | 101-150r | 30 kopecks | |\n| 151-200r | 1.5 % of monthly salary | 151-250r | 1 % of monthly income | |\n| 201-250r | 2.0 % of monthly salary | Above 250 | 2 % of monthly income | |\n| 251-300r | 2.5 % of monthly salary | | | |\n| Above 300r | 3.0 % of monthly salary | | | |\n\nSource: Old Rule, Graeme Gill, *The Rules of the Communist Party of the Soviet Union* (Armonk: M. E. Sharpe, 1988), p. 250. Translation is modified. New Rule, *Pravda*, 18 July 1990, p. 2.\n\nTable 5-8: Numbers of Primary Party Organisations\n\n| Year, Month, Day | Number |\n|------------------|--------|\n| 1989, 1, 1 | 441,949|\n| 1990, 1, 1 | 443,192|\n| 1991, 1, 1 | 426,226|\n\nSources: 1989, *Izvestiya TsK KPSS*, 1989, No. 2, p. 142; 1990, *Izvestiya TsK KPSS*, 1990, No. 4, p. 115; 1991, *Partiinaya Zhizn’*, 1991, No. 11, p. 32. See also Toshihiko Ueno, ‘Sorenpsokyosanto Kaitaikateino Bunseki [The Analysis of Disintegrating Processes of the CPSU]’, *Kokusaiseiji [International Politics]* 104 (October 1993), p. 25.\n\nChapter 6 Party-Military Relations and the August Attempted Coup\n\nI. Introduction\n\nIn previous chapters, we have seen the party had been ‘dead’ de facto due to the loss of its raison d’être and fragmentation of its property. Now we have to look into the final blow to the party. Three days that shook the world, the attempted coup in August 1991, became the final blow. Immediately after the coup failed, the party’s activity was suspended by Russian President Yeltsin. There are many mysteries around the attempted coup even now. Firstly, why was the coup attempted? Some argue that it was for reviving the old, that is communist, regime. Others argue that the attempted coup was for maintaining social order. Secondly, what was the main organisation that attempted the coup? While a view that the security organs, especially KGB, played a leading role was advanced by many researchers, others argue that the party led the coup.\\(^1\\) Thirdly, why did the coup fail? It is too simple to argue that the resurgence of ‘civil society’ beat conservative forces. Fourthly, what was the relationship between the party and the military under Gorbachev’s reforms? All these questions are related to the role of the party in relation to the security organs. This chapter tries to answer these questions by analysing party-military relations during the final years of the perestroika period.\n\nIn order to consider these issues, it seems expedient to take in account three factors suggested by existing theories of military intervention. The first factor is structural. As Samuel Huntington argues, a military coup takes place when the political participation exceeds the political institutionalisation, which leads to a chaotic social order and ‘praetorianism’.\\(^2\\)\n\nSecondly, the leadership is crucial. According to transitology, a military coup is a failure of\n\n---\n\n\\(^1\\) Note on terminology: I denote, by the ‘military’ or ‘security organs’, the armed forces, the KGB, some troops (railway, border and so forth), and the police or the Ministry of Internal Affairs (MVD).\n\n\\(^2\\) Samuel P. Huntington, *Political Order in Changing Societies* (New Haven, CT.: Yale University Press, 1968).\n\nregime soft-liners.\\textsuperscript{3} The third factor emphasises the organisational interest and unity of the military establishment.\\textsuperscript{4} It is not my intention to decide which theory is better to explain the Soviet case, but to utilise these theories in order to help set research agendas for understanding the attempted August coup. The agendas of research are accordingly defined as follows: Firstly, as suggested by the organisational theory, Gorbachev’s reform of party-military relations during \\textit{perestroika} should be researched to understand the split within the party-military establishment. Secondly, whether or not the chaotic ‘power vacuum’ situation led to praeatorianism should be researched. Finally the political leadership during the attempted coup will be discussed.\n\n\\section*{II. Party-Military Relations before \\textit{Perestroika}}\n\nBefore discussing party-military relations under Gorbachev’s reforms, let us briefly consider the basic structure of their relations.\n\n1. \\textbf{Theories of Party-Military Relations}\n\nWhen one considers civil-military relations, the relations are usually those of the government and the military. In fact, in formal institutional terms, the armed forces (Ministry of Defence), the KGB and the MVD were under the jurisdiction of the Council of Ministers (government) also in the Soviet Union. However, it is well known that the primary task of the Council of Ministers was to manage the economy. It seems that the Council of Ministers did not supervise these ministries very much. Therefore, in the Soviet Union, the party’s relation with the military was of vital importance. How strong the party control was is a controversial issue.\n\n\\textsuperscript{3} Guillermo O’Donnell and Philippe C. Schmitter, \\textit{Transitions from Authoritarian Rule: Tentative Conclusions about Uncertain Democracies} (Baltimore: The Johns Hopkins University Press, 1986), pp. 24-25.\n\n\\textsuperscript{4} In fact, O’Donnell and Schmitter add well-placed and professionally respected military officers as a crucial factor. Their presence, which means that the military is divided, makes the coup risky and less successful. See O’Donnell and Schmitter, \\textit{Transitions from Authoritarian Rule}, p. 25.\n\nThere are three theories of the role of the party in party-military relations.\\(^5\\) The first theory emphasised conflicts between the party and military (a conflict theory). According to this theory, as Soviet military professionalism increased, the military required more autonomy from the party, which led to continuous conflicts. This theory is under the influence of the pluralist school in the Soviet and Russian studies. The second one suggested congruence rather than conflict (a congruence theory). This argued that the relationship was characterised as cooperation between the party and the military. Particularly in terms of ideologies, the military’s philosophy was congruent with the party’s ideology. The third theory (a participation theory) stressed interaction between the two organisations, but the party’s priority was accepted. The military was active in bargaining in the military-specific spheres, but not in domestic governing spheres. We can return to these arguments in a concluding section after analysing party-military relations during the *perestroika* period. In any case, it is widely acknowledged that the party had controlling mechanisms over the military. Let me briefly argue the main ones.\\(^6\\)\n\n**2. Controls over Personnel**\n\nThe first controlling mechanism was the party’s staffing (*nomenklatura*) system. The important posts in security organs were included in the Central Committee’s *nomenklatura* list.\n\n---\n\n\\(^5\\) My research on this topic is limited. My description is based on the following literature: Timothy J Colton, ‘Perspectives on Civil-Military Relations in the Soviet Union’, in Timothy J. Colton and Thane Gustafson eds., *Soldiers and the Soviet State: Civil-Military Relations from Brezhnev to Gorbachev* (Princeton, NJ: Princeton University Press, 1990); Timothy J. Colton, *Commissars, Commanders, and Civilian Authority: The Structure of Soviet military Politics* (Cambridge, MA.: Harvard University Press, 1979); William E. Odom, *The Collapse of the Soviet Military* (New Haven, CT: Yale University Press, 1998); Condoleezza Rice, ‘The Party, the Military, and Decision Authority in the Soviet Union’, *World Politics*, Vol. 40, No. 1 (October 1987); John W. R. Lepingwell, ‘Soviet Civil-Military Relations and the August Coup’, *World Politics*, Vol. 44, No. 4 (July 1992).\n\n\\(^6\\) Party control was not limited in the following four measures. For example, the Politburo discussed many internal KGB affairs like the creation of some sectors. See Tsentr Khraneniya Sovremennoi Dokumentatsii (TsKhSD), fond (f.) 89, perechen’ (p.) 9, delo (d.) 18; d. 111. In addition, the Secretariat approved the proposal of the KGB to changes in payment of salaries to staffs of the KGB in foreign countries on 16 March 1990. This decision asked the Council of Ministers to work out further elaboration. See TsKhSD, f. 89, p. 13, d. 48. One can add more concrete examples of other control measures. Still the following four measures seem crucial.\n\nThus, it was not possible to become a high rank military officer without the party’s confirmation. For example, the Politburo approved the release of one general in the army from his post on 11 August 1989.\\(^7\\) Moreover, the Secretariat’s confirmation of the KGB’s personnel changes is recorded on 29 August 1989.\\(^8\\) In the armed forces, the party controlled the composition of the military councils of the military districts. The military councils were responsible to the CC CPSU, the government and the Ministry of Defence for the condition and the fighting preparation of the armed forces. The personnel composition of the military councils was confirmed by the CC CPSU. Moreover secretaries of the republican parties, obkoms and kraikoms participated in the military councils.\\(^9\\) The actual Secretariat’s confirmation of the personnel changes of the some autonomous republican and oblast military councils is recorded in the party archives on 12 April 1990.\\(^{10}\\)\n\n3. Party Membership\n\nThe second measure was party membership. Most or all military officers were required to become party members. As Hough stated in the late 1970s, ‘Almost 90 percent of all military personnel are party or Komsomol members. Officers seem to enter the party at a younger age than other college graduates … and party membership seems to become universal among all officers past their mid-twenties.’\\(^{11}\\) Once an officer became a party member, of course he had to observe party discipline.\n\n4. Party Organisations in Security Organs\n\nAlthough party members in any organisation in the Soviet Union, if they were more\n\n---\n\n\\(^7\\) TsKhSD, f. 89, p. 9, d. 17.\n\n\\(^8\\) TsKhSD, f. 89, p. 2, d. 7.\n\n\\(^9\\) TsKhSD, f. 89, p. 11, d. 73, p. 1. See also Jerry F. Hough and Merle Fainsod, *How the Soviet Union Is Governed* (Cambridge, MA: Harvard University Press, 1979), p. 492.\n\n\\(^{10}\\) TsKhSD, f. 89, p. 2, d. 6.\n\n\\(^{11}\\) Hough and Fainsod, *How the Soviet Union Is Governed*, p. 393.\n\nthan three, were supposed to form a primary party organisation (PPO), party organs in the military were somewhat stronger than in other organisations: in addition to ordinary PPOs at lower (up to battalion) level, the party controlled political organs in the military. At the centre the Main Political Administration (MPA) was organised, which supervised lower political organs that were formed down to regiment or sometimes battalion level.\\footnote{My description of the structure of political organs is based on Colton, \\textit{Commissars}, esp. chap. 1. See also Odom, \\textit{The Collapse}, p. 36.} Political organs supervised PPOs at lower levels. The MPA had its presence in the party’s Central Committee as an equivalent of the CC departments. The political organs controlled line officers, and also were engaged in political education and propaganda work, including publication of books and journals.\n\n\\textbf{5. The Party Apparat}\n\nFinally, the party apparat monitored the activity of the security organs. The CC Department of Administrative Organs engaged in monitoring. As the author discussed in Chapter 3, the party organised its apparat so as to parallel state ministries. The CC Department of Administrative Organs mainly supervised the Ministry of Defence (thus Armed forces), of Internal Affairs (police), of Justice, the Committee for State Security (KGB), and the prosecutor’s office.\n\nTo investigate what happened when Gorbachev’s reform attempt changed these control mechanisms is the subject in the following sections.\n\n\\textbf{III. Reform of Party-Military Relations at the Early Stage of Perestroika}\n\nIn the early period of \\textit{perestroika}, the party-military relationship was not a primary subject of Gorbachev’s reform. Some reform was related to internal military affairs, and foreign\n\npolicy rather than party-military relations.\n\n1. Reform toward the ‘Law-Based State’\n\nThe first military related issue was to arrange security organs appropriate to the principle of a ‘law-based state’. It is well known that in the Soviet Union some acts of the security organs had exerted power above the law. The principle of ‘law-based state’ called for a legal restriction or at least a new interpretation of the law. This issue basically concerned the MVD and the KGB rather than Armed Forces, because the basic task of armed forces was not to sustain domestic order but to protect the country from foreign enemies.\n\nFor example, in December 1988 A. Pavlov, head of the CC State and Law Department, wrote a memorandum to Politburo members in which he, referring to Nagorno-Karabakh, Azerbaijan and Armenia, asked that a group be formed to discuss the problem of a legal regulatory procedure that was necessary to introduce a provisional special administrative form in the case of emergencies, because there was no such legislative act. Then the Politburo decided to form a discussion group comprising some representatives of the Ministries of Defence, Justice, Internal Affairs, the KGB and so forth and entrusted it to work out this problem.\\(^{13}\\)\n\nFrom September to November 1989, a huge corruption case, which was related to former Uzbek first secretary I. B. Usmankhodzhaev, was investigated by the prosecutor’s office. Usmankhodzhaev stated that he gave money to top party leaders, including Ligachev,\\(^{14}\\) M. Solomentsev, former Politburo member and chairman of the Committee of Party Control,\\(^{15}\\) G. Romanov, former CC secretary and a Politburo member,\\(^{16}\\) I. Kapitonov, former CC secretary\n\n\\(^{13}\\) TsKhSD, f. 89, p. 4, d. 8, pp. 1-8.\n\n\\(^{14}\\) TsKhSD, f. 89, p. 24, d. 8; g. 9.\n\n\\(^{15}\\) TsKhSD, f. 89, p. 24, d. 10.\n\n\\(^{16}\\) TsKhSD, f. 89, p. 24, d. 11.\n\nand a Politburo member, and V. Grishin, first secretary of Moscow gorkom and a Politburo member. Then all of them were investigated and proved innocent. This case allows various interpretations. Firstly, they might have been truly innocent, but prosecutors hoped to present themselves as strong figures fighting against conservative leaders. Secondly, they might have been engaged in illegal activity, but they might have been strong enough to exert influence on the prosecutor’s office. In fact Ligachev wrote a memorandum full of anger to a USSR General Prosecutor, A. Ya. Sukharev, and Gorbachev. Romanov also wrote a similar memorandum to the CC CPSU, the Presidium of the USSR Supreme Soviet, the USSR prosecutor’s office. Thirdly, some reformist sections of the party leadership might have tried to humiliate them, especially Ligachev. Though we cannot define which is the case, it is worth noting that such an active top leader as Ligachev was investigated.\n\nAs another step toward the law-based state, reform of the military courts can be indicated. On 18 January 1989 Viktor Chebrikov, KGB chairman, made a proposal to establish an autonomous military-judicial educational establishment and to widen the competence of the military courts. The Politburo positively responded to this proposal and sent the proposal to Dmitrii Yazov, Defence Minister, A. Lizichev, head of the MPA, Vadim Bakatin, Minister of Internal Affairs, and others for further elaboration.\n\n2. Supports for the Military Control and Reduction\n\nIt is very well known that Gorbachev launched a ‘new thinking’ foreign policy that necessitated arms control and reduction. Early military reform included support for this policy.\n\n---\n\n17 TsKhSD, f. 89, p. 24, d. 12.\n18 TsKhSD, f. 89, p. 24, d. 13.\n19 Ligachev supported this argument. TsKhSD, f. 89, p. 24, d. 22. In addition, one party document strongly criticised these prosecutors. TsKhSD, f. 89, p. 30, d. 13. This document was written by ‘P. Nishanov’ without his title.\n20 TsKhSD, f. 89, p. 24, d. 22.\n21 TsKhSD, f. 89, p. 24, d. 25.\n22 TsKhSD, f. 89, p. 24, d. 23.\n23 TsKhSD, f. 89, p. 7, d. 15.\n\nBecause this was not always related to party-military relations, a brief mention seems sufficient. The fond 89 party archive shows that the Politburo decided on 12 May 1989 in the name of the CC ‘On the measures in connection with the 70th year of the MPA in Soviet army and navy’, attached to which was Defence Minister D. Yazov’s address. The address asked the MPA to implement the military reform, stating that ‘the most important task is practical realisation of new political thinking in the realm of the country’s defence …’\\(^{24}\\)\n\nNonetheless, this policy caused dissatisfaction within the military. Still, at the early stage, such views were not advanced strongly, probably because the Soviet military had a tradition of not interfering in politics.\n\n3. Renewal of Cadres and the Nomenklatura System\n\nJust as in other organisations in the USSR, the renewal of cadres also took place in security organs. For example, in the KGB, one third of leading cadres were renewed and half of the workers in the post of the CC nomenklatura lists were appointed for the first time from 1985 to 1988.\\(^{25}\\) In addition, a small modification of personnel controlling measures over the KGB and Defence Ministry was approved by the Politburo on 6 July 1989. The decision allowed the KGB and Defence Ministry to select cadres without taking into account the party membership, and asked to shorten the CC nomenklatura list of the KGB and the Defence Ministry. It was taken in order to improve the KGB and Defence Ministry’s conspiratorial activity.\\(^{26}\\) It seems, nonetheless, that the general picture of party control over military personnel did not change as a result of this decision. For example, though the Politburo, prompted by a memorandum of A. Soshnikov, the deputy head of the CC State and Law Department, decided to delegate the right to appoint the chairmen of the KGB of Union republics to union republican Supreme Soviets on 17 August 1989, chairmen were to be appointed by Supreme Soviets after the confirmation of\n\n\\(^{24}\\) TsKhSD, f. 89, p. 12, d. 23, p. 3.\n\n\\(^{25}\\) TsKhSD, f. 89, p. 51, d. 15, p. 10.\n\n\\(^{26}\\) TsKhSD, f. 89, p. 10, d. 38.\n\nthe CC CPSU and the CC of republican parties.\\textsuperscript{27} Thus, party control over personnel was secured \\textit{de facto}. Moreover, the party archives include party control over the personnel of the military councils. For example, on 30 March 1990 the Politburo, in the name of the CC CPSU, confirmed M. Burokyavichyus as first secretary of the Lithuanian party (CPSU platform). Simultaneously it was decided that he become a member of the Baltic military council.\\textsuperscript{28} Moreover, as mentioned above (II-1), the Secretariat confirmed the personnel changes of the military councils of some autonomous republics and oblasti in Russia on 12 April 1990.\\textsuperscript{29} In addition, the Secretariat decided to include the post of head of a newly established institution of the KGB, the Centre of Public Relations, into the CC’s \\textit{nomenklatura} list and confirmed A. N. Karbainov as head of the Centre on 23 May 1990.\\textsuperscript{30} These documents tell us the party’s control over military personnel did not change at the early stage of the \\textit{perestroika} period.\n\n\\textbf{4. Reorganisation of the Party Apparat}\n\nReorganisation of the party apparat took place in late 1988 as we have seen in Chapter 3. The Administration Department was reorganised into the State and Law Department. However, research into the internal structure of the State and Law Department reveals that no significant change took place in terms of personnel numbers, its jurisdiction and so forth. Thus, we can conclude that, at the early stage of \\textit{perestroika}, Gorbachev did not attempt to change party control over the military. More importantly, the party apparat reorganisation in general created a ‘loss of power’ and a ‘power vacuum’ situation. It led to increasing praetorianism, which we will discuss later.\n\n\\textsuperscript{27} TsKhSD, f. 89, p. 4, d. 12; f. 89, p. 9, d. 20.\n\n\\textsuperscript{28} TsKhSD, f. 89, p. 8, d. 76.\n\n\\textsuperscript{29} TsKhSD, f. 89, p. 2, d. 6.\n\n\\textsuperscript{30} TsKhSD, f. 89, p. 11, d. 122. The establishment of the Centre of Public Relations of the KGB was approved by the Politburo on 10 April 1990. TsKhSD, f. 89, p.9, d. 111.\n\nIV. Reform of Party-Military Relations at the Late Stage of Perestroika\n\n1. Reform of the Party Organisations in the Military\n\n(a) Decision of the Party Congress\n\nTogether with the establishment of the presidency in March 1990, article six of the USSR Constitution was amended in order that the leading role of the party be abolished. Under such conditions, party control over the military became problematic. In particular, the opinion that the military should be ‘de-politicised’ was advanced by many radical reformers, that is, they supported the abolition of political organs in the military. Most of the workers in the MPA and political organs, of course, opposed such an idea. The 28th Party Congress became a battlefield of the two groups.\\(^{31}\\) It was reported that delegates from military party organisations to the congress who put on their uniform gave a threatening impression. In the end, the result was a compromise. The new party Rules did not state anything on the MPA, which was previously an equivalent of the CC department. In addition, according to the new party Rules, party work in the military was to be carried out by the primary party organisations and elected party organs that were to work in close cooperation with the military councils, commanding officers, military-political organs, and corresponding territorial party organisations; an all-army party conference was to be organised in order to elect the party committee in the armed forces.\\(^{32}\\) The resolution ‘On the basic direction of the military policy of the party in the contemporary period’ asked to make precise the function of party organisations and political organs, but ‘the Congress opposes the de-politicisation of armed forces’. Political organs should engage in ideological and political education rather than party work, while the party was to create and arrange its own\n\n\\(^{31}\\) For details, see E. A. Rees, ‘Party Relations with the Military and the KGB’, in E. A. Rees ed., *The Soviet Communist Party in Disarray: The XXVIII Congress of the Communist Party of the Soviet Union* (London: Macmillan Press, 1992); Stephen Foye, ‘Defense Issues at the Party Congress’, *RL/ Report on the USSR*, Vol. 2, No. 30 (July 27, 1990); Viktor Yasminn, “The KGB and the Party Congress”, *RL/ Report on the USSR*, Vol. 2. No. 31 (August 3, 1990).\n\n\\(^{32}\\) *Materialy XXVIII s”ezda Kommunisticheskoi Partii Sovetskogo Soyuza* (Moskva: Politizdat, 1990), pp. 117-118.\n\nmechanism in the military.\\textsuperscript{33} Therefore, political organs were to survive not as part of the party but as part of the state structure.\n\n\\textbf{(b) Further Decisions}\n\nThe implementation of ‘de-partyisation’ of political organs and the establishment of more regular party committees in the military were, however, far from a smooth process. At the end of the party congress, it was announced that Aleksei Ligichev was replaced as head of the MPA and that Nikolai Shlyaga was appointed as a new head. Shlyaga had worked in the CC State and Law Department, that is, he was a party official. This was regarded as a sign that the MPA would not surrender its ties with the party.\\textsuperscript{34} Soon after the party congress (on 23 July 1990), Shlyaga wrote a memorandum to the CC. He argued that forming party organisations in the military should be completed in the course of a report-and-election campaign after the adoption of resolutions ‘The Regulation on political organs in the USSR armed forces’ (see below) and ‘The Instruction on the work of the party organisations in the USSR armed forces’ (see below). During the transitional period, he proposed that it was expedient to preserve for political organs the right to select and place cadres, count the party membership dues, and so forth, that is, he argued that political organs should retain control of party-related work in the meantime.\\textsuperscript{35} A. Pavlov, head of the CC State and Law Department, and Yu. Ryzhov, deputy head of the Party Construction and Cadre Work, supported his proposal, adding that a similar idea had been advanced by political organs in the KGB and the MVD, on 26 July 1990.\\textsuperscript{36} Though it is not clear whether or not the Secretariat or the Politburo took any decision on this matter, the process of implementation of the new party structure suggests that Shlyaga’s proposal was supported.\n\nA memorandum dated 21 August 1990 (without signature) that was circulated to CC\n\n\\textsuperscript{33} \\textit{Ibid.}, p.188.\n\\textsuperscript{34} Stephen Foye, ‘Soviet Army’s New Political Chief on Reform of Military-Political Organs’, \\textit{RL/ Report on the USSR}, Vol. 2, No. 31 (August 3, 1990).\n\\textsuperscript{35} TsKhSD, f. 89, p. 11, d. 58, p. 2.\n\\textsuperscript{36} \\textit{Ibid.}, p. 1.\n\nsecretaries showed the dissatisfaction in the MVD with the reform of political organs. According to the memorandum, V. Bakatin, Minister of Internal Affairs, and V. Karpchev, head of political administration of the MVD, submitted a proposal to create a new unified service section on the basis of cadre and political organs after the February CC plenum (1990). Although the CC State and Law Department and the CC Department of Party Construction and Cadre Work, supported the proposal, and submitted a draft of a decision to the CC CPSU for its examination on 16 July 1990, no decision was taken.\\(^{37}\\) The memorandum indicated many other similar cases.\\(^{38}\\) It demanded to make clear the precise position of the CC on the place of the party organisations in the system of law-enforcement organs and on the fate of the political department and political apparat of the MVD.\\(^{39}\\)\n\nPresident Gorbachev, under such circumstances, took a further step toward the ‘departyisation’ of the military. He issued a presidential decree, ‘On the reformation of political organs of the USSR armed forces, KGB troops, internal troops of MVD, and railway troops’ on 3 September 1990. It asked the Ministry of Defence, the MPA, the KGB, and MVD to work out the draft of ‘the Regulation on the military-political organs’ within three months for the policy of the demarcation of the state and party functions.\\(^{40}\\)\n\nThe presidential decree aggravated party activity in the military. Even the self-liquidation of the party organisations in law-enforcement organs took place. Thus, the Secretariat decision on 16 October 1990, ‘Questions of activity of party organisations in law-enforcement organs,’ and its attached memorandum ‘On the question of de-politicisation of law-enforcement organs’ were the response to such a situation. They argued that party activity in the law-enforcement organs be allowed in legal terms, and urged communists in these\n\n\\(^{37}\\) TsKhSD, f. 89, p. 8, d. 53, p.11.\n\n\\(^{38}\\) Ibid., pp.9-10.\n\n\\(^{39}\\) Ibid., pp. 11-12.\n\n\\(^{40}\\) Vedomosti S’ezda Narodnykh Deputatov SSSR i Verkhovnogo Soveta SSSR, 1990, No. 37 (12 September), p. 908.\n\norganisations to activate their work.\\textsuperscript{41}\n\nThe party had to accelerate the formation of the new party organisations in the military. The draft ‘Instruction on the work of the party organisations in the USSR armed forces’ was published on 25 October 1990, which defined the structure of the military party organisations.\\textsuperscript{42} In addition, the Secretariat’s decision ‘On urgent measures in connection with a strengthening anti-army appearance in a series of regions of the country’ (15 November 1990) demanded that the MPA work out measures to strengthen the discipline and unity of military collectives in the course of the forthcoming report and election period, and the formation of the new party structure in the military.\\textsuperscript{43}\n\nIn legal terms, the reform of political organs and the structure of the new party organisations in the military were completed in January 1991. On 11 January a Presidential decree, ‘On approval of General Regulations on military-political organs,’ was issued.\\textsuperscript{44} With this decree, military-political organs officially became state rather than party organs. On the party side, the January CC plenum (1991) approved an Instruction ‘On the work of organisations of the CPSU in the USSR armed forces’. According to this, the structure of party organisations in the military was to be similar to those in other organisations. At the bottom the PPOs were created by the general party meeting, and at higher levels the party committees were to be organised by party conferences. The party committees were to be autonomous and have the right to create their own apparat. The all-army party conference was to become the leading organ of the military party organisations, which was to elect the executive and control commissions, and establish the structure of the executive organs and members of their apparat. Party organisations in the military were to organise political work such as propaganda and\n\n\\textsuperscript{41} \\textit{Izvestiya TsK KPSS}, 1990, No. 11, pp. 20-23.\n\n\\textsuperscript{42} \\textit{Krasnaya Zvezda}, 25 October 1990, pp. 1-2; FBIS Soviet Union, 31 October 1990, pp. 51-54. Incidentally, Odom misunderstands this instruction as a final decision. See Odom, \\textit{The Collapse}, p. 214.\n\n\\textsuperscript{43} TsKhSD, f. 89, p. 8, d. 68, pp. 2-3.\n\n\\textsuperscript{44} \\textit{Vedomosti S”ezda Narodnykh Deputatov SSSR i Verkhovnogo Soveta SSSR}, 1991, No. 3 (16 January), pp. 138-140.\n\neducation of the party’s military policy, theory of Marxism-Leninism and so forth.\\textsuperscript{45}\n\n\\textbf{(c) Implementation of Decisions}\n\nThen, the report-and-election campaign began in the military party organisations. After the plenum (on 5 February 1991), the Secretariat decided to send a letter ‘To party organisations, and all communists of the armed forces, troops of the KGB, internal troops of the MVD and railway troops’ to all leaders of the security organs and the MPA. The letter asked communists in the military, in the process of the campaign, to pay more attention to the concerns of military collectives, participation in cadre policy, ideological education, and strengthening the party’s influence on military officials.\\textsuperscript{46}\n\nHowever, it can be recognised from some party documents that demarcation of the MPA and the political organs from the party and the creation of new party organisations were not smooth. In the process of the report and elections in the military party organisations, there was one difficult problem, that is, the position of full-time party workers in the newly formed party organisations in the military. The USSR law ‘On Public Associations’ allowed an interpretation that the term as full-time party workers in the military could not be counted as a working period in the military. It would affect the payment of pensions, receipt of an award for long continuous service and so forth. For example, on 20 November 1990 N. Nazarov, secretary of the party committee in the KGB, indicated this problem in his memorandum to the CC CPSU ‘On the legal status of military service workers of the KGB who are joining full-time party work’.\\textsuperscript{47} Dmitrii Yazov and Shlyaga also raised this problem in their memorandum on 3 December 1990.\\textsuperscript{48} Three days later Yuriii Manaenkov, CC secretary, wrote a similar memorandum to other secretaries. According to him, this problem caused serious concerns among military officers who had become full-time party workers. Then he attached a draft of a presidential instruction\n\n\\textsuperscript{45} \\textit{Izvestiya TsK KPSS}, 1991, No. 3, pp. 56-59.\n\n\\textsuperscript{46} TsKhSD, f. 89, p. 20, d. 32.\n\n\\textsuperscript{47} TsKhSD, f. 89, p. 11, d. 72, pp. 14-16.\n\n\\textsuperscript{48} Ibid., pp. 8-9.\n\nordering the Council of Ministers to take an appropriate decision.\\textsuperscript{49}\n\nThe similar difficulty in implementing reform of the party organisations in the MVD is shown by a memorandum ‘On several issues of party-political work in the system of the MVD’ from A. Malofeev, a Belorussian party secretary, to the CC CPSU on 15 January 1991. He argued that ‘in our opinion, an unjustified rush toward the abolition of political organs is there.’ In addition, reorganisation of the political and cadre service, which had been publicised in the beginning of 1990, was prolonged, and the unified service on the work with staff had not yet been created. All these caused absentmindedness, lack of confidence in their activity, and resignation from their work among the staffs of internal affairs organs. Criticising the central MVD leadership that was removing party organisations from any influence on the staff, Malofeev indicated that the terms spent as full-time party workers in internal affairs organs were not to be counted as periods working in internal affairs organs.\\textsuperscript{50} This probably meant the same service continuity problem. On 4 February Boris Pugo, Minister of Internal Affairs, responding to this memorandum, demanded that the government suspend some parts of a related decree, and asked the CC to support his demand.\\textsuperscript{51} I. Kovyrnin, deputy head of the CC Organisational Department, wrote a memorandum to support the position of Malofeev and Pugo on 7 March 1991.\\textsuperscript{52} Though it is not known whether or not the Secretariat or the Politburo took a further decision on this matter, this clearly shows the considerable difficulty in reorganising the party organs in the MVD.\n\nAs suggested by the memorandum above, political organs began to disappear, and the party, which was supposed to have no further relations with political organs, showed anxiety. The CC Organisational Department sent a memorandum to the Secretariat, ‘On the work of party committees on realisation of the CC Secretariat’s recommendation of the strengthening to\n\n\\textsuperscript{49} Ibid., pp. 1-6.\n\\textsuperscript{50} TsKhSD, f. 89, p. 22, d. 49, pp. 2-3.\n\\textsuperscript{51} Ibid., p. 4.\n\\textsuperscript{52} Ibid., pp. 5-6.\n\nfight against crimes’ (without a date). The Secretariat decided to consider the matter and forwarded the memorandum to Luk’yanov on 15 February 1991. This memorandum negatively evaluated the presidential decree ‘On the formation of the USSR Committee on coordination of activity of law-enforcement organs under the President’ because it led to a campaign of de-politicisation or liquidation of political organs in the MVD. On the other hand, the Secretariat memorandum ‘On the question of de-politicisation of the state and law-enforcement organs’, according to the Organisational Department’s memorandum, made it possible to suspend the atmosphere of liquidation of party organisations in the MVD.\\(^{53}\\)\n\nIn addition, even when the party committees in the military were created anew, it seems that the MPA kept some influence on them. For example, on 28 January 1991 a meeting of communists of Kemerovo garrison approved a decision to form a united party committee of Kemerovo garrison that was directly subordinate to the central military party committee apparat. They sent this decision to the CC CPSU, the central military party committee, the MPA and so forth.\\(^{54}\\) Thus, it seems that this implied that the MPA was still related to party affairs.\n\nIn any case, the process of the report and elections went on. For example, the Secretariat approved the Organisational Department’s proposal to hold a party conference of the Western Military Unit Group on 7 March 1991.\\(^{55}\\) The party conference of railway troops was reported on 13 March.\\(^{56}\\)\n\nThe all-army party conference was held on 29 and 30 March 1991. Shlyaga, in his address, argued that the conference concluded the process of transformation of the party\n\n\\(^{53}\\) TsKhSD, f. 89, p. 23, d. 9. Incidentally the presidential decree mentioned in the memorandum was issued on 29 January 1991 based on article four of the USSR Supreme Soviet decision ‘On the situation of the country’ (23 November 1990). See *Vedomosti S”ezda Narodnykh Deputatyov SSSR i Verkhovnogo Soveta SSSR*, 1990, No. 48 (28 November), p.1282; 1991, No. 6 (6 February), p. 242. In addition, the Secretariat memorandum, ‘On the question of de-politicisation of the state and law-enforcement organs’ mentioned in this memorandum is probably the same as above mentioned ‘To the question of de-politicisation of law-enforcement organs’ in *Izvestiya TsK KPSS*, 1990, No. 11, pp. 21-23.\n\n\\(^{54}\\) TsKhSD, f. 89, p. 8, d. 2. Emphasis added.\n\n\\(^{55}\\) TsKhSD, f. 89, p. 5, d. 13.\n\n\\(^{56}\\) *Pravda*, 13 March 1991, p. 2.\n\norganisation in the armed forces.\\textsuperscript{57} Gorbachev and Yazov also addressed the conference.\\textsuperscript{58} The conference elected an all-army party committee and a plenum of the all-army party committee elected Major General Mikhail Surkov secretary of the all-army party committee.\\textsuperscript{59} Later he was elected a Politburo member at the April CC and Central Control Commission (CCC) joint plenum (1991).\\textsuperscript{60} Officially, by this conference, reform of the military party organisations had been completed. Nonetheless, whether or not party control over security organs was over is problematic, which can be recognised by investigating other controlling measures: the party apparat and personnel control.\n\n2. Reorganisation of the Party Apparat\n\nAs discussed above, after the 28\\textsuperscript{th} Party Congress, political organs were not under the jurisdiction of the party, and the party began to organise party committees in the military. Then the CC department that would supervise these party committees was to be reorganised. At the October CC plenum (1990), the second reorganisation of the CC apparat was reported. The State and Law Department was divided into the Ethnic Relations Department and the Department on Legislative Initiatives and Law Questions. However, these departments were not to supervise party organs in the military. The Organisational Department was to supervise them as we have seen in Chapter 3. It seems that this was related to a change in the mode of party control over the military. We can recognise this change by investigating party control over personnel. Let us see it in the next section.\n\n\\textsuperscript{57} \\textit{Krasnaya Zvezda}, 30 March 1991, p. 1; FBIS Soviet Union, 4 April 1991, p. 47. For details of the all-army party conference, see Stephen Foye, ‘Rhetoric from the Past: The First All-Army Party Conference’, \\textit{RL/ Report on the USSR}, Vol. 3, No. 16 (April 19, 1991); Stephen Foye, ‘Maintaining the Union: The CPSU and the Soviet Armed Forces’, \\textit{RL/ Report on the USSR}, Vol. 3, No. 23 (June 7, 1991).\n\n\\textsuperscript{58} TASS, 31 March 1991; FBIS Soviet Union, 2 April 1991, pp. 51-52 (Gorbachev); \\textit{Krasnaya Zvezda}, 2 April 1991, pp. 1-2; FBIS Soviet Union, 2 April 1991, pp. 52-54 (Yazov).\n\n\\textsuperscript{59} \\textit{Krasnaya Zvezda}, 2 April 1991, p. 1; FBIS Soviet Union, 3 April 1991, p. 46.\n\n\\textsuperscript{60} \\textit{Materialy ob “edinennogo Plenuma Tsentral’nogo Komiteta i Tsentral’noi Kontrol’noi Komissii KPSS}, 24-25 aprelya 1991 g. (Moskva: Politizdat, 1991), p. 5.\n\n3. Personnel Control\n\nParty control over personnel had not changed very much before the 28th Party Congress, as discussed above. Nonetheless, after the 28th Party Congress, some reform attempts were made in the demarcation between the party and the state. On 11 January 1991 Yu. Ryzhov, deputy head of the Organisational Department, sent a memorandum asking for a reconsideration of the current situation whereby the CC CPSU confirmed the composition of the military council beforehand, and party secretaries participated in the military council.\\(^{61}\\)\n\nHowever, it seems that the party tried to change the method of control over the military from direct to indirect control through communists in the military. The party did not lose interest in the education of cadres. Shlyaga sent a memorandum on 28 May 1991 to the CC in order to oppose the abolition of the military science course in the academy of social sciences of the CC CPSU and other social and political institutions of the CPSU.\\(^{62}\\) A. Degtyarev, head of the Ideology Department, wrote a memorandum on 27 June, supporting the opinion of Shlyaga.\\(^{63}\\) The Secretariat agreed with Degtyarev’s memorandum.\\(^{64}\\)\n\nIn addition, for such indirect control, the personnel of party committees in the military should be stable. On 15 May 1991 the Secretariat accepted a proposal of the all-army party committee to modify the Instruction ‘On the work of organisations of the CPSU in the armed forces in the USSR’. The modification was made to give the military party committee the right to define the number of subordinate apparat, though previously the party conference approved the structure and number of the apparat. Moreover, the terms of election of party committees were to be extended from every two-three years to every five years or more.\\(^{65}\\) Probably this\n\n\\(^{61}\\) TsKhSD, f. 89, p. 11, d. 73, pp. 1-2.\n\n\\(^{62}\\) TsKhSD, f. 89, p. 20, d. 70, pp. 7-8.\n\n\\(^{63}\\) Ibid., pp. 3-4.\n\n\\(^{64}\\) Ibid., p. 2. This decision does not indicate its date.\n\n\\(^{65}\\) Partinaya Zhizn’, 1991, No. 11 (June), p. 32; Izvestiya TsK KPSS, 1991, No. 8, p. 38; TsKhSD, f. 89, p. 5, d. 19.\n\nmodification was intended to stabilise the personnel of the military party apparat.\n\nThe *nomenklatura* list that was submitted by the CC Organisational department on 6 August 1991 excluded the posts of command-in-chiefs in the armed forces and other commander posts in KGB and MVD troops. Thus, the direct party control over personnel in the military was to end. However, the *nomenklatura* list included the posts of secretaries of the all-army party committee, of the KGB party committees, and of party committees of MVD troops in the same category as first and second secretaries of union republican parties.\\(^{66}\\) Though probably the appointments to these posts were to be confirmed *ex post facto*, this meant that party posts in security organs were as important to the party leadership as the first and second secretaries of union republican parties. In summary, though a change in party control over personnel certainly took place, the party faced considerable difficulty in entirely relinquishing it.\n\n4. Organisational Disarray in the Military\n\nIn addition and more importantly, such reform attempts of party-military relations caused organisational disarray in security organs, as party archives tell us.\n\nFirstly, security organs were losing authority. In many regions an anti-army atmosphere began to appear. The CC Commission on Military Policy made a proposal to the Secretariat ‘On urgent measures in connection with a strengthening the anti-army appearance in a series of regions of the country’ (without a date), arguing that an anti-army atmosphere was becoming stronger in Baltic, Trans-Caucasus, and Moldavian republics and West-Ukraine. In some of these republics, military officers were deprived of their residential entitlement, which led to a situation where they lost their rights in residential areas to medical treatment, their children’s education and so forth. Even physical attacks on military officers were taking place. Prompted by this memorandum, the Secretariat took the decision that had the same title as the proposal\n\n\\(^{66}\\) See Chapter 3 and Atsushi Ogushi, ‘Party-State Relations during *Perestroika*’, paper presented to the annual conference of the British Association for Slavonic and East European Studies (BASEES), 3 April 2004, p. 21.\n\n(On urgent measures) on 15 November 1990, which asked party organisations in these republics to take urgent measures to protect the military.\\textsuperscript{67} Another report of the discussion of the Commission on Military Policy that was written by Oleg Baklanov, CC secretary, on 8 January 1991, complained of a widespread tendency to evade conscription.\\textsuperscript{68}\n\nSecondly, the relationship between security organs and the party became problematic. On 1 March 1991, Kryuchkov sent a memorandum to the CC. The KGB, he argued, supported the Secretariat decision ‘On the work of party committees on the realisation of the CC Secretariat’s recommendation of strengthening the fight against crime’ (15 February 1991) that advanced an idea to hold an all-union meeting of workers of organs of the Internal Affairs, the KGB, the prosecutor’s office, the court, and the judiciary, as well as a zonal meeting-seminar of party secretaries of these organs. However, Kryuchkov asked that the coordinating activity for the preparation of the all-union meeting be entrusted to the KGB. V. Babichev, head of the CC Department on the Legislative Initiative and Law Questions, responded that in a situation where a series of meetings of law-enforcement organs had already taken place, ‘Yu. Golik, chairman of the Committee on the coordination of activity of law-enforcement organs under the USSR President, considers it inexpedient to hold the all-union meeting … until the conclusion of a Union Treaty’. In addition, Babichev argued that the CC Organisational Department carried out the zonal meeting-seminars.\\textsuperscript{69} Therefore, it implied that the party rejected any initiative of the KGB on this matter.\n\nUnder such circumstances, the party organisations in security organs tried to influence central party affairs. Surkov proposed to invite some secretaries of the military party committees to the CC plenum on 14 May 1991. Ryzhov and G. Orlov, deputy head of the General\n\n\\textsuperscript{67} TsKhSD, f. 89, p.8, d. 68.\n\\textsuperscript{68} TsKhSD, f. 89, p. 22, d. 2, p.2.\n\\textsuperscript{69} TsKhSD, f. 89, p. 8, d. 15. Incidentally in this source the date of the Secretariat’s decision is noted as 16 February. However, the decision itself shows the date as 15 February. See TsKhSD, f. 89, p. 23, d. 9, pp.1-2; f. 89, p. 20, d. 37, p. 1 (note 55). Thus, the date ‘16 February’ is, it seems, a mistake.\n\nDepartment, issued a memorandum in support of the proposal on 31 May.\\textsuperscript{70} Probably this proposal was supported by the Secretariat or the Politburo because the secretaries of the military party committees actually participated in the July CC plenum.\\textsuperscript{71} Moreover, a letter dated 21 June 1991 from the deputy secretary of the party committee of a Chernomorskii (Black Sea) fleet to the CC showed concern about the passive position of the CPSU and demanded the summoning of an extraordinary party congress to discuss the new party Programme.\\textsuperscript{72} A similar letter from parts and establishments subordinate to the central Air Defence Military (PVO) Unit to the CC was accepted on 22 July. The argument of this letter was not conservative in ideological terms. Criticising both the ways to capitalism and to the totalitarian order, it sought to construct a society based on associational ownership of the means of production. Real democrats and communists, according to this letter, could agree with such an aim, and this was a necessary condition for combining all constructive social forces. Then it demanded an earlier summoning of an extraordinary party congress and more democratic delegates’ elections.\\textsuperscript{73}\n\nNonetheless the situation became worse for the party. On 30 April 1991, Ryzhov wrote a memorandum ‘On the course of realisation, by party committees, of the CC Secretariat’s recommendation on the questions of strengthening the fight against crime’, which was circulated to CC secretaries and the CCC chairman.\\textsuperscript{74} Ryzhov reported how party organisations were endeavouring to prevent crimes. In order to strengthen the connections among party organisations of law-enforcement organs, a subdivision under the department of Party organisational and cadre work was created in some republics and oblasti. Kemerovo, Pskov, and Sakhalin obkoms created councils of primary organisations’ secretaries of law-enforcement organs under obkoms.\\textsuperscript{75} Still, the report admitted many difficulties with fighting crime. It is\n\n\\textsuperscript{70} TsKhSD, f. 89, p. 11, d. 93.\n\n\\textsuperscript{71} \\textit{Pravda}, 26 July 1991, p. 1.\n\n\\textsuperscript{72} TsKhSD, f. 89, p. 8, d. 3, p. 3.\n\n\\textsuperscript{73} Ibid., pp. 3-4.\n\n\\textsuperscript{74} TsKhSD, f. 89, p. 22, d. 71.\n\n\\textsuperscript{75} Ibid., p. 5.\n\nworth citing:\n\nUnder the influence of a series of “Democratic” Soviets that are taking the course toward the de-partyisation of law-enforcement organs, several communists took a waiting position, some individual communists left the party, or … “suspended” their own party membership. Practically party organisations in law-enforcement organs in Armenia, Georgia, Latvia, Estonia, and Moldova stopped their activity. The attempts to self-liquidate party organisations in court organs and legal work in RSFSR and Ukraine appeared. And in a series of regions (Leningrad and Zakarpat’e obkoms) they had already stopped existing in these structures. The situation is more complicated in that re-elected party secretaries in most cases cease to be full-time. They do not have working experience in new conditions. Sufficient and qualified methodological help from the sides of individual raikoms is not given. Many party committees consider that at present methodological recommendations are insufficiently published in the central party press.\\(^{76}\\)\n\nThen this report proposed to create a party structure in law-enforcement organs, which was, from bottom to the top, similar to the one in the armed forces.\\(^{77}\\) It is not clear whether or not this proposal was accepted. However, even if it was, it seems that there was not enough time to implement such an organisational change. It is more important in our context to note that, despite some party officials’ resistance, the party organisation in the military was disintegrating. Therefore, we can conclude that security organs were gradually becoming more independent of the party, but this did not mean that they could retain their organisational unity. On the contrary, these organs were thrown into disarray.\n\n\\(^{76}\\) Ibid., pp. 6–7\n\n\\(^{77}\\) Ibid., p.8.\n\nV. Increasing Praetorianism\n\nAs the author have argued in Chapter 3, reform of the party apparat led to a ‘loss of power’ and a ‘power vacuum’. In Chapter 3 we have seen the leadership’s recognition of the power vacuum. Of course, recognition is not necessarily reality. We have to consider the actual situation at that time. A universal phenomenon is a rise in the crime rate when a ‘power vacuum’ is created. This was the case also in the Soviet Union. Let me consider the situation at the time, which will make clear that these structural factors caused a military intervention.\n\n1. Rise of Crime\n\nThe crime record from the late 1980s to 1990 was given in a memorandum of the prosecutor’s office dated 11 February 1991 that was circulated to CC secretaries and the CCC chairman. According to this, in 1987 crimes decreased 9.5 per cent and in 1988 they slightly increased (3.8 per cent). But in 1989 the rate increased steeply (31.8 per cent). This tendency continued in 1990. The number of recorded crimes was 2,786,605 (a 13.2 per cent increase), including 422,647 serious ones (a 15.0 per cent increase). Except for Uzbekistan, Azerbaijan, and the Tajikistan republic that showed only a moderate increase, this was an all-union tendency. In addition, all kinds of crime showed increase: murder (15.9 per cent), serious injury (12.2 per cent), rape (2.7 per cent), robbery (16.6 per cent), embezzlement (23.8 per cent), speculation (14.6 per cent) and so forth.\\(^{78}\\)\n\nIn 1991 the MVD reported many dangerous incidents around the country to the CC CPSU. The fond 89 party archives contain some reports around the time of the all-union referendum on the future form of the Union. They include the situation in Nagorno-Karabakh (14 March),\\(^{79}\\) demonstrations, movements, and strikes around the country (15 March),\\(^{80}\\) the\n\n\\(^{78}\\) TsKhSD, f. 89, p. 22, d. 16. pp. 4-5. For more detail data, see pp. 4-20.\n\n\\(^{79}\\) TsKhSD, f. 89, p. 22, d. 61.\n\nsituation of union republics concerning the referendum (16 March),\\textsuperscript{81} the process of referendum all over the country (18 March),\\textsuperscript{82} and the situation of South Osetia (19 March).\\textsuperscript{83} In general all of these reports emphasised the violent and chaotic situation.\n\nAs far as the fond 89 party archive is concerned, further reports of the MVD can be found around the end of July to the beginning of August. The MVD reported on the situation in Latvia and Lithuania (29 July),\\textsuperscript{84} Lithuania (31 July),\\textsuperscript{85} and of Azerbaijan, Lithuania and Latvia (1 August).\\textsuperscript{86} Again, these reports referred to the chaotic situation in these republics.\n\nThe memorandum by Ryzhov mentioned above, ‘On the course of realisation, by party committees, of the CC Secretariat’s recommendation on the questions of the strengthening the fight against crime’, noted a rise in the crime rate from January to March 1991 in many places: Estonia (38.9 per cent), Armenia (23.3), Mari (33.5), Chuvash (28.9), Omsk (48.2), Vladimir (40.9), Nizhnii Novgorod (39.5), Kamchatka (39.3), Tver’ (37.8), Kaluga (36.8), and Novosibirsk (34.4).\\textsuperscript{87}\n\nThe possibility that these reports overemphasised the danger of the situation in order to demand more security attention cannot be discounted. In addition, the definition of a crime was highly controversial in this period. Nonetheless, it does not seem irrational to argue that the situation was so explosive that some emergency measures were desirable at least for some central leaders. Praetorianism was certainly increasing.\n\n2. Increasing Dissatisfaction within the Military\n\nThe security organs came forward in such situation in the late 1980s to 1991. For\n\n\\textsuperscript{80} TsKhSD, f. 89, p. 22, d. 62.\n\\textsuperscript{81} TsKhSD, f. 89, p. 22, d. 63; d. 64.\n\\textsuperscript{82} TsKhSD, f. 89, p. 22, d. 65.\n\\textsuperscript{83} TsKhSD, f. 89, p. 22, d. 66.\n\\textsuperscript{84} TsKhSD, f. 89, p. 28, d. 34.\n\\textsuperscript{85} TsKhSD, f. 89, p. 28, d. 35.\n\\textsuperscript{86} TsKhSD, f. 89, p. 28, d. 36.\n\\textsuperscript{87} TsKhSD, f. 89, p. 22, d. 71, p. 7.\n\nexample, Kryuchkov proposed to the CC CPSU the creation of an administrative section in the KGB on 4 August 1989, though it is not clear if the CC supported this proposal. The section was intended, the proposal explained, to secure the constitutional order.\\textsuperscript{88} Similar proposals were advanced by Kryuchkov several times. For example, on 9 December 1989, he proposed to establish a unit with special tasks in KGB troops and the Politburo agreed on 22 December.\\textsuperscript{89} In addition, Kryuchkov asked to create a special military unit in the KGB on 16 February 1990 and the Politburo approved it on 16 March 1990.\\textsuperscript{90}\n\nMoreover, economic chaos, which was due in part to the party apparat reorganisation, led to economic crimes, though the definition of a crime in this sphere was more difficult than in other spheres. To respond to this situation, I. Skiba, head of the Agrarian Policy Department, and A. Vlasov, head of the Department of Social and Economic Policy, wrote a memorandum, ‘On the necessity to strengthen the fight against crime in the sphere of the economy’ (18 March 1991). After indicating many incidents related to economic crimes, they asked the party to show support and defence to law enforcement organs. The Secretariat discussed this problem on 22 May\\textsuperscript{91} and approved a decision on 3 July 1991.\\textsuperscript{92} The above-mentioned memorandum ‘On the course of realisation, by party committees, of the CC Secretariat’s recommendation on the questions of the strengthening the fight against crime’ showed serious concern in the party about the chaotic situation.\\textsuperscript{93}\n\nThus, the political arena during 1990 to middle of 1991 was dangerous enough to call for military intervention. The problem was who would provide leadership, which was not resolved until August 1991.\n\n\\textsuperscript{88} TsKhSD, f. 89, p. 18, d. 127.\n\\textsuperscript{89} TsKhSD, f. 89, p. 10, p. 49.\n\\textsuperscript{90} TsKhSD, f. 89, p. 10, d. 55.\n\\textsuperscript{91} TsKhSD, f. 89, p. 20, d. 49.\n\\textsuperscript{92} \\textit{Izvestiya TsK KPSS}, 1991, No. 8, pp. 61–66.\n\\textsuperscript{93} TsKhSD, f. 89, p. 22, d. 71.\n\nVI. The August Attempted Coup\n\n1. Development of Events\n\nThis chapter does not give a detailed account of the August coup.\\textsuperscript{94} A very basic chronology follows. Around 5:00 pm on 18 August Gorbachev (who was in Foros on holiday) realised all his phones were cut off. Soon after that, Oleg Baklanov, deputy chairman of the Defence Council, Oleg Shenin, CC Secretary, Valerii Boldin, the president’s chief of staff and head of the CC General Department, Valentin Varennikov, deputy minister of defence and commander of the ground force, and Yurii Plekhanov, head of the Secret Service that guarded the president, visited Gorbachev in order to ask him to support the Emergency Committee (GKChP) or to delegate his authority to Gennadii Yanaev, vice president. The GKChP was composed of these eight persons: Yanaev, Baklanov, Valentin Pavlov, prime minister, Kryuchkov, Dmitrii Yazov, defence minister, Boris Pugo, minister of internal affairs, Aleksandr Tizyakov, president of the Association of USSR State Industry, and Vasiliii Starodubtsev, chairman of the USSR Union of Peasants. Gorbachev refused both support and delegation. Baklanov and others confined Gorbachev in Foros, and went back to Moscow.\n\nAt 6:00 am on 19 August, the GKChP announced that Yanaev was assuming the authority of the president because Gorbachev had become ill. Some troops went into Moscow.\n\n\\textsuperscript{94} The following literature gives more detailed analysis of the process of the attempted coup, to which I am heavily indebted. John B. Dunlop, \\textit{The Rise of Russia and the Fall of the Soviet Empire} (Princeton, N.J.: Princeton University Press, 1993), chap. 5; John B. Dunlop, ‘The August Coup and Its Impact on Soviet Politics’, \\textit{Journal of Cold War Studies}, Vol. 5, No. 1 (Winter 2003); Odom, \\textit{The Collapse}, chap. 14; Jerry F. Hough, \\textit{Democratization and Revolution in the USSR, 1985-1991} (Washington, D. C.: Brookings Institution, 1997), chap. 13; Gordon Hahn, \\textit{Russia’s Revolution from Above: Reform, Transition, and Revolution in the Fall of the Soviet Communist Regime} (New Brunswick, N.J.: Transaction Publishers, 2002), chap. 9; Brian D. Taylor, ‘The Soviet Military and the Disintegration of the USSR’, \\textit{Journal of Cold War Studies}, Vol. 5, No. 1 (Winter 2003); Amy Knight, ‘The KGB, Perestroika, and the Collapse of the Soviet Union’, \\textit{Journal of Cold War Studies}, Vol. 5, No. 1 (Winter 2003); Nobuo Shimotomai, \\textit{Dokuritsuukakkayakodotai heno Michi [The Road to the CIS]} (Tokyo: Iijutsushin, 1992), chap. 6-7; Nobuaki Shiokawa, “‘Kimyona Kudeta’ kara “Roshia saigono Kakuumehe” [From a “Strange Coup” to the “Last Russian Revolution”]”, \\textit{Sekai [The World]}, 1991, No. 11, (November 1991), pp. 55-68.\n\nThe KGB failed to arrest Russian president Yeltsin, and he and his team arrived at the ‘White House’ (the building of the Russian parliament) around 10:00 am. They issued an ‘appeal to the Citizens of Russia’ that called for the action to fight against the GKChP. Some thousand people gathered to support Yeltsin and his team. The GKChP did not take any action on 19-20 August.\n\nAt 3:00 am on 21 August the GKChP finally decided to storm the White House, but, after a small clash that caused three civilian deaths, the troops stopped taking further action. The GKChP members realised that they were failing. Around 2:00 pm, Kryuchkov, Yazov, Baklanov, Anatolii Luk’yanov, chairman of the USSR Supreme Soviet, and Vladimir Ivashko, deputy General Secretary of the CPSU, went to see Gorbachev. Yeltsin sent a Russian government delegation including Aleksandr Rutskoi, the Russian vice president, to capture the plotters. In Foros, the GKChP members were arrested by the Russian delegation.\n\nThe greatest mystery is why the coup failed so easily. At the beginning, many analysts emphasised the strength of the opposition of Yeltsin and his team. However, the more convincing explanation is, it seems, the weakness of the GKChP side.\\(^{95}\\) Thus, let us consider the leadership of the coup plotters and the organisational problem, especially the party in the coup, in the following sections.\n\n**2. Leadership**\n\nIt is well known that the coup was ill prepared and that plotters behaved indecisively. There are many episodes which illustrate this matter. For example, after the GKChP members knew that Gorbachev refused to cooperate, Luk’yanov, who visited the GKChP, asked whether or not the GKChP had a plan. Yazov answered that they did not have, though Kryuchkov insisted that they did have one.\\(^{96}\\) Another episode tells that Pavlov was apparently drunk, or\n\n\\(^{95}\\) Among the works cited above, Hough and Shiokawa particularly emphasise the weakness of the GKChP. Hough, *Democratization*, pp. 432-448; Shiokawa, “‘Kimyona Kudeta’”, pp. 58-63. Shiokawa stayed in Moscow at the time of the attempted coup.\n\n\\(^{96}\\) Odom, *The Collapse*, p. 312.\n\nsuffered a nervous breakdown.\\textsuperscript{97} From circumstantial evidence, one may argue that the GKChP members believed that Gorbachev would support the emergency measure. According to Gorbachev, Baklanov said ‘We do the dirty work. After that, you can return [to your job].’\\textsuperscript{98} Also, it is reported that, when going back from Gorbachev, Baklanov, puzzled by his response, said ‘But he thought that was the only solution. What has changed?’\\textsuperscript{99} This matter raised the possibility of a conspiracy theory, that is, that Gorbachev implicitly approved the coup.\\textsuperscript{100} We will probably never know if this was the case. Nevertheless, they should have prepared to implement the plan without Gorbachev’s approval. This attempted coup was so ill prepared that it gives us the impression that they might have failed even with Gorbachev’s support. Thus, it is reasonable to think something urged them to take sudden action.\n\nThe problem is why they attempted such an ill-prepared coup. The background was the chaotic situation as discussed above. However, most scholars agree that the Union Treaty was the most immediate catalyst for the attempt. The Union Treaty was a product of continuous negotiation between Gorbachev and republican leaders, especially Yeltsin, since April. The final version was agreed at a secret meeting of Gorbachev, Yeltsin and Nazarbaev on 29-30 July. The draft, which would have reduced the powers of the central institutions including security organs, was published on 14 August and was due to be signed on 20 August.\\textsuperscript{101} The plotters had to prevent the treaty being signed. Moreover, Pavlov was showed the draft only on 12 August. Thus, they did not have enough time to prepare a well-organised plan.\n\nNonetheless, Gorbachev presents another argument. He argues that the KGB bugged the meeting on 29-30 July, in which participants (Gorbachev, Yeltsin, and Nazarbaev) agreed to\n\n\\textsuperscript{97} Hough, \\textit{Democratization}, p. 430.\n\\textsuperscript{98} Miharu Gorubachofu, \\textit{Gorubachofu Kaisoroku}, Ge (Tokyo: Shinchosha, 1996), p. 647; Mikhail Gorbachev, \\textit{Zhizn’ i Reformy}, Vol. 2 (Moskva: Novosti, 1995), p. 559.\n\\textsuperscript{99} Hough, \\textit{Democratization}, p. 436.\n\\textsuperscript{100} Dunlop supports the argument that Gorbachev supported the coup. See Dunlop, ‘The August Coup’.\n\\textsuperscript{101} This published version was supposed to be agreed on 23 July. However, it included a new agreement on taxation of the 29-30 July meeting. See Hough, \\textit{Democratization}, pp. 425-426.\n\nremove Kyuchkov and Pavlov. Therefore, they attempted the coup to save themselves.\\textsuperscript{102} Again, we cannot find a clear answer on this matter so far. Nonetheless, it should be noted that this argument explains their sudden action.\n\nStill, it seems that there was another reason for the failure of the coup, that is, organisational weakness, which we consider in the next section.\n\n3. The Party in the Coup\n\nAs discussed above, the party had controlled various security organs. Therefore, it appears natural to assume that the party played an active role in the coup. In fact, Shenin, CC secretary, and Boldin, head of the General Department, went to Foros to see Gorbachev as representatives of the GKChP. However, the role of the party as an organisation was ambiguous. On 19 August, several (but not all) CC secretaries assembled and decided to send a coded telegram to all union republican party committees, kraikoms, obkoms, stating ‘Take measures for the participation of communists in cooperation with the GKChP’. On 20 August the Secretariat sent a second telegram to ‘ask to regularly inform the CC CPSU of the situation in regions, the atmosphere of people, the adopted measures for strengthening order and discipline, and the reaction of people to the measures of the GKChP’. Several party committees, including Samara, Lipetsk, Tambov, Saratov, Orenburg, Irkutsk, Tomsk, Altai, Krasnodar, and others, supported the actions of the GKChP. However, most party committees took a ‘wait-and-see’ position.\\textsuperscript{103} Moreover, the GKChP’s announcement never mentioned the party or communism. Neither the Politburo nor the Central Committee could decide on its attitude. Ivashko, deputy General Secretary, was in a hospital on the first two days of the coup, and proposed to see Gorbachev on 21 August. Thus, on the one hand, some segment of the party apparat welcomed the coup attempt (though it did not play a major part). On the other hand, reformist segment of\n\n\\textsuperscript{102} Gorubachofu, \\textit{Gorubachofu Kaisoroku}, Ge, pp. 643-645; Gorbachev, \\textit{Zhizn’ i Reformy}, Vol. 2, pp. 556-557.\n\n\\textsuperscript{103} \\textit{Pravda}, 23 October 1991, p. 2.\n\nthe party, faced with an unexpected event, showed total confusion. True, the party had not completely lost its ties with security organs as discussed above. Therefore, it was *involved* in, but did not *lead* the coup.\n\nBecause the party did not or could not take the initiative of the coup, security organs showed organisational disarray. Hough states, ‘the lines of command were never clear.’ Troops had been divided among the Ministry of Defence, the KGB, and the Ministry of Internal Affairs.\\(^{104}\\) Without the integrating force, that is, the party, this system could not work well. Organisational disarray was an additional factor in failure of the coup.\n\nThis also means that the August attempted coup was not a *communist* but an *ordinary* coup. As mentioned above, the plotters never referred to communism in the coup. Their aim was to restore ‘law and order’.\n\n**VII. The End of the CPSU**\n\nAs we have seen in Chapter 3, before the attempted coup, Yeltsin had issued a presidential decree ‘On suspending the activity of organisational structures of political parties and mass social movements in state organs and establishments of RSFSR’ (20 July 1991), which was to prohibit the party organisations in state organs within the territory of Russia.\\(^{105}\\) The failed coup presented him a great chance to give a final blow to the party. Immediately after the attempted coup, Yeltsin issued a presidential decree, ‘On suspending the activity of the Communist Party of RSFSR’ (23 August 1991).\\(^{106}\\) Though Gorbachev once showed the intention to continue party reform after coming back from Foros, soon he realised people’s disillusionment with the party. On 24 August Gorbachev resigned as General Secretary and\n\n\\(^{104}\\) Hough, *Democratization*, p. 447.\n\n\\(^{105}\\) *Izvestiya*, 22 July 1990, p. 1.\n\n\\(^{106}\\) *Vedomosti S’ezda Narodnykh Deputatov RSFSR i Verkhovnogo Soveta RSFSR*, 1991, No. 35 (29 August), pp. 1426-1427.\n\ncalled on the CC to dissolve itself.\\textsuperscript{107} On 25 August Yeltsin issued a presidential decree, ‘On property of the CPSU and the Communist Party of RSFSR’ to nationalise party property.\\textsuperscript{108} No strong activity opposing the decree took place. The party had been ‘dead’ \\textit{de facto}. On 6 November the CPSU was banned by Yeltsin’s presidential decree, ‘On activity of the CPSU and the CP RSFSR’.\\textsuperscript{109} The history of the Communist Party of the Soviet Union, which had been the nerve centre controlling the organic body, ended.\\textsuperscript{110} Accordingly, the end of history of the Soviet Union was nearing.\n\n\\section*{VIII. Conclusion}\n\nDespite the resistance from both the party and the military sides to losing ties with each other, the party was gradually losing its control over the security organs. Moreover, this led to organisational disarray in the military. Here the party’s superiority over the military is clear. The above discussion makes clear that the party was the only integrator of these security organs. Thus, our findings cannot support the conflict theory. If conflict had been a feature of party-military relations, the military would have welcomed the party’s losing control. In addition, the fact that the coup was an ordinary coup contradicts the congruence theory, because, if congruence had taken place, the coup would have been communist.\n\nProbably the control theory was closest to the reality of three theories. This means neither that there was no conflict between the party and the military, nor that in some cases the interests of the party and military became congruent. Nonetheless, we must stress the fact that\n\n\\begin{footnotesize}\n\\textsuperscript{107} \\textit{Izvestiya}, 26 August 1991, p. 2.\n\n\\textsuperscript{108} \\textit{Vedomosti S”ezda Narodnykh Deputatov RSFSR i Verkhovnogo Soveta RSFSR}, 1991, No. 35 (29 August), pp. 1434-1435.\n\n\\textsuperscript{109} \\textit{Vedomosti S”ezda Narodnykh Deputatov RSFSR i Verkhovnogo Soveta RSFSR}, 1991, No. 45 (7 November), pp. 1799-1800.\n\n\\textsuperscript{110} The metaphor ‘the nerve centre controlling the organic body’ comes from Takayuki Ito, ‘Tagenteiki Minshushugino Seidoka: Tooshokokuni okeru keiken’, 1989-92 [The Institutionalisation of Pluralist Democracy: From Experiences in Eastern Europe, 1982-92] \\textit{Roshiakenkyu [Russian Studies]}, Vol. 16 (April 1993), p. 36.\n\\end{footnotesize}\n\nthe military very reluctantly went into the coup despite the very favourable environment. When the military was more or less freed from the party, its leaders realised that the military needed to resort to the final measure independently. The August attempted coup was an example of ordinary military-led praetorianism. However, the military had neither the capacity nor the autonomous decision-making experience to rule the country. In addition, the leadership of the coup was remarkably weak. Thus, the military-led coup failed.\n\nAs we have seen in previous chapters, the party had lost its administrative functions but had failed to find a role as a political party. Thus, the party had lost its raison d’être. In addition, the party’s property had been fragmented before the attempted coup. Faced with the final blow by Yeltsin, the party fell without a struggle. The party, which, based on a self-proclaimed ‘universal’ ideology, had been proud of its monolithic unity and monopolistic control for more than seven decades, did not have the capacity to fight any more.\n\nChapter 7 Generalisation and Conclusion\n\nI. Introduction\n\nWe have traced the process of the disintegration of the CPSU in previous chapters. The task of this chapter is to generalise our argument. How universal was the experience of the CPSU compared with those of other communist regimes? And what are the theoretical implications of our argument? Before discussing these issues, let me summarise my rather complicated story of the CPSU.\n\nII. Summarising Our Argument\n\nFigure 7-1 shows the course of events of previous chapters. Before Gorbachev’s perestroika began, the Soviet political system faced a dilemma between monolithic unity and monopolistic control. In order to sustain monopolistic control, the party leadership needed to allow de facto autonomy to lower party organisations, which undermined monolithic unity. In addition, if it was to exercise a practical monopoly across the entire society, the party had to exercise a whole series of functions, including economic ones, which led to an increase in the number of khozyaistvenniki (economic managers) in the party. The party, therefore, could not concentrate on ‘political’ activity alone.\n\nGorbachev’s political reform programme was, it seems, aimed at activating the party’s ‘political’ activity through dismissing its economic function. Reforms of party-state relations mostly concerned the economy-related party apparat. In addition, Gorbachev introduced competitive elections of party secretaries. This policy, at least in part, was intended to destroy established career patterns in the party. In order to improve ‘political’ activity, party secretaries were now expected to be political leaders who engaged in propaganda, agitation, and so forth, rather than pragmatic khozyaistvenniki. Competitive elections would have\n\nimproved the political skills of such party leaders. Moreover, competitive elections could have been useful in improving centre-regional relations by destroying regional and local cliques from below.\n\nHowever, these reforms led to unintended consequences. Firstly, by reorganising the party apparat, especially the economic-related departments, the leadership created a ‘loss of power’ and a ‘power vacuum’. When the party stopped intervening in economic management work, governmental organs that had depended on the party for a long time did not prepare to assume these power and also stopped working. A presidency that was created in order to manage such a situation failed to organise its staff and mechanisms as exemplified in the very late establishment of the presidential apparat in December 1990. This power vacuum influenced many later events. Secondly, competitive party secretary elections made lower organs more autonomous than before. It seems that the establishment of the CP RSFSR marked the climax of this tendency. Thirdly, the CPSU failed to transform itself into a ‘political party’. It did not end its ties with the security organs due in part to the ‘power vacuum’, a self-formulation as a vanguard party rather than a parliamentary party, the production principle for organising PPOs, democratic centralism, and the ban on fractions. Furthermore, it failed to approve a new party programme. Thus, while the party lost its traditional administrative function, it failed to find a new function. The party lost its raison d’être, which accelerated a mass exodus of members.\n\nThe rapid decline in party membership caused a financial crisis, because the party budget mostly consisted of membership dues. In addition, the soviets demanded the nationalisation of party property. The party needed to protect its property. Commercial activity was a response to such a situation. Nonetheless, commercial activity unintentionally caused the fragmentation of party property.\n\nOn the other hand, the ‘power vacuum’ expanded so much that some emergency measures seemed necessary to, at least, some top state leaders. The situation became increasingly chaotic and even the unity of the country appeared fragile to some of its leaders. ‘Praetorianism’ was increasing. Thus, the August attempted coup was aimed to restore ‘law\n\nand order’ rather than ‘communist’ rule. However, some members of the party apparat committed to the coup activity because the party did not lose its ties with security organs entirely. Then the party as a whole was involved with the attempted coup when Yeltsin suspended its activity. Because the party had lost its raison d’être and its property had been dispersed well before the coup attempt, the party had no choice but to accept the reality that it was ‘dead’ de facto. When the party had completed its history, the end of the Soviet Union was also likely to follow.\n\nCompared with existing studies of the collapse of the CPSU, my study emphasises, firstly, a ‘power vacuum’ rather than the strength of a conservative party apparat. Secondly, though the financial crisis of the party has been scarcely discussed by other scholars, it had important consequences for the party. Thirdly, CPSU specialists have not discussed party-military relations in the perestroika period very much. On the other hand, though there are many studies of the Soviet military, they are very military-oriented (for instance, the military capacity of the Soviet army) rather than focusing on party-military relations. Thus, this is one of the few studies on this issue. Finally, although my argument supports some possibility of party reform that was dependent on Gorbachev’s leadership (see Chapter 4), Gorbachev was structurally constrained by the ‘power vacuum’ in which he was located.\n\nIII. Comparison with Other Communist Cases\n\n1. Case Selection\n\nHow universal is the experience of the CPSU? To consider this issue, we have to compare it with those of other countries. Let us limit our analysis to communist regimes. Though to compare the Soviet collapse with, for example, Latin American transitions might be useful for some purposes, only other communist parties’ experience seems to have direct comparability for our purpose, because, as far as I know, only the communist regime stabilised itself for several decades, had a party that attempted monopolistic control and was proud of its monolithic unity, and collapsed more or less from within. In ordinary authoritarian regimes, regime control was not as strict as in communist regimes. Though the\n\nNazi regime in Germany seems to have controlled society to a significant degree, it collapsed within a rather short period, and from outside. The communist regime was more or less unique.\n\nNonetheless, it does not seem practically possible to take into account all communist regimes. We have to limit ourselves to cases that are appropriate for our purpose, though a case selection frequently entails bias. The criteria for the choice of cases should be made clear. The first and most important criterion is whether or not there was an attempt to reform the communist party within the communist period. Many East European countries changed their regimes without, or with few, party reforms. In many cases, the regime, faced with a huge popular uprising, lost its confidence. The Hungarian case is unique in this sense. The Hungarian communist party (the Hungarian Socialist Workers’ Party) was successfully transformed into a social democratic party before the collapse of communist rule. Although it is well known that ex-communist parties in East Europe returned to a political arena, these parties reformed themselves after regime collapse.\\(^1\\) In this sense, among the East European cases in 1989, only the Hungarian seems to be comparable with the Soviet case. Another important case is the Polish communist party (the Polish United Workers’ Party) in 1980-1. Far-reaching party reforms were attempted at the same time as the crisis of the ‘Solidarity’ movement. This case seems important also in a sense that a regime (and party) crisis caused military intervention just as in the Soviet Union. In 1988-9, however, the Polish case does not necessarily seem comparable. Though it is well known that the Polish post-communist party transformed itself into a social democratic party (the Social Democracy of the Republic of Poland, later Democratic Left Alliance) and could become a majority party, these events took\n\n\\(^1\\) See John Ishiyama, ‘The Sickle or the Rose? Previous Regime Types and the Evolution of the Ex-Communist Parties in Post-Communist Politics’, *Comparative Political Studies*, Vol. 30, No. 3 (June 1997). He states, basing himself on A. Agh, that ‘the Hungarian Socialist Party was unique in the communist world in that it emerged before the collapse of state socialism and not after it, unlike all the other renamed and afterwards reformed parties of the post-communist world.’ Ibid., p. 321.\n\nplace after regime change. Thus, the two cases are to be compared with the Soviet communist party.\\(^2\\)\n\n**2. The General Problem in the These Countries**\n\nAs we have seen in Chapter 2, the communist party in general was bound to face a general problem. When the party tried to extend its control over the entire state and society, it had to exercise so many functions that its monolithic unity was undermined. The regime could escape this problem in the early post-revolutionary period or in wartime. But, the more complicated the system became, the more difficult it was for the party to control it. Party control was gradually undermined.\n\nHowever, there were variations among the communist countries in the way in which they experienced these general problems. As we have seen the Soviet case in Chapter 2, the career patterns of party officials and regional autonomy are keys to understanding these variations.\n\nIn Poland, according to Paul Lewis, Edward Gierek, first secretary of the Polish party, tried to appoint well-educated people to provincial party secretariesships. Higher education became almost universal among provincial party secretaries (including both first and other secretaries) around 1975 to 1980, which was the same as the Soviet Union. Still, unlike the Soviet case, the predominant qualification was in economics, then industry and agriculture. If we can, as Lewis did, assume that economics qualifications were given by higher party schools, their educational qualifications possibly did not provide them with sufficient competence. In terms of career experience before becoming party secretaries, about a third of provincial first party secretaries had some production-related experience, though other (not first) secretaries had more such experience. The predominant background among provincial first secretaries was governmental and administrative activity. They did not have much\n\n---\n\n\\(^2\\) Nonetheless, the author cannot claim that my study of the Hungarian and Polish cases is empirically rigorous. Rather, my purpose is to illustrate the generality and uniqueness of the Soviet experience. In addition, though the Yugoslav, Hungarian (1956) and Czechoslovakian (1968) cases may be comparable, they are beyond my knowledge.\n\nexperience of party work before becoming party secretaries either.\\textsuperscript{3} Thus, we can assume that the rise of economic managers in the party was less significant in Poland than in the USSR.\n\nConcerning regional autonomy, Polish provincial first secretaries, unlike Soviet ones, did not enjoy significant autonomy. Gierek’s reform of provincial party organisations in 1975, which increased the number of provincial party committees, strengthened central power vis-à-vis the regions. Moreover, as a result of this reorganisation, lower party organisations were expected to come closer to ordinary people.\\textsuperscript{4} In addition, the Polish state body vis-à-vis the party was somewhat stronger than the Soviet one. Demarcation of the party and state functions was frequently claimed, and strengthening ‘political’ activity was advocated. At the time of deepening economic crisis and volatile public opinion, provincial party secretaries without autonomy found it difficult to carry out their functions. Provincial party committees were placed in a contradictory position. Thus, we can conclude that the ‘unsolvable problem’ in Poland was not the party’s monolithic unity but in its monopolistic control over state and society.\n\nIn Hungary, the party had attempted to recruit various intellectuals after 1956 under János Kádár, its first secretary. Nonetheless, this did not necessarily lead to the rise of economic managers within the party apparat. Firstly, many professionally qualified people were recruited into state bodies rather than the party. Secondly, within the party, well-educated people were primarily placed in the central rather than regional party organisations. This may have been related to the dominance of the capital city (Budapest) in a small country with an imperial legacy. Thirdly, it seems that intellectuals in the humanities and social sciences rather than those with a technocratic background had a rather strong influence in comparison with the Soviet case. Many reformers like Imre Pozsgay had a humanities and social science background. They were still loyal to socialism, but, under the influence of the western New Left, were inclined to a social democratic form of socialism. Thus, the rise of\n\n\\textsuperscript{3} Paul G. Lewis, \\textit{Political Authority and Party Secretaries in Poland 1975-1986} (Cambridge: Cambridge University Press, 1989), chap. 2.\n\n\\textsuperscript{4} \\textit{Ibid.}, pp. 68-71.\n\neconomic managers within the lower party organisations was less significant also in Hungary.\\textsuperscript{5}\n\nThe degree of regional autonomy in the Hungarian party is not clear. Still, we may be able to assume that lower party organisations were less autonomous in Hungary than in the USSR. Firstly, the capital city was too large. Secondly, the lower party organisations probably did not interfere in economic activity very much compared with other communist countries because of more market-oriented economic policies. Thirdly, many lower level party secretaries were, it is reported, conservative. Thus, although at the central level the party’s recruitment policy worked relatively well, at lower levels many intellectuals who joined the party and frequently had humanities and social science backgrounds were isolated from political power. The ‘unsolvable problem’ in Hungary was that the party apparat more or less retained its monolithic unity, but it was isolated from intellectual party members. In the Soviet case, the lower party apparat itself was becoming autonomous, as we have seen.\n\n3. The Reform Process\n\nThese different forms of general problems led to different reform processes. Monopolistic control in Poland was originally weaker. In Poland, the weakest point in the regime was the linkage between the party and society. Therefore, the party confronted society. The price increase in July 1980 immediately led to workers’ strikes in August. A Gdansk agreement allowed the establishment of ‘free trade unions’ alongside the leading role of the party. The new trade union ‘Solidarity’ became a movement and spread into other areas including peasants, university students, academics, journalists and so forth. The ‘Solidarity’ movement tried to establish a realm independent of the party. This attempt involved a reconsideration of the \\textit{nomenklatura} system.\\textsuperscript{6}\n\n\\textsuperscript{5} See Rudolf L. Tőkés, \\textit{Hungary’s Negotiated Revolution: Economic Reform, Social Change, and Political Succession, 1957-1990} (Cambridge: Cambridge University Press, 1996), pp. 140-160; Patrick H. O’Neil, \\textit{Revolution from Within: The Hungarian Socialist Workers’ Party and the Collapse of Communism} (Cheltenham: Edward Elgar, 1998), pp. 71-86.\n\n\\textsuperscript{6} See Takayuki Ito, ‘Controversy over Nomenklatura in Poland: Twilight of a Monopolistic Instrument for Social Control’, \\textit{Acta Slavica Iaponica}, Vol. 1 (1983); Takayuki Ito, ‘Porando\n\nPushed by the movement, the party was forced to reform itself. Firstly, the first secretary was changed. Stanisław Kania became the new first secretary. Secondly, within the party, some movements began to construct horizontal relations. Thirdly, there was the free election of party officials, in which most old party officials were replaced. The new Central Committee was almost totally (more than 90 per cent) renewed at the extraordinary party congress in 1981. Nonetheless, this contributed neither to the rise of more competent people nor to recovering the party’s political authority. The new Central Committee was occupied by political laymen. In the process of party election, the agendas primarily focused on personnel matters rather than policies or platforms. The new CC members, furthermore, did not have any other ideas on an alternative policy or political system. Moreover, the party faced a rapid membership decline. In addition to 300 thousand members who had left the party before the party congress, 500 thousand members left afterwards. The party lost its ruling capacity.\n\nWhile, on the one hand, the party could not rule the country, the ‘Solidarity’ movement, on the other, did not attempt to replace the party in a ‘self-limiting revolution’. Therefore, a huge political vacuum was created. The only force capable of filling the vacuum was the armed forces. This led to the rise of Wojciech Jaruzelski, Defence Minister, who became first secretary and who declared martial law in 1981. The Jaruzelski regime shared many characteristics with authoritarian regimes rather than a ‘post-totalitarian’ regime, which made easier its transition in 1989.\n\n---\n\n6 “Rentai” Undo no Kobo [The Rise and Fall of the “Solidarity” Movement in Poland], in Shigeru Kido and Takayuki Ito eds., Touou Gendaishi [Contemporary History of Eastern Europe] (Tokyo: Yuhikaku, 1987).\n\n7 Takayuki Ito, ‘Genzon Shakaishugi niokeru Shakaihendo to Seijitaisei: Porando niokeru Tonaisenkyo (1980-81) ni Sokushite [Social Change and Political System under Real Socialism: An Analysis of Party Elections in Poland, 1980-81]’, Srabu Kenkyu [Slavic Studies], Vol. 31 (1984); Takayuki Ito, ‘Nomenklatura and Free Election: A Polish Experiment, 1980-81’, Acta Slavica Iaponica, Vol. 6 (1988); Jerzy J. Wiatr, ‘Poland’s Party Politics: The Extraordinary Congress of 1981’, Canadian Journal of Political Science, Vol. 14, No. 4 (December 1981); David S. Mason, ‘The Polish Party in Crisis, 1980-1982’, Slavic Review, Vol. 43, No. 1 (Spring 1984); Z. Anthony Kruszewski, ‘The Communist Party during the 1980-1981: Democratization of Poland’, in Jack Bielaszak and Maurice D. Simon eds., Polish Politics: Edge of the Abyss (New York: Praeger, 1984).\n\n8 Juan J. Linz and Alfred Stepan, Problems of Democratic Transition and Consolidation: Southern Europe, South America, and Post-Communist Europe (Baltimore: The Johns Hopkins University Press, 1996), pp. 255-292.\n\nIn Hungary, party reforms began in 1988. Regardless or because of previous economic reform efforts, the demand for political reform stemmed not from society but from local party intellectuals. They attacked the local party apparat by which conservative bosses dominated their own areas. Local intellectuals tried to create horizontally based groups, ‘reform circles’, within the party. These reform circles became influential. Though at the beginning their relationship with the central reformist leaders was ambiguous, Pozsgay and Rezső Nyers, a politburo member, finally supported them. The reform circles demanded an extraordinary party congress, though the somewhat conservative party leader Károly Grósz tried to call a party conference rather than a congress so as to avoid more radical change. But finally Grósz made a concession and an extraordinary party congress was summoned.\n\nThe reform circles extended their base and joined a reform alliance with other reform-oriented groups. The reform alliance’s platform shows some striking similarities with the Democratic Platform in the CPSU: a clear break with the past (a change of name, of practice from the communist period, and so forth), a transformation from a vanguard into a parliamentary party, abolition of the Workers’ Guard (a semi-military organisation supervised by the party), abolition of party cells in workplaces, and nationalisation of party property.\n\nThe extraordinary party congress took place in October 1989. The reform alliance could command a majority of congress delegates though they included opportunist reformers. This congress brought to an end the history of the Hungarian Socialist Workers’ Party when they decided to found the Hungarian Socialist Party. Party reform succeeded in Hungary. Nonetheless, some difficult issues, including party cells in the workplace, the Workers’ Guard, and party property, could not be resolved at the party congress just as in the case of the CPSU. A referendum organised by opposition parties decided to ban party cells in the workplace, disband the Workers’ Guard, and nationalise party property. This well-known referendum included a choice on whether a presidential election should be held in advance of that for parliament. The result very marginally supported a parliamentary election in advance. Though the Socialist Party suffered a humiliating defeat in the parliamentary election, this forced the\n\nparty to reform itself further. At the 1994 parliamentary election it could become a majority party.\\footnote{O’Neil, \\textit{Revolution from Within}, pp. 93-198.}\n\n\\section*{4. Some Theorems}\n\nComparing the Soviet case with the other two, we can draw some general conclusions. Firstly, there are some prerequisites for successful communist party reform. (i) A strong opposition outside the party is necessary. The ‘Solidarity’ movement was obviously stronger than any opposition movement in the Soviet Union. Though the Democratic Forum in Hungary was not a very strong organisation, it was strong enough to win a majority in the first democratic parliamentary election. Taking into account the fact that some difficult issues of party reform as party cells or property could be resolved only by pressure from the outside, a strong opposition was necessary. Democratic Russia, which was the largest opposition outside the party, could not hold such a position. (ii) A central leadership is required for successful party reform. Even if a reformist platform is organised from below, its relationship with the centre is important. Gorbachev, as we have seen in Chapter 4, did not ally his leadership with the Democratic Platform. In this sense, Gorbachev failed to play a role of Pozsgay or Nyers who more or less successfully provided leadership through the reform alliance in Hungary.\n\nThe second conclusion is that the party is the core of power or power itself in a communist regime. When an opposition is not prepared to assume power, communist party reform creates a power vacuum. Such a vacuum led to introduction of martial law in Poland and an attempted coup in the Soviet Union. In this sense, Gorbachev failed to play the role of Jaruzelski. We may assume that if the August coup had succeeded under the Gorbachev leadership, the new regime would have been closer to the Jaruzelski-type authoritarian regime, which might have made a future democratisation easier.\n\nIV. Some Theoretical Implications\n\nLet us move on toward more general theoretical implications of our argument, some of which were discussed in the first chapter. Firstly, theories of a military coup are considered. Then, the issues of what the Soviet system was, how and why the Soviet system changed are discussed.\n\n1. Theories of a Military Coup\n\nWe have discussed the August attempted coup in Chapter 6, which seems instructive for theories of a military coup. How to explain military intervention has been a challenging task for political scientists. Many military regimes have been established in Southern Europe, Latin American countries, and Asia (e.g. Korea, Taiwan, Thailand, Indonesia and Pakistan). In addition, the most troubling matter in the so-called ‘third wave’ of democratisation in these countries is military intervention. Naturally the task of explaining the reasons for military intervention or its absence has attracted many researchers. Though it may be schematic, let me categorise them into three types.\n\n(a) Structural Factors\n\nThe first type is a structure-centred theory. Some stress the importance of the class structure of a corresponding country. ‘Bureaucratic authoritarianism’ is an example.\\(^{10}\\) Influenced by dependency theory, this argues that the class structure of a developing country polarises at some stage of modernisation, which produces a favourable environment for military intervention. Still, class structure \\textit{per se} is not the explanation of military intervention. Based on Huntington’s political institutionalisation theory, it argues that polarisation leads to greater political demands from the population. The level of participation exceeds that of institutionalisation, which causes praetorianism (military intervention). The problem is not modernisation itself but political de-institutionalisation.\\(^{11}\\)\n\n(b) Leadership\n\n\\(^{10}\\) Guillermo A. O’Donnell, \\textit{Modernization and Bureaucratic-Authoritarianism: Studies in South American Politics} (Berkeley, CA.: Institute of International Studies, University of California, Berkeley, 1973).\n\n\\(^{11}\\) Samuel P. Huntington, \\textit{Political Order in Changing Societies} (New Haven, CT.: Yale\n\nThe second theory is actor-centred. A prominent feature of the third wave of democratisation was the absence of military intervention. Thus, the explanation is directed to the reason it did not take place. O'Donnell and Schmitter argue that it was the result of 'playing coup poker'. At the beginning of a transition, a regime soft-liner utilises the threat of a coup in order to keep the transition within limit. However, when the opposition is convinced that the threat is a bluff, it makes clear that regime soft-liners will also suffer from the coup, because regime hard-liners will expel not only the opposition but also regime soft-liners with the coup. Thus, both regime and opposition soft-liners tend to make a concession or cooperate. The skill of regime soft-liners is, according to this argument, vital.\\(^{12}\\) Thus, the occurrence of a coup may be explained by the lack of political skill of a regime soft-liner or by the greater skill of regime \\textit{hard-liners} than soft-liners. In addition, the failure of a coup may be due to the lack of political skill of the regime hard-liners.\n\n\\textbf{(c) Organisational Factors}\n\nIn addition to large-scale structural or environmental factors like praetorianism and the very situational factor of the individual political leader's skill, it is necessary to mention a factor within the military organisation. In fact, O'Donnell and Schmitter add well-placed and professionally respected military officers as a crucial factor. Their presence, which means that the military is divided, makes the coup risky and less successful.\\(^{13}\\) Therefore, the Soviet case, in which a coup took place but failed, may be explained by a divided military. Still the application of this theory to the Soviet case is not easy, because it differed from Latin American military regimes in that the communist party controlled the military. It is necessary to consider the division of party-military relations.\n\n\\textbf{(d) Implications of our Discussion}\n\nOur discussion of party-military relations (Chapter 6) may suggest the following points. Firstly, structural or environmental factors may be sufficient to increase the \\textit{probability}\n\n\\footnotesize{University Press, 1968).}\n\\footnotesize{\\(^{12}\\) Guillermo O'Donnell and Philippe C. Schmitter, \\textit{Transitions from Authoritarian Rule: Tentative Conclusions about Uncertain Democracies} (Baltimore: The Johns Hopkins University Press, 1986), pp. 24-25.}\n\nof a coup. The situation around 1990 and 1991 in the Soviet Union was dangerous enough to call for emergency measures. In fact, Gorbachev’s turn to the right can be explained by the chaotic situation rather than pressure from conservative factions. However, secondly, strong leadership and organisational unity in the military are necessary for a *successful* coup, which the Soviet case did not possess. Gorbachev, at least apparently, did not provide leadership. Other coup leaders were too ill-prepared. The organisational unity of security organs was not sustained due in the main part to the reform of relations between the party and security organs. These factors made the coup fail.\n\n2. What the Soviet System was: Theories of the Political Regimes\n\n(a) Controversy over Totalitarianism\n\nAs we have seen in Chapter 1, there are controversies over totalitarianism in Soviet and post-Soviet studies and in political science in general.\\(^{14}\\) The totalitarian school was challenged by many scholars in the 1970s. However, after the collapse of the Soviet-type political system, the totalitarian school returned to the central place in conceptualisations of such systems. The first reason is that people under the communist system by themselves began to use the totalitarian concept in the late 1980s. Some critics’ view that the totalitarian concept was strongly influenced by the cold war, and, therefore, had a too confrontational implication, became difficult to justify. Secondly, qualified pluralism tended to suggest that the system became stable by introducing such ‘plural’ elements as professionalism and so forth. This was not supported by the course of events. Finally it seems to me that the pluralist school tried to find too much similarity to Western, especially American, society. Hough’s thought-provoking work on conceptualisations of the Soviet system is full of comparisons\n\n\\(^{13}\\) O’Donnell and Schmitter, *Transitions from Authoritarian Rule*, p. 25.\n\n\\(^{14}\\) Apart from literature mentioned in Chapter 1, see Archie H. Brown, *Soviet Politics and Political Science* (London: Macmillan, 1974); Archie Brown, ‘Pluralism, Power and the Soviet Political System: A Comparative Perspective’, in Susan Gross Solomon ed., *Pluralism in the Soviet Union* (London: Macmillan, 1983); Nobuaki Shiokawa, “‘Shakaishugi to Zentaishugi’” Sairon [“Socialism and Totalitarianism” Revisited], *Juten Ryouiki Kenkyu Hokoku Shu*, ‘Surabu Yurashia no Hendo’ [Occasional Papers on ‘the Changes in the Slavic-Eurasian World’] No. 14 (1996).\n\nwith the American cases and references to Robert Dahl’s *Polyarchy*. Though Hough did not clearly say so, such a view gave an impression that Soviet society tended to be more and more liberal democratic. Now we know that Russia’s path to liberal democracy is far more troubling.\n\n(b) The Implication of our Discussion\n\nWhat can our discussion tell us about this conceptual issue? First of all, although the pluralist school does not gather many supporters now, it certainly indicated some tendencies within the Soviet system, as we have seen in Chapter 2. The rise of economic managers and regional autonomy did exist. We should confirm some contribution of this school, even if it is not very fashionable. Still some problems remain. One problem in the pluralist school was that it assumed that such elements contributed to a regime’s ruling capacity. However, these elements were obstacles for the central leadership. In addition, the pluralist school underestimated the centrality of the party apparat. In Chapter 3 and the above comparison, it was discussed that the party apparat was the core of power, therefore, its reform led to a power vacuum. Moreover, a conflict theory on party-military relations, which emphasises conflicts between the party and military rather than party control and is closer to the pluralist school, was not supported by our argument in Chapter 6. The contribution of the pluralist school was limited.\n\nNonetheless, to dismiss the pluralist school does not necessarily mean to approve the totalitarian school. Because this concept has been used in many ways, we should distinguish at least two different ways. The first way is totalitarianism as an ideal type. If totalitarianism is an ideal type, totalitarianism is not reality. We can say that Stalin’s Soviet Union was *closest* to totalitarianism in Soviet history, but was not totalitarianism itself. This use can be justified. Even some scholars, who are very critical of totalitarianism, have used this concept as an ideal type.\\(^{15}\\)\n\n\\(^{15}\\) See Nobuaki Shiokawa, *Soren toha Nandattaka [What was the USSR?] (Tokyo: Keisoshobo, 1994), chap. 3.\n\nThe problem takes place when totalitarianism is an essentialist definition. Firstly, the totalitarian model cannot explain change from within. For example, modernisation, it implies, can contribute to the perfection of its total control through hierarchical bureaucracy. But it created obstacles, as we have seen in Chapter 2. From the totalitarian perspective, Gorbachev’s reform attempts can be considered as something irrational. He did not understand what he tried to do. Secondly, it is not clear that totalitarianism is limited only to the Stalinist period or can extend to the later period. If it is limited to the Stalinist period, it should be explained why totalitarianism had changed and what the later system was. At least the classical definitions presented by Friedrich and Brzezinski do not fit the later period. Classical totalitarianism, to some degree, may have been a product of a mirror image of Western, especially American, society, which later caused a totally opposite attempt to find too much similarity by the pluralist school. If totalitarianism extends to a later period, it should be explained what continued throughout Soviet history and why it changed. Modified totalitarianism may provide some clues to manage these problems. Certainly, Rigby’s ‘monorganisational society’ has been one of the most sophisticated conceptualisations of the Soviet system. Partocracy also can be a plausible conceptualisation. The party dominated the country and within the party, as Leon Onikov, a former party worker, stated, ‘less than 0.3 per cent people of its members [that is, the party apparat] formed the real power in the CPSU’.¹⁶ Nevertheless, modified totalitarianism does not necessarily provide a clue for understanding regime change. This conceptualisation may imply a bureaucratic dysfunction, the role of leadership, and so forth as reasons for the change. However, theories of regime typology and theories of regime change have developed rather separately.¹⁷ Thus, let us consider theories of political change first, and return this issue later.\n\n3. Why and How the Soviet System Collapsed: Theories of Political Change\n\n(a) Modernisation Theory\n\n¹⁶ Leon Onikov, *KPSS: anatomiya raspada* (Moskva: Respublika, 1996), p. 76.\n¹⁷ The most important exception is Juan J. Linz and Alfred Stepan, *Problems of Democratic*\n\nThe content of modernisation theory was reviewed in Chapter 1. Our hypothesis was:\n\nSocial and economic change or the failure to legitimate its rule through economic development was the crucial factor in the Soviet collapse (modernisation theory).\n\nThis argument contributed to understanding increasing systemic difficulties in the long term. Our argument in Chapter 2 provides some evidence for this theory.\n\nHowever, modernisation theory has several weak points besides its euro-centrism. The first is the problem of threshold: it cannot define the critical point at which changes in the quantity of modernisation turn into changes in the quality of a political regime, in other words, what degree of modernisation leads to democratisation is not clear. Moreover, contrary to the hypothesis, the ‘unsolvable problem’ in the Soviet Union was created by, to some degree, economic development rather than economic decline (see Chapter 2). Secondly, the breakdown of a democratic regime cannot be explained by this approach. Despite modernisation, some democratic regimes broke down in some Southern European, Latin American, and Asian countries. Thirdly, the focus of this approach is ‘society’. It concentrates its attention on social movements from below. However, the opening frequently begins with cracks within a regime rather than pressure from below as we have seen. Modernisation theory is not sufficient.\n\n(b) Transitology\n\nThe hypothesis of Transitology was:\n\nThe central factor in the Soviet collapse is the strategy of top elites, for example, Gorbachev, Yeltsin, Ligachev and so forth (transitology).\n\nCertainly political leadership was always an important factor. I have argued in Chapter 2 that it depends on leaders’ recognition how acute the problems are, which necessitates reform attempts. Or, as we have seen above, Gorbachev’s failures to provide leadership with party reformers at the 28th Party Congress and plotters of the attempted coup were crucial.\n\nProblems in transitology, nonetheless, seem to remain. Firstly, transitology tends to restrict our perspective: researchers are likely to consider only events which concern democratisation. Events outside democratisation cannot be treated by transitology. Secondly, since transitology has strategic implication for democratisation, it is difficult for researchers to maintain their objectivity. Even the excellent biography mentioned above seems to be too generous to Gorbachev.\\(^{18}\\) Thirdly and most importantly, although strategies by actors are important, its implication that, if the right strategies were applied, the transition would be successful is not plausible. Political actors do not have a free hand in choosing their strategies, that is, the choices of political actors are constrained by structure. The key problem is not what political actors want to do but what they can do. Transitology is not sufficient either.\n\n(C) New Institutionalisms and Marxist View\n\nOur hypothesis of new institutionalism was:\n\nIntra-state structure accumulated friction within the ruling body that led to the final collapse by the failure of reform (new institutionalism).\n\nThis hypothesis may be always true. This reminds us of an old maxim: ‘Men makes their history, but they do not make it just as they please; they do not make it under circumstances chosen by themselves, but under circumstances directly encountered, given and\n\n\\(^{18}\\) Archie Brown, *The Gorbachev Factor* (Oxford: Oxford University Press, 1996).\n\ntransmitted from the past'. In fact, a sociological institutional study of Hungarian party reform begins with this maxim.\n\nHowever, besides such very general hypothesis, individual studies that applied new institutionalism are not without problems. Firstly rational choice institutional accounts cannot be supported. A general problem of rational choice institutionalists is the wisdom of hindsight. We now know results, and who got benefits in the end. Rationalists argue that the results were created by beneficiaries who acted rationally in order to maximise their interests. The Marxist view as well, it seems, made the same mistake. Still, as we have seen in Chapter 5, real history is full of paradoxes. It is not always convincing that beneficiaries (for example, an ex-party-state elite who could transform themselves into an economic elite) consistently sought to maximise their personal interests. Although rationalists' explanations are usually methodologically and theoretically sophisticated, they are frequently far from reality.\n\nFinally sociological institutionalism has a certain potential to broaden our understanding of communist collapse by integrating a structure-centred theory and an actor-centred theory. Nonetheless, there have been only a few attempts so far to do so. In addition, though it emphasises social changes inside political institutions such as 'reds' and 'experts', sociological analysis does not relate it to a specific feature of a political regime. What we need is to understand the interconnection of the two theories: that of the Soviet-type political regime and that of its collapse. We do not have yet any satisfactory theory to explain what the Soviet system was, and how and why it collapsed.\n\nTherefore, we reach an extremely commonplace conclusion: every theory is the case to some degree and every theory is not the case to some degree. It must be remembered that existing theories of political change, especially 'democratisation', are not sufficient. It is necessary to broaden our perspective. My use of the concepts of the breakdown of democracy\n\n---\n\n19 Karl Marx, *The Eighteenth Brumaire of Louis Bonaparte* (New York: International Publishers, 1998), p. 15. A Japanese translation is Karu Marukusu, *Rui Bonaparuto no Buryumeru Juhachinichi* (Tokyo: Iwanamishoten, 1954), p. 17.\n\n20 O'Neil, *Revolution from Within*, p. xviii.\n\n21 M. Steven Fish states that the rationalist argument is 'deeply functionalist'. See M. Steven Fish, 'Postcommunist Subversion: Social Science and Democratization in East Europe and\n\nwas such an attempt. This dissertation could, it seems, demonstrate that these concepts work better than transitology’s liberalisation and democratisation.\n\nNonetheless, probably, in order to subvert existing theories, we need to conceptualise from reality rather than to borrow existing theoretical theorems. As de Tocqueville once said, ‘[a] new science of politics is needed for a new world’. By basing ourselves on reality, we will be able to integrate regime theory and political change theory.\n\nV. Conclusion\n\nWhy have two theories developed separately? The reason, it seems to me, lies in theorists’ obsession with universality. If we limit the utility of the theory of political change to a specific regime, the theory, of course, loses its broader validity. If so, it is not a ‘theory’ in a strictly scientific sense. Theorists, therefore, consistently attempt to broaden the validity of their theories. It turns into a large N syndrome now. Even when small N case studies are conducted, they are only for proving the validity of existing theories. Uniqueness of reality simply tends to be ignored.\n\nNevertheless, history never satisfies theorists’ favourite words ‘ceteris paribus’. Reality is always unique and multi-faceted. Some historically significant issues, for example, the Soviet collapse, need to be considered, however unique they are. The task of social science is not to make abstract models but to understand reality. I deliberately did not use the word ‘democratisation’ in the context of the Soviet and the CPSU collapse in order to escape from a reliance on existing theories. Moreover, I tried to describe events in detail, though they may be dry and detailed, in order to escape the Procrustean bed. This dissertation was a first step for me in understanding a multi-faced Soviet reality. ‘The owl of Minerva begins its\n\nEurasia’, *Slavic Review*, Vol. 58, No. 4 (Winter 1999), pp. 797-798.\n\n22 Alexis de Tocqueville, *Democracy in America* (London: Everyman’s Library, 1994), p.7.\n\n23 See Paul Kubicek, ‘Post-communist political studies: ten years later, twenty years behind?’ *Communist and Post-Communist Studies*, Vol. 33, No. 3 (2000).\n\nflight only with the onset of dusk.\\textsuperscript{24} In a sense we are only at the starting point for understanding what the Soviet system was, and why and how it collapsed.\n\n\\textsuperscript{24} G. W. F. Hegel, \\textit{Elements of the Philosophy of Right} (Cambridge: Cambridge University Press, 1991), p. 23.\n\nFigure 7-1: Overview\n\nDilemma between monolithic unity and monopolistic control\n-Centre-Regional Relations\n-Rise of Experts (khozyaistvenniki)\n\nNeed to streamline the party’s function\n\nCompetitive Party Secretary Elections\n\nReform of party-state relations\n\nFailure of transforming into a political party\n\nLost of raison d’être\n\nRelaying on the security organs\n\nMass Exodus\n\nFinancial Crisis\n\nCommercial Activity\n\nFragmentation of the Party Property\n\nThe End\n\nAttacks from the Soviets\n\nThe August Attempted Coup\n\nAppendix: On the Nomenklatura System and Nomenklatura as a Social Class\n\n1. Introduction\n\nThe nomenklatura system had been regarded as the central mechanism for controlling the party hierarchy, the state and society in communist party regimes by many researchers. Thus, it is necessary to think of this more closely than other controlling mechanisms. Through this personnel appointment mechanism, higher party organs ruled lower ones within the party, and, outside the party, the party tried to control the state and society, which made the communist regime almost one huge organisation or ‘mono-organisational society’. Strangely enough, however, less attention was paid to this system to explain the collapse of the regime during the perestroika period. The reason could be attributed to the fact that other changes including the creation of a presidential system, the power struggle between Gorbachev and Yeltsin, an economic crisis, national or ethnic ‘resurgence’ and others appeared more important and, of course, these were actually important. These affairs gave an impression that the locus of power had moved from the party. Therefore, nomenklatura, the party’s personnel system, was lost from sight. In addition, before perestroika some scholars had tended to treat nomenklatura as a deus ex machina, that is, they had made an image that everything had depended on the nomenklatura. The anti-nomenklatura-oriented policy during perestroika could not be explained by such an understanding. Less attention might be a reasonable response to such an exaggerated image.\n\nNonetheless, many studies that discuss elite continuity and turnover have been advanced after the collapse of the Soviet Union, some of which use the word nomenklatura. Then, some questions take place: firstly, what was and is the nomenklatura, since the personnel system itself collapsed together with the Soviet Union? Researchers might use the same word in different ways, which, without clarification, makes for confusion and little progress for understanding reality. Secondly, can we argue continuity and turnover without researching the real disintegrating process of nomenklatura? Researchers might argue continuity and turnover by analysing only results, which might lead to wisdom of hindsight. For example, some\n\ncontinuity arguments might give the impression that elite continuity was the result of the nomenklatura’s consistent planning to seek its own private interest. It is necessary to trace the disintegrating process of the nomenklatura system during the perestroika period.\\(^1\\)\n\nWe have treated the party control of state organs in Chapter 3 and the intra-party nomenklatura in Chapter 4. In this appendix some remaining aspects of the nomenklatura are discussed. That is, the origin and structure of the nomenklatura system, party’s mobilisation of society, and the nomenklatura as a social class are discussed.\n\n2. The Structure and Origin of Nomenklatura\n\nThe word nomenklatura has a Latin origin. Therefore, most European languages have a similar vocabulary, for example nomenclature in English. As shown by this word, nomenklatura originally meant a list. In the Soviet Union, the party controlled the lists which included important party, state, and social posts and people who were appropriate for the posts. These lists and people were called the nomenklatura. Therefore, the nomenklatura could indicate both a staffing system and people, which, it seems, caused some confusion.\n\nThese nomenklatura lists were managed by party committees from the all-union level to raion. Each party committee had its own jurisdiction, which had been changed several times. Let me explain the early structure. At the Central Committee of the CPSU (all-union) level, there were three types of nomenklatura list. Nomenklatura no.1, which required to be approved by the Central Committee, included the heads of the party’s highest bodies, the states posts (e.g.\n\n---\n\n\\(^1\\) The author must admit his formulation of argument includes exaggerations. Some scholars try to clarify the meaning of nomenklatura and analyse the actual process of its disintegration. For example, Ronald J. Hill and John Löwenhardt, ‘Nomenklatura and Perestroika’, Government and Opposition, Vol. 26, No. 2 (Spring 1991); David Lane and Cameron Ross, The Transition from Communism to Capitalism: Ruling Elites from Gorbachev to Yeltsin (New York: St. Martin’s Press, 1999); Olga Kryshтановskaya and Stephen White, ‘From Soviet Nomenklatura to Russian Elite’, Europe-Asia Studies, Vol. 48, No. 5 (1996). In Japanese, Takeshi Yuasa, “‘Nomenkuratura’ Shintoshiyo niyoru Roshiatochi Eritono Bunseki [An Analysis of Cabinets and Russian Governing Elites through the Nomenklatura Saturation Index]”, Roshia Toou Gakkai Nenpo [Annals of the Japanese Association for Russian and East European Studies], Vol. 28 (1999ed./ published in 2000).\n\nSupreme Soviet of People’s Economy, VSNKh) and others in 1925. *Nomenklatura* no.2 was conducted with the consent of the CC department of Organisation and Assignment. *Nomenklatura* no.3 was a supplementary list to *nomenklatura* no.1 covering ‘elective’ posts, that is, ‘elective’ posts were decided before election.\\(^2\\) This all-union level *nomenklatura* supervised oblast’ leadership (e.g. first secretaries). At republican level, republican CC managed lower level oblast’ leadership and some raion and city level leadership. The obkom’s responsibility was some oblast level leadership, raion and city level one. In this way, the *nomenklatura* constituted a huge hierarchy.\\(^3\\)\n\nWhen was the *nomenklatura* system established? According to Rigby, there were three preconditions. Firstly, the party apparat had to subordinate soviets, the state apparat and other organisations. However, the party apparat had not substantially existed up to 1919. The 8\\(^{th}\\) party congress decided on the building of a full-time party officialdom. By 1921 the hierarchy of party secretaries became a principal instrument for subordination. Secondly, the party membership needed to be supervised by the party apparat. This took longer than the first precondition because of the Bolshevik tradition of intra-party democracy. Nonetheless, the resolution ‘On Party Unity’ at the 10\\(^{th}\\) party congress in 1921 led to a crucial step. Thirdly, it was necessary to assemble administrative resources (staffs, data banks, and so forth). Soon after the 8\\(^{th}\\) congress, the Record and Assignment Department of CC was established. This Department enormously developed during 1920-1921. Meeting these preconditions, the *nomenklatura* system was founded in 12 April 1923 when the Orgbureau issued a resolution on the *nomenklatura* no. 1 and 2. Of course, the full establishment of this system took longer.\\(^4\\) It seems that this system consolidated around the end of 1920s with the establishment of the\n\n---\n\n\\(^2\\) Tat’yana Petrovna Korzhikhina and Yurii Yr’evich Figatner, ‘Sovetskaya nomenklatura: stanovlenie, mekhanizmy deistviya’, *Voprosy Istorii*, 1993, No. 7, pp. 26-27.\n\n\\(^3\\) Bohdan Harasymiw, ‘Nomenklatura: The Soviet Communist Party’s Leadership Recruitment System’, *Canadian Journal of Political Science*, Vol. 2, No. 4 (December 1969): pp. 493-512.\n\n\\(^4\\) T. H. Rigby, ‘The origins of the nomenklatura system’, in his *Political Elites in the USSR: Central leaders and local cadres from Lenin to Gorbachev* (Aldershot: Edward Elgar, 1990), pp. 73-93.\n\nStalinist regime. In addition, as will be discussed later, the stabilisation of people in *nomenklatura* lists was a product of far later period.\n\n3. **Party Control over Society**\n\nAs we discussed in Chapters 3 and 4, the higher party organs had controlled the lower ones’ staffing, and the party had controlled state organs’ staffing. In addition to them, party control reached society. For example, Komsomol workers, factory managers, heads of collective farms, a trade union, scientific associations, and universities, and so forth were subjects of *nomenklatura* lists. There was no formal scope for social organisations independent of the party. Matsuzato argues that the reason the party needed such a huge personnel right was as follows. The first is the lack of a modern bureaucracy. Particularly in rural places, population density is remarkably sparse in Russia. The cost of a modern bureaucracy is very high in such places. If a village had 600 residents, only 200 of whom were old enough to work, it would be financially impossible to pay a policeman. The only way to ensure security would be to organise ‘voluntary’ social work. In addition, the shortage of intellectual workers influences the underdevelopment of a modern bureaucracy. It is not possible to employ a young graduate from a university in a place where youth begins to work around 17 years old. Such a case is not rare in rural places of Russia. Matsuzato added the underdevelopment of a modern financial system as a condition which requires direct mobilisation from society.\\(^5\\)\n\nMoreover, it seems that ideological requirements cannot be ignored. Matsuzato’s argument is appropriate especially in rural areas and explains very well the reason the mobilisation of society by the administration persists today. Nonetheless, as discussed, the *nomenklatura* was a huge hierarchical system from the centre to local areas. Marxist ideology envisaged the total transformation of society. It is natural that the party, the ‘vanguard’ of society,\n\n---\n\n\\(^5\\) Kimitaka Matsuzato, ‘Aparato Demokurashi: Roshia no Chusho Toshigun niokeru Seijito Gyousei [Apparatus Democracy: Politics and Administrations in Russian Counties and Small Cities]’, *Suravu Kenkyu [Slavic Studies]*, Vol. 43 (1996), pp. 97-105.\n\ndemanded to control every social organisation.\n\nTo discuss what happened when the nomenklaturist control over society was removed is beyond the scope of this appendix. Various forms of independent social organisations emerged during the perestroika period, some of which played a role of ‘civil society’, though it seems to me that they were weak, at least compared with Eastern European cases. It is far from clear whether or not they played an important role in the process of perestroika.\n\n4. Nomenklatura as a Social Class\n\nAs easily understood, people in nomenklatura lists were elites. Some argue they were even a ruling class.\\(^6\\) If so, their social position must have been secured. In this respect, a ruling class differs from a functional elite. The ruling class is distinguished from the rest of society by its stability, privileges, and a peculiar feeling of solidarity, while the functional elite’s character is a non-inheritance of its position, its role or function itself, and lack of solidarity. It would be very likely that the nomenklatura was different from functional elites in many respects.\\(^7\\) Especially, they had privileges. Nonetheless, how stable it was is a controversial topic. Clearly, the nomenklatura was not secure during the Stalin or Khrushchev periods. Under Stalin, the nomenklatura was frequently a target of purge, and Khrushchev seriously reorganised the party structure. It is not reasonable to regard the nomenklatura as a ruling class for all the Soviet period. Nonetheless, Brezhnev’s policy of trust in cadres stabilised nomenklatura positions. It seems that it was in the Brezhnev period that the nomenklatura became a kind of ruling class. Still, whether or not the word ‘class’ was appropriate is controversial at least in a Marxist sense.\n\nThen, what was the privilege the nomenklatura had? Their salary lists are now\n\n\\(^6\\) Alec Nove, ‘Is There a Ruling Class in the USSR?’ Soviet Studies, Vol. 27, No. 4 (October 1975); Alec Nove, ‘The Class Nature of the Soviet Union Revisited’, Soviet Studies, Vol. 35, No. 3 (July 1983); Michael Voslensky, Nomenklatura: Anatomy of the Soviet Ruling Class (London: Bodley Head, 1984).\n\n\\(^7\\) Takayuki Ito, ‘Controversy over Nomenklatura in Poland: Twilight of a Monopolistic Instrument for Social Control’, Acta Slavica Iaponica, Vol. 1 (1983), p. 61.\n\navailable. Various tables of 3-3 show the salaries of full-time party workers since 1989. This list was made in order to increase the salary of full-time party officials. The Politburo approved the list on 3 August 1989.\\(^8\\) Though, unfortunately, these lists do not include the CC secretary's salary, at the 28\\(^{th}\\) party congress, Alla Nizovtseva, deputy chairman of the Central Auditing Commission, revealed that a Politburo member earned 1200, candidate member received 1100 and CC secretary earned 1000 roubles.\\(^9\\) This statement may contradict the salary list, in which the salary of the first secretary of the Ukraine party was 1100 roubles per month, because the person in this post usually became a Politburo member and should accordingly have received 1200 roubles according to Nizovtseva. There may have been salary increases after approving the salary lists. In any case, the salary of the Ukrainian party first secretary is the highest in the lists. The next highest is one of the head of CC departments (1000 roubles).\n\nThe salary lists of state officials are also included in TsKhSD, fond 89.\\(^{10}\\) This list was made almost at the same time of the party workers' list. The Politburo approved the state officials' salary list on 20 September 1989. This list, unfortunately again, does not include the highest official, the chairman of the Council of Ministers. Still, it seems that its salary was not different from one of the second highest salary post, the first deputy chairman of the Council of Ministers. Its salary was 1300 roubles per month.\\(^{11}\\) Other ministers or chairman of state committees earned 1000-900 roubles, which were almost as much as those of the CC departments' heads. The chairman of the Ukrainian Council of Ministers earned 1100 roubles, which was the same as the Ukrainian party first secretary. Thus, we can understand the salaries of the state officials were almost the same as those of equivalent party posts.\n\n---\n\n\\(^8\\) Tsentr Khraneniya Sovremennoi Dokumentatsii (TsKhSD), fond (f.) 89, perechen' (p.) 9, delo (d.) 13.\n\n\\(^9\\) XXVIII s\"ezd Kommunisticheskoi Partii Sovetskovo Soyuza: Stenograficheskii Otchet, vol. 2 (Moskva: Politizdat, 1991), p. 78.\n\n\\(^{10}\\) TsKhSD, f. 89, p. 9, d. 31, pp. 1-46. Incidentally, these lists include basically all state posts from the central to raion level, which makes clear the structure of a state bureaucracy.\n\n\\(^{11}\\) One strange thing is that the salary, 1300 roubles per month, was to be higher than that of Politburo members (1200 roubles). The reason is not clear.\n\nIt is difficult to argue such high rank *nomenklatura*'s privileges in terms of salary. Certainly their salaries were higher than those of ordinary people (the average income, it was reported, was 201 roubles per month in 1987).\\(^{12}\\) Still, it seems to me that 1300 roubles was not too high as one of the most privileged persons in the country. It is reasonable to think that the *nomenklatura*'s privileges were not necessarily its salary. Gorbachev briefly refers to other privileges in the Japanese edition of his memoirs. Though his statements are attempts to justify his policy to open special hospitals and sanatoriums to some children and returned soldiers from Afghanistan and so forth, we can recognise high rank officers did have such privileges. Other privileges included special restaurants, cars, and dachas.\\(^{13}\\) Of course, such privileges were not fair. Still it is difficult to decide whether or not they were too much compared with other countries or the current situation of Russia. Some may be sceptical about the widespread image of highly privileged *nomenklatura*.\n\nThe importance of the perspective of *nomenklatura* as a ruling class is, it seems, not in the real composition and process of *nomenklatura* but in its influence on political discourse. Once the free area of speech was widened and criticism of the party was allowed, ‘*nomenklatura*’ became a word to distinguish between ‘us’ and ‘them’. *Nomenklatura* became a target of hatred which would include egalitarian anger about privileges and the anti-elite feelings of mass. For example, from a perspective of the *nomenklatura* as a social class, some dissatisfaction with privilege was published early in 1988.\\(^{14}\\) This way of thinking may be still influential in Russia (and the author personally believes that criticisms of privileges are more justified at the present time than in the Soviet period). It seems that the current use of the word ‘*nomenklatura*’ implies ‘the revolution betrayed,’ that is, the unfairness of elite continuity. To investigate this issue is beyond the task of this appendix.\n\n\\(^{12}\\) Rikao Kawabata et al eds., *Roshia Soren wo Shiru Jiten* [Cyclopaedia of Russia and the Soviet Union] revised ed. (Tokyo: Heibonsha, 1994), p. 279.\n\n\\(^{13}\\) Mihairu Gorubachofu, *Gorubachofu Kaisoroku*, Jo (Tokyo: Shinchosha, 1996), pp. 577-579.\n\n\\(^{14}\\) ‘Izderzhki “Nomenklatury”’ *Kommunist*, 1988, No. 5 (March 1988), p. 42.\n\nBibliography\n\nI. Primary Source\n\n1. Archives\n\nCentre for Preservation of Contemporary Documents (TsKhSD, now renamed as Russian State Archive of Recent History or RGANI), fond 89.\n\nRussian State Archive of Social and Political History (RGASPI, formerly RTsKhIDNI, Russian Centre for the Preservation and Study of Documents of Recent History), fond 582, opis’ 6 (formerly fond 646, opis’ 1).\n\n2. Party and Central Committee Proceedings (Arranged by Chronological Order)\n\n(a) Party Congresses and a Conference\n\nXXVII s”ezd Kommunisticheskoi Partii Sovetskogo Soyuza: Stenograficheskii Otchet, Vol. 1 (Moskva: Politizdat, 1986).\n\nXIX Vsesoyuznaya konferentsiya Kommunisticheskoi Partii Sovetskogo Soyuza: Stenograficheskii Otchet, Vol. 1 and 2 (Moskva: Politizdat, 1988).\n\nMaterialy XIX Vsesoyuznoi konferentsii Kommunisticheskoi Partii Sovetskogo Soyuza (Moskva: Politizdat, 1988).\n\nXXVIII s”ezd Kommunisticheskoi Partii Sovetskovo Soyuza: Stenograficheskii Otchet, Vol. 1 and 2 (Moskva: Politizdat, 1991).\n\nMaterialy XXVIII s”ezda Kommunisticheskoi Partii Sovetskogo Soyuza (Moskva: Politizdat, 1990).\n\nUchreditel’nyi s”ezd Kommunisticheskoi Partii RSFSR: Stenograficheskii Otchet, Vol. 1 and 2 (Moskva: Politizdat, 1991).\n\nMaterialy Uchreditel’nogo s”ezda Kommunisticheskoi Partii RSFSR, Vol. 1 and 2 (Moskva: Politizdat, 1990).\n\n(b) Central Committee Meetings\n\nMaterialy Plenuma Tsentral’nogo Komiteta KPSS, 27-28 yanvarya 1987g. (Moskva: Politizdat, 1987).\n\nMaterialy Plenuma Tsentral’nogo Komiteta KPSS: 25-26 iyunya 1987 g. (Moskva: Politizdat, 1987).\n\nMaterialy Plenuma Tsentral’nogo Komiteta KPSS, 29 iyulya 1988 g. (Moskva: Politizdat, 1988).\n\nMaterialy Plenuma Tsentral’nogo Komiteta KPSS: 19-20 sentyabrya 1989 g. (Moskva: Politizdat, 1989).\n\nMaterialy Plenuma Tsentral’nogo Komiteta KPSS: 9 dekabrya 1989 g. (Moskva: Politizdat, 1989).\n\nMaterialy Plenuma Tsentral’nogo Komiteta KPSS, 5-7 fevralya 1990 g. (Moskva: Politizdat, 1990).\n\nMaterialy Plenuma Tsentral’nogo Komiteta KPSS, 11, 14, 16 marta 1990 g. (Moskva: Politizdat, 1990).\n\nMaterialy Plenuma Tsentral’nogo Komiteta KPSS, 8-9 oktyabrya 1990 g. (Moskva: Politizdat, 1990).\n\nMaterialy Plenuma Tsentral’nogo Komiteta KPSS, 10-11 dekabrya 1990 g. (Moskva: Poltizdat, 1991).\n\nMaterialy ob’edinennogo Plenuma Tsentral’nogo Komiteta i Tsentral’noi Kontrol’noi Komissii KPSS, 31 yanvarya 1991 g. (Moskva: Politizdat, 1991).\n\nMaterialy ob’edinennogo Plenuma Tsentral’nogo Komiteta i Tsentral’noi Kontrol’noi Komissii KPSS, 24-25 aprelya 1991 g. (Moskva: Politizdat, 1991).\n\n3. Collection of Laws and Decrees\n\nVedomosti s”ezda Narodnykh Deputatov SSSR i Verkhovnogo Soveta SSSR, 1990-1991.\n\nVedomosti s”ezda Narodnykh Deputatov RSFSR i Verkhovnogo Soveta RSFSR, 1991.\n\n4. New Papers and Journals\n\n*Argumenty i Fakty*, 1990.\n\n*Current Digest of the Soviet Press* 1990-1991.\n\nForeign Broadcast Information Service (FBIS) Soviet Union, 1990-1991.\n\n*Glasnost’,* 1990-1991.\n\n*Istochnik*, 1995.\n\n*Istoricheskii Arkhiv*, 1992.\n\n*Izvestiya*, 1990-1991.\n\n*Izvestiya TsK KPSS*, 1989-1991.\n\n*Kommunist*, 1988.\n\n*Komsomol’skaya Pravda*, 1991.\n\n*Krasnaya Zvezda*, 1990-1991.\n\n*Moskovskie Novosti*, 1990.\n\n*Moscow News*, 1991, 2001.\n\n*Nezavisimaya Gazeta*, 1991.\n\n*Ogonek* 1991.\n\n*Partiinaya Zhizn’,* 1987-1991.\n\n*Pravda*, 1987-1991.\n\n*Pravda Ukrainy*, 1987-1990.\n\n*Rabochaya Tribuna*, 1991.\n\n*RL/ Research Bulletin*, 1987.\n\n*RL/ Report on the USSR*, 1989-1991.\n\n*Sovetskaya Kul’tura*, 1990.\n\n*Sovetskaya Rossiya*, 1987-1990.\n\n*Uchitel’skaya Gazeta*, 1990.\n\n4. Memoirs\n\nBoldin (1994): Valery Boldin, *Ten Years That Shook the World: The Gorbachev Era as Witnessed by His Chief of Staff* (New York: Basic Book, 1994).\n\nBoldin (1995): Valerii I. Boldin, *Krushenie P’edestala: Shtrikihi k Portretu M. S. Gorbacheva* (Moskva: Respublika, 1995).\n\nGorbachev (1995): Mikhail Gorbachev, *Zhizn’ i Reformy*, Vol. 1 and 2 (Moskva: Novosti, 1995).\n\nGorbachev (1996): Mikhail Gorbachev, *Memoirs* (London: Doubleday, 1996).\n\nGorubachofu (1996): Mihairu Gorubachofu, *Gorubachofu Kaisoroku*, Jo and Ge (Tokyo: Shinshosha, 1996).\n\nLigachev (1992): Egor Ligachev, *Zagadka Gorbacheva* (Novosibirsk: Interbuk, 1992).\n\nLigachev (1996): Yegor Ligachev, *Inside Gorbachev’s Kremlin* (Boulder: Westview Press, 1996).\n\n5. Biographical Reference\n\nArchie Brown ed., *The Soviet Union: A Biographical Dictionary* (London: Weidenfield and Nicolson, 1990).\n\nDate Base of Slavic Research Center, Hokkaido University, URL: http://src-home.hokudai.ac.jp/politics/rawa/rul.html.\n\nDzhin Vronskaya and Vladimir Chuguev, *Kto est’ Kto v Rossii i Byvshem SSSR* (Moskva: Terra, 1994).\n\nTsentr Politicheskoi Informatsii, *Federal’naya i Regional’naya Elita Rossii: Kto est’ Kto v Politike i Ekonomike* (Moskva: Izdatel’stvo GNOM i D, 2001).\n\n6. Other References\n\nKawabata (1994): Rikao Kawabata et al eds., *Roshia Soren wo Shiru Jiten [Cyclopaedia of Russia and the Soviet Union]* revised ed. (Tokyo: Heibonsha, 1994).\n\nKudryavtsev (1995): I. I. Kudryavtsev ed., *Arkhiy Kremlya i Staroi Ploshchadi: Dokumenty po ‘Delu KPSS’* (Novosibirsk: Sibirskii Khronograf, 1995).\n\nII. 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For convenience, further discussion of this system will be in two parts.\n\n1. **THE SOLUBILITY OF 2,4-DIMETHYLPENTANE (1) IN WATER (2)**\n\nSolubility data for 2,4-dimethylpentane in water (ref 2,4) are listed in Table 2 with the following exceptions. The datum of Krzyzanowska and Szeliga (ref 5) has been excluded because it does not appear to be independent of that of Price (ref 4). The earlier datum of McAuliffe (ref 1) is presumably superceded by his later determination (ref 2) and has also been excluded.\n\nThe 298K datum of Polak and Lu (ref 3) is considerably higher (ca. 25% relative) than other reported values (ref 2,4). Furthermore, the increase in solubility between 298 and 273K, as for other hydrocarbons investigated by these authors, is unusually large. The data of Polak and Lu (ref 3) are therefore rejected.\n\n(continued next page)\n\nCOMPONENTS:\n(1) 2,4-Dimethylpentane; C₇H₁₆; [108-08-7]\n(2) Water; H₂O; [7732-18-5]\n\nEVALUATOR:\nM.C. Haulait-Pirson, Department of Chemistry, University of Leuven, Belgium.\nG.T. Hester, School of Mathematical and Physical Sciences, Murdoch University, Perth, W.A., Australia\n\nCRITICAL EVALUATION: (continued)\n\nTABLE 2: Recommended (R) Value of the Solubility of 2,4-Dimethylpentane (1) in Water (2)\n\n| T/K | Solubility values |\n|-----|-------------------|\n| | Reported values | \"Best\" values (± σₙ)ᵃ |\n| | 10⁴g(1)/100g sln | 10⁴g(1)/100g sln | 10⁷x₁ |\n| 298 | 4.06 (ref 2), 4.4 (ref 4) | 4.2 ± 0.2 (R) | 7.6 (R) |\n\n\"Best\" values obtained by averaging; σₙ has no statistical significance.\n\n2. THE SOLUBILITY OF WATER (2) IN 2,4-DIMETHYLPENTANE (1)\n\nThe solubility of water in 2,4-dimethylpentane has been reported only by Polak and Lu (ref 3) and thus no critical evaluation can be made. The interested user is referred to the relevant Data Sheet for solubility values. However, it can be noted that the data of Polak and Lu are generally close to \"Recommended\" values in well characterized systems.\n\nREFERENCES\n\n1. McAuliffe, C. *Nature* **1963**, 200, 1092-3.\n2. McAuliffe, C. *J. Phys. Chem.* **1966**, 70, 1267-75.\n3. Polak, J.; Lu, B.-C-Y. *Can. J. Chem.* **1973**, 51, 4018-23.\n4. Price, L.C. *Am. Assoc. Petrol. Geol. Bull.* **1976**, 60, 213-44.\n5. Krzyzanowska, T.; Szeliga, J. *Nafta (Katowice)* **1978**, 34, 413-7.\n\nCOMPONENTS:\n\n(1) 2,4-Dimethylpentane; C₇H₁₆; [108-08-7]\n(2) Water; H₂O; [7732-18-5]\n\nORIGINAL MEASUREMENTS:\n\nMcAuliffe, C.\nNature (London) 1963, 200, 1093-3.\n\nVARIABLES:\n\nOne temperature: 25°C\n\nPREPARED BY:\n\nM.C. Haulait-Pirson\n\nEXPERIMENTAL VALUES:\n\nThe solubility of 2,4-dimethylpentane in water at 25°C was reported to be 3.62 mg (l)/kg sln (0.00362 g(l)/100 g sln). The corresponding mole fraction, \\( x_1 \\), calculated by the compiler, is \\( 6.5 \\times 10^{-7} \\).\n\nAUXILIARY INFORMATION\n\nMETHOD/APPARATUS/PROCEDURE:\n\n20-50 mL of (1) was added to (2) and vigorously shaken or stirred several days with a magnetic stirrer. A 0.05 mL or 0.10 mL sample of the hydrocarbon-saturated water was directly injected into the gas chromatograph fitted with a suitable fractionator to absorb water. A hydrogen-flame ionization detector was used.\n\nSOURCE AND PURITY OF MATERIALS:\n\n(1) Phillips Petroleum Co.; 99+% purity; used as received.\n(2) distilled.\n\nESTIMATED ERROR:\n\ntemp. ± 1.5 K\nsoly. 0.10 mg (l)/kg sln (standard deviation from mean)\n\nREFERENCES:\n\n| COMPONENTS: | ORIGINAL MEASUREMENTS: |\n| --- | --- |\n| (1) 2,4-Dimethylpentane; C\\textsubscript{7}H\\textsubscript{16}; [108-08-7] | McAuliffe, C. |\n| (2) Water; H\\textsubscript{2}O; [7732-18-5] | *J. Phys. Chem.* 1966, 70, 1267-75. |\n\n| VARIABLES: | PREPARED BY: |\n| --- | --- |\n| One temperature: 25°C | M.C. Haulait-Pirson |\n\n**EXPERIMENTAL VALUES:**\n\nThe solubility of 2,4-dimethylpentane in water at 25°C was reported to be 4.06 mg (l)/kg sln (0.00406 g(1)/100 g sin). The corresponding mole fraction, \\( x_1 \\), calculated by the compiler, is 7.3 x 10\\(^{-7}\\). The same value is also reported in ref 1.\n\n**AUXILIARY INFORMATION**\n\n**METHOD/APPARATUS/PROCEDURE:**\n\nIn a 250 mL glass bottle, 10-20 mL of (1) was vigorously shaken for 1 hr or magnetically stirred for 1 day, with 200 mL of (2) at 25°C. In the case of shaking, the solution was allowed to stand for 2 days to permit separation of small (1) droplets. Absence of emulsion was checked microscopically. A 50 µL sample of the (1) saturated water was withdrawn with a Hamilton Syringe and injected into the fractionator of the gas chromatograph. A hydrogen-flame ionization detector was used. Many details are given in the paper.\n\n**SOURCE AND PURITY OF MATERIALS:**\n\n(1) Phillips Petroleum Co.; 99+% purity; used as received.\n\n(2) distilled.\n\n**ESTIMATED ERROR:**\n\ntemp. ± 1.5 K\n\nsoly. 0.29 mg (l)/kg sln (standard deviation from mean)\n\n**REFERENCES:**\n\n1. McAuliffe, C. *Am. Chem. Soc. Div. Petrol. Chem.* 1964, 9, 275.\n\n### COMPONENTS:\n\n1. 2,4-Dimethylpentane; \\( C_7H_{16} \\); [108-08-7]\n2. Water; \\( H_2O \\); [7732-18-5]\n\n### ORIGINAL MEASUREMENTS:\n\nPolak, J.; Lu, B.C-Y.\n\n*Can. J. Chem.* **1973**, *51*, 4018-23.\n\n### VARIABLES:\n\nTemperature: 0-25°C\n\n### PREPARED BY:\n\nM.C. Haulait-Pirson\n\n### EXPERIMENTAL VALUES:\n\n#### Solubility of 2,4-dimethylpentane in water\n\n| \\( t/^\\circ C \\) | mg(1)/kg sln | \\( x_1 \\) (compiler) |\n|-----------------|--------------|----------------------|\n| 0\\(^a\\) | 6.50\\(^c\\) | 1.17 x 10\\(^{-6}\\) |\n| 25\\(^b\\) | 5.50\\(^c\\) | 9.88 x 10\\(^{-7}\\) |\n\n#### Solubility of water in 2,4-dimethylpentane\n\n| \\( t/^\\circ C \\) | mg(2)/kg sln | \\( x_2 \\) (compiler) |\n|-----------------|--------------|----------------------|\n| 0\\(^a\\) | 31\\(^d\\) | 1.73 x 10\\(^{-4}\\) |\n| 25\\(^b\\) | 81\\(^e\\) | 4.51 x 10\\(^{-4}\\) |\n\n\\(^a-e\\) see \"ESTIMATED ERROR\"\n\n### AUXILIARY INFORMATION\n\n#### METHOD/APPARATUS/PROCEDURE:\n\nThe solubility of (1) in (2) was determined by gas chromatography. The solubility of (2) in (1) was determined by Karl Fischer titration. 50 mL of (1) together with 50 mL of (2) were placed in a 125 mL Hypovial closed with a Teflon coated rubber septum and placed in a constant-temperature water bath. The system was stirred magnetically for 24 hr or was kept in the bath without stirring for at least 7 days before samples were taken for analysis. Details of the analysis are given in the paper.\n\n#### SOURCE AND PURITY OF MATERIALS:\n\n1. Phillips Petroleum Co.; pure grade reagent (99%+); shaken three times with distilled water.\n2. distilled.\n\n#### ESTIMATED ERROR:\n\ntemp. a) ± 0.02 K; b) ± 0.01 K\nsoly. c) ± 1.7%; d) ± 4.7%;\ne) ± 3.1% (mean)\n\n#### REFERENCES:\n\n| COMPONENTS: | ORIGINAL MEASUREMENTS: |\n|------------|------------------------|\n| (1) 2,4-Dimethylpentane; C\\textsubscript{7}H\\textsubscript{16}; [108-08-7] | Price, L.C. |\n| (2) Water; H\\textsubscript{2}O; [7732-18-5] | Am. Assoc. Petrol. Geol. Bull. 1976, 60, 213-44. |\n\n| VARIABLES: | PREPARED BY: |\n|------------|--------------|\n| One temperature: 25°C | M.C. Haulait-Pirson |\n\n**EXPERIMENTAL VALUES:**\n\nThe solubility of 2,4-dimethylpentane in water at 25°C and at system pressure was reported to be 4.41 mg(l)/kg(2). The corresponding mass percent and mole fraction, \\( x_1 \\), calculated by the compiler are \\( 4.41 \\times 10^{-4} \\) g(l)/100 g sln and \\( 7.92 \\times 10^{-7} \\).\n\n**AUXILIARY INFORMATION**\n\n**METHOD/APPARATUS/PROCEDURE:**\n\nThe solubility was determined at laboratory temperatures by use of screw-cap test tubes. The (1) phase floated on top of the water and insured saturation of the (2) phase in 2 to 4 days. Analyses were carried out by GLC using a Hewlett-Packard model 5751 gas chromatograph with dual-flame ionization detectors. Many details are given in the paper.\n\n**SOURCE AND PURITY OF MATERIALS:**\n\n(1) Phillips Petroleum Company; Chemical Samples Company or or Aldrich Chemical Company; 99+%.\n\n(2) distilled.\n\n**ESTIMATED ERROR:**\n\ntemp. ± 1 K\n\nsoly. ± 0.05 mg(l)/kg(2)\n\n**REFERENCES:**\n\nCOMPONENTS:\n(1) 2,4-Dimethylpentane, $C_7H_{16}$; [108-08-7]\n(2) Water; $H_2O$; [7732-18-5]\n\nORIGINAL MEASUREMENTS:\nKrzyzanowska, T.; Szeliga, J.\nNafta (Katowice) 1978, 12, 413-7.\n\nVARIABLES:\nOne temperature: 25°C\n\nPREPARED BY:\nM.C. Haulait-Pirson\n\nEXPERIMENTAL VALUES:\n\nThe solubility of 2,4-dimethylpentane in water at 25°C was reported to be 4.41 mg(l)/kg(2).\nThe corresponding mass percent and mole fraction, $x_1$, calculated by compiler are $4.41 \\times 10^{-4} \\text{ g(l)/100 g sln}$ and $7.92 \\times 10^{-7}$.\n\nEditor's Note: Based on the results for this and other hydrocarbon-water systems, uncertainty exists about whether the datum compiled here is independent of that of Price for the same system (see previous page).\n\nAUXILIARY INFORMATION\n\nMETHOD/APPARATUS/PROCEDURE:\nSaturated solutions of (1) in (2) were prepared in two ways. First, 200 μL of (1) was injected into 20 mL of (2) and thermostatted at 25°C. Second, the mixture of (1) and (2) as above was thermostatted at 70°C and then cooled to 25°C. The time required to obtain equilibrium was three weeks. The solubility of (1) in (2) was measured by glc. A Perkin-Elmer model F-11 gas chromatograph equipped with a 100-150 mesh Porasil column (70°C) and a flame ionization detector was used. Saturated solutions of heptane in (2) were used as standard solutions.\n\nSOURCE AND PURITY OF MATERIALS:\n(1) not specified.\n(2) not specified.\n\nESTIMATED ERROR:\nsoly. 0.14 mg(l)/kg(2) (standard deviation from 7-9 determinations)\n\nREFERENCES:"}}}],"truncated":false,"partial":true},"paginationData":{"pageIndex":2048,"numItemsPerPage":100,"numTotalItems":208496,"offset":204800,"length":100}},"jwt":"eyJhbGciOiJFZERTQSJ9.eyJyZWFkIjp0cnVlLCJwZXJtaXNzaW9ucyI6eyJyZXBvLmNvbnRlbnQucmVhZCI6dHJ1ZX0sImlhdCI6MTc3ODk0NjA2OCwic3ViIjoiL2RhdGFzZXRzL1RlbGVBSS1BSS1GbG93L0luZm9ybWF0aW9uQ2FwYWNpdHkiLCJleHAiOjE3Nzg5NDk2NjgsImlzcyI6Imh0dHBzOi8vaHVnZ2luZ2ZhY2UuY28ifQ.Atk5ryhM0jEQKoczxguOK-LeuMuRVKHNSmYgco4N-gCMUz5P9j0fITpni6hzG0l17yc4o9D8kLEyrw8FxYLQCw","displayUrls":true,"splitSizeSummaries":[{"config":"default","split":"train","numRows":208496,"numBytesParquet":2762384337}]},"discussionsStats":{"closed":1,"open":0,"total":1},"fullWidth":true,"hasGatedAccess":true,"hasFullAccess":true,"isEmbedded":false,"savedQueries":{"community":[],"user":[]}}">
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Good evening Father Stavros and Parish Council Members of St. John Greek Orthodox Church,
Attached you will find the Stewardship data thus far for 2023. Contributions and number of stewards are behind where we were in 2022 by about $37,000 and 50 stewards. Because it is still early in the year, we are not overly conce... |
OC Philanthropy
Presented by
AFP
Chapman University
Farmers & Merchants Bank
Lugano Diamonds
Masimo
Pacific Symphony
UCI University of California, Irvine
The Masimo Foundation for Ethics, Innovation, and Competition in Healthcare
Committed to advancing positive change for the benefit of patients, clinicians, hospit... |
POST-TREATMENT SLUDGE ANALYSES AND PURIFICATION OF PAINT EFFLUENT BY COAG-FLOCCULATION METHOD
The Texas Tech community has made this publication openly available. Please share how this access benefits you. Your story matters to us.
| Citation | Menkiti, M.C., Ezemagu, I.G., Nwoye, C.I., & Ejimofor, M.I.. 201... |
An Engagement-Based Customer Lifetime Value System for E-commerce
Ali Vanderveld
Groupon
Chicago, IL
firstname.lastname@example.org
Addhyan Pandey
Groupon
Chicago, IL
email@example.com
Angela Han
Groupon
Chicago, IL
firstname.lastname@example.org
Rajesh Parekh
Facebook
Menlo Park, CA
email@e... |
A hydrocyclone for separating a combined phase input stream has two nesting truncated, downwardly tapering conical members having an annular space therebetween. A tangential inlet leads to the annular space between the conical members. Alternate embodiments applicable to a hydrocyclone device composed of nesting cylind... |
A stochastic infection rate model for estimating and projecting national HIV prevalence rates
Le Bao, Adrian E Raftery
ABSTRACT
Background Every 2 years, the Joint United Nations Programme on HIV/AIDS (UNAIDS) produces probabilistic estimates and projections of HIV prevalence rates for countries with generalised HIV... |
Theses Digitisation:
https://www.gla.ac.uk/myglasgow/research/enlighten/theses/digitisation/
This is a digitised version of the original print thesis.
Copyright and moral rights for this work are retained by the author
A copy can be downloaded for personal non-commercial research or study, without prior permission ... |
IMMUNE PARAMETERS IN MYCOBACTERIOSES, OTHER IMMUNE DISORDERS AND THE EFFECT OF IMMUNOTHERAPY
BY
NAVIN THAPA
FROM THE DEPARTMENT OF BACTERIOLOGY
UNIVERSITY COLLEGE LONDON MEDICAL SCHOOL
THESIS SUBMITTED TO THE
UNIVERSITY OF LONDON
FOR THE DEGREE OF DOCTOR OF PHILOSOPHY
IN THE FACULTY OF SCIENCE
ProQuest Number:... |
The wireless station at Caracas, Venezuela, although surrounded by mountains and removed from water is remarkably efficient in transmission and reception.
The Progress of Radio Communication in Venezuela
And Many Exclusive Features in this issue
WORLD’S ONLY MAKER
Moulded High Frequency High Tension Insulators
POTEN... |
London hot with Philips, Mercury, Vertigo
London Records, distributors for Mercury, Philips and Vertigo among others, is experiencing extra heavy sales action on recent album releases from the three mentioned labels.
Dick Riendeau, London's national sales manager, reports exceptional dealer/rack jobber ordering on ... |
Archaeological Institute of America.
NINTH ANNUAL REPORT
OF THE
MANAGING COMMITTEE
OF THE
AMERICAN SCHOOL OF CLASSICAL STUDIES AT ATHENS.
1889-90.
With the Reports of
CHARLES WALDSTEIN, Ph.D., Litt.D., L.H.D., Director,
AND
S. STANHOPE ORRIS, Ph.D., L.H.D., Annual Director.
CAMBRIDGE:
JOHN WILSON AND SON.
Universi... |
IURII OLESHA, ABRAM ROOM AND STROGII IUNOSHA – ARTISTIC FORM AND POLITICAL CONTEXT
Milena Lily Michalski
School of Slavonic and East European Studies
Submitted in partial fulfilment of the requirements for the Degree of PhD
1999
ProQuest Number: U118707
All rights reserved
INFORMATION TO ALL USERS
The quality of... |
Tips On Buying Your First Radio Station
So you have your thoughts, wishes or plans involving radio station ownership. You're not alone. Ninety-four percent of the broadcasters interviewed over the past two years by *The Pulse of Broadcasting* indicated radio station ownership figured into their career plans.
Which do... |
Good Society, Commerce, and the Rehnquist Court
Michael C. Dorf
Follow this and additional works at: https://ir.lawnet.fordham.edu/flr
Part of the Law Commons
Recommended Citation
Michael C. Dorf, Good Society, Commerce, and the Rehnquist Court, 69 Fordham L. Rev. 2161 (2001). Available at: https://ir.lawnet.fordha... |
The significance of leisure among persons diagnosed with multiple sclerosis
Stephanie Prejza
San Jose State University
Follow this and additional works at: https://scholarworks.sjsu.edu/etd_theses
Recommended Citation
Prejza, Stephanie, "The significance of leisure among persons diagnosed with multiple sclerosis" (1... |
Kenny Burrell
Gabor Szabo
Joe Pass
John Collins
FREE GEORGE BENSON SOLO
KING reigns supreme with kings of the trombone world
J. J. Johnson – A living legend on jazz trombone. Winner of the Down Beat Readers Poll for the last dozen years. A peer in the trombone world and looked to by all for the best in overall perfo... |
Your free magazine — please take one
MYLOR MAGAZINE
November 2014
Serving the whole community
Mylor Magazine
email@example.com
Published by:
Mylor Community Publications Group
Trustees:
Chris Perkins (Chairman)
David Eastburn (Membership)
John Symons (Parish Council)
Revd Jeffrey James (secretary)
Editor:
Michael... |
NEREM PREVIEW
Next week's technical revelations, p 35
Y-GUIDE RADAR
New waveguide stops trains, p 44
BALANCED-INPUT MIXER
Circuit insensitive to frequency, p 46
Tunnel diode formed on vapor-deposited pyrocrystallite, p 58
SIX reasons why you're seeing more and more G-R 874 coaxial connectors
1. Hermaphroditic Desi... |
Amateur RADIO
For all two-way radio enthusiasts
CW: The outdated mode?
Balanced to unbalanced transformers
Fixed voltage PSUs
On test: Icom ICR7000 VHF/UHF general coverage Rx
AmRad 10GHz system
R.W.C. "PRICE BUSTERS"
X X X ARE HERE X X X
FT 2700RH 2M & 70CM. 25 WATT DUAL BAND TRANSCEIVER
FULL DUPLEX BASE STAT... |
SECRETARY'S CERTIFICATE
I, the undersigned, the duly qualified and acting Secretary of the Board of Library Trustees of the Village of Orland Park, Cook and Will Counties, Illinois, and the keeper of the records thereof, do hereby certify that attached hereto is a true and correct copy of a Resolution entitled:
RESOL... |
1. Title
This ordinance shall be known and cited as the Acme Township Medical Marihuana Licensing Ordinance.
2. Purpose
The purpose of this ordinance is to regulate and license the conduct of activity pursuant to the Michigan Medical Marihuana Act, Public Act 1 of 2008 as amended, the Medical Marihuana Facilities Lice... |
Harnessing Predictive Models for Assisting Network Forensic Investigations of DNS Tunnels
Irvin Homem
*Stockholm University*, email@example.com
Panagiotis Papapetrou
*Stockholm University*, firstname.lastname@example.org
Follow this and additional works at: [https://commons.erau.edu/adfsl](https://commons.erau.e... |
| S. No. | Section No. Clause, Sub Clause No and Page No. of Tender | Tender clause description | Query | Response |
|-------|----------------------------------------------------------|---------------------------|-------|----------|
| 1. | Section I, Clause b, Page No. 4 of 226 | Bid Submission Date... |
MUSICIAN
OFFICIAL JOURNAL OF THE AMERICAN FEDERATION OF MUSICIANS OF THE UNITED STATES AND CANADA
SUMMER MUSIC ISSUE
Arthur Fiedler
SUMMER EMPLOYMENT 8
MUSIC TENT THEATRE 10
BY JOHN BRIGGS
PENSION FUND 12
JAZZ WORKSHOPS ON CAMPUS 18
BY LEONARD FEATHER
ARTHUR FIEDLER 20
May 1963
Often copied but never equalled, Fe... |
Notre Dame de la Mer Parish
www.notredamedelamer.org
Mass Schedule
St. Ann Church
2901 Atlantic Avenue
Wildwood
Saturday 4:30 PM
Sunday 10:30 AM
Confessions
Saturday ~ 3:30 PM
Assumption Church
7101 Seaview Avenue
Wildwood Crest
Monday to Saturday 8:30 AM
Sunday 8:30 AM
Confessions
Wed. & Friday ~ 9 AM-10AM
Adoration... |
ELECTRONIC TECHNICIAN/DEALER
WORLD'S LARGEST TV-RADIO SERVICE & SALES CIRCULATION
Testing Bipolar Transistors In & Out Of Circuit / Annual Subject Reference Index
PTS ELECTRONICS
Precision Tuner Service
... new pts products ... stop ... new 1974-1975 tuner replacement guide and parts catalog no. 4 ... stop ... 96 ... |
Presbyterians are like we are because Presbyterians are Christians who believe that studying the Bible prayerfully and together helps us figure out which things matter more than other things.
This session will enable participants to consider the way Presbyterians read the Bible through discussion of
- Exodus 34:6
- I... |
Science serves your farm.
H. R. Varney
Follow this and additional works at: https://researchrepository.wvu.edu/wv_agricultural_and_forestry_experiment_station_bulletins
Digital Commons Citation
Varney, H. R., "Science serves your farm." (1957). West Virginia Agricultural and Forestry Experiment Station Bulletins. 39... |
NOTICE OF SUBSTITUTE TRUSTEE’S SALE
THIS INSTRUMENT APPOINTS THE SUBSTITUTE TRUSTEE(S) IDENTIFIED TO SELL THE PROPERTY DESCRIBED IN THE SECURITY INSTRUMENT IDENTIFIED IN THIS NOTICE OF SALE. THE PERSON SIGNING THIS NOTICE IS THE ATTORNEY OR AUTHORIZED AGENT OF THE MORTGAGEE OR MORTGAGE SERVICER.
Matter No.: 090402-TX... |
VAST: Value Function Factorization with Variable Agent Sub-Teams
Thomy Phan\textsuperscript{1} \quad Fabian Ritz\textsuperscript{1} \quad Lenz Belzner\textsuperscript{2}
Philipp Altmann\textsuperscript{1} \quad Thomas Gabor\textsuperscript{1} \quad Claudia Linnhoff-Popien\textsuperscript{1}
\textsuperscript{1}LMU Mu... |
DIURETICS: UPDATE ON MECHANISMS OF ACTION AND USES
Harry R. Jacobson, M.D.
Internal Medicine Grand Rounds
June 20, 1985
I. Introduction
The discovery and clinical application of diuretics is one of the most significant advances in twentieth century medicine. Diuretics are not only among the first synthetic drugs to... |
**LID Site Assessment and Planning Packet**
**Instructions for completing this packet:**
- This packet is to be completed as part of a preliminary site assessment by the applicant per RZC 21.17.10E and as specified in the Stormwater Technical Notebook (STN).
- For documentation purposes, all projects that result in 2... |
THE SOUND ENGINEERING MAGAZINE
April 1970 75c
A Modular Console Design
Studio Construction Techniques
Low-Frequency Sound Absorbers
Complete Guide to the West Coast AES Convention
Turn on the Ampex AG-440B and listen:
Perfect silence.
Switch to record: no pop.
Hit the stop: no pop.
Go from rewind to stop: no tape ... |
Theses Digitisation:
https://www.gla.ac.uk/myglasgow/research/enlighten/theses/digitisation/
This is a digitised version of the original print thesis.
Copyright and moral rights for this work are retained by the author
A copy can be downloaded for personal non-commercial research or study, without prior permission ... |
ტყავის ხელოვნება
ტყავის გამოქვეყება
TSKALTUBO HOT POTS
Approaching a Former Sanatorium
Tskaltubo lies in the foothills of the Caucasus Mountains and belongs to the Georgian province of Imereti. Since 1992–93 it has been the home of many refugees from the war of secession between Abkhazia and the rest of Georgia. The... |
Swiss Celebration Seeks More Vendors, Artisans
The annual Grundy County Swiss Heritage Celebration, sponsored by the Grundy County Swiss Historical Society, will be from 10 a.m. to 4 p.m. (CDT), Saturday, July 27, at the Stoker-Stampfli Farm Museum in Grundy County.
The setting is the picturesque, rustic farmland in ... |
Average transfer factors are not enough: The influence of growing cattle physiology on the transfer rate of polychlorinated biphenyls from feed to adipose
Charlotte Driesen\textsuperscript{a, b}, Markus Zennegg\textsuperscript{a}, Isabelle Morel\textsuperscript{b}, Hans Dieter Hess\textsuperscript{c, 1}, Bernd Nowack\... |
Navy trainer for target tracking and intelligence display combines electroluminescence and photoconductivity. See p 31
Video pulse compression circuit uses tunnel diodes. See p 36
A new UHF OSCILLATOR
450 to 1050 Mc
Type 1361-A Oscillator ........$285.
- Butterfly Tuning Circuit — no sliding contacts
- Frequency S... |
Computational visual ecology in the pelagic realm
Dan-E. Nilsson, Eric Warrant and Sönke Johnsen
*Phil. Trans. R. Soc. B* 2014 *369*, 20130038, published 6 January 2014
**Supplementary data**
"Data Supplement"
http://rstb.royalsocietypublishing.org/content/suppl/2014/01/02/rstb.2013.0038.DC1.html
**References**
T... |
COUNTDOWN
## 100 Hit Tracks & Where to Find Them
### Canada's Only National 100 Hit Tracks Survey
#### Record Distributor Codes:
- BMG - N
- EMI - F
- Universal - J
- Polygram - Q
- Sony - H
- Warner - P
| Rank | Artist | Title | Label | Catalog |
|------|--------|-------|-------|---------|
| 1 | The Bananarama ... |
New York, May 9th 1860
Dear Brother,
Yours just received, and I can but a few moments from the Southern Oracle closes to acknowledge its receipt—thanks you for the assistance you have rendered in the Molam business—I am greatly obliged to you & I have good hope that it will fetch our banky too.
Without my knowledge ... |
CHHATTISGARH FIGHTS MALNUTRITION
The Mukhyamantri Suposhan Yojana, which was launched to curb malnutrition and anaemia, has been a huge success in Bijapur district. There has been a drastic 10 per cent fall in cases
On the eve of every third child in India is malnourished, making us one of the leading nations in te... |
Martin Atkinson – The Minimalist Muse
edited by Andrew Radford
Essex Research Reports in Linguistics
Volume 53: 2007
Published by
Department of Language and Linguistics
University of Essex
Wivenhoe Park, Colchester CO4 3SQ, UK
http://www.essex.ac.uk/linguistics
© Authors 2007
Editorial assistance: Ewa Jaworska
Esse... |
Quantum transport through single and multilayer icosahedral fullerenes
Daniel A. Lovey and Rodolfo H. Romero
Citation: J. Appl. Phys. 114, 144305 (2013); doi: 10.1063/1.4824460
View online: http://dx.doi.org/10.1063/1.4824460
View Table of Contents: http://jap.aip.org/resource/1/JAPIAU/v114/i14
Published by the AI... |
RASCAL FLATTS
FULL SPEED DOWN LIFE’S HIGHWAY
CMA MUSIC FESTIVAL
SERVING FANS, SCHOOLS AND COMMUNITY
DIERKS BENTLEY
The Country Bluegrass Connection
MYSPACE KARAOKE
Engaging Fans Through Song
JAMES OTTO
Goes for the Soul
VINCE GILL
Swings with The Time Jumpers
CMA AWARDS
ONLINE VOTING
SECOND BALLOT
AUG. 10 – AUG. ... |
The Bates Student - volume 126 number 11 - January 17, 1997
Bates College
Follow this and additional works at: https://scarab.bates.edu/bates_student
Looking back: a semester review
On open flames, arrests, and students who speak out...
by Sarah Gunn
A new year is upon us, and as we begin new classes, greet retur... |
The Wireless Age
"America's Foremost Radiophone Review"
August 25 Cents
9-24-23 (Later)
One of the World's Largest Manufacturers with unlimited resources Builds Cunningham Tubes
FORTY-THREE years ago the carbon filament electric lamp, at that time considered the finest development in the electrical art, came into ... |
MIXERS
BROADCAST AND SOUND REINFORCEMENT
The name of the sound is the sound of the name.
Cadac are pleased to announce the opening of;
Cadac (Holland) B.V.
G.V. Amstelstraat 97
Hilversum HOLLAND
Your contact is Dick Swaneveld
☎ 02150 17722
Telex 43834
The leaders in music recording Consoles and techniques.
Cadac... |
As per the 2014 Memorandum of Understanding (MOU) between the Bureau of Land Management (BLM), U.S. Fish and Wildlife Service (USFWS), National Park Service (NPS), and the State of Utah, we appreciate the BLM providing the NPS the opportunity to review the GIS shapefiles for the upcoming December 2017 proposed competit... |
Wireless Weekly
Incorporating "Radio in Australia & New Zealand"
VOL. 13, NO. 4
FRIDAY, JANUARY 18, 1929
(Registered at the G.P.O., Sydney, for transmission by post as a newspaper.)
The First Television Drama
Dion Boucicault on Broadcasting
Aerials
By D. B. Knock
Super-Power Broadcasting
By Ray Allsop
Two Valve... |
pH REGULATES THE POLYMERIZATION OF ACTIN IN THE SEA URCHIN EGG CORTEX
DAVID A. BEGG and LIONEL I. REBHUN. From the Department of Biology, University of Virginia, Charlottesville, Virginia 22901. Dr. Begg's current address is the Department of Anatomy, Harvard Medical School, Boston, Massachusetts 02115
ABSTRACT
The ... |
AWA Leadership
in wireless communications is the result of 15 years' pioneering in every branch of wireless.
How to Make A CHEAP "B" BATTERY ELIMINATOR
A Radio Short Story
CHOOSING THE RIGHT VALVE
Listening Into a 3,000,000 Volt Flash!
The Beam Wireless Service and the Radio Services of Australia, Fiji, New Guine... |
The meeting was held in the premises of the National Institute of Statistics and Census (INEC) in Lima, where the Director of the National Institute of Statistics and Census, Dr. José Luis Sánchez, gave a presentation on the results of the 2017 Population and Housing Census.
Aqui está a imagem que você enviou.
The ... |
Unsupervised Learning of Parsimonious General-Purpose Embeddings for User and Location Modeling
JING YANG and CARSTEN EICKHOFF, ETH Zurich
Many social network applications depend on robust representations of spatio-temporal data. In this work, we present an embedding model based on feed-forward neural networks which ... |
Privacy Threshold Analysis for the Private Branch Exchange – Voice Over Internet Protocol (PBX-VOIP)
Introduction: This Privacy Threshold Analysis (PTA) is a questionnaire to assist with determining if a Privacy Impact Assessment (PIA) is necessary for this IT system. This PTA is primarily based from the Office of Man... |
Nota Bene, April 12, 1999
Follow this and additional works at: https://scholarship.law.gwu.edu/nota_bene_1999
Recommended Citation
George Washington University Law School, 5 Nota Bene 6 (1999)
This Book is brought to you for free and open access by the Nota Bene, 1990s at Scholarly Commons. It has been accepted for ... |
DATE: OCTOBER 5, 2007
TO: THE HONORABLE MAYOR AND MEMBERS OF CITY COUNCIL
FROM: JAMES K. HARTMANN, CITY MANAGER
SUBJECT: CONSIDERATION OF A RESOLUTION ON IMMIGRATION ISSUES
ISSUE: Consideration of a Resolution on Immigration Issues.
RECOMMENDATION: That City Council adopt the attached revised resolution.
DISCUSSI... |
MARCH/APRIL 1972
VOLUME 3 – NUMBER 2
$1.00
RECORDING engineer/producer
relating recording science • to recording art • to recording equipment
www.americanradiohistory.com
MOD-N-32
• Remote access and programmable solid state switching
• DC control for automation • Full 32 input assign to any track
• 32 output plus ... |
THE WIRELESS AGE
Statement of the ownership, management, circulation, etc., of THE WIRELESS AGE, published monthly at New York, N. Y., required by the Act of August 24, 1912. Editor, J. Andrew White, 456 Fourth avenue, New York; Business Manager, John Curtiss, 456 Fourth avenue, New York; Publisher, Marconi Publishing... |
Rotating rings: another option for display design 52
Stacked wafers shrink system packaging 62
Designing high-frequency log amplifiers 70
For compact communications
MONOLITHIC CRYSTAL FILTERS
When we started a revolution in Valley Forge, a part of it was to build a new customs house!
A customs house—manned, equipped... |
AGRICULTURE
Spring 2015
For 120 years, New Holland has helped farmers work hard. Today, we’re helping them work even smarter. For maximum productivity and efficiency—in the field or around the farm—make sure your equipment is built New Holland SMART.
New Holland SMART means:
- A full line of award-winning equipment... |
STUDIO SOUND
AND BROADCAST ENGINEERING
STUDIO DESIGN
CABLING & CONNECTION
Advison have just completed an impressive refurbishment of Studio Three, to complement their two SSL rooms.
In the process, they've created the largest control room in London. Their choice of mixing console? The Soundcraft TS24.
Owner Doug Ho... |
McBride’s ‘Wrong’ Right On Top
RCA/Nashville’s Martina McBride kicks off 1999 at No. 1 on this week’s R&R Country chart. “Wrong Again” claims the top spot on the first chart of the new year exactly as McBride did one year ago this week, when “A Broken Wing” hit No. 1. This week’s issue also marks the change from proje... |
| 1 | 2 | 3 |
|---|---|---|
| 4 | 5 | 6 |
| 7 | 8 | 9 |
Praxis expects to triple production capacity
By December of this year, Praxis Technologies' president Michael Sifton expects his plant to triple production to over 13.5 million discs, a significant percentage of projected North American CD sales, and concurrentl... |
THE MELLOTRON SOUND EFFECTS MACHINE — SERVICING THE AKAI M7
AMPEX 863 REVIEW — BUILD A STEREO TAPE PLAYBACK PREAMPLIFIER
EVER READY HIGH POWER BATTERIES GIVE AT LEAST 4 TIMES LONGER LIFE IN TAPE RECORDERS
In portable tape-recorders* with power requirements around 300mA a standard battery will drop below the necessary... |
Mousehold Infant and Nursery School
Inspection report
Unique Reference Number 120945
Local Authority NORFOLK LA
Inspection number 313804
Inspection dates 20–21 February 2008
Reporting inspector Joanne Harvey
This inspection of the school was carried out under section 5 of the Education Act 2005.
Type of school Infa... |
This editorial is not one expressing an opinion. It is one which lays out facts, and hopefully helps to prepare villagers for what may well be a year or so of disruption. The off-shore wind farm is about to become a fact: all the various consultation and planning stages have been gone through, and we now have to be for... |
CHUANG V. UNIVERSITY OF CALIFORNIA DAVIS (9TH CIR. 2000)
Follow this and additional works at: https://scholarlycommons.law.wlu.edu/crsj
Recommended Citation
CHUANG V. UNIVERSITY OF CALIFORNIA DAVIS (9TH CIR. 2000), 7 Wash. & Lee Race & Ethnic Anc. L. J. 227 (2001).
Available at: https://scholarlycommons.law.wlu.edu/c... |
The role of p53 in cell transformation by BPV-4.
Linda Scobie, BSc. Hons.
This thesis is submitted in part fulfilment of the degree of Doctor of Philosophy in the University of Glasgow.
Beatson Institute for Cancer Research,
CRC Laboratories,
Bearsden, Glasgow.
Faculty of Medicine,
University of Glasgow,
Glasgow.
... |
This PDF document was made available from www.rand.org as a public service of the RAND Corporation.
The RAND Corporation is a nonprofit research organization providing objective analysis and effective solutions that address the challenges facing the public and private sectors around the world.
Support RAND
Purchase ... |
Nested Intervals Tree Encoding in SQL
Vadim Tropashko
Oracle Corp.
Abstract
Nested Intervals generalize Nested Sets. They are immune to hierarchy reorganization problem. They allow answering ancestor path hierarchical queries algorithmically - without accessing the stored hierarchy relation.
1 Introduction
There a... |
Contract between the City of Boston and
Beverly Street Acquisition Garage Owner Limited Partnership
Pursuant to Section 6A of Chapter 121A of the
Massachusetts General Laws
This Agreement ("Agreement") made this 25th day of November, 2015, under Sections 6A, 10, 15 and 18C of Chapter 121A of the General Laws of the C... |
Wireless Communication Facilities: Siting for Sore Eyes
Laurie Dichiara
Follow this and additional works at: https://digitalcommons.law.buffalo.edu/belj
Part of the Land Use Law Commons
Recommended Citation
Laurie Dichiara, Wireless Communication Facilities: Siting for Sore Eyes, 6 Buff. Envtl. L.J. 1 (1998).
Avail... |
2000 WORLD BAREFOOT WATER SKIING CHAMPIONSHIPS
Commemorative Program
12th World Barefoot
Fergus Falls, MN USA
Water Skiing Championships
August 22 - 27
Fergus Falls, Minnesota USA
Otter Tail Power Company
LRH Lake Region Hospital Corporation
Coca-Cola
City of Fergus Falls
Fergus Falls Medical Group, P.A.
Quality Car... |
UNIX GATHERS SPEED
AS THE FEUD GOES ON
PAGE 54
DOS
UI
OSF
BUT IT STILL MUST SOLVE SOME MARKETING PROBLEMS
PAGE 57
A MODULAR UNIX OPENS THE OFFICE DOOR
PAGE 64
Looking
We m
for lower NRE? Make it Tiny.
Here's How To Develop Analog/Digital ASICs In Less Time, For Less Money.
Now, for an absolutely tiny price, yo... |
Protease encoding microbial communities and protease activity of the rhizosphere and bulk soils of two maize lines with different N uptake efficiency
Divyashri Baraniya\textsuperscript{a, *}, Edoardo Puglisi\textsuperscript{b}, Maria Teresa Ceccherini\textsuperscript{a}, Giacomo Pietramellara\textsuperscript{a}, Laura... |
Rethinking School
When mandates come down from the state legislature, a collective Cornwall groan is the usual response. But a recent directive, PA 93-263, actually makes sense and, wonder of wonders, is practically without cost. Its thrust is to require each local school board to appoint an ad hoc citizens' committee... |
Provider Liability under Public Law 98-21: The Medicare Prospective Payment System in Light of *Wickline v. State*
Ross P. Lanzafame
Follow this and additional works at: [https://digitalcommons.law.buffalo.edu/buffalolawreview](https://digitalcommons.law.buffalo.edu/buffalolawreview)
Part of the Medical Jurisprudenc... |
Beyond mourning and melancholia: depression in the work of five contemporary North American women writers.
HODGSON-BLACKBURN, Jacqueline.
Available from the Sheffield Hallam University Research Archive (SHURA) at:
http://shura.shu.ac.uk/19804/
A Sheffield Hallam University thesis
This thesis is protected by copyri... |
DATED 15 FEBRUARY 2012
THALES UK LIMITED (1)
and
THALES PENSION TRUSTEES LIMITED (2)
DEED OF AMENDMENT
relating to
the THALES UK PENSION SCHEME
(Partial transfer of AVCs/Calculation of Death Benefits)
THIS DEED OF AMENDMENT is made on 15 FEBRUARY 2014
BETWEEN:
(1) THALES UK LIMITED (No. 868273) whose registered of... |
Highlights of new AM & FM regulations
The new regulations respecting radio broadcasting has 3 parts: Part 1 covers regulations general to both AM and FM radio broadcasting; Part 2 regulates AM radio broadcasting only; and Part 3 deals with FM radio broadcasting.
The CRTC Fact Sheet points out that insofar as Part 1... |
Documentation of statistics for Population Projections 2019
Statistics Denmark
Sejrøgade 11
DK 2100 København Ø
1 Introduction
Every year in February Statistics Denmark provides DREAM with updated data regarding immigration, emigration, live births, deaths and change in citizenship, which can be broken down by gende... |
Noida (New Delhi NCR): Amity University Uttar Pradesh, Sector-125, Noida
Amity Helpline: 0120-2345252, 0120-4713600. E-mail: firstname.lastname@example.org | www.amity.edu
Lucknow: Amity University Uttar Pradesh, Lucknow (Near Railway Station), Gorri Nagar East, Lucknow
Amity Helpline: 0522-2398418, 85250616, 8505071-... |
Read Book Clothesline Clues To Jobs People Do
When people should go to the books stores, search foundation by shop, shelf by shelf, it is in point of fact problematic. This is why we offer the ebook compilations in this website. It will very ease you to see guide Clothesline Clues To Jobs People Do as you such as.
By... |
BJR 3/21/02 14:30
3:02-CV-00532 PANIP LLC V. VIDEO AGE INC
*1*
*CMP.*
Kathleen M. Walker (#202185)
ATTORNEY AT LAW
3421 Thorn Street
San Diego, California 92104
Telephone: (619) 255-0987
Facsimile: (619) 255-0986
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF CALIFORNIA
PANIP LLC,
Plaintiff,
vs.
VIDEO AGE, INC.... |
MSS
Golden Anniversary
Spring, 1983
This issue of MSS is dedicated to Dr. Werner Beyer with thanks and love for all his help over the years.
—The Editors
Manuscripts
Butler University Indianapolis, Indiana
Volume 51, No. 1 May, 1983
MSS STAFF
Senior Staff Editor
Laura J. Guyer
Assistant Editor
Katherine Shawn M... |
THE PSITHURISM
n. the sound of the wind in the trees
ELIF NAZ YILMAZ 21702736
I.D. BILKENT UNIVERSITY
DEPARTMENT OF ARCHITECTURE
ARCH 402 THESIS PROJECT
TABLE OF CONTENTS
INTRODUCTION
SITE ANALYSIS
LITERATURE REVIEW
CASE STUDIES
THE PROJECT
1 INTRODUCTION
This chapter will briefly explain how the idea of the proj... |
If your clients demand the highest level of sonic performance...
If you need to offer the most flexible digital processing equipment available...
If you would rather have your reverberation, delay, and pitch modification requirements handled by one cost effective, computer controlled signal processing system...
Yo... |
1. 6:30 P.M. Parkland-Spanaway-Midland LUAC Study Session
Documents:
2-7-18 PSMAC Study Session Agenda.pdf
2. PSMAC Handout - Attachment E
Documents:
2-7-18 meeting draft.docx
3. PSMAC Handout - Attachment E (1/10/18 Version)
Documents:
1-10-18 Meeting Draft.docx
4. PSMAC Handout - Identified... |
Thank you completely much for downloading vsepr lab answers. Most likely you have knowledge that, people have look numerous times for their favorite books afterward this vsepr lab answers, but end up in harmful downloads.
Rather than enjoying a fine ebook past a mug of coffee in the afternoon, on the other hand they j... |
Consent Management in Data Workflows: A Graph Problem
Dorota Filipczuk
University of Southampton
United Kingdom
email@example.com
Enrico H. Gerding
University of Southampton
United Kingdom
firstname.lastname@example.org
George Konstantinidis
University of Southampton
United Kingdom
email@example.co... |
Interactive comment on “Estimates of sub-national methane emissions from inversion modelling” by Sarah Connors et al.
Anonymous Referee #1
Received and published: 9 January 2019
1 Overview:
Review of “Estimates of sub-national methane emissions from inversion modelling” by Connors et al.
Connors et al. present an ... |
ELECTRONIC TECHNICIAN/DEALER
WORLD'S LARGEST TV-RADIO SERVICE & SALES CIRCULATION
Isolating AGC Troubles In Solid-State Color
Noise in TV Antenna Systems
Medical Electronics: Servicing Defibrillators
Troubleshooting Power Supplies
WANTED
TUNERS NEEDING REPAIR
$$$ REWARD $$$
Fast!! Expert Rebuilding Service
REWAR... |
Scaling Up Dynamic Human-Scene Interaction Modeling
Nan Jiang\textsuperscript{1,2}*, Zhiyuan Zhang\textsuperscript{1,2}*, Hongjie Li\textsuperscript{1}, Xiaoxuan Ma\textsuperscript{3}, Zan Wang\textsuperscript{4}, Yixin Chen\textsuperscript{2}, Tengyu Liu\textsuperscript{2}, Yixin Zhu\textsuperscript{1}\textsuperscrip... |
Ms. Caryn Moir
Vice President – Federal Regulatory
SBC Telecommunications, Inc.
1401 I Street, NW, Suite 400
Washington, DC 20005
RE: *SBC/Ameritech Merger Order*, CC Docket No. 98-141, ASD File No. 99-49
Dear Ms. Moir:
This letter addresses issues arising from the June 2001 semi-annual review of SBC Communi... |
Monona Audit
- **12-26**
- **26-38**
- **38-44.5**
- **44.5-50.5**
- **50.5-69**
Overall Location: Four intersections along Monona Drive near Monona Grove high school.
Stats Overview
**Intersection 1: Monona Drive/Dean Ave**
- Time: 2:45-3:10pm (25 minutes)
- Average Audit Score: 60 (61 - Chelsea, 59 - Breana)
- P... |
Rice cultivar RU1401105
Debra A. Wisdom
*University of Arkansas, Fayetteville*
Karen A. K. Moldenhauer
*University of Arkansas, Fayetteville*
Xueyan Sha
*University of Arkansas, Fayetteville*
James Gibbons
*University of Arkansas, Fayetteville*
Follow this and additional works at: [https://scholarworks.uar... |
Heart Failure with Preserved Ejection Fraction: The New Devil in the Pandemic
Internal Medicine Grand Rounds
UT Southwestern Medical Center
Farhana Kazi, M.D.
Assistant Professor of Medicine
Division of Cardiology
[March 11, 2011]
Introduction and Scope of the Problem
Until the last two decades, the possibility th... |
Ōgushi, Atsushi (2005) *The disintegration of the Communist Party of the Soviet Union.*
PhD thesis
http://theses.gla.ac.uk/4406/
Copyright and moral rights for this thesis are retained by the author
A copy can be downloaded for personal non-commercial research or study, without prior permission or charge
This thes... |
Quantitative solubility data for the system 2,4-dimethylpentane (1) and water (2) are reported in the publications listed in Table 1.
**TABLE 1: Quantitative Solubility Studies for the 2,4-Dimethylpentane (1) - Water (2) System**
| Reference | T/K | Solubility | Method |
|------... |
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